GEOTECHNICS FUNDAMENTALS AND APPLICATIONS IN CONSTRUCTION:

NEW MATERIALS, STRUCTURES, TECHNOLOGIES AND CALCULATIONS

Proceedings in Earth and geosciences

ISSN 2639-7749
eISSN 2639-7757

Volume 2
PROCEEDINGS OF THE INTERNATIONAL CONFERENCE ON GEOTECHNICS FUNDAMENTALS
AND APPLICATIONS IN CONSTRUCTION: NEW MATERIALS, STRUCTURES, TECHNOLOGIES
AND CALCULATIONS (GFAC 2019), SAINT PETERSBURG, RUSSIA, 6–8 FEBRUARY 2019

Geotechnics Fundamentals and

Applications in Construction:
New Materials, Structures,
Technologies and Calculations

Editors
Rashid Mangushev
Saint Petersburg State University of Architecture and Civil Engineering,
St. Petersburg, Russia

Askar Zhussupbekov
Eurasian National University, Astana, Kazakhstan

Yoshinori Iwasaki
Geo Research Institute, Osaka, Japan

Igor Sakharov
“Georeconstruction”, Saint Petersburg State University of Architecture and
Civil Engineering, St. Petersburg, Russia
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ISBN: 978-0-367-17983-0 (Hbk)

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DOI: https://doi.org/10.1201/9780429058882

Proceedings in Earth and geosciences

Volume 2
Proceedings in Earth and geosciences (Print) ISSN 2639-7749
Proceedings in Earth and geosciences (Online) ISSN 2639-7757
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Table of contents

Preface xi
Committees xiii
Sponsors xv

Test simulation of controlled compensation grouting 1

A.V. Alexandrov, E.N. Bellendir, P.A. Vaver & A.N. Simutin
Model tasks for management of process of sibsidence of earth’s surface 6
S. Altynbekov
Surcharge preloading as a method for engineering reservoir foundations in silty soils 10
A.A. Ananyev
Correlation between wave analysis data and data of plate load tests in various soils 16
V.V. Antipov & V.G. Ofrikhter
Reconstruction and methods to protect stone buildings of the early 19th century 21
T. Awwad, R. Chekaeva, M. Chekaev, A. Seisekeeva & L. Awwad
Soil constitutive model effect on the distribution of pile axial load-parametric study 26
T. Awwad & S.A. Al Kodsi
An extended model of impedance functions of monopile-supported offshore wind
turbines incorporating soil-structure interaction effect 30
A. Barari & L.B. Ibsen
Design peculiarities of foundation structures in permafrost and
seismically active areas 36
T.A. Belash
Geotechnical aspect of load-bearing analysis of explosively driven pile foundation soil 44
L.M. Borozenets
Experimental estimate of instantaneous adfreeze strength of glass-fibre reinforced
plastic in frozen soil 49
A.V. Boyarintsev & S.V. Lanko
Predicting air quality in underground structures 54
T.A. Datciuk, D.M. Denisikhina & E.A. Anshukova
Setting soil strength parameters for slope stability calculations 59
I.K. Fomenko, K.V. Kurguzov, O.V. Zerkal & O.N. Sirotkina
Development of analytical methods to determine swelling and shrinkage of clay soils 65
F.G. Gabibov
Disadvantages of standards for construction on collapsible soils 69
B.F. Galay, V.V. Serbin & O.B. Galay
Efficient use of sand cushions 74
V.S. Glukhov & M.V. Glukhova

v
Numerical studies on horizontally loaded bored piles 77
A.L. Gotman, A.Z. Gaisin & A.O. Glazachev
Assessment of operation of fiber-reinforced soil located behind retaining wall 82
A.S. Grishina & A.B. Ponomaryov
Geo-Base Isolation with geogrid reinforcement for buildings 86
A. Boominathan, S. Banerjee & J.S. Dhanya
Stabilization of permafrost soils at base of road fill 93
M.E. Igoshin, M.V. Paramonov, V.V. Vorontsov & P.A. Kravchenko
Authenticity of soils and foundation of Bayon temple in Angkor Thom and restoration
of retaining structures in Angkor 98
Y. Iwasaki, M. Ishizuka, S. Soeur, R. McCarthy, T. Nakagawa & L. Vanna
Characteristics of ultrafine permeation grouting for foundation soil of Northern
River Terminal in Moscow 109
F.N. Kalach, V.I. Nozdrya, A.I. Osokin & V.B. Ivanishchev
Basic relationships between statics and dynamics in reinforced shell roofs of
underground and aboveground structures and methods of their calculation 114
V.V. Karpov & A.A. Semenov
Advanced composite-based structural design solutions 120
T.P. Kasharina
Composite-based shell and soil reinforcement designs for bank protection structures 124
D.V. Kasharin
Construction of foundations using chrysotile cement pipes 129
Yu.N. Kazakov & A.E. Alekseev
Influence of concrete strength evaluation method accuracy on reliability levels of
geotechnical structures 135
A.M. Kharitonov, Y.M. Tikhonov & Y.A. Belentsov
Analytical study of effect of compensatory layer installed in contact zone of foundation slab 139
N.Y. Kiselev & Ya.A. Pronozin
Construction embankment of automobile road on pile foundation in weak soil 145
S.A. Kudryavtsev, T.U. Valtseva, S.A. Bugunov, Z.I. Kotenko, N.I. Sokolova & M.N. Erofeev
Impact of artificial footing in pile-adjacent zone on operation of laterally-loaded
single pile foundation 150
S.V. Lanko, L.N. Kondratieva, A.V. Evstratov & A.V. Derendyaev
Concerning the dynamic load impact on development of landslide processes 157
A.I. Latypov & E.A. Korolev
Hardening of clay soil under compression 161
P.A. Lyashenko & V.V. Denisenko
Experimental studies of soil base deformations under the model of flexible bottom of
steel vertical tanks 165
R.A. Mangushev, V.V. Konyushkov, R.A. Usmanov & V.M. Kirillov
Stability of slopes under exposure to soil wetting 172
I.V. Manyakhin & R.A. Mangushev
Antimudflow protection with rigid thorough structures 178
S.I. Matsiy & L.A. Sukhlyaeva
Features of calculating gravity retaining wall without assumption of base soil liquefaction 182
O.P. Minaev
Features of calculating stability of retaining wall with significant horizontal load on base soil 187
O.P. Minaev

vi
Changes in physical and mechanical characteristics of soil under triaxial loading 193
I.T. Mirsayapov & I.V. Koroleva
Influence of a deep construction pit on a technical condition of surrounding buildings 197
I.T. Mirsayapov & N.N. Aysin
Floor construction in basements during reconstruction of buildings in peaty territories 202
A.V. Nikitin, A.L. Nevzorov & Yu.V. Saenko
Prediction of settlement of buildings surrounding deep excavations in Viet Nam 205
N.S. Nikiforova & N. Van-Hoa
On criterion for considering dynamic soil-structure interaction effects 210
L.V. Nuzhdin, V.S. Mikhailov & I.D. Yankovskaya
Specifics of engineering support for installation of bored piles in cluttered urban settings 216
A.I. Osokin, V.A. Ermolaev & A.I. Kuzhelev
Specifics of engineering design of piled raft foundations in soft soils 220
A.I. Osokin, V.O. Efimov & L.N. Kondratieva
Comprehensive bearing capacity analysis of permafrost railroad leading to
Tank-Car filling rack 225
V.V. Pendin, I.K. Fomenko, D.N. Gorobtsov & M.E. Nikulina
Geotechnical and geoecological fundamentals of sustainable life cycle of unique
long-operated underground structures of water disposal systems in difficult soil
conditions (the experience of St. Petersburg) 231
N. Perminov & A. Perminov
Soil base reinforcement with rigid elements represented by built-in-place
piles in rolled-out wells (practical experience) 235
V.P. Perov & S.V. Perov
Simulation of strain-stress behavior of tunnel collectors in conditions of combined
anthropogenic effects 240
N. Perminov & A. Perminov
Simulation of unsteady interaction of large RC shell with heterogeneous soil milieu for
gradually increasing caisson structure 245
N. Perminov
Geotechnical problems of transport construction and their solutions 250
T.M. Petrova & E.Yu. Chistyakov
Operating peculiarities of reinforced concrete structures in intense cold and freeze-thaw temperature 254
M.G. Plyusnin, V.I. Morozov & V.M. Popov
Analytical method for calculating the bearing capacity of injection piles in clayey soil 259
A.I. Polishchuk, A.A. Petukhov & R.V. Shalginov
Influence of stiffness of separating wall between foundations of closely-spaced buildings
on their settlements 265
A.I. Polishchuk & A.S. Mezhakov
Parameters determining differences between geometric and mechanical properties of spiral
elements in rope, affecting development of emergency situations 270
S.V. Polyakov & A.E. Pushkarev
Rationale for method of settlement calculation for multiple blade helical piles in clayey ground 274
A.I. Polishchuk, F.A. Maximov & N.S. Nikitina
Use of marl as ground base for embankments 280
A.B. Ponomaryov, E.N. Sychkina & V.I. Kleveko
Calculation and geotechnical monitoring of buildings on strip-membrane foundations 284
O.S. Poroshin, Ya.A. Pronozin, L.R. Epifantseva & Yu.V. Naumkina

vii
Changes in soil properties at unloading of base of deep foundation pit 290
Ya.A. Pronozin & E.P. Bragar
“Normal” bored injection pile with increased bearing capacity 296
Ya.A. Pronozin, I.S. Salnyi & D.V. Volosyuk
Real-time vibration monitoring 301
I.I. Sakharov, M.A. Shashkin & S.I. Nizovtsev
Computational method for soil frost heaving characteristics determination 307
I.I. Sakharov
Determination of settlement in drill-injection pile with controlled broadening 312
M.A. Samokhvalov, A.V. Geydt & A.A. Paronko
Settlements in foundations of existing buildings during construction of trench diaphragm wall 318
D.A. Sapin & I.P. Diakonov
Selecting moisture protection methods for subsurface parts of buildings 324
A.D. Serov & M.I. Afonina
Analysis of causes of deformations in historic buildings on weak clay soils 329
A.G. Shashkin, K.G. Shashkin & R.E. Dashko
Analyzing efficiency of two-layer foundations for a power transmission line portal
based on a numerical experiment 335
M.N. Shutova, S.I. Evtushenko & D.A. Kalafatov
Stress-strain state of elastic base under circular foundation 341
V.I. Smirnov, S.A. Vidyushenkov & N.S. Bushuev
Methods and technology of ensuring stability of landslide slope using soil anchors 347
N.S. Sokolov, A.E. Pushkarev & S.A. Evtiukov
Selecting type of bored piles with increased values of bearing capacity 351
N.S. Sokolov, A.E. Pushkarev & A.N. Mikhaylov
Experimental studies of soil compaction effect on pile operation 357
M.A. Stepanov & G.I. Rybak
Assessing the state of buildings’ foundations and residual lide of their bearing capacity 363
L.Yu. Stupishin, S.G. Emelyanov, M.L. Moshkevich & F.V. Altukhov
Estimating efficiency of composite reinforcment applications in foundations of
low-rise buildings 368
A.I. Subbotin, M.N. Shutova & A.I. Shagina
Experimental studies of settlement and bearing capacity of piles in argillite-like
clays and sandstone 374
E.N. Sychkina
Forecast bearing capacity of soil cushions with variable reinforcement spacing 378
D.A. Tatiannikov & A.B. Ponomarev
Vibration driving of an incompressible pile into a two-layered foundation 384
Z.G. Ter-Martirosyan, E.S. Sobolev & G.O. Anzhelo
Restoration engineering of historic structures: Case study of building 12 on New
Holland Island in Saint-Petersburg 390
V. Ulitsky & S. Bogov
Effective stiffness for modeling reinforced concrete structures in soil-structure
interaction calculation 396
V.A. Vasenin & N.A. Evseev
New technology for soil extraction when sinking open caissons 402
V.V. Verstov, A.N. Gaido, A.F. Yudina & L.M. Kolchedantsev

viii
Results of experimental analyses of concrete with metal wastes 407
M. Vaiciene, J. Malaiskiene & O. Kizinievic
Influence of normal and shear stiffness of fractures on deformation characteristics of rock mass 413
A.N. Vlasov, M.G. Zertsalov & D.A. Vlasov
Modelling the stress-deformed state of soil installed with displacement piles 420
E.S. Voznesenskaya
Geotechnical and geoenvironmental analysis of “Chinese Theatre in Alexander Park,
Pushkin” as part of reconstruction and improvement project 425
M.B. Zavodchikova & N.G. Corvette
Design-based justification of controlled compensation grouting during ZPPS-2
foundation slab mock-up lifting 430
M.G. Zertsalov, A.N. Simutin & A.V. Aleksandrov
Prediction of axial bearing capacity of piles by SPT and PMT-based approach 435
A.Zh. Zhussupbekov, A.R. Omarov & V.N. Kaliakin
3D modelling of cast-in-place anchored beamless trench wall with edge elements of
different topology 441
V.V. Znamenskiy, E.B. Morozov, D.Y. Chunuk & D.A. Pekin
Efficiency of determining bearing capacity of soil fills using the LFG (LWD) dynamic plate 447
M. Rajczyk & J. Rajczyk
Concerning the use of soil deformation modulus in geotechnical design 451
E.S. Utenov, A.T. Mukhamedzhanova & S.K. Abildin
Effectiveness of geotechnical curtain of loose pile rows as design for cast-in-place
trench walls 457
V.V. Znamenskiy & E.B. Morozov

Author index 463

Book series page 465

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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Preface

International Scientific-Technical Conference «Geotechnics Fundamentals and Applications in Construc-

tion: New Materials, Structures, Technologies and Calculations» (GFAC 2019) was held by Saint Peters-
burg State University of Architecture and Civil Engineering 6–8 February 2019. Its aim was devoted to
enable the interactive exchange of state-of-the-art knowledge and to bring together leading academic
scientists, researchers and scholars in the domain of interest from around the world. The Conference
provided a unique forum for prominent researchers and young talented specialists to present the latest
research findings, emerging technologies and directions in geotechnics, soil mechanics, foundation engi-
neering and all related construction spheres.
GFAC 2019 demonstrated an ideal interdisciplinary platform to share research results in the sphere
of geotechnics, modern geotechnologies, soil mechanics, foundations, geological engineering and share
experience in design of complex geotechnical objects in various conditions place to engage with leading
universities, research institutes and design organizations from Russia, Japan, South Korea, India and
other countries.
The unique and valuable results of the GFAC 2019 are the knowledge and experience exchange of more
than 300 specialists from the Russian Federation, Kazakhstan, CIS, India, Japan, USA, Mongolia, Viet-
nam, Syria, Lithuania. An additional impetus to the development of international scientific partnership
and cooperation in this area was received in particular in the main areas of activity:
• Analytical decisions and numerical modeling of the system joint operation: “base—foundation—building”;
• Design and construction in geologically hazardous conditions (karst, landslides, mudflows, seismic
activity, etc.);
• Methods for surveying the features of dispersed, rocky soils, foundations and structurally unstable soils
(permafrost, subsidence, peaty, swelling, etc.);
• Exploration, territory improvement and reconstruction in conditions of compact urban planning and
enterprises, etc.;
• Construction, reconstruction and exploitation of railways, highways, pipes, utilities and other infra-
structure facilities in different soil conditions;
• R&D support and quality control of new materials, design and technology solutions in constructing
bases, foundations, underground and surface constructions;
• Condition survey and accident evolution analysis in construction;
• Up-to-date monitoring techniques in building construction and exploitation.
Thus, an important event in the field of geotechnics is the Conference proceedings publication.
International Editorial Board (Mangushev R.A. (Russia), Sakharov I.I. (Russia), Zhussupbekov A.Zh.
(Kazakhstan), I. Iwasaki (Japan) reviewed the articles and recommended 87 among them for publication.
These articles cover the modern experience of geotechnics in Russia, Azerbaijan, Kazakhstan, Vietnam,
Denmark, Cambodia, India, Lithuania, Poland, Japan and are devoted to the design, design calculations,
technology of foundations of different types, as well as underground structures in different regions of the
world soils.

Rashid Mangushev
February 2019

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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Committees

ORGANISING COMMITTEE

Evgeny Rybnov, Saint Petersburg State University of Architecture and Civil Engineering, Russia (Chair)
Rashid Mangushev, Saint Petersburg State University of Architecture and Civil Engineering, Russia (Co-Chair)
Irina Lugovskaya, Saint Petersburg State University of Architecture and Civil Engineering, Russia (Co-Chair)
Eun Chul Shin, Incheon National University, South Korea
Askar Zhusupbekov, Eurasian National University, Kazakhstan
Anatoly Osokin, Saint Petersburg State University of Architecture and Civil Engineering, Russia
Alexey Sashkin, “Georeconstruction”, Russia
Elena Lashkova, “Geoizol”, Russia
Lyudmila Strokova, Tomsk Polytechnic University, Russia
Valery Morozov, Saint Petersburg State University of Architecture and Civil Engineering, Russia
Yury Pukharenko, Saint Petersburg State University of Architecture and Civil Engineering, Russia
Vladimir Konyushkov, Saint Petersburg State University of Architecture and Civil Engineering, Russia

SCIENTIFIC COMMITTEE

Igor Sakharov, Saint Petersburg State University of Architecture and Civil Engineering, Russia
Vyacheslav Ilyichev, Russian Academy of Architecture and Construction Sciences, Russian Society for Soil
Mechanics, Geotechnics and Foundation Engineering, Russia
Zaven Ter-Martirosyan, Moscow State University of Civil Engineering, Russia
Alfred Gotman, Russian Society for Soil Mechanics, Geotechnics and Foundation Engineering, Russia
Vladimir Ulitsky, Emperor Alexander I St. Petersburg State Transport University, Russia
Andrey Ponomarev, Perm National Research Polytechnic University, Russia
Ilizar Mirsayapov, Kazan State University of Architecture and Engineering, Russia
Sergey Kudryavtsev, Far Eastern State Transport University, Russia
Anatoly Polishchuk, Kuban State Agrarian University, Russia
Gennady Skibin, Platov South-Russian State Polytechnic University, Russia
Alexander Nevzorov, Northern (Arctic) Federal University, Russia
Leonid Nuzhdin, Novosibirsk State University of Architecture and Civil Engineering, Russia
Vladimir Paramonov, Emperor Alexander I St. Petersburg State Transport University, Russia
Vladimir Lushnikov, UralNIIproject, The Russian Academy of Architecture and Construction Sciences, Russia
Dmitry Chunyuk, Moscow State University of Civil Engineering, Russia
Armen Ter-Martirosyan, Moscow State University of Civil Engineering, Russia
Yakov Pronozin, Tyumen State Oil and Gas University, Russia

xiii
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Sponsors

xv
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0
Test simulation of controlled compensation grouting
A.V. Alexandrov, E.N. Bellendir & P.A. Vaver
HydroProject Institute, JSC, Moscow, Russia
A.N. Simutin
Sigma Tau Ltd., Moscow, Russia
ABSTRACT: The paper presents the main outcomes of testing of the technology for aligning the build-
ing of Zagorsky Pumped-Storage Electric Power Plant 2. Rationale is provided for the use of compensa-
tion grouting as a method for aligning the building in question.
1 INTRODUCTION
The accident that occurred during the construc-
tion of Zagorsky Pumped-Storage Electric Power
Plant 2 (ZaPSPP 2) had caused differential settle-
ments in the building of ZaPSPP 2, the maximum
settlement being 117 cm. The detailed descriptions
of the state of the building and the soil mass before
and after the accident; the course of the accident;
and the post-accident stabilization of the build-
ing are given in the dedicated study (Alexandrov
2016). In order to ensure the operational integrity
of ZaPSPP 2, its building needs to be aligned to the
accuracy of 10 cm relative to horizontal position.
The alignment should be achieved in controlled
mode with the use of collar cementing-based com-
pensation grouting of the footing of the building.
2 MATERIALS AND METHODS
Over the past 30 years, compensation grouting has
proved successful in overseas (Makovsky 2009,
Warner et al. 2012) and domestic (Kharchenko
et al. 2016, Zertsalov et al. 2015) construction engi-
neering. As a method and technology, compensa-
tion grouting is designed to maintain or restore the
stress and strain state in soil body during under-
ground space development in urban areas, as well
as to prevent unwanted settlement. Not only does
compensation grouting counterbalances the stress
and strain state in soil body and the associated
settlement, it allows lifting and aligning of the
buildings.
In sandy soils, compensation grouting is more
difficult to manage then in clayey ones. This is
explained by the fact that exposed to conventional
technologies and suspension-like grouts with the
water-solid ratio of 2 to 4, sandy soils tend to
1
rupture, causing the uncontrolled spreading of
the cement grout rather than retaining within the
injection point (collar).
The issues of compensation grouting in sands;
physical and theoretical bases of grout composi-
tion depending on the structure of soils; and lab
and field testing of grouting methods have been
addressed by A. Bezuijen et al. (Bezuijen 2010,
Kharchenko et al. 2016, Zertsalov et al. 2015).
The design solution for aligning of the build-
ing of ZaPSPP 2 involves the use of grouts that
tend to form enclosed volumes around injection
points, rather than form fractures in sandy foun-
dation soils. With each subsequent feeding of the
grout into one and the same collar, the volumes of
deformed, consolidated soils increase unruptured.
With reference to the above papers (Bezuijen 2010,
Makovsky 2009, Warner & Byle 2012, Schweiger
1998, Burland 2001), we shall not pursue the pecu-
liarities of interaction between the pressurized
grout and the soil mass. Let us note only the core
principles of injecting grouts into sandy soils so
that they do not cause them to rupture.
When injecting a conventional grout with the
water-solid ratio of 2 to 4 under 30–40 atm (the
pressure which deforms and consolidates the soil
skeleton) into the sandy soil with pore pressure
corresponding to the depth of soil (2–3 atm at
20–30 m depth), at the grout-soil interface there
occur high-pressure liquid-phase gradients and
the soil skeleton experiences considerable in-situ
forces.
In clayey soils, which are highly cohesive and
resistant to in-situ breaking load, the above grout-
ing conditions lead to the formation around the
feed point of enclosed volumes of solidifying
material, which ultimately counterbalances the
changes in the stress and strain state (SSS) of the
soil mass. In sandy, cohesionless soils, however,
such conditions lead to in-situ hydraulic fracturing
that spreads uncontrolled.
To prevent hydraulic fracturing (Bezuijen 2010,
Makovsky 2009, Warner & Byle 2012, Knitsch
2008), internal “barriers” need to be set up at the
grout-soil interface to act as reverse filters or tran-
sition zones that are commonly used in hydraulic
engineering. Created during grout injection at high
pressures and high-pressure liquid-phase gradients,
such “barriers” prevent fine fractions of the grout
from entering the sandy soil. There are two differ-
ent ways to ensure the conditions described above.
One way involves a two-stage procedure for
preparation and treatment of the sandy soil.
The first stage is designed to prepare the soil for
grout injection by way of impregnating it with a
fine fraction-containing suspension of particular
granulometric composition to replace pore water.
At the second stage, when conventional grout is
injected, the “internal barriers” form themselves in
the impregnated soil. Figure 1. Location of Test Site 3: 1 – Test Site 3,
The other way comes down to preparing of a 2 – grout injection area, 3 – the right side of ZaPSPP
grout whose granulometric composition and phys- 2 reverse canal.
icochemical properties would enable it, while being
injected to replace pore water, to form the “inter-
nal barriers” without impregnating the soil first.
Compared to conventional grouts, such specially
prepared grouts normally have a lower water-solid
ratio – 1 or less (pastes) – and require additional
control of such technological parameters as
pumpability, flowability, etc. For such grouts to
be injected effectively at lower pressures (up to
60 atm), preliminary impregnation of soil might
be required – for the purpose of reducing the in-
situ friction between soil particles, caused by grout
injection, in order to avoid overpressure.
Figure 2. Overall view of Test Site 3.

3 RESULTS

The project to reconstruct Zagorsky Pumped-

Storage Electric Power Plant 2 (ZaPSPP 2) required
a series of tests to find out whether its building
could be lifted and aligned using controlled com-
pensation grouting (CCG) (Makovsky 2009). The
tests were conducted on Test Site 3 (TS 3) during
2016 and 2017. TS 3 is situated on the right side of
ZaPSPP 2’s lower pound lock (Figures 1, 2 and 3).
Prior to the start of the tests, TS 3 was surveyed
Figure 3. Test site. Grout injection area.
to verify that its foundation soil conditions were
identical to those of the ZaPSPP 2.
The testing of CCG at TS 3 within the premises model for lifting of ZaPSPP 2 with the actual geo-
of ZaPSPP 2 was necessitated by the lacking expe- technical and operating conditions (Alexandrov
rience in global hydraulic engineering of lifting a et al. 2016).
building to heights more than 12 cm (Bellendir The test simulation involved injecting of spe-
et al. 2016). cially prepared grouts and impregnating com-
The test simulation sought to verify consistency pounds underneath the simulated ZaPSPP 2
of the design parameters set for the mathematical foundation slab in order to obtain the details of

2
the actual scope of drilling and injecting needed The injection zone for lifting the simulated
for aligning of ZaPSPP 2 (Alexandrov et al. 2016). foundation slab fell on 62.3–82.6 m section of the
The operations targeted to lift the simulated collar columns (Fig. 6).
foundation slab, which had been buried to the All the injecting facilities and auxiliary systems
depth at which ZaPSPP 2 own load could be were put up on a special cut arranged in the right
simulated. slope of ZaPSPP 2’s reverse canal.
Trial injection of the grout and impregnating
compound was performed during August 8–11,
4 DISCUSSION 2016, which demonstrated contractor’s prepar-
edness and the suitability of the grout and the
Test site 3 (Makovsky 2009) was designed to simu- impregnating compound.
late ZaPSPP 2 foundation slab (dimensions: 10 × Over the period from 08.08.2016 to 17.12.2016,
10 m, thickness: 5 m) buried to the depth of 17 m Stages I and II of works were performed to inject
to 21 m. Structurally, the site consisted of: the impregnating compound (KN-1, P-1) and the
grout (KN-2, OS-7) and to let them cure. During
− simulated foundation slab on jet grouting piles
the curing time, the monumented benchmarks
(dimensions: 10 × 10 m, thickness: 5 m), buried
were monitored for position and the slab footing
at required depth and inclined at an angle identi-
for pressure.
cal to that of the foundation slab of ZaPSPP 2;
Since the plastic collar columns failed, the deci-
− 32 plastic collar columns (CC 1–32) (7 lines),
sion was taken to drill nine additional boreholes
70.3 m to 86.6 m long, bored directionally from
for steel collar columns 33–41.
the surface of the slope of the reverse canal;
Stage 3 of works was performed over the period
− 9 steel collar columns (2 lines), 75.83 m to
from 24.04.2017 to 09.07.2017, during which the
76.95 m long, bored directionally from the sur-
impregnating compound (KN-1, P-1) and the
face of the slope of the reverse canal;
grout (KN-2, OS-7) were injected through CC
− bentonite piles along the perimeter of the simu-
33–41, marking the end of the lifting of the simu-
lated foundation slab, designed to reduce shear
lated foundation slab.
strength whilst lifting the slab;
− 9 monumented benchmarks for tracking the
simulated foundation slab as it moves upwards;
− 9 devices for reading the stresses in the soil
underneath the simulated foundation slab; and
− surveying instruments for monitoring the posi-
tion of the monumented benchmarks.
The simulated model of ZaPSPP 2 foundation
slab, represented by the cement-bound mass and
the vertical curtain separating the lift area from the
soil, is shown in Figure 4 and Figure 5.

Figure 5. Longitudinal profile of cement-bound mass

and bentonite cutoff curtain.

Figure 4. Layout of cement-bound mass and bentonite Figure 6. Discharge area for lifting the base plate
cutoff curtain. model.

3
 The grout and the impregnating compound
were injected through cup-type injectors (col-
umns). Stages 1 and 2 used plastic columns and
Stage 3 steel ones (Fig. 7).
Compensation grouting was performed at opti-
mum consumption rates without causing hydraulic
fracturing.
By 20.06.2017, the simulated foundation slab
was lifted to the height of more than 30 cm (monu-
mented benchmarks 7 and 8). In the projection area
of the simulated foundation slab, there occurred
perimeter cracks, with up to 8 cm opening.
By 09.07.2017, the simulated foundation slab
had been lifted to the height of 468 mm and the
crack opening increased to 20–25 cm (Fig. 8).
On 20.06.17, grouting operations continued in
order to check the parameters of the controlled lift
of the simulated foundation slab. At that stage, the
injections were meant to advance the lift of the left
side of the simulated foundation slab.
To achieve the unilateral advance, CC 37 and
CC 41 received greater quantities of the grout and
CC 35 – CC 39 – CC 38 – CC 34 lesser quantities.
Figure 7. Collar columns.
Figure 8. Crack openings. Elevated TS 3.
4
As a result of the operations conducted over the
period from 18.06.2017 to 02.07.2017, a 32 mm
shift was registered by the geodetic party relative to
the geodetic marks, which occurred on all sides of
the simulated foundation slab, marking the com-
pletion of the operations.
The results of the injection operations were ana-
lyzed by way of benchmarking the calculated val-
ues against the actual elevation of the slab and the
pressure in the underlying soil.
In performing the preliminary computational
modelling of operations on Test Site 3 we made use
of Z-Soil software and finite-element method (FEM).
The behavior of the foundation soil is described
by the elasto-plastic model of hardening soil with
unbounded failure surface, which accounts of the
changes in the deformation properties and of the
failure surface (failure criterion) as functions of the
stress state (Makovsky 2009, Warner & Byle 2012).
The calculated values were benchmarked against
the actual ones in order to evaluate the accuracy of
the methods used in calculations, as well as of the
models designed to represent the actual interaction
between compensation grouting of TS 3, soil mass,
and simulated foundation slab.
The conducted operations have allowed test-
ing of the automated monitoring system which
included tachometer – and geodetic marks-based
measurements; and 9 sensors installed at the level
of the footing of the foundation slab for monitor-
ing the soil pressure.
Throughout the entire period of injection grout-
ing, the displacement of the simulated foundation
slab was measured by automated tachometer Leica
TM30 based on the vertical displacement of the
monumented benchmarks.
Figure 9 shows the diagram of calculated and
the actual displacements. As can be seen, the
matching degree is high.
The computational model and the software
developed have been verified for the conditions
Figure 9. Calculated and actual displacement diagram.
in question and proved fully meeting the task of
aligning of ZaPSPP 2 building (Alexandrov et al.
2016).
In general, the distribution of pressure across
the footing did meet the calculation assumptions.
Injected into the foundation soil, grouts KN-2
and OS-7 created a pressure on the simulated foun-
dation slab, which corresponded to the mean pres-
sure sustained during the lifting and had therefor
enabled vertical displacement of the simulated
foundation slab.
In the course of grouting, the composition of
basic grouts KN-2 and OS-7 were adjusted based
on the grouting results.
The test simulation showed that the arrangement
of eight lines of boreholes for aligning of ZaPSPP
2 had proved expedient and enabled lifting of the
building to the required horizontal position.
5 CONCLUSION
The outcomes of the test simulation enable the fol-
lowing the conclusions.
Expediency has been verified of the use of con-
trolled compensation grouting as a technology for
creating in soil mass of a stress field enabling lift-
ing of the simulated foundation, and the building
itself, to the height never attained previously.
The grouting operations on Test Site 3 have
allowed identifying the lines of further studies,
which encompass composition and properties of
grouts; collar column design; and mechanized
solutions for feeding of grout into collars.
REFERENCES
Alexandrov, A.V., Bellendir, E.N., Lashchenov, S.A. &
Alzhanov, R.S. 2016. Liquidating the Consequences
of Settlement in Zagorsky PSPP-2: Restoration Works
// Hydraulic Engineering. Iss. 6. pp. 81–89.
5
API RP 13B American Petroleum Institute – Standard
procedure for field testing drilling fluids. Recom-
mended Practice.
Bellendir, E.N., Alexandrov, A.V., Zertsalov, M.G. &
Simutin, A.N. 2016. Compensation Grouting as a
Technique for Structural Levelling. Hydraulic Engi-
neering, 2016. Iss. 2. pp. 15–20.
Bezuijen, A. 2010. Compensation Grouting in Sand.
Experiments. Field Experiences and Mechanisms.
Building Code 58.13330.2012. Hydraulic Structures.
Guidelines. Updated Code 33-01-2003.
Burland, J.B. Building response to tunneling. Case stud-
ies from construction of the jubilee line extension / J.B.
Burland, J.R. Standing, F.M. Jardine. – London,
2001. pp. 134–145.
Clief Kettle. Compensation Grouting – Evolution, Field
Application and Current State of the Art in UK practice.
EN 12715 Execution of special geotechnical work
– Grouting.
Kharchenko, I.Y., Merkin, V.E., Simutin, A.N. & Zert-
salov, M.G. 2015. Compensation Grouting: A Protec-
tion Technology in Tunnel Construction. Transport
Construction. Vol. pp. 6–9.
Knitsch, H. Visualization of relevant data for compen-
sation grouting/H. Knitsch//Tunnel, 3. – 2008. –
pp. 38–45.
Makovsky, L.V. 2009. Determining the Parameters of
Compensation Grouting for Tunneling in Com-
plex Conditions/L.V. Makovsky, V.V. Kravchenko//
Motor Roads Engineering: Proceedings – M.: MMRU
(GTU), 2009. pp. 119–124.
Schweiger, H.F. Reduction of settlements by compensa-
tion grouting – Numerical studies and experience from
Lisbon underground/H.F. Schweiger, E. Falk//Tunnels
and Metropolises. – Balkema, Rotterdam, 1998. –
pp. 1047–1052.
Telford, T. Sprayed concrete linings (NATM) for tun-
nels in soft ground/T. Telford. – London, 2004. –
Pp. 10–12.
Warner J. & Byle, M. 2012. Limited Mobility Grouting –
Past, Present and Future.
Zertsalov, M.G., Simutin, A.N. & Alexandrov, A.V. 2015.
Compensation Grouting as a Structural Protection.
Journal of MGSU, 2015. Iss. 6. pp. 32–40.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Model tasks for management of process of sibsidence of earth’s surface

Sh. Altynbekov
South Kazakhstan State Pedagogical University, Shymkent, Kazakhstan

ABSTRACT: The mathematical formulation of two types of model control problems is formulated.
The results of preliminary calculations are presented.

Keywords: geomechanics, subsidence, oil layer, the surface of the earth, tasks about management, mathematics

1 INTRODUCTION In numerous applications, due to the complexity

Pumping oil from the field leads to a decrease in
excess pressure in the pore fluid in the oil reservoir
layer. The natural balance of pressure in the lower
and upper layers is disturbed. The greater the differ-
ence between them and the power of the oil reser-
voir, the greater the subsidence of the earth’s surface
on the territory of the oil complex. Therefore, dur-
ing oil production, as a rule, injection wells are
necessarily drilled to ensure the balance of stresses
in the reservoir. However, this way of dealing with
negative phenomenon, as shown in practice, leads
to a decrease of the subsidence of the earth’s sur-
face only 25–35% of the real. Therefore, there is a
need to develop and improve methods of struggle.
To prevent this negative process, in our opinion, it
is necessary to solve one of the problems of geome-
chanics – the problem of managing the process of
subsidence of the earth’s surface using the theory of
filtration consolidation of the earth’s environment.
Currently, there are numerous works on the
mathematical theory of optimal control (Bellman
and others 1962, Boltyansky 1969, Butkovsky
1965, Tikhonov 1965, Plekhanova 2016, Lattes
and Lions 1967, Lions 1968, Leray 1933, Polak
1971, Wang 1964, Pontryagin and others 1969,
Hestenes 1966, Lions 1972, Altynbekov 2010,
Altynbekov and others 2010). The optimization
theory for systems with distributed parameters
described by partial differential equations begins
to be developed after obtaining the main results
in the optimization theory for ordinary differen-
tial equations. The theory set out in The works of
(Pontryagin and others 1969) and (Hestens 1966)
is devoted to the study of the following questions:
to obtain the necessary conditions of extremum;
to study the structure and properties of equations
expressing these conditions for the case where Λ,
called the “model” of the system, is an ordinary
differential operator.
of the controlled systems, it was necessary to aban-
don the just mentioned mathematical model and
consider Λ as a partial differential operator (Lions
1972). It is this case that we study in this paper.
2 THE TASK OF MANAGING THE
PROCESS OF THE OIL RESERVOIR
SUBSIDENCE
The tasks of managing the process of subsidence
of the oil reservoir and the earth’s surface during
oil pumping are closely related to the tasks of man-
aging the pressure of the pore liquid.
There are numerous types of management. In
this paper we consider only two types of Manage-
ment: management at the border and management
within the region. Consistently consider these types
of management.
2.1 Pressure management on the border
Management is implemented so that the pressure
p (z,r,t) on the boundary Γ of the domain Ω is not
reduced over time (eg, fluid flow through the wall).
Function of p (z,r,t) (pressure) within the area
Ω × ]0,T [ satisfies the equation of sealing
∂p
− Cv ( z, r )∆p = f , z, r ∈ Ω , t ∈]0,T [, (1)
∂t
or, in general case, the equation
∂p
+ Ap = f , (2)
∂t
where
Aϕ = −(aij ( z, r )φ1 j ), (3)

6
and functions aij(z, r) satisfy conditions:
aij ( z, r ) ∈ L∞ (Ω ), aij ( z, r ) = a ji ( z, r ) ∀i , j ;
aij ( z, r )ξiξ j ≥ αξiξi , α > 0, ∀ξi ∈ R.
Let moreover, the initial pressure (Altynbekov
2010) is given in the form
p( z, r,τ 1 ) = p0 ( z, r ) =
∞  µ   µ
= q1 + ∑ Di (τ 1 )V0  i r ⋅ ch  i
i =1  Kr   Kz
The presence and type of control action depends
on the boundary conditions (Altynbekov and oth-
ers 2010).
The deformation of the inhomogeneous earth
mass strongly depends on the type of bound-
ary conditions. In boundary conditions when on
borders of the massif of the earth environment
there is a free liquid exchange with environment,
subsidence of heterogeneous soil bases at the ini-
tial moments of time is more, than at homogene-
ous, and over time it becomes much less (in, 1–5
times), depending on their physical and mechanical
properties.
In the case of boundary conditions, when the
steam liquid is freely removed from the lateral sur-
faces of the earth’s rock mass, and at its lower and
upper boundaries there is a free water exchange
with the environment, at the initial moments of
time the reverse process of compaction occurs –
the swelling of the reservoir, which eventually fades
and can lead to a small precipitation.
Based on the above, we conclude that artificially
creating boundary conditions can control the proc-
ess of subsidence of the oil reservoir.
2.2 Pressure control inside the area
The essence of the control is that the pressure
p (z,r,t) in the region Ω does not decrease with time
(for example, with the introduction of the fluid
flow qb in Ω). The amount of liquid q entering the
oil reservoir from the peripheral region of the res-
ervoir in the control state should be approximately
equal to the number selected from the oil depos-
its q1, i.e. qb ≈ q1. Then the task of controlling the
process of sedimentation of oil reservoirs can be
reduced to the following form
∂p  ∂2p  ∂ 2 p 1 ∂p  
= Cv ( z )  K z 2 + K r  2 + 
∂t  ∂z  ∂r r ∂r  
+ Φ ( z, r,t ),
p ( z, r,t ) = p0 ( z, r ) at t = τ 1,
p( z, r,t ) = æ(t ) p0 ( z, r ) at τ 1 < t < ∞ , (8)
p( z, r0 ,t ) = q1, p( z, R,t ) = q2 , (9)
(4) ∂p ∂p
= 0, = 0, (10)
∂z z=h ∂z z =0
where Cv(z) and Φ(z, r, t) are known functions.
In this problem, the function (pressure) p(z,r,t)
and the function æ (t) belong to the definition. The æ
 (t) function in the considered time interval is continu-
(5)
z ous, positive and bounded from below and above. We
 are interested in the values of this function that lie
inside polysegment ]0,1], i.e., 0 < æ (t) ≤ 1.
To solve the problem (6) – (10) first define a
function of pressure p(z, r, t), satisfying the equa-
tion (6), the initial condition (7) and the boundary
conditions (9) and (10). Then, satisfying the condi-
tion (8), we find the function æ (t):
(11)
Here D1ij, D2ij, D3ij, D4ij, D5ij and D6ij, -known
coefficients determined in the course of solving the
problem, and λij – positive roots of the equation
composed of a combination of Bessel function of
the first and second kind.
Note that the function of the form (11) in the con-
sidered problem is a control function. Indeed, the
control of the pressure inside the region Ω, the con-
trol of the process of subsidence of the oil reservoir
and the earth’s surface in the territory of oil-produc-
ing complexes, ultimately, can be carried out only
with the help of the function æ (t), the introduction
of the qb in Ω fluid flow, controlled by a semiper-
meable partition or some servo-mechanism, accord-
ing to the rule (h – field of specified pressures):
and
where k (positive scalar) is the measure of the con-
ductivity wall.
when t → ∞ from (11) we have
(6)
(7)
7
 V0(r) – the function consists of a combination of
and where æ∞ = 1 at the Bessel function of the first and second kind;
The mechanical meaning of this number means: µi – positive roots of the equation consisting of a
the final pressure in the pore fluid is equal to the combination of these functions satisfying the cor-
initial pressure; the subsidence of the oil reservoir responding conditions (9).
and the earth’s surface is almost zero. It is easy to notice, from (12) and (13) when æ (t)
> 1 there is a negative phenomenon—swelling of
the oil reservoir, which is undesirable in practice.
2.3 Management of the process of oil And for æ(t) → ∞ (i.e. for q2 → ∞) a catastrophic
reservoir subsidence phenomenon can be expected. The swelling force
of the oil reservoir is such that even it can destroy
Management of the process of oil reservoir subsid- the earth’s surface on the territory of oil-produc-
ence, caused by the load q(t, r): ing complexes.

q0
q ( r, t ) = (R − β q r )( Aq − Bq e− α qt ), 2.4 Control of the process of subsidence of the
R earth’s surface
0 < β q ≤ 1, β q r ≤ R, 0 < Aq ≤ 1,
Bq ≤ Aq , α q > 0, r0 ≤ r ≤ R, This control is based on the control function æ (t)
on two equations
can be done with the help of function æ(t) on the
formula 1 d2  d 2y 
2 
EJ (r ) 2  = q(r ) − p(r ) (14)
2(1 − µ0 ) r0 dr 
2
dr 
3a0 (α 1 + α 2 )
s ( r, t ) = (1− æ (t )) × R0
(1+ ε 0 )(1+ 2ξ0 ) s(r ) = C ∫ p(η )e − m |r −η |dη, (15)
h
 q0 ( Aq − Bq e− α qt )
× ∫ eα5 z  q1 +
r0
(12)
0  R
 the law of distribution of reactive pressure p(r) sat-
∞  µi   µi 
⋅ ∑ B1i V0  r  ⋅ ch  z  dz isfying two basic conditions:
i=1  Kr   Kz  
− deflections of the strip throughout its sole
should coincide with the subsidence of the oil
Hence when t → ∞ reservoir surface, i.e.

3a0 (α 1 + α 2 )
s∞ ( r ) = × (1–æ∞ )× y( r ) = s ( r ) (16)
(1 + ε 0 )(1 + 2ξ 0 )
 q0 Aq  µi   µi  
h ∞

∫ eα 5 z  q1 + ⋅ ∑ B1i V0  r  ⋅ ch  z   dz,
0  R i=1  Kr   Kz   − reactive pressure and external load must meet
equilibrium conditions:
(13)
R0
and when the oil reservoir subsid-
ence is equal to zero, i.e. s∞ (r ) = 0, since in this ∑Y = ∫ p(η )dη = Y ; 0 (17)
r0
case æ∞ = 1.
Here q0 – the mass of rocks located above the R0

oil reservoir; R – the radius of the existing well; M= ∫ η p(η )dη = M , 0 (18)
r0 – the radius of the well; Aq, Bq, βq and αq – experi- r0

mental data depend on the chemical composition,

physical and mechanical properties, as well as the
VAT of rocks located above the layers of the res-
ervoir. For example, for incoherent or clay-current
environments, the values of Aq, Bq and αq are equal:
Aq ≈ 1, βq ≈ 0, αq ≈ ∞; a0 and ξ0 – odds instant com-
pression and lateral pressure; ε0 is the initial poros-
ity; α1, α2 and α5 – parameters of heterogeneity;
h – thickness of the layer; Kr and KZ and the filter
coefficients; B1i – a well – known coefficients are
determined in the process of solving the problem;
where (15) and (16) defined by one of the formulas
(12) and (13); Y0 and M0 are the amount of verti-
cal-forces and the sum of the moments of all exter-
nal loads with respect to the initial section in bands.
Further, by attaching to those which are given
in (14) – (18) a system of linear algebraic equa-
tions a0 f0 k + a1 f1k + … + an − 2 fn − 2,0 = y0 k + Φ k , k =
0, 1, 2, …, n – 2, and solving it, we define neces-
sary parameters of process control of subsidence
the earth’s surface.

8
3 RESULTS
A program has been developed to predict the sub-
sidence of the oil reservoir and the earth’s surface
on the territory of the oil-producing complex.
Preliminary calculations on the PC are carried
out. The calculation uses the same initial data
as in (Altynbekov, 2010) Calculations showed a
decrease of the subsidence of an oil formation and
the earth’s surface by 50–70% in comparison with
given in (Altynbekov, 2010).
4 CONCLUSIONS
The proposed approach and control function can
reduce the subsidence of the oil reservoir and the
earth’s surface, which affects the solution of spe-
cial tasks for the use of cost-effective and construc-
tive solutions in accordance with a certain cost
function.
REFERENCES
Altynbekov S., Djamanbayeva M.A., Bikbulatova S.
Effect of boundary conditions on the precipitation
patterns of soil bases/Proc. int report. Conf. on differ-
ential equations and dynamical systems. -M.: MIAN,
2010.
Altynbekov Sh. Forecast of oil reservoir precipitation
and land surface subsidence caused by oil pumping
from the reservoir//Proc. Vseros. Conf., posv. 80th
anniversary of academician E. I. Shemyakin “geody-
namics and stress state of the earth’s interior”. Nov-
osibirsk, 2010.
9
Bellman, R., I. Glickeberg. O.A. Gross. Some questions
of the mathematical theory of control processes. IL,
M., 1962.
Boltyansky. V.G., Mathematical methods of optimal con-
trol, publishing house “Science”, M., 1969.
Butkovsky. A.G. The theory of optimal control of sys-
tems with distributed parameters, publishing house
“Science”, M., 1965.
Hestenes. M.R., Calculus of variations and optimal con-
trol theory. – Wiley, 1966.
Lattes, R. J.L. Lions. Methode de quasi-reversibilite et
applications. Dunod, Paris 1967.
Leray. J. Etude de diverses equations integrales
non lineaires et de quelques problemes que pose
I’hydrodynamique, J.Math. Pures et Appl., 12 (1933),
1–82.
Lions. J.L. Optimal control of systems described by par-
tial differential equations. M.: Mir, 1972.
Lions. J.L., E. Magenes. Problems aux limites non homo-
genes et applications, v.1,2,3, Paris, 1968.
Plekhanova. M.V. Optimal Control for Quasilinear
Degenerate Distributed Systems of Higher Order.
Journal of Mathematical Sciences. New York, 2016.
Polak. E. Computational methods in optimization. A
Unified Approach. Department of Electrical Engi-
neering and Computer Sciences University of Califor-
nia. Berkeley, California. Academic Press. New York.
London 1971.
Pontryagin, L.S., V.G. Boltyanskii, R.V. Gamkrelidze,
E.F. Mishchenko. The mathematical theory of opti-
mal processes. – M.: Science, 1969.
Tikhonov. A.N. On regularization methods for optimal
control problems, DAN SSSR, 162 (1965) 763–765.
Wang. P.K.C. Control of distributed parameter systems,
«Advances in control systems. Theory and
applications», ed. By C.T. Leondes, v. 1, Acad. Press,
New York-London, 1964, 75–172.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Surcharge preloading as a method for engineering reservoir

foundations in silty soils

A.A. Ananyev
Saint-Petersburg State University of Architecture and Civil Engineering, Saint-Petersburg, Russia

ABSTRACT: When a construction site is, geologically, composed of thick layers of soft, water-satu-
rated, clayey soil, piled foundations are economically unviable and surcharge preloading is used as soil
consolidation method. With general intention to introduce surcharge preloading into the practice of con-
struction engineering, in this study the author aims to determine the dimensions of the surcharge fill;
and the time needed for the silty soils that comprise the foundation of the reservoir to be consolidated, to
reach the required degree of consolidation. The results of the geological engineering survey are presented
in the article. Description is given of the water reservoir design. Rationale is provided of the foundation
deformation design diagram. The fill settlement monitoring results are presented, as well as calculation of
the silt consolidation coefficient. Calculations were carried out of strength, deformation, and consolida-
tion of the foundation, based on soil engineering theories and building regulations. It was found expedient
in the soil conditions under analysis to apply the surcharge load to the foundation for it to yield to the
maximum allowed level. The dimensions of the surcharge fill were calculated, as well as the time needed
for the settlement to reach the target level. This article is recommended for use by design engineers as ref-
erence materials for foundation calculation or road bed design, as well as by students as a study aid.

1 INTRODUCTION parameters of fill and reservoir foundation; and

surcharge fill design development.
The mechanical and physical properties of silts
include high porosity and water saturation, low
strength, high plasticity, low permeability, lengthy 2 GEOTECHNICAL SURVEY RESULTS
consolidation, and thixotropy (Neizvestnov et al.
2004). In general practice, the foundations com- Geologically, the site for the projected water sup-
posed of or including silts may not be used as ply line is represented, within the drilling depth of
natural foundations of buildings or structures, as 19–20 m, by superimposed layers of quaternary
their estimated deformation appears to be higher deposits. A total of three engineering geological
than the ultimate one or their bearing capacity is elements (EGE) have been identified. The surface
too low. Where silty soils are thick, the use of piled
foundations for structures that convey only minor
downward forces into foundations – low-rise build-
ings, airfield or road paving, etc. – appears techni-
cally and economically unviable. In this case, more
expedient is fill surcharge preloading (Ilyichev
et al. 2016, Stroganov 1985).
In this regard, the author aims to provide a
rationale for the use of surcharge preloading as
a method of preconstruction consolidation of
a water reservoir foundation. The analysis aims
to determine the height and dimensions of the
surcharge fill, and the time needed for the silty
foundation to consolidate and reach the required
settlement. The methods of the analysis included Figure 1. Lithological column and reservoir foundation
surveying of building regulations and reference design diagram: 1 − water-saturated, medium-density
literature; geotechnical survey; monitoring of sandy silt (EGE 1); 2 − mineral loamy silt (EGE 2); 3 −
the foundation settlement; calculations of the fine, water-saturated, medium-density sands (EGE 3).

10
Table 1. Mechanical and physical properties of soil.
Soil parameter Sand Silt
γ − specific weight, kN/m3 16.4 14.1
e − porosity factor, unit fraction 0.76 2.5
ϕ − internal friction angle, degree 22 6
c − specific cohesion, kPa 2 11
E − modulus of deformation, MPa 10 0.6
ν − Poisson’s ratio, unit fraction 0.23 0.4
k − filtration coefficient, m/day 3.5 0.01
layer is water-saturated, medium-density sandy silt
(EGE 1). This layer has a thickness of 7 ÷ 8.5 m.
The sandy silt is underlain by 7.5 ÷ 9.5 m thick
layer of mineral loamy silt (EGE 2), which, in turn,
is underlain by fine, water-saturated, medium-den-
sity sands (EGE 3). Their penetrated thickness is
3 m. Groundwater occurs in the sandy silt (EGE 1)
at the depth of 0.4 ÷ 1.5 m from the surface of the
natural terrain (Fig. 1).
The mechanical and physical properties of the
soil under analysis (EGE 1, EGE 2) are shown in
Table 1 (Ivanov et al. 2015).
3 RESERVOIR DESIGN
The 10.000 m3 water storage reservoir is designed
to form part of a potable water supply system. It is
a rectangular, composite, ferro-concrete tank with
dimensions l × b × h = 60 × 36 × 4.8 m to be embed-
ded in soil to depth d = 1.7 m (Fig. 1) and designed
for a 2 m groundwater dam.
4 RATIONALE FOR THE FOUNDATION
SOIL SETTLEMENT CALCULATION
The building codes for large-scale construction
projects prescribe that the settlement of founda-
tions be calculated with the use of linearly elastic
half-space design model with conventional height of
compressible strata Hc (Code 22.13330.2016 “Con-
struction Norms and Regulations 2.02.01–83* Foun-
dations of Buildings and Structures”). This model
is commonly used in engineering practice as it is
simple, allows the use of mathematical tools of elas-
ticity theory, is standardized and therefore requires
no additional verification. The validity limit of this
model is defined as the limitation of superload,
within the compressible strata, by estimated soil
resistance R. With regard to estimating settlements
of road embankments, the pressure must not exceed
safe load psec (Kazarnovsky et al. 2004).
The current methods for predicting consolida-
tion of clayey soils in conditions of very slow-rate
11
water filtration, rely on the theory of filtration
consolidation, first proposed by K. Terzaghi in
1924 and improved by Russian scientists N.M.
Gersevanov and V.A. Florin, among others. In its
simplest version, the theory describes deformation
of a completely water-saturated soil, i.e. soil mass.
In many cases, variation of stressed-deformed
state in time can be analyzed within the framework
of one-dimensional problem of filtration consoli-
dation in soil layer.
The compressible strata of the foundation of
the reservoir comprises two engineering-geological
elements. The bearing layer is water-saturated,
medium-density sandy silt (EGE 1). Under the cen-
tral part of the footing of the reservoir, its layer has
height h1 = 6.3 m. EGE 1 is underlain by silt with
layer height h2 = 8.5 m (EGE 2). Let us not take into
account the compressibility of sand (EGE 3) with
layer height h3 = 3 m, because the sand has a modu-
lus of deformation which is 10 times higher than
that of silt. The lower boundary of the compressible
strata of the foundation is set at Hc = 14.8 m (Fig. 1).
Since the footing of the reservoir has breadth
b = 36 > 10 m and the ratio Hc/b = 14,8/36 = 0,41 < 1,
the variation of stressed-deformed state of soil dur-
ing filtration consolidation can be analyzed within
the framework of one-dimensional problem.
Let us determine other mechanical and physical
properties of the soil required for further calcula-
tions. In the compressible strata, all pores are filled
with water. The specific weight of sand γ1sb and silt
γsb2 is calculated with account of the suspension
action of water as follows:
γ s1 − γ w 26 − 10
γ sb1 = = = 9,1 kN / m 3 (1)
1+ e1 1+ 0, 76
γ s 2 − γ w 24 − 10
γ sb 2 = = = 4, kN / m 3 (2)
1+ e2 1+ 2, 5
where γs1 = 26 kN/m3 is specific weight of sandy
soil particles p.2.180 (Sorochan et al. 1986); γs2 =
24 kN/m3 is specific weight of loamy silt particles
(Ananyev et al. 2014); γw = 10 kN/m3 is specific
weight of water. Coefficients β1 and β2 which takes
into account the absence of transverse extension
under compression, will be calculated as follows:
2ν12 2 ⋅ 0, 232
β1 = 1 − = 1− = 0, 863 ; (3)
1 − ν1 1 − 0, 23
2ν 2 2 2 ⋅ 0, 4 2
β2 = 1 − = 1− = 0, 467, (4)
1 − ν2 1 − 0, 4
where ν1 = 0.23 and ν2 = 0.4 are transverse defor-
mation coefficients of sand and silt, respectively,
found based on the survey data.
5 CALCULATION OF FINAL
SETTLEMENT OF RESERVOIR
FOUNDATION
5.1 Monitoring of foundation footing dimensions
The calculation orients to the underlaying layer of
silt, as the bearing layer of sand has higher strength.
The formula and coefficients used in the calcula-
tion are from Building Code 22.13330.2016.
The mean pressure across the footing of the res-
ervoir of breadth b = 36 m during the operating
period is p = σzp0 = 69 kPa (Fig. 1). The vertical
intensity σzp1 in soil at depth z1 = 6.3 m from the
footing of the reservoir, which presses on the sur-
face of the silt layer, equals:
σ zp1 = α 1 p = 0, 9775 ⋅ 69 = 67 kPa
where α1 = 0,9775 is coefficient from Table 5.8
dependent on relative depth ζ = 2z1/b = 2⋅6,3/36 =
0.35 and height-to-width ratio η = l/b = 60/36 =
1.67. Vertical dead stresses of soil σzg0 and σzg1
equal: at foundation footing d = 1.7 m
σ zg 0 = γ ′ d = 11, 3⋅ 1, 7 = 19 kPa
at depth z1 = 6.3 m from the footing of the reservoir
σ zg1 = σ zg 0 + γ 1sb h1 = 19 + 9,1⋅ 6, 3 = 76 kPa
where γ ′ = (γ1 ⋅ 0.5 + γ1sb ⋅ 1.2)/d = (16.4 ⋅ 0.5 + 9.1
⋅ 1.2)/1.7 = 11.3 kN/m3 is mean specific weight of
the sand (dry and water-saturated) above the foot-
ing of the reservoir; and γ1sb = 9.1 kN/m3 is specific
weight of sand calculated with account of suspen-
sion action of water. The design dimensions of the
reservoir are lk × bk = 62 × 38 m. Let us calculate the
dead stress of the soil excavated from the reservoir
at z1 = 6.3 m using the formula:
σ zγ 1 = α 1σ zγ 0 = 0, 9783⋅ 19 = 18 kPa
where α1 = 0.9783 is the coefficient from Table 5.8
depending on relative depth ζ = 2z1/bk = 2⋅6.3/38 =
0.33 and height-to-width ratio η = lk/bk = 62/38 =
1.63.
The design strength Rz of silt will be calculated
for conventional foundation with breadth b =36 m
at depth dz = d + z1 = 1,7 + 6,3 = 8 m (Fig. 1) using
formula (5.7)
γ c1γ c 2
Rz =
k
(M k bγ
γ z z 2 sb
+ M q d zγ ′1 + M c c2 =
( 0,1⋅ 0, 42 ⋅ 36, 5 ⋅ 4 + 1,339 ⋅ 8 ⋅ 9, 6 + 3, 71⋅ 11) = 154 kPa
where γc1 = γc2 = 1 are operating conditions coef-
ficients from Table 5.4 for liquidity index IL > 0.5
and flexible structure design; k = 1 is coefficient
used because the strength characteristics of soil are
survey-based; kz = z0/b + 0.2 = 8/36.5+ 0.2 = 0.42 is
coefficient used because b > 10 m; γ2sb = 4 kN/m3 is
specific weight of silt with account of suspension
action of water; γ ′ = (γ1⋅0.5 + γ1sb⋅7.5)/dz = (16.4⋅0.5 +
9.1⋅7.5)/8 = 9.6 kN/m3 is mean specific weight of
the sand above the footing of the conventional
reservoir; Mγ = 0.1; Mq = 1.39; Mc = 3.71 are the
coefficients from Table 5.5 depending on internal
friction angle of silt ϕ2 = 6°; c2 = 11 kPa is specific
cohesion of silt (Table 1).
Let us compare the actual load σz on the surface
layer of silt with Rz
(5)
( )
σ z = σ zp1 − σ zγ 1 + σ zg1 = ( 67 − 18 ) + 76 =
(10)
125 < 154 kPa
which means that the condition is satisfied and
that the footing of the foundation slab has suf-
ficient dimensions. The linearly elastic half-space
design model is suitable for calculating the settle-
(6) ment of the foundation of the reservoir.
5.2 Calculation of final settlement of foundation
(7) Let us calculate the settlement using the layerwise
summation method. Height h1 = 6.3 m and h2 =
8.5 m of the estimated soil layers that comprise
the compressible strata. do not exceed 0.4b =
0.4⋅36 = 14.4 m. Loads σzp2 = 59 kPa. σzg2 =
110 kPa and σzγ2 = 16 kPa at z2 = 14.8 m at com-
pressible strata height Hc (Fig. 1) are calculated
on analogy with 5.1.
Let us calculate the average stabilized settlement
under the center of the reservoir according to for-
mula (5.16).
(8)
s = β
( )
 σ zp1 − σ zγ 1 h1
+
( )
σ zp 2 − σ zγ 2 h2 
 =
 E1 E2 
 ( 68 − 18, 5 ) 6, 3 ( 63 − 17 ) 8,5  (11)
0, 8  +  =
 10000 600 
0,02 + 0,52 = 0,54 M,
where β = 0.8 is coefficient; σzp1 = 68 and σzp2 =
63 kPa; σzγ1 = 18.5 and σzγ2 = 17 kPa are average
stresses in estimated layers of sand h1 = 6.3 m and
silt h2 = 8.5 m; E1 = 10,000 kPa and E2 = 600 kPa
1⋅ 1 are survey-based moduli of deformation of sand
)
1
(EGE 1) and silt (EGE 2), respectively, (Table 1).
According to Table D.1 of Building Code
22.13330.2016, the average ultimate settlement
(9) of buildings and structures prone to differential
12
settlement is limited to 10 cm. The calculated set-
tlement of the foundation of the reservoir exceeds
the one prescribed by the Building Code more than
five times. It is therefore inexpedient to lay the res-
ervoir foundation slab without prior improvement
of silt layer. The soil is too soft to install a piled
foundation in it. In the given soil conditions, it is
expedient to reduce the settlement of foundation
to the maximum allowed level of 10 cm by way
of consolidating the foundation using surcharge
preloading.
5.3 Prediction of consolidation in silt layer
To predict the time needed for silt to consolidate,
one should calculate consolidation coefficient cv,
the core soil parameter. For silt, it will be calcu-
lated according to formula (6.35) (Dalmatov et al.
2006):
k2 1⋅ 10−2
cv 2 = = = 1, 25 m 2 / day, (12)
mv 2 ⋅ γ w 8⋅ 10−4 ⋅ 10
where mv2 = β2/E2 = 0,467/600 = 8⋅10−4 kPa−1 is rela-
tive soil compressibility coefficient; k2 = 0.01 m/day
and E2 = 600 kPa are survey-based filtration coef-
ficient and modulus of deformation of silt, respec-
tively; β2 = 0/467 is coefficient of absence of lateral
expansion of soil, found in Section 4.
Assuming that water will be squeezed out from
silt upwards and downwards (double-sided filtra-
tion) into sand, the consolidation time is found
using formula (6.36):
h22 ⋅ N 8, 52 ⋅ 2, 8
t= = = 16, 4 days, (13)
π 2 ⋅ cv 2 3,14 2 ⋅ 1, 25
where N = 2.8 is coefficient from Table 6.14 for
cases of single-axis consolidation by continuous
load (case 0) at the degree of soil consolidation of
U0 = 0.95.
Practice shows that the silt occurring in reser-
voir foundations takes years to consolidate (Ave-
lev 1983). For this reason, the decision was taken
to preload the foundation with surcharge and to
determine the consolidation coefficient by way of
monitoring the consolidation process in time.
6 DETERMINATION OF SILT
CONSOLIDATION COEFFICIENT
The surcharge fill of he1 = 4 m was being laid in
layers of local sand during two months until it
reached compaction coefficient kcom = 0.95. With
the specific weight of soil γe = 16 kN/m3, the pres-
sure under the footing of the fill pe1 = γehe1 = 16⋅4 =
13
64 kPa roughly equaled the operating load of the
reservoir. To monitor the process of compaction
of the foundation as it was being preloaded, set-
tlement points were put on the central part and
the sides of the surcharge fill. The settlement of
foundation was monitored during and after the
erection of the fill. The maximum settlement st1
= 25 cm was registered, according to the central
point, after t1 = 175 days = 6 months (Fig. 2).
The obtained data was used for calculating the
consolidation coefficient based on the following
principle: the pressure for the final settlement of
the foundation of the fill is pe1 = 64 kPa.
 βh β h 
s∞ 1 = pe1  1 1 + 2 2  =
 E1 E2 
 0, 863⋅ 8 0, 467 ⋅ 8, 5 
64  +  = (14)
 10000 600 
0, 044 + 0, 422 = 0, 466 M = 47 cm,
where h1 = 8 m, h2 = 8,5 m are thicknesses of sand
and silt, respectively; β1 and β2 are the same as in
(3) and (4); E1 and E2 − are the same as in (11).
The degree of consolidation will be calculated
as follows:
st1 25
U 0= = = 0, 532. (15)
s∞1 47
Limiting the calculation to one term of the dif-
ferential equation of one-dimensional problem of
soil consolidation
θ0 = 1 − 8 π 2 ⋅e−N , (16)
let us determine N parameter using formula:
e−N =
(1 − U 0 )π 2 = (1 − 0,532) 3,142 = 0,577, (17)
8 8
then N = 0.550.
Given that the boundary surfaces of the silt
layer are draining, let us use the following formula:
Figure 2. Increase in the settlement of the preloaded
foundation with time: 1 – fill height he1 = 4 m (pe1 = 64 kPa;
γe =16 kN/m3); 2 – fill height he2 = 6 m (pe2 = 94 kPa).
 π 2cvt
N= , (18)
h22

to determine the consolidation coefficient:

h2 2 ⋅ N 8, 52 ⋅ 0, 550
cv = = = 0, 023 m 2 / day, (19)
π2⋅t 3,14 2 ⋅ 175

Comparing the consolidation coefficient calcu-

lated using formula (12) and (19), it is evident that
one exceeds the other by two orders of magnitude.

7 DETERMINATION OF SURCHARGE
FILL DIMENSIONS AND FOUNDATION
CONSOLIDATION TIME Figure 4. Calculation diagram: Final settlement of the
foundation of the 6 m high fill.
As a result of the benchmarking of the consolida-
tions achieved by foundations of 4 m, 5 m and 6 m Let us analyze the soft underlying layer for strength
high fills, the fill with he2 = 6 was selected as the using the formulas and coefficients given in (Kazar-
most optimal to ensure adequate surcharge. novsky et al. 2004).
In accordance with sec.17.2.2 (Building Code Safe load will be calculated as follows:
45.13330.2012 “Construction Norms and Regula-
tions 3.02.01–87 Earthwork Structures and Foun-  ( C + γ sb1 ⋅ z1 ⋅ tgφ2 ) 
psec =  2  =
dations”), the top width of the fill had to 2 m wider  β  min
than the dimensions of the reservoir le × be = 64 ×
 ( 11+ 9,1⋅ 8⋅ tg6° ) 
40 m; slope angle 1:2,5; steepness of slope a = 6⋅2,5 =   = (20)
15 m. Then, the bottom dimensions of the fill are  0,195  min
let × bet = 94 × 70 m. A 0.5 m thick drainage layer  ( 11+ 9,1⋅ 8⋅ 0,1051) 
needs to be laid under the fill.   = 96 kPa
 0,195  min
Figure 3 shows the layout and longitudinal pro-
file of the surcharge fill. The design load on the
foundation is pe2 = γehe2 = 16⋅6 = 96 kPa (Fig. 4). where c2 = 11 kPa and ϕ2 = 6° are strength para-
termers of silt; γ1sb = 9.1 kN/m3 is specific weight
of silt with account of suspension action of water;
z1 = 8 m is the depth of the silt payer from the earth
surface; and β = 0.195 is safe load coefficient deter-
mined based on the graphs in Appendix 4, repre-
sented as a function of parameters β = ƒ(ϕ2 = 6°;
a/b = 15/40 = 0.375; 2z1/be = 2⋅8/70 = 0.23), using
linear interpolation method.
Let us calculate the stability coefficient of the
silt layer as follows:

psec 96
kst = = = 1, (21)
pe 2 96

which means that the condition of stability is

Figure 3. Surcharge fill dimensions diagram: a – fill lay-
out; b – longitudinal profile.
satisfied. It is clear from the comparison of Rz =
154 kPa and psec + γ1sb h1 = 96 + 9,1⋅8 = 169 kPa that
their values are close.
Let us calculate the final settlement of the foun-
dation at load pe2 = 96 kPa using formula (14). It
equals s2∞ = 70 cm.
The prediction of the compaction of the foun-
dation under the fill uses consolidation coeffi-
cient cv = 0.023 m2/day. Points of time ti and their

14
correspondent settlements sti will be calculated as
follows:
h22 ⋅ Ni 8, 52 ⋅ Ni
ti = = = 319 ⋅Ni . (22)
π ⋅ cv 3,14 2 ⋅ 0, 023
2
sti = U 0 i s∞ 2 , (23)
where Ni = 0,02; 0,08; 0,17; 0,31; 0,49; 0,71; 1,0;
1,4; 2,09; 2,8 are coefficients from Table 6.14
(Dalmatov et al. 2006) at soil consolidation degree
U0i = 0,1; 0,2; 0,3; 0,4; 0,5; 0,6; 0,7; 0,8; 0,9; 0,95,
respectively.
In Figure 2, the results are shown in graphical
form. Considering the estimated settlement s =
54 cm and the ultimate settlement su = 10 cm of
the foundation, it is necessary that the surcharge
preloading to be performed prior to the construc-
tion of the reservoir, targets the settlement of
44 cm. As follows from Diagram 1, the settlement
achieved by the trial fill over a 6-months’ time was
st1 = 25 cm. As can be seen from Diagram 2, for
the foundation to achieve the remaining 19 cm, it
needs to be preloaded with 6 m high fill and be left
to compact for another 6 months. The total con-
solidation time will in this case will be 1 year. Once
completed, the filled-up ground could be used as a
material for site area planning.
8 CONCLUSION
The geological structure of the foundation of the
reservoir contains a layer of silt which accounts for
more than a half of the compressible strata. The
calculated settlement of the reservoir foundation
exceeds the allowed average ultimate settlement,
prescribed by the building codes, more than five
times. In the given soil conditions, it is expedient
to improve the layer of silt by way of fill surcharge
15
preloading. Our prediction of the compaction of
the foundation in time relied on the theory of fil-
tration consolidation of soils. The consolidation
coefficient was determined for silt based on the
field monitoring of the settlement of surcharge
fill. Based on the calculation results and the work
method, the dimensions of the surcharge fill
(Fig. 3) were determined, as well as the time needed
for the foundation to reach the target settlement,
which totaled one year.
REFERENCES
Abelev, M.Y. 1983. Erecting Industrial and Civil Projects
on Loose, Water-Saturated Soils. M.: Stroyizdat.
Ananyev, V.A. et al. 2014. Prediction of the Settlement
of Subsea Production Unit in the Pacific Ocean. Pro-
ceedings of the International Geoengineering Confer-
ence “Current Geoengineering Technologies: R&D”.
Vol. 1. SPb:SPbGASU. pp. 527–536.
Dalmatov, B.I. et al. 2006. Designing Foundations and
Underground Spaces. M: ACB.
Ilyichev, V.A., Mangushev, R.A. et al. 2016. Guidebook
of Geoengineering. Foundations and Underground
Spaces. M.: ACB.
Ivanov, V.A. et al. 2015. Engineering Survey of Zele-
nogorsk-Reshetnikovo Water Pipeline. Technical
Report. SPb.: Contour Ltd.
Kazarnovsky, V.D. et al. 2004. Guidebook: Designing
Road Beds on Loose Soils. M.: RosAvtodor.
Neizvestnov, Y.V. et al. 2004. The Engineering Geology
of Ore Mining Province Clarion-Clipperton in the
Pacific Ocean. In Proceedings of RAS and RF Minis-
try of Natural Resources’ Research Institute of Ocea-
nology. Vol. SPb.: Nauka.
Sorochan, E.A. et al. 1986. Guidebook on Designing the
Foundations of Buildings and Structures (to Code
2.02.01–83). N.M. Gersevanov Research and Design
Institute. M.: Stroyizdat.
Stroganov, A.S. et al. 1985. Recommendations on Pre-Con-
struction Preloading Reinforcement of Loose Water-
Saturated Soils by Using Geodrains. N.M. Gersevanov
Research and Design Institute. M.: Stroyizdat.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Correlation between wave analysis data and data of plate load

tests in various soils

V.V. Antipov & V.G. Ofrikhter

Perm National Research Polytechnic University, Perm, Russia

ABSTRACT: To perform a quick preliminary geotechnical survey, modern non-destructive methods

can be used. One of those is the Multi-Channel Analysis of Surface Waves (MASW) allowing construct-
ing a wave section for distribution of shear-wave velocities in the layering studied within a short time and
with minimum costs. Based on the obtained velocities, the initial shear modulus at small deformations can
be estimated. However, to assess deformation characteristics of soils, deformation moduli are required,
and a direct method to determine those in the field is plate load testing. That is why the purpose of the
study is to determine a correlation dependence between the deformation modulus obtained from plate
load tests and the shear modulus determined based on wave analysis data using the MASW method. The
tests were conducted for various types of dispersive and semi-rocky soils at five sites of Perm Krai, Russia.
A dependence between results of the plate load tests and results of the wave analysis using the MASW
method was established. The dependence allows determining the deformation modulus of soil and con-
ducting a geotechnical survey of a foundation base within a short time.

1 INTRODUCTION procedure to determine the modulus of base soil

To determine the base deformation modulus in
engineering and geological surveys, traditional plate
load tests are used. The deformation modulus corre-
sponds to the straight-line portion of the settlement
curve obtained from plate load tests performed
according to State Standard GOST 20276-2012
“Soils. Field methods for determining the strength
and strain characteristics”, which is represented
by the fourth point of the curve starting from the
point of the assumed initial pressure. The obtained
deformation modulus is used to design foundations
for future buildings and structures according to the
second group of limit states under Regulations SP
22.13330.2016 “Soil Bases of Buildings and Struc-
tures”. However, plate load tests can take time,
especially in case of clay soils. That is why if it is
required to quickly perform a preliminary geotech-
nical survey of a future base, plate load tests can
be time- and labor-consuming. To reduce time and
labor expenditures for such survey, non-destructive
wave methods (in particular, the multi-channel
analysis of surface waves (MASW)) can be used.
MASW allows estimating the shear-wave velocity
in a layered soil mass. The initial shear modulus
at small deformations can be derived through the
obtained velocities based on known dependences.
Plate load tests are clearly regulated in Russia
by State Standard GOST 20276–2012 “Soils. Field
methods for determining the strength and strain
characteristics”. The standard describes in detail a
deformation. As for the wave analysis method, it is
not clearly defined in any Russian document. Wave
analysis is mentioned in Regulations SP 11-105-
97 “Engineering geological site investigations for
construction. Part VI. Regulations for geophysical
surveys” as a seismic or seismic-acoustic method
to determine soil characteristics. The document
describes several dependences to determine the
deformation modulus based on wave analysis data
that can require additional verification. MASW
was first presented in a paper by Park et al. (1999)
and continues to be developed by various research-
ers (Foti 2000, Li et al. 2018, Louie 2001, Madun
et al. 2016, Park & Carnevale 2010, Park & Miller
2008, Pegah & Liu 2016, Ryden & Park 2006,
Suto 2007, Xia et al. 1999). The authors of the
present paper also conducted several full-scale and
numerical experiments to determine the possibility
of applying wave analysis for geotechnical calcu-
lations (Antipov et al. 2016, 2017). Dependences
mentioned in literature allow determining soil
characteristics based on wave analysis data for the
elastic zone only (Robertson 2009, Verruijt 2008).
The compression zone where changes in deforma-
tions are considered to occur under the linear law,
in particular to determine the deformation modu-
lus, requires additional research.
The purpose of this study is to verify the corre-
lation between the deformation modulus obtained
from plate load tests and the initial shear modulus
determined based on MASW data.

16
2 METHOD according to Appendix C of Regulations SP
23.13330.2011 “Foundations of hydraulic struc-
2.1 Plate load tests using circular plates tures”; for silty clay soils, n = 0.15–0.3; for sandy
soils, n = 0.25–0.5.
Plate load tests are regulated by State Standard
GOST 20276-2012. The plate load test method
is used to determine the deformation modulus E 2.2 Multi-channel analysis of surface waves
of mineral, organo-mineral and organic soils. Soil
MASW is based on registration of Rayleigh sur-
tests are performed using a standard rigid circular
face waves from various sources and a subsequent
plate (600 cm2, 1,000 cm2, 2,500 cm2, or 5,000 cm2)
analysis of travel-time curves to determine veloci-
through which a vertical load is applied. Using the
ties of transverse (shear) (Vs) waves for a layered
obtained dependences between the plate settle-
soil model. The obtained velocities are presented
ment and the load, it is possible to calculate the
as a velocity distribution profile (1D, 2D or 3D) for
deformation modulus according to equation (1):
transverse waves in the low velocity layer (LVL) of
∆P the upper part of the section (UPS). MASW can
E = (1 − ν 2 ) K p K1D , MPa (1) be performed in active, passive or combined ver-
∆S
sion. During all tests carried out under the present
study, active version was used.
where ν is the transverse expansion coefficient
A single-ended spread of 24 receivers (vertical
(Poisson’s ratio); Kp is the coefficient depending on
low-frequency geophones, 10 Hz), connected with
the ratio between the plate depth and plate diam-
a telemetering module and a computer, was used.
eter h/D according to Table 5.5. of State Standard
It also included a vibration source represented by a
GOST 20276-2012; h is the plate depth relative to
sledge-hammer (4 kg) and a metal foundation slab.
the day surface, cm; D is the plate diameter, cm;
Parameters of the spread were chosen according
∆P is pressure increment, Pn – P0, MPa, where Pn
to recommendations made by Park & Carnevale
is the value of plate load according to clause 5.5.1
(2010). Two configurations were used depending
of GOST 20276-2012, corresponding to the fourth
on the lack of space at the site: streamer – 46 m,
point of the curve at the straight-line portion, P0 is
distance between receivers – 2 m; streamer –
the initial value according to clause 5.5.1 of GOST
11.5 m, distance between receivers – 0.5 m. At all
20276-2012, corresponding to the effective vertical
sites, there either were no passive vibration sources
dead-load stress at the test level; ∆S is plate settle-
causing noises at recording or they were minimum.
ment increment, Sn – S0, where Sn is stamp settle-
That is why, in all cases five strikes were stacked.
ment at Pn, S0 is stamp settlement at P0, cm.
The recording was conducted using the TEL-
Modulus E5000 obtained for a plate with
SS-3 telemetric seismic recording system and ver-
5,000 cm2 area is a priori taken as the true value of
tical geophones. Wave data were processed in the
the deformation modulus. To conduct a compara-
RadexPro 2014 Starter software package in a semi-
tive analysis for plates with a lesser area, the defor-
automatic mode. Based on the obtained velocities
mation modulus shall be reduced to the modulus
of transverse waves in soil layers where plate load
E5000 according to equation (2) (Lushnikov 2014):
tests were conducted, the initial shear moduli were
E5000 = E600 ⋅ m (2) determined according to the following dependence
(Kramer 1996):
where E600 is the deformation modulus calculated
G0 = ρVs2 , Pa (4)
for a plate with 600 cm2 area; m is the correction
factor proposed by V.M. Chizhevsky, depend-
ing on the porosity factor e according to Table 3 where ρ is soil layer density, kg/m3; Vs is the veloc-
(Lushnikov 2014). ity of a transverse (shear) wave in the layer, m/s.
According to Lushnikov (2014), for plates of
other areas, equation (2) with the coefficient m
determined under the corresponding equation 3 DESCRIPTION OF SOILS
in Appendix C of Regulations SP 23.13330.2011
“Foundations of hydraulic structures” can be used: The tests were conducted at sites in Perm and Perm
n/2
Krai. At each site, the analysis was conducted for
A  a soil layer that underwent plate load tests during
m =  5000  (3)
 Ai  engineering and geological surveys:
a. sand fill of fine packed homogenous sand with
where A5000 is the plate area of 5,000 cm2; Ai is the low moisture content; layer thickness – 1.4 m,
plate area of i cm2; n is the parameter of reduction layer base depth – 1.4 m; plate area – 2,500 cm2,

17
 depth of installation – 0 m, initial pressure at the 4 TEST RESULTS
bottom – 0.1 MPa;
b. argillite-like clay with sandstone lenses of low Results of plate load tests for the soils analyzed
and medium strength; weathered, fissured, are given in Figure 1. Table 2 summarizes results
watered; layer thickness – 3.5 m, layer base of the wave analysis. The deformation moduli
depth – 11.5 m; plate area – 600 cm2, depth calculated according to equations (1)–(3) and
of installation – 9.19 m, initial pressure at the the initial shear modulus calculated according
bottom – 0.06 MPa; to equation (4) are summarized in Table 3. The
c. fine-grained sandstone of low and medium deformation modulus was calculated in strict
strength; weathered, fissured, watered; layer accordance with State Standard GOST 20276–
thickness – 1.1 m, layer base depth – 12.6 m; plate 2012 “Soils. Field methods for determining the
area – 600 cm2, depth of installation – 11.7 m, ini- strength and strain characteristics” for the first
tial pressure at the bottom – 0.05 MPa; four points of the curve, starting from the initial
d. stiff and semi-solid clay; layer thickness – 0.5 m, pressure at the plate bottom.
layer base depth – 0.5 m; plate area – 600 cm2, Figure 2 and Table 4 present a curve and data on
depth of installation – 0.1 m, initial pressure at the obtained correlation rate between the deforma-
the bottom – 0.05 MPa; tion modulus and initial shear modulus.
e. grey and brown arenaceous sandy loam; fluid,
with veins and lenses of thickness up to 3–5 cm
of fine water-saturated grey sand and very soft
brown loam; layer thickness – 1.4 m, layer base
depth – 3.0 m; plate area – 5,000 cm2, depth of
installation – 1.6 m, initial pressure at the bot-
tom – 0.05 MPa;
f. dark grey loam; heavy, silty, very soft; with
inclusions (up to 15%) of well-decomposed
black organic matter; layer thickness – 0.7 m,
layer base depth – 3.1 m; plate area – 5,000 cm2,
depth of installation – 2.4, initial pressure at the
bottom – 0.05 MPa;
g. fine-grained greyish-brown sand; layer thick-
ness – 0.9 m, layer base depth – 1.0 m; plate area
– 600 cm2, depth of installation – 0.1 m, initial
pressure at the bottom – 0.05 MPa.
Physical characteristics of the soils analyzed,
determined on the basis of laboratory tests, are
given in Table 1.

Table 1. Physical characteristics of soils analyzed.

Soil ρ ρd
type W Ip IL g/cm3 g/cm3 e Sr

a 0.07 – – 1.82 1.70 0.54 0.33

b 0.17 0.2 0.1 2.04 1.74 0.50 0.89
c 0.17 – – 2.05 1.75 0.52 0.87
d 0.13 0.26 0.23 2.12 1.88 0.20 1.46
e 0.30 0.06 0.98 2.02 1.56 0.73 1.09
f 0.30 0.16 0.76 1.88 1.45 0.82 0.96
g 0.10 – – 1.63 1.47 0.69 0.36

W – natural moisture (water content)

IP – index of plasticity
IL – index of liquidity
ρ – soil density
ρd – dry soil density
e – porosity factor
Sr – water saturation coefficient Figure 1. (Continued)

18
 Table 2. Summary table of wave analysis results.

Vs ρ G0
Soil type m/s kg/s3 MPa

a 245 1,826 109.64

b 332 2,010 221.57
c 417 2,040 354.88
d 151 2,112 48.16
e 172 2,040 60.38
f 118 1,918 26.71
g 142 1,663 33.54

Vs – velocity of a transverse (shear) wave in the layer

ρ – soil density according to survey data
G0 – initial shear modulus

Table 3. Summary table of results of determining the

deformation modulus based on plate load tests, and the
correlation rate.

G0 E E5000
Soil type MPa MPa m MPa k

a 109.6 24.24 1.06 25.70 0.234

b 221.6 37.75 1.06 40.02 0.181
c 354.9 58.22 1.06 61.72 0.174
d 48.16 5.92 1.2 7.10 0.147
e 60.38 9.52 1 9.52 0.158
f 26.71 5.06 1 5.06 0.189
g 33.54 13.25 1.2 15.90 0.474

G0 – initial shear modulus

E – deformation modulus based on plate load tests under
State Standard GOST 20276-2012
m – deformation modulus conversion factor
E5000 – calculated deformation modulus for a plate of
5,000 cm2 area
k = E5000/G0 – correlation rate

Figure 1. Load-settlement curves for plate load tests in

various types of soils: a – sand fill, plate of 2,500 cm2; b
– argillite-like clay, plate of 600 cm2; c – sandstone, plate
of 600 cm2; d – clay, plate of 600 cm2; e – sandy loam,
plate of 5,000 cm2; f – loam, plate of 5,000 cm2; g – sand, Figure 2. Dependence of the correlation rate on the
plate of 600 cm2. unit weight of soil.

19
Table 4. Data on the dependence of the correlation rate Antipov, V.V., Ofrikhter, V.G., Ponomarev, A.B. &
on the unit weight of soil. Shutova O.A. 2017. Numerical modelling of dynamic
impact from a single vehicle on the existing building.
G0 E5000 γlab News of the Kazan State University of Architecture and
Soil type MPa MPa kN/m3 k Engineering 3: 131–138.
Foti, S. 2000. Multistation methods for geotechnical char-
a 33.54 15.90 16.3 0.474 acterization using surface waves. PhD thesis in Geo-
b 109.64 25.70 17.9 0.252 technical Engineering. Italy: Politechnico di Torino.
c 26.71 5.06 18.8 0.189 Kramer, S.L. 1996. Geotechnical earthquake engineering.
d 221.57 40.02 19.7 0.181 New Jersey: Prentice Hall, Inc.
e 60.38 9.52 20 0.158 Li, C., Ashlock, J.C., Lin, S. & Vennapusa, P.K.R. 2018.
f 354.88 61.72 20 0.174 In situ modulus reduction characteristics of stabilized
g 48.16 7.10 20.7 0.147 pavement foundations by multichannel analysis of
surface waves and falling weight deflectometer tests.
G0 – initial shear modulus Construction and Building Materials 188: 809–819.
E5000 – calculated deformation modulus for a plate of Louie, J.N. 2001. Faster, better: shear-wave velocity to
5,000 cm2 area 100 meters depth from refraction microtremor arrays.
γlab – unit weight according to the laboratory tests Bulletin of the Seismological Society of America 91
k = E5000/G0 – correlation rate for E5000 (2): 347–364.
Lushnikov, V.V. 2014. Development of pressiometry
method soils in Russia. Geotechnics 5–6: 46–61.
Madun, A., Ahmad Supa’at, M.E., Ahmad Tajudin, S.A.,
Zainalabidin, M.H., Sani, S. & Yusof, M.F. 2016. Soil
5 CONCLUSION investigation using multichannel analysis of surface
wave (MASW) and bore hole. ARPN Journal of Engi-
The article presents the results of plate load tests neering and Applied Sciences 11 (6): 3759–3763.
and MASW tests at sites in Perm and Perm Krai Park, C.B. & Carnevale, M. 2010. Optimum MASW
for various types of dispersive and semi-rocky survey—revisit after a decade of use. GeoFlorida 2010
1303–1312.
soils. The attempt was made to establish a correla-
Park, C.B. & Miller R.D. 2008. Roadside passive mul-
tion between the data of two types of tests, namely tichannel analysis of surface waves (MASW). Journal
between the deformation modulus and initial shear of Environmental & Engineering Geophysics 13 (1):
modulus at small deformations. 1–11.
During the analysis of the data, the follow- Park, C.B., Miller, R.D. & Xia, J. 1999. Multichannel
ing correlation between the correlation rate and analysis of surface waves. Geophysics 64 (3): 800–808.
unit weight was established: while the unit weight Pegah, E. & Liu, H. 2016. Application of near-surface
increases, the correlation rate decreases. The cor- seismic refraction tomography and multichannel
relation rate varies from 0.474 to 0.125 in the range analysis of surface waves for geotechnical site char-
acterization: a case study. Engineering Geology 208:
of unit weight values of 16.3–20.7 kN/m3. The
100–113.
dependence established can be used for a quick Robertson, P.K. 2009. Interpretation of cone penetration
preliminary geotechnical survey of a foundation tests—a unified approach. Canadian Geotechnical
base. Journal 46 (11): 1337–1355.
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Verruijt, A. 2008. Soil dynamics. Delft, Netherlands:
Antipov, V.V., Ofrikhter, V.G. & Shutova, O.A. 2016. Delft University of Technology.
Investigation of a soil stratification upper section by Xia, J., Miller, R.D. & Park, C.B. 1999. Estimation of
rapid methods of wave analysis. Vestnik MGSU (Sci- near-surface shear-wave velocity by inversion of
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20
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Reconstruction and methods to protect stone buildings of the

early 19th century

T. Awwad
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia
Damascus University, Damascus, Syria

R. Chekaeva, M. Chekaev, A. Seisekeeva & L. Awwad

Gumilyov Eurasian National University, Astana, Kazakhstan

ABSTRACT: The article presents a study of a stone manor possessing architectural and engineering
merit, located in Petropavlovsk and constructed in the early 19th century. Climatic conditions affected the
architectural and planning composition of the residential manor: the direction of prevailing winds allowed
determining where entrances to the house should be placed. The main entrance is oriented to the court-
yard. Another one is a service entrance connecting the house with a lean-to. During reconstruction of the
building, it was found that the foundation was made of brick and reached two meters in depth. A unique
waterproofing system made of birch bark was discovered between the foundation and the masonry. This
natural material protected the house against excessive moisture and dampness. A method of floor heat
insulation, unique to the present day, was found as well. The house had warm flooring consisting of two
layers—the lower and the upper—so that the earthen floor at the basement level would provide adequate
heat insulation and would not freeze through. A layer of dried and light horse droppings, used as a heat-
insulating material at the time, was laid down between them. Due to this sandwich construction, floors in
houses remained warm, even with severe frosts.

1 INTRODUCTION the city and in the region, as a part of the common

The article presents a result of studying stone
architecture with the purpose to identify architec-
tural monuments among standard brick buildings
of Petropavlovsk, determine the stylistic identity
of buildings. The material is based on an integrated
survey of the city territory and historical archi-
tectural sites. Historical and bibliographical data
on stone buildings of Petropavlovsk in the early
19th–20th centuries, archival surveys and field
observations serve as a basis for the study. Unique
brick residential houses (in this paper, a study of
only one stone manor is presented) possessing
architectural merit, that for a long time were out
of sight of researchers, are distinguished.
2 PROBLEM SIGNIFICANCE
AND SOLUTION
The issues under consideration are mechanisms
leading to the unsatisfactory technical condition
of buildings. An insight into such mechanisms will
allow outlining possible ways to solve the problem
of preserving standard brick residential houses in
cultural heritage of Northern Kazakhstan. Signifi-
cance of stone housing development in preserva-
tion of the historical appearance of Petropavlovsk
is also determined. Those objects have not been
studied previously. For the first time, architectural
and planning compositions of residential buildings
in the region during the early 19th–20th centuries
are analyzed in details. According to an analysis of
recent studies, architecture of those buildings has
not been reviewed earlier.
3 PURPOSE OF THE STUDY
The purpose of the study is to reveal and ana-
lyze regional features of the historical heritage of
Northern Kazakhstan cities, displaying culture,
traditions and everyday life of the Kazakh people,
necessary to solve environmental as well as social
and economic problems in modern conditions of
the Republic of Kazakhstan.
Construction of public and residential buildings
in the first half of the 19th century, including build-
ings made of baked brick, was essential for changes
in the city appearance. Obligatory buildings in

21
principal cities of provinces included more than
20 state buildings assigned to cities according to
their status (they were listed in an explication and
an explanatory note to the general plan). Among
those were buildings of provincial public offices,
the Duma and the police, houses of civil and mili-
tary governors, military barracks, an infirmary, a
prison and a staging point for convicts in transit, a
hospital, a school, a post yard, a treasury building,
store shops and other structures. If a principal city
was an eparchy center, a cathedral church, a bishop
house, and a seminary were provided for as well. In
the beginning of the 19th century, special quarters
for factories were also obligatory (State Archive of
Petropavlovsk city 2015, Zhussupbekov et al. 2013).
4 MAIN PART
The manor house of merchant A. Izmaylov, built
in the second half of the 19th century, is located
at the following address: 164 Zhambyla St., 166
Zhambyla St., Petropavlovsk (Fig. 1).
The entire complex was constructed with money
of merchant Abdrashit Izmaylov. The manor
ensemble consists of a shop with a brick house,
connected by an underground passage, as well as a
lean-to (storage facilities which were renovated in
1996 and are currently used as a restaurant). The
merchant was engaged in fur buying and built the
house to use it as a store. In the summer, the authors
conducted studies (including a poll), analyzed the
material, and performed measurements. Dur-
ing restoration of the building, it was found that
the foundation was made of brick and reached two
meters in depth. The building is L-shaped in plan.
At the basement level there are two large rooms,
and at the street level there are two entrances and
several more rooms. Climatic conditions affected
the planning of the manor: the direction of prevail-
ing winds allowed determining where entrances to
the house should be placed. The main entrance is
oriented to the courtyard. Another one is a serv-
ice entrance connecting the house with a lean-to.
Most of the windows are south-facing. The north-
facing windows are an exception.
Figure 1. Manor of merchant Abdrashit Izmaylov,
Petropavlovsk, 2016 (provided by the authors).
22
The main facade has six elongated arched win-
dow openings which are framed with brickwork
and white contrast decorative elements—hood
molds, and have a clear rhythm. The central part
is distinguished by bulbous hood molds and two
small attic windows. A hood mold is a molded
projection from a wall over a window or door. Ini-
tially, such projection was used to ensure protec-
tion against precipitations and then it turned into
a decorative item.
Visually, a window with a hood mold seems
higher than a standard one. Back in the day hood
molds represented sculptural masterpieces with a
variety of elements, including coats of arms. They
were made of gypsum, metal, granite and other
stones. They also had various forms: straight,
arched, triangular with a pediment or without it.
The circular medallion in the pediment is a sym-
bol of the house owner. A pediment is an impor-
tant detail of the house exterior, a space limited
with a roof, which is located between two pitches.
A pediment is also called the architectural part of a
building facade, which is located from a cornice to
an attic. Modern architects even argue that pedi-
ments are not just beautiful service elements, but
rather a piece of art. After all, different architec-
tural styles are easily recognized due to pediments.
Long since, in Russia as well as in many countries
of the world, gables of residential buildings have
been considered the main elements of classical
architecture. And nowadays, more than ever, indi-
viduality and stylization of private construction
are in fashion.
A multi-step cornice frames the entire volume
of the building under the roof. Avant-corpses with
niches ending with turrets on the roof are placed
at the corners of the building. Under the windows,
rectangular niches are located as well. The manor
architecture belongs to the pseudo-Gothic style
(Fig. 2). The pseudo-Gothic style was brought
from Russia. Pseudo-Gothic buildings erected in
the territory of the Russian Empire are intertwined
with national identity as red brick and white stone
were used in construction. In the 19th century,
the pseudo-Gothic style was widely distributed in
provinces. Its examples can be found among noble
manors of Central Russia, the Urals, Western Sibe-
ria, and provinces of the Russian Empire.
Figure 2. Main facade, graphic reconstruction, 2016.
 Main and back facades of a residential house
differed from each other significantly. Main
facades were mainly severe and impressive, and
back facades were picturesque and intimate (such
impression was achieved through a layout of
entryways, porches and wind porches, balconies,
terraces, mezzanines, etc.). The back facade of the
house of merchant A. Izmaylov has an access to
the terrace, a high staircase landing facing the yard.
The entrance on the landing has a ceiling made of
wrought metal, on the sides of which lattices are
Figure 3. Lean-to, main façade.
located. The terrace and the stairs are also fenced
by wrought lattices. The balcony of the residential
house has decorative wrought lattices as well.
The principle of equivalence of architectural ele-
ments in the decorative design of the facades was
as significant as identification of functional fea-
tures of the building. They included large windows,
tower-shaped volumes, bay windows, terraces.
Throughout their existence, both buildings set-
tled significantly, therefore, the entrance to the res-
taurant as well as the back entrance to the manor Figure 4. Gates and wicket, graphic reconstruction, 2016.
are currently below the ground level. The buildings
settled by approximately 0.5 m. Earlier, in order to
enter the store or manor, one had to go down three
steps only, but nowadays, the staircase consists of
nine steps.
According to archival sources, during reno-
vation, a unique waterproofing system made of
birch bark was discovered between the foundation Figure 5. Manor of merchant A. Izmaylov (Petropav-
and the masonry. This natural material protected lovsk), a general view with a lean-to, full graphic recon-
the house against excessive moisture and damp- struction, 2016.
ness. A method of floor heat insulation, unique
to the present day, was found as well. The house
had warm flooring consisting of two layers—the This method of spatial organization of residen-
lower and the upper—so that the earthen floor tial and public (trade) zones was traditionally used
at the basement level would provide adequate in Western Siberia and Northern Kazakhstan in
heat insulation and would not freeze through. A the 19th–early 20th centuries, where agriculture
layer of dried and light horse droppings, used as a focused on grain production and trade, and the fol-
heat-insulating material at the time, was laid down lowing buildings prevailed in the industrial archi-
between them. Due to this sandwich construction, tecture of cities: mills, commercial premises and
floors in houses remained warm, even with severe warehouses, lean-toes, and grocery stores (Fig. 5).
frosts (Shulgina 2010). In the brick style, with the minimum of forms
The lean-to building is single-floor, made of borrowed from the past, local traditional architec-
brick, unplastered. The merchant was engaged in tural motifs were manifested. The architecture of
fur buying and built the house to use it as a store. North Kazakhstan is no less expressive than that
Brickwork with a thickness of approximately 0.5 m in the territory of Russian border cities—cities of
also covers the wooden ceiling of the former lean- Western and Eastern Siberia.
to. The rectangular windows are made of joinery Rich facade elaboration represents a combina-
and have bow-shaped crowns. The main entrance tion of forms of different styles: the brick style and
to the lean-to is framed by a pointed arch, with a pseudo-Gothic style, widely used in the late 19th–
corbel course with niches (and then—a complex early 20th centuries.
cornice) above. The roof has a pediment in the “Preservation of not only individual monuments
center and two turrets at the corners. Gates and but also standard buildings in provincial centers,
a wicket are located between the residential house in small towns is extremely important for cultural
and lean-to. The gates and wicket are made of upbringing and understanding of the cultural her-
baked brick in the form of four multi-faceted verti- itage of different regions, as well as for preserva-
cal pillars and an arched system (Figs. 3–4). tion of territorial identity” (Gumenyuk 2009).

23
Figure 6. Residential area with traditional houses.
Figure 7. Courtyard of a residential house in
Damascus.

The architecture of Syria differs slightly. Syr-

ian buildings are made of stone (mainly of large
stone blocks). The Ancient City of Damascus is
rich with historical monuments but has a chaotic
housing development (Fig. 6). Some buildings, due
to their significant physical deterioration, shall be
demolished, and other buildings shall be recon-
structed with some changes in finishing but with
account for preserving a common architectural
appearance of the areas.
Mutual coordination between requirements for
protection of historical monuments and city struc-
ture development, setting for complication and
enrichment of the system of historical ensembles,
and formation of a unified approach of engineers,
architects, and historians to development of the
architectural heritage, principles of its preserva-
tion, and an accounting method in design practice,
are necessary.
One of the most important local traditions of
house building is functional zoning of rooms in
height, resulting in separation of utility, house-
hold, and sleeping areas, raised in relation to each
other at a height of 6–10 steps, but located under
the same roof (Bakhit 1982). This principle sur-
vived and did not change, being applied in con-
struction of rural and, more rarely, urban houses.
Since a yard is surrounded with walls and buildings
on all sides, it is possible to create a more favora-
ble micro-climate in it, protecting it from scorch-
ing winds and dust storms (Fig. 7). Construction
and finishing materials currently used in construc-
tion of residential buildings, as well as exterior and
interior finishing, can be divided into traditional
and modern ones (Awwad 2016) (Fig. 8).
Nowadays, stone is not so widely used (as its
processing is labor-consuming) and is substituted
with cheaper blocks of heavy monolithic and light-
weight cellular concrete. Natural stone continues
to be used mainly in rural areas, and in cities it
is used to decorate facades of buildings (Awwad
et al. 2016, Bernard 1950). Brick was mainly used
as a finishing material. Wood was used to cre-
ate furniture and other household items, as well
Figure 8. Entrance to a residential house in Damascus.
as particular elements of building structures—
window frames, doors, stair steps and railings, etc.
(Obolensky).
Until recently, historical wooden and brick
buildings as well as buildings made of mixed mate-
rials, constructed during the period under consid-
eration, retained their urban significance as key
elements of architectural ensembles in the histori-
cal center of Petropavlovsk. However, active urban
transformations during the past decade in cities of
Northern Kazakhstan led to mass destruction of
entire quarters and streets with wooden and brick
buildings. Besides, many buildings are changing
unrecognizably during repair or reconstruction
(Chernysh 2015).
5 CONCLUSION
These studies can serve as a material for further
investigation and become a basis for restoration
and protection of monuments of history, culture,
and architecture of a city and region.
The historical center of a city is located in the
territory where particular restrictions related to
conditions of protecting historical and cultural
monuments are in effect; therefore, the following
measures should be taken here:

24
– preservation of the system of historical plan-
ning, valuable elements of the landscape, valu-
able buildings;
– consolidation or restoration of the city-forming
value of monuments in the architectural and
spatial organization of a city;
– creation of favorable conditions for visual per-
ception of cultural heritage sites;
– elimination of disharmonies violating percep-
tion of monuments and the integral composi-
tion of protected architectural complexes and
landscapes.
Besides, conditions of protecting cultural herit-
age sites include requirements for aligning newly
constructed and reconstructed buildings in the
structure of the existing architectural environ-
ment, architectural and artistic characteristics of
sites, aspects of facades’ decorative design, con-
struction of small architectural forms, the nature
of landscaping, area improvement techniques and
other indicators that are set in area use provisions.
Owners, users, and tenants of lands located in the
historical nucleus of the city shall be responsible
for their preservation. Information on highly valu-
able lands shall be specified in documents of the
state land cadaster, documents of state registra-
tion of rights to real estate and transactions with
such property and other documents certifying land
titles.
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Soil constitutive model effect on the distribution of pile axial

load-parametric study

T. Awwad
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia
Damascus University, Damascus, Syria

S.A. Al Kodsi
Department of Civil Engineering, Division of Global Architecture, Osaka University, Japan

ABSTRACT: The construction of a loaded single pile in a soft soil has recently filled was discussed
through this paper. Two different soil constitutive models have been used to examine the change in the pile
axial load distribution. An elastic-plastic soil model defined by Matsui-Abe was compared with an elastic-
viscoplastic model defined by Sekiguchi-Ohta. The parametric study was conducted using different cases
of pile and soil loading. Both the value and type of loading have been played the main rule in changing
the axial load distribution along the pile. The value of the surcharge load applied on the ground next to
the pile head had the biggest effect. Moreover, the used soil model was found to have a major influence
when the axial load is determined.

1 INTRODUCTION damages to the superstructure of a building. The

Pile foundation are accepted as the traditional
form of foundation in bad soil layers’ conditions.
friction pile is usually installed in a compressible
soil layer beyond the reach of any bearing strata at
its tip, thus it transmits the loads to the surround-
ing soil mainly through the pile’s shaft. This paper
will examine the distribution of the axial load on
a frictional single pile. The way of applying the
surcharge load on the ground surface, besides the
value of this load and the pile load effect the set-
tlement of pile and surrounding soil layers, which
effect the distribution of the pile’s axial load. In
many circumstances settlement of the surround-
ing soil might take place, thus it will provide no
support to the pile. As a matter of a fact, it will
act in reverse sense, in terms of resistance, by
comparison with the normal situation. Further,
if the downward movement of the surround-
ing soil exceeds the pile settlement, the pile will
resist the soil movement and hence an extra load
will be transferred to it in addition to the external
axial load. It has been found that the down drag
load due to surcharge loading on the surround-
ing soil can exceed the ultimate capacity of a pile
(Bjerrum et al, 1965). Moreover, the excessive settle-
ment associated with the down drag can cause vital
shear stresses generated on the pile shaft by virtue
of the soil settlement will be negative in sign, and
accordingly the terms “negative skin friction” and
“down drag load” are used. In this paper, numeri-
cal model will be carried out using (FORTRAN).
The effect of the used soil constitutive model in the
numerical analysis was found to have a great influ-
ence on the soil settlements and the skin friction
distribution along the pile’s shaft (Awwad et al,
2017 and Kodsi et al, 2018). Moreover, the value
of the surcharge load influences the results of the
used soil model (Kodsi et al, 2019). In this paper,
the effect of the used soil model, the value and the
type of the loading on the pile’s axial load distribu-
tion will be discussed.
2 SOIL CONSTITUTIVE MODELS
2.1 Elastic-plastic
The main clay layer was modelled to behave as an
Elasto-plastic material to represent the relation-
ship between stress and strain due to Matsui and
Abe model (1981).
The soil response to compression due to elastic-
plastic model is shown in Figure 1.

26
Figure 1. Soil response to compression.

Figure 3. Analytical model.

Table 1. The analytical parameters for Matsui-Abe

model.

No. αa0 αaf αp0 αpf

Ma1 0.44 1.00 −1.44 1.00

Figure 2. Yield surface of Elastic-viscoplastic model. Ma2 0.34 1.000 −1.34 1.00
Ma3 0.34 1.000 −1.34 1.00
Ma4 0.34 1.000 −1.34 1.00
Ma5 0.38 1.000 −1.38 1.00
2.2 Elastic-viscoplastic
Note: αa, αp are the strain increment ratio.
The yield surface of elasto-visco plastic soil model
defined by (Sekiguchi et al, 1977) is shown in
Figure 2. Table 2. The analytical parameters for Sekiguchi-Ohta
model.

3 NUMERICAL MODEL No. λ κ M μ

The numerical model is 15 m in width and 43.5 m Se1 0.1024 0.01240 1.47 0.002
in length. The pile length is 28.5 m and the main Se2 0.2475 0.01240 1.41 0.002
clay layer thickness is 15 m. the ground water it at Se3 0.2475 0.01240 1.41 0.002
0.80 m from surface. Se4 0.4950 0.02480 1.41 0.002
The main clay layer will be modeled using Se5 0.5800 0.02430 1.26 0.002
elastic-plastic and elastic-viscoplastic soil models.
The bottom boundary of the numerical model is Note: λ is the compression index, κ is the swelling index,
μ is the coefficient of secondary consolidation.
restrained from vertical and horizontal movement,
while the side boundaries are allowable to move
vertically.
The interface elements between the pile and The analytical parameters for elastic-plastic
the adjacent soil have zero thickness, connected soil model are shown in Table 1. The analytical
by countless tiny springs in normal and tangential parameters for elastic-viscoplastic is shown in
directions (Goodman, 1968). The analytical model Table 2. The analytical parameters for the joint
is shown in Figure 3. elements is shown in Table 3 (Oda, 2012).

27
Table 3. The analytical parameters for the joint Table 4. The parametric study cases.
elements.
Case Pile load (tf) Surcharge load (tf/m2)
No. Kn (kN/m3) Ks (kN/m3) c0 (kN/m2) θ (°)
1 100 2.00 on ground + pile
J01 9.8E+09 9.8E+09 15.55 0.0 2 100 2.00 only on ground
J02 9.8E+09 9.8E+09 11.86 0.0 3 100 4.00 on ground + pile
J03 9.8E+09 9.8E+09 19.58 0.0 4 100 8.00 only on ground
J04 9.8E+09 9.8E+09 8.33 0.0 5 500 2.00 on ground + pile
J05 9.8E+09 9.8E+09 9.07 0.0
J06 9.8E+09 9.8E+09 8.28 0.0
J07 9.8E+09 9.8E+09 5.64 0.0
J08 9.8E+09 9.8E+09 17.29 0.0
J09 9.8E+09 9.8E+09 15.90 0.0
J10 9.8E+09 9.8E+09 11.52 0.0
J11 9.8E+09 9.8E+09 15.01 0.0
J12 9.8E+09 9.8E+09 10.97 0.0
J13 9.8E+09 9.8E+09 10.40 0.0
J14 9.8E+09 9.8E+09 13.23 0.0
J15 9.8E+09 9.8E+09 12.87 0.0
J16 9.8E+09 9.8E+09 13.29 0.0
J17 9.8E+09 9.8E+09 9.09 0.0
J18 9.8E+09 9.8E+09 9.41 0.0
J19 9.8E+09 9.8E+09 5.89 0.0
J20 9.8E+09 9.8E+09 11.53 0.0
J21 9.8E+09 9.8E+09 34.56 0.0
J22 9.8E+09 9.8E+09 28.65 0.0
J23 9.8E+09 9.8E+09 43.03 0.0 Figure 4. Pile axial load distribution/Case No. 1.
J24 9.8E+09 9.8E+09 42.14 0.0
J25 9.8E+09 9.8E+09 36.43 0.0
J26 9.8E+09 9.8E+09 28.85 0.0
J27 9.8E+09 9.8E+09 33.26 0.0
J28 9.8E+09 9.8E+09 38.46 0.0
J29 9.8E+09 9.8E+09 32.61 0.0
J30 9.8E+09 9.8E+09 43.37 0.0
J31 9.8E+09 9.8E+09 37.00 0.0
J32 9.8E+09 9.8E+09 28.52 0.0
J33 9.8E+09 9.8E+09 42.45 0.0
J34 9.8E+09 9.8E+09 39.23 0.0
J35 9.8E+09 9.8E+09 37.01 0.0
J36 9.8E+09 9.8E+09 25.99 0.0

Figure 5. Pile axial load distribution/Case No. 2.

4 PARAMETRIC STUDY
5 DISCUSSION
In the parametric study, different cases of sur-
charge load and pile load will be discussed.
Figure 4, Figure 5, Figure 6, Figure 7 and Figure 8.
Moreover, the method of applying the surcharge
Show the axial load distribution along the pile shaft
load will be examined too.
for five different cases of loading, respectively.
In first case, the surcharge load will be applied
It can be noticed how the using of soil model is
on the ground surface next to the pile’s head only.
affect the distribution of the axial forces.
In the second case, the surcharge load will be
applied on the ground surface and the pile’s head. • Modeling using the elastic-viscoplastic caused
The different cases of loading application are the values of the axial load distribution to be
shown in Table 4. larger than the case of using the elastic-plastic

28
 model. On the other hand, the value of the
surcharge load plays a main role controlling this
distribution.
• When a large value of surcharge load is applied,
no difference was examined between the two soil
models. Applying a large value of surcharging
caused the soil settlements to happens as reason
of the excess pore pressure dissipation only and
no structural viscosity influence was taking a
place in this case.
• Different distribution in the axial forces were
examined when the applied pile load was
changed for the same case of surcharge load.
• Applying the surcharge load on the ground sur-
face only or on both the pile and the ground sur-
Figure 6. Pile axial load distribution/Case No. 3. face had no obvious effect on the distribution of
the axial forces along the pile’s shaft.

REFERENCES

Awwad T., Kodsi S.A., Shashkin A. (2019), “Nega-

tive Skin Friction Distribution on a Single Pile –
Numerical Analysis,” In: El-Naggar H., Abdel-Rah-
man K., Fellenius B., Shehata H. (eds) Sustainability
Issues for the Deep Foundations. GeoMEast 2018.
Sustainable Civil Infrastructures. Springer, Cham,
pp. 36–48.
Awwad, T. and Kodsi, S.A. (2017), “A comparison of
numerical simulation models to determine the loca-
tion of the neutral plane,” Proceedings of the 19th
International Conference on Soil Mechanics and Geo-
technical Engineering. pp. 1947–1950.
Bjerrum, L. and Johannessen, I.J. (1965), “Measurement
of the compression of a steel pipe to rock due to set-
tlement of the surrounding clay,” Proc. 6th ICSMFE,
MONTEREAL, vol. 2, pp. 261–264.
Goodman, R.E., Taylor, R.L., & Brekke, T.L. (1968), “A
Figure 7. Pile axial load distribution/Case No. 4.
Model for the Mechanics of Jointed Rock,” Journal of
the Soil Mechanics and Foundations Division, ASCE
94, SM3, pp. 637–659.
Japanese Geotechnical Society (1972) Standard method
for vertical loading tests of piles (in Japanese).
Kodsi, S.A., Oda, K. & Awwad, T. (2018), “Viscosity
effect on soil settlements and pile skin friction distri-
bution during primary consolidation,” International
Journal of GEOMATE, Dec., 2018 Vol.15, Issue 52,
pp. 180–187.
Matsui, T. & Abe, N. (1981), “Multi-dimensional
elasto-plastic consolidation analysis by finite ele-
ment method,” Soils and Foundations, vol. 21, No. 1,
pp. 79–95.
Oda, K., (2012), “Numerical simulations of field loading
tests of cast-in-place bored piles with large diameter,”
Testing and Design Methods for Deep Foundations,
International Conference (Proceedings), pp. 859–866.
Sekiguchi, H. and Ohta, H. (1977), “Induced anisotropy
and time dependency in clays,” 9th ICSMFE, Tokyo,
Constitutive equations of Soils, pp. 229–238.

Figure 8. Pile axial load distribution/Case No. 5.

29
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

An extended model of impedance functions of monopile-supported

offshore wind turbines incorporating soil-structure interaction effect

A. Barari & L.B. Ibsen

Department of Civil Engineering, Aalborg University, Aalborg, Denmark

ABSTRACT: Sensitivity of the Offshore Wind Turbine (OWT) natural frequency on the monopile
length lower and beyond the active length was provided for the sake of safe design purpose. Four types
of monopiles having aspect ratios (Depth to the diameter of the foundation) Lp /D of 4, 5, 6 and 8 were
studied numerically. The analytical model proposed here for constructing the OWT natural frequency
considering soil-pile interaction can be conveniently constructed by monopile head springs character-
ized by lateral stiffness KL, rotational stiffness KR, cross-coupling stiffness KLR and parabolic soil stiffness
variation with depth. However, recent research conclusively showed that if the monopile length lies below
the certain depth so called active length, it might cause shifting of the natural frequency to the forcing
excitation frequencies range.

Keywords: natural frequency, Offshore Wind Turbine (OWT), monopile head springs, stiffness

1 INTRODUCTION on non-linear Winkler spring also referred to as

Figure 1 depicts the typical cost of an offshore
wind farm exhibiting the itemized cost of differ-
ent components among which foundation is one
of the most expensive parts contributing to the
nearly 34% of the overall cost as categorized by
Jalbi et al. (2017).
Piles for offshore wind turbines are commonly
treated as non-slender piles having 30–40 m long
and 3.5–6 diameter. Surprisingly, there is a pau-
city of literature on the design and performance of
monopiles following a classified design procedure
based on the design criteria; ULS, SLS, FLS and
target natural frequency scheme. Traditionally, the
design methods are based on the concept of beam
Figure 1. Cost makeup of a given offshore wind turbine
(Jalbi et al., 2017).
‘p-y’ method in API (1993) or DNV (2002) codes
to obtain pile head deformation but its use is some-
what uncertain for wind turbines. The main uncer-
tainties arise from the issue that the conventional
API (1993) model has originally been developed
for offshore fixed platforms under maximum 200
load cycles which are beyond the scope of an OWT.
More broadly, the OWTs are impacted by very
high ratios of horizontal load to the vertical loads
when compared to oil and gas fixed jacket struc-
tures which the need for advanced studies sprang to
the attention of practicing engineers (Larsen et al.
2013; Ibsen et al. 2012; Barari and Ibsen 2012).
1.1 Complex loading scenarios
A set of dynamic loads characterize the behavior
of OWT which include:
a. Waves and wind induced lateral loads: They are
derived by turbulence in wind and waves crush-
ing against substructure, respectively directly
calculated from wind speed, height and period
of waves.
b. “1P loading”: The term represents the loading
scenario induced by the mass as well as aerody-
namics imbalances of the rotor having the forc-
ing frequency equivalent to that by the natural
frequency of the rotor.
c. Blade shadowing effect: May bring another chal-
lenge termed as the 3p loading in the literature

30
 which may be emerged when each blade passes erned by the lateral stiffness KL, the rotational stiffness
through the tower shadow. KR and the cross-coupling stiffness KLR, the developed
d. Seismic loads: In seismically active regions natural frequency model is capable of substituting
the design of wind turbine must be verified the head stifnesses into the analytical expressions and
against seismic load scenarios. A comprehen- computing the effect of foundation length at which
sive study must consider a certain likelihood of the monopile length exceeded a certain depth.
earthquake-induced soil liquefaction occur-
rence during the operational time, which could
eventually lead to excessive settlement/tilting of 2 NUMERICAL ANALYSIS
support structures (Barari et al. 2015; Taddei
et al. 2017). 2.1 Constitutive model
The loading amplitude distribution over range A plasticity model is employed here for proper
of frequencies could be better described if one capturing of the cyclic mobility in soil-structure
shows them as power spectral density such as those interaction. This multi-surface model in principal
termed as Pierson-Maskowitz wave spectrum and is an extension of the existing multi-surface plas-
Kaimal wind spectrum (Lombardi et al. 2017) as ticity criterion with newly incorporated flow and
depicted in Figure 2. hardening rules.
As major part of design considerations for off- Multi-surface model Implemented in OpenSees
shore foundations, one must obtain the natural is outlined in Figure 3 (Yang 2000; Yang et al.,
frequency of the whole soil-foundation-structure 2003; Elgamal et al., 2003) incorporating shear-
system and its interdependency with the stiffness as induced contraction and dilation features through
well as the foundation deformation at the mudline the non-associate flow rule in which the frame-
level over the lifetime of a wind turbine. The natural work was found earlier (Barari et al. 2017) consist-
frequency is concerned with low levels of strains rele- ent to capture hysteretic cyclic response in laterally
vant for the linear condition, thereby allowing initial loaded large slender piles.
foundation stiffness and Linear Eigen Value analysis The plasticity framework contains a non-
to be sufficient for the particular purpose of target associative flow rule for illustrating the volumetric
frequency analysis. Therefore, the second major con- component while level of contraction and dilation
sideration in the context of “Target Frequency Anal- can be described by:
ysis” is the determination of the foundation stiffness.
2
η 
1−  
1.2 Objectives  η 
P′′ = 2 c1 ( contraction ) (1)
The aim of this paper is to obtain a given monopile η 
impedance functions, thereby closed-form expressions 1+  
 η 
are presented. The stiffness are subsequently used to
2
estimate the natural frequency of the whole system η 
considering the broad range of flexible to rigid mono- 1−  
 η 
piles. Since the monopile head deformations are gov- P′′ = 2 d1 exp ( d2γ 1 ) ( Dilation ) (2)
η 
1+  
 η 

Figure 2. A schematic power spectrum exhibiting the

distribution of different loading conditions over wide Figure 3. Yield envelopes in: a) Principal stress space b)
range of frequencies corresponding to the NREL 5 MW Deviatoric plane-P′: mean effective stress, α: kinematic
OWT. deviatoric tensor illustrating the yield surface coordinates.

31
where c1 and γ1 are scalar coefficient (Yang 2000)
modeling the rate of contraction and pore-pres-
sure buildup and octahedral shear strain accumu-
lated over dilation phase, respectively. Two other
parameters d1 and d2 illustrate the rate of volume
increase (Yang et al., 2003). The effective stress
ratio can be defined by ηη while η tracks the stress
ratio of the PT surface. The soil properties for a
given medium-dense sand are tabulated in Table 1.
2.2 The finite element model, mesh generation
and boundary conditions
Figure 4 depicts a typical axisymmetric finite-
element model created for 3-D analyses of a mono-
pile foundation of diameter D = 5 m, embedded
length, L = 30 m and thickness, t = 0.07 m. The
radial extent and depth of the soil domain were
defined at a distance of almost 1.5 times the
embedded length to avoid the possible constrain-
ing effects of the model boundaries.
The discretized model area had a radius of
at least ten times the foundation diameter and
consisted of 360 eight-node brick elements with
511 surrounding nodes to model the soil medium.
All nodes located in base of the model and lat-
eral boundaries are fixed in all three-directions while
Table 1. Material parameters used for medium-dense sand.
Parameters Medium-dense
Mass density 19 KN/m3
Low strain shear modulus, Gr 27 MPa
Friction angle, φ 33°
Permeability, K 6.05 × 10–5 m/s
Liquefaction yield strain, γy 1%
Contraction parameter, c1 0.065
PT angle, φPT 23°
Dilation parameter, d1 0.4
Dilation parameter, d2 5 The generic parabolic form can be captured by
Liquefaction parameter 2 0.01
Liquefaction parameter 3 1
Figure 4. Three-dimensional finite element mesh
discretization.
32
nodes being located in the symmetry plane were fixed
against translation in y direction. Eight-node brick
elements from OpenSees library were chosen for dis-
cretization of the soil medium. Each node is associ-
ated with three translational degrees of freedom.
The pile-soil interface was assumed to have fully
rough contact with no separation allowed in the
normal direction. The non-linear effective stress
analyses were carried out after the pressure inde-
pendent multi-yield material was assigned to the
soil-element.
The pressure independent multi-yield material
was assigned to the soil elements to account for the
nonlinear cyclic behaviour of geomaterials. Addi-
tionally, the structural model was thoroughly cap-
tured by a 3-D linear elastic beam-column element,
with six degrees of freedom accounting for both
translation and rocking deformations.
3 IMPEDANCE FUNCTIONS FOR
MONOPILE SUPPORTED 8 MW
OFFSHORE WIND TURBINE
The aim of this section is to derive functionally
sound yet practically oriented procedure for deter-
mining the impedance functions of laterally loaded
5 m diameter monopile considering driving analy-
sis parameters like aspect ratio (i.e, ratio of pile
length to the diameter).
Figure 5 displays schematic view of a simplified
model where the foundation is replaced by a set of
springs including vertical stiffness KV, lateral stiff-
ness KL, rocking stiffness KR and cross-coupling
stiffness KLR (Zaaijer 2006).
In the context of rigid and flexible foundation
stiffness, with the exception of few fitted relation-
ships pertaining to homogenous and linear inho-
mogenous soils through FE analysis (Higgins and
Basu 2011), little information about monopile stiff-
ness is available in inhomogenous soil medium.
the equation:
E s ( z ) = E sd α + (1 − a ) z / d 
n
(3)
where Esd, a and n denote soil Young’s modulus at
a given depth of pile diameter (z = D) and dimen-
sionless inhomogeneity coefficients, respectively.
Setting z = 0 in Eq. (3), a is given by:
a = ( E s 0 / E sd )
1/ n
(4)
In which Eso accounts for the soil Young’s modu-
lus at the surface. The power exponent n typically
ranges 0 and 1, standing for over-consolidating
to normally consolidated clay, respectively. The
 IR
KL =
I L I R − I 2 LR
IL
KR = (7)
I L I R − I 2 LR
I LR
K LR =
I L I R − I 2 LR

Figure 5. The OWT model adopted accounting for

impedance functions. Figure 6. Monopile head displacement against applied
horizontal load for different aspect ratios.

granular soil medium which is in particular interest

of current study is captured by exponent value n =
0.5 (Muir Wood 2004).
The 3D foundation stiffness matrix is reduced in
2D by retaining the coordinates 1 and 3 (x-z coor-
dinate) and presented by:

 H   KL K LR  uL 
 =   (5)
M   K RL K R  θ R 

where H and M denote shear force and over-

turning moment, respectively and corresponding
deformations interpreted by uL and θr as the lateral
displacement and rotation of the monopile head. Figure 7. Resultant Monopile head rotation versus act-
ing horizontal load for different aspect ratios.
Accordingly, the behaviour of non-slender pile
could be expected to be at least in part depend-
ent on the three springs stiffness denoted by KL
(lateral spring), KR (rocking spring), and KLR
(cross-coupling spring).
The inverse of the stiffness matrix has been
termed the flexibility matrix and its components
can be readily determined as follows:
−1
 ρ1 ρ2 
−1 H M2 
[K ] = [I ]−1 ⇒ I =  II L I LR 
I R 
= 1  (6)
 LR  θ1 θ2 
 H1 M 2 

A more practical proposal is to relate the stiff- Figure 8. Resultant monopile head rotation against
ness and flexibility coefficients as: acting overturning moment for different aspect ratios.

33
 Figures 6 to 8 show the results of a series of
three-dimensional finite element method analyses
of monopile head stiffness in which cohession-
less soil was idealized by linear elastic medium.
The Figures 6 and 7 illustrate the evolution of
the incipient displacement before overturning of
all monopile models considered here subjected
to force-controlled static push-over FE analyses,
aiming to compute the monopole head flexibility
coefficients, IL and ILR. The desire for a flexibil-
ity coefficient IR was developed by applying pure
bending as a function of moment increase up to
20000 kN at the foundation head.
The usefulness of the proposed methodology
becomes apparent when inverting the slopes of the
load-deformation curves to estimate the stiffness
coefficients using Eq. (7). Table 2 outlines the results
of the flexibility and stiffness components for mod-
els with different aspect ratios. The models exhibits a
broad range of rigid to flexible monopiles.
3.1 Computed first natural frequency of the tower-
monopile-soil system: An exemplar OWT
The remainder of this manuscript is on advancing
the discussions on the important role of impedance
functions appearing in previous section towards
assessing the natural frequency of the OWT, which
is genuinely particular interest of current research.
By the time the desired dynamic analysis of the
whole soil-foundation-tower is somewhat difficult,
while the assessment of foundation head stiffness
has been found to date the key component of the
authentic estimation of the system Eigen frequency.
In the treatment of Eigen frequency of this
complex system f1, the behavior of surrounding
soil can be governed by what have come to be
popularly known as infinite stiffness medium.
This model allows the wind turbine to be mod-
eled as an inverted pendulum with flexural rigid-
ity EI and mass properties (e.g., tower mass per
meter mT and a superstructure mass mt) (Vught
2000). Consequently, the first Eigen frequency is
described by:
3.04 EI
f1 ≅
( mt + 0.227 mT LT )4π 2 L3T
In which LT is the tower height.
The equation above is consistently challenged by
the need to take in to account the important aspects
of laterally loaded OWT as accurately as possible.
Within the context of soil-foundation interac-
tion, the “1” subscript will hereafter be converted
to “FB” for convenience and constituency with the
notation used in the literature.
Characterization of the global natural frequency
requires consideration of springs’ stiffness since
the response depends to a large extent on monopile
head stiffness and tower bending stiffness.
For the purpose of this section, the point at which
the conflicting requirements of simplicity and accu-
racy are balanced depends on three-spring flexible
foundations model proposed by Arany et al. (2015) as:
f0 = CLCR fFB (9)
where f0 and fFB are natural frequency of the whole
system and base frequency that can be approxi-
mated by Eq. (9), respectively. The CL and CR
termed hereafter as foundation flexibility factors
(Bouzid et al. 2018).
The foundation flexibility factors can be calcu-
lated as:
1
CR = 1 − (10)
 η 2
1 + 0.6  ηR − LR 
 ηL 
1
CL = 1 − (11)
 η 2
1 + 0.5  ηL − LR 
 ηR 
K L L3 K L2 K L
ηL = , ηLR = LR , ηL = R (12)
EIη EIη EIη
where EIη is the equivalent tower bending stiffness
and η is the soil-foundation interaction coefficient
as a function of the towers bending stiffness.
An illustrative example is analyzed here cor-
responding to the natural frequency of a 5 MW
reference wind turbine. A few turbine data that is
needed through the current study is summarized in
(8)
Table 3.

Table 2. The flexibility and stiffness coefficients corresponding to different aspect ratios (Lp/D).

Model
characteristic, IL IR ILR kL kR
(Lp/D) (m/GN) (rad/GNm) (GN–1) (GN/m) (GNm/rad) KLR (GN)

4 2.3483 0.024357 –0.179 0.968243 93.35184 –7.1157

5 2.0313 0.021907 –0.1537 1.049387 97.3 –7.36
6 1.928 0.0215 –0.1478 1.0976 98.43 –7.55
8 1.9 0.0214 –0.1475 1.1206 99.3324 –7.686

34
Table 3. Details of the OWT support structure.
Top diameter of the tower (m) 3.87
Bottom diameter of the tower (m) 6 MacDonald, J.H.G. 2015. An analytical model to pre-
Wall thickness of the tower (mm) 27
Height of the tower (m) 87.6
Platform height (transition piece) (m) 30
Mass of RNA (tons) 350
Mass of tower (Tons) 347.5
Rated rotor speed (rpm) 6.9–12.1
Table 4. Predicted natural frequencies versus monopole
aspect ratio.
Model characteristic, Predicted frequency
(Lp/D) f0 = CRCLfFB
4 0.18
5 0.1834
6 0.1838
8 0.1839
As exhibited in Jalbi et al. (2018), the base fre-
quency is calculated 0.21 Hz.
The computed natural frequency which is obtained
using Eq. (9) for each OWT model is expressed in
( )
L
terms of the aspect ratio Dp as in Table 4.
Insight into the effect of soil-structure interac-
tion on the whole system can now be gained in
which the natural frequency of the equivalent sys-
tem is lower that that of the fixed-based structure.
4 CONCLUSIONS
3D finite element analyses were carried out for the
impedance functions of monopiles supporting a 5
MW OWT which will be modeled as single degree
of freedom system, via three springs so called
lateral stiffness KL, rotational stiffness KR, cross-
coupling stiffness KLR attached to the support
structure base at the mudline level.
As a result, the effect of SSI in particular for
monopiles was shown to reduce the natural fre-
quency of the OWT to a value lower that of the
structure under fixed-base conditions. This reduc-
tion is more pronounced in monopiles having
length lower than a certain value which will be
termed in a separate work as active length.
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turbines considering soil-structure interaction. Wind
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dict the natural frequency of offshore wind turbines
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Vabbersgaard, L.A. 2015. Transient analysis of mono-
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Design peculiarities of foundation structures in permafrost and

seismically active areas

T.A. Belash
Emperor Alexander I St. Petersburg State Transport University, Saint-Petersburg, Russia

ABSTRACT: The eastern areas of Russia are experiencing series of development projects that are com-
plicated by geotechnical and seismic conditions marked by the combined effect of permafrost and high
seismic activity. Despite the experience gained designing buildings for operation in these areas, more
surveys are needed in order to explore the conditions for trouble-free performance and operation of the
buildings with account of the effect in question, as well as concrete design recommendations.

1 INTRODUCTION designs of ducts and pipes in foundations; thermal

In the vast part of the Russian Federation, the
construction projects are challenged by complex
geotechnical conditions aggravated by permafrost
and seismic activity of magnitude 7 and higher.
Moreover, the occurrence in the area in question
of seismic forces is much higher than in the areas
with normal soil conditions. As known and recom-
mended by Building Code 25.13330.2012, the con-
struction in permafrost areas should follow two
principles:
– Principle 1: preserve the permafrost throughout
the construction process and entire operational
cycle;
– Principle 2: exploit the foundation soils when
they are thawed or thawing. For this purpose,
the soil should be allowed to thaw to the required
depth either prior to the start of the construc-
tion or during the operation of the constructed
building.
The observance of Principle 1 is expedient
in cases where the permafrost soil can be kept
unthawed throughout the entire period of opera-
tion of the constructed project. On seismically
active sites with hard frozen soil, the observance
of Principle 1 is preferable.
The regulatory guidelines prescribe Principle
2 be observed on sites underlain by rock or simi-
lar formations with low compressibility, in which
thawing-induced deformations do not exceed the
maximum allowed limit for the given project.
Crucial to the selection of the construction prin-
ciple is also thermal behavior of the building itself
and the amount of heat it emits.
Conducive to preservation of permafrost (Prin-
ciple 1) are ventilated crawlspaces; ventilated
protection shields; seasonally operated cooling
devices; crush-rock pads; among others. Out of the
above designs, most commonly used are ventilated
crawlspaces, the arrangement of which often uses
elevated pile foundation grills.
When Principle 2 is adhered, a set of measures
should be in place to reduce the foundation defor-
mation. The following measures are recommended
by Building Code 5.13330.2012:
– artificial thawing and subsequent compaction of
foundation soils;
– replacement of icy soils with thawed or non-
subsiding soils (macrofragmental or sandy);
– limiting of permafrost thawing depth with sub-
sequent stabilization of near-surface permafrost
throughout the operational cycle;
– increasing of depth of foundations by cut-
ting into icy grounds and laying the founda-
tions on rock of similar formations with low
compressibility.
It should be noted that permafrost founda-
tion soils constitute the subject of many studies
(Tsytovich 1973, Vyalov et al. 1976, Kudryavtsev
1978, Dalmatov 2001, Kudryavtsev et al. 2014,
Shesternev 2014).
Together with seismic activity, the above men-
tioned properties of permafrost foundation soils
may influence the behavior of buildings to a large
extent. Challenging in terms of construction are
many areas of the Russian Federation (Fig. 1).
Seismic characteristics of permafrost soils have
been explored by many research teams (Solonenko
1964, Chemezov et al. 2007, Solonenko 1979,
Solonenko 1981, Grib 1983). Particularly, the
paper by S.I. Grib (1983) gives the following
description of a permafrost area: the Baikal

36
 to Building Code 25.13330.2012, construction
projects in earthquake-prone areas can use all types
of piles except those without lateral reinforcement.
Piles should be driven to the minimum depth of
4 m. It should be noted that the preferred design
is elevated pile foundation grills (Grib 1983). Piles
serve as flexible elements functioning also as seis-
mic isolation. As known, seismic isolation is seen
by earthquake-resistant construction as one of the
most effective ways of seismic protection of build-
ing and structures (Belash 2016, Kelly 1997, Skiner
1993, Martelli & Forny 2006). Detailed descrip-
tions of the use of elevated pile foundation grills
as elements of seismic isolation are given in the
Figure 1. Map of seismically active areas with perma-
frost: 1 – earthquake zone (magnitude 6 and higher); papers by many researchers and among them A.T.
2 – permafrost area; 3 – earthquake-prone, permafrost Aubakirov (1991, 1988). In an elevated pile founda-
areas. tion grill, most sensible to the effect of earthquakes
is the junction between the piles and the foundation
grill. Various design solutions have been offered of
Seismic Zone is described by magnitude of 6–10, pile-to-grill joints in order to reduce the dangerous
its permafrost soils can be continuous and frag- displacements from severe earthquakes. One such
mented, with wide temperature ranges. The stud- solution is presented in Figure 2 (Aubakirov 1976).
ies by V.P. Solonenko (1979, 1981) are dedicated This solution uses extra piles to limit possible
to seismic phenomena in Baikal Region, an area displacement. Their heads are located uncon-
which is marked by a special type of permafrost— strained in socket-type ledges in the lower section
the ‘Baikal permafrost’, whose near-surface layer is of the foundation grill. In the design solution pre-
fragmented permafrost, the middle layer is thawed sented in Figure 3 (Belash & Sergeev 2015), the
soils, and the lower layer is continuous permafrost.
The earthquakes that occur here are characterized
by asymmetrical, unevenly distributed vibrations.
It should be noted that here runs Baikal-Amur
Mainline Railway and lots of populated localities
are situated.
With earthquake of magnitude 6–9, the area of
Yakutia is continuous permafrost with unfrozen
thaw bulbs and salinized permafrost soils. Here,
the soils subside heavily when they are thawing.
Magadan Region experiences earthquake of 6–7
magnitude. The highest concentration of epicent-
ers occurs near Magadan. The areas of Magadan
and the coast of the Sea of Okhotsk are moun- Figure 2. An earthquake-resistant building with extra
tainous, with fragmented lenses of permafrost and piles (Aubakirov 1976): 1 – building; 2 – pile; 3 – elevated
soils composed of icy sands, permafrost pebble- foundation grill; 4 – tie joints; 5 – extra piles; 6 – sockets
stone, etc. in the lower section of the foundation grill.
One of the most seismically endangered areas
is Kamchatka, with magnitude of 6–9, continu-
ous and fragmented permafrost, and soils ranging
from alluvial, peat-covered deposits to rock.
Given these unfavourable conditions, building
design solutions require careful planning, and it is
essential that the selection of Principle 1 or 2 relies
on careful prediction of efficiency. To implement
either of these principles, piled or pier foundations
are constructed, among other designs.
When Principle 1 is selected, and based on the Figure 3. Earthquake-resistant building design (Belash
recommendations for sites experiencing the com- & Sergeev 2015): 1 – support member (pile); 2 – hollow,
bined effect of permafrost and seismic activity, inclined piles; 3 – fastening elements; 4 – tension bars; 5 –
piled foundations are most expedient. According soil; 6 – damper; 7 – building.

37
elevated pile foundation grill is capable of damp-
ing seismic vibrations due to its flexible elements,
while the effect of extreme earthquake vibrations
is mitigated by the tension bars connected to the
piles via fastening elements. To increase the opera-
tional range, the tension bars are tilted relative to
the horizon. They transmit the load to dampers
that are embedded in soil and located in the planes
of the inclined piles.
Seismic vibrations become damped by elevated
pile foundation grills due to the flexibility of their
piles and the dry friction forces occurring as the
reinforced concrete slab in the lower section of the Figure 5. Three-dimensional foundation platform
foundation moves along the fill material (Fig. 4) (Abovsky et al. 2003): 1 – foundation platform; 2 –
(Belash & Sergeev 2013, Sergeev 2015). upper ferro-concrete slab; 3 – lower ferro-concrete slab;
It should be noted here that despite the multi- 4 – strut-framed beam; 5 – support pillars; 6 – bridging
tude of constructive proposals contained in pat- pieces; 7 – embedded parts; 8 – soil; 9 – crawlspace; 10 –
ent literature on the use of piled foundations for slip membrane.
seismic isolation purposes, the embodiment of a
piled foundation that would be able to reduce the
seismic load and at the same time enable the imple-
mentation of Principle 1, should be preceded by
more studies that take into account the effect of
permafrost and seismic activity.
As for Principle 2, it, too, can be achieved through
various foundation designs. A foundation design
which is most difficult to achieve in this case is the
one that would be able to with stand not only stati-
cal load but also the dynamic forces of earthquakes.
Promising in the field of building design and
construction in earthquake-prone, permafrost areas
where Principle 2 is observed, is the use of three- Figure 6. Seismic resistance system of building
dimensional platform foundations. Such designs (Abovsky & Maximova 2008): 1 – solid-cast, three-
dimensional foundation platform; 2 – slip membrane;
are resistant to deformations caused by uneven set-
3 – foundation; 4 – upper and lower foundation slabs;
tlement of foundation and seismic forces—due to 5 – two-way beams; 6 – anchorage; 7 – building; 8 – trench.
their three-dimensional performance and stiffness.
Some of the three-dimensional platform founda-
tions are presented in Figures 5 and 6. embedded in soil, and there a slip membrane
Figure 5 (Abovsky et al. 2003) shows a foun- between the soil and the slab surface. The three-
dation platform that consists of two slabs con- dimensional foundation platform design which
nected with one another by beams to form a single is intended for use on permafrost, is presented in
three-dimensional system. The lower slab is not Figure 6 (Abovsky & Maximova 2008). These
design solutions do look promising, but their effec-
tiveness needs to be proved in earthquake-prone,
permafrost areas.
All things considered, further analyses and cal-
culations are needed, with account of both Princi-
ple I and Principle 2, in order to ensure the reliable
operation of buildings in earthquake-prone, per-
mafrost areas. Their data will be essential to making
rational choice of the foundation design solutions.

2 DESIGN CALCULATION METHODS

Figure 4. Piled foundation design (Belash & Sergeev
2013): 1 – cantledge in the form of concrete slab; 2 – fill Emperor Alexander I St. Petersburg State Trans-
material; 3 – casing pipe; 4 – piles; 5 – elastic vibration port University’s Department of Buildings
restraints. conducts studies into the behavior of different

38
buildings, including those of transport purposes,
in the areas exposed to the combined effect of per-
mafrost and seismic activity. Some of the results of
the completed studies are presented in this article.
To illustrate implementation of Principle 1,
let us give an example of a large-panel house on
elevated pile foundation grill. Its piles were square
ferro-concrete piles with the cross section varying
from 30 × 30 cm to 40 × 40 cm. The foundation
grill had a height of 40 cm, and piles were 10 m
long. The foundation grill was a one-piece ferro-
concrete beam that supported the superstructure.
The length of unrestrained part of the piles varied
between 2.5 m and 8 m. The study made use of
a series of single-mass calculation models. Seismic
load was calculated using the linear-spectral meth-
ods with account of the design standards in Build-
ing Code 14.13330.2014 “Construction in Seismic
Areas”. As stated above, the elements of the piled
foundation were designed to serve as a nonrigid
connection between the permafrost foundation soil
and the aboveground part of the building, which
enables seismic isolation. According to recom-
mendations (Belash 2016), seismic isolation will be
effective only when it corresponds to the period of
self-induced vibrations of the building on nonrigid
supports which equals or is higher than T = 1,5–2 s.
The study was tasked to identify the length of the
unrestrained part of the pile, at which the required
seismic isolation could be achieved. The motion of
the building was seen as a rigid body on nonrigid
hinge supports in its upper part and anchored in
its lower part. The designed magnitude of seismic
activity equaled 7, 8 and 9.
The study had found that the longer the unsup-
ported length of pile, the longer the period of self-
induced vibrations of the building. This relation
leads to lower seismic load and, consequently, bet-
ter seismic isolation. Yet, the seismic isolation can
be effective only at the unsupported length of pile
of 5 m or more. Any increase in the unsupported
length of pile implies having to increase the area
of reinforcement and, consequently, higher con-
struction costs. Most optimum were the results
for piles with 40 × 40 cm cross section, unsup-
ported length of 6–8 m, and at seismic magnitude
of 7. With an increase in the strain capacity of
piled foundations, the strain in pile-to-grill joints
increases proportionally. Also, retaining the effect
of seismic isolation at higher magnitudes involved
alteration of the pile design and introduction of,
for instance, metal pipe piles. It should be noted
that our design of elevated pile foundation grill
was damperless, otherwise its performance would
have been different.
Next, metal piles of annular cross section were
considered. There were several trial designs, some
of which are presented in Figure 7.
39
Figure 7. Elevated pile foundation grill design diagrams:
a) simplified cross section of the building; design model
with absent pile foundation; b) simplified cross section
of the building; design model with pile foundation; c)
elevated pile foundation grill design in permafrost soil.
The calculations made use of spectral methods.
The following characteristics of the permafrost
soil were assumed:
– sand: modulus of deformation – 30 MPa; and
– clay: modulus of deformation – 10 MPa.
Poisson number for sand – 0.13; for clay – 0.26.
As previously, the calculations were performed
using SCAD software.
The unrestrained part of the pile had a height
between 2 m and 5 m and a spacing of 0.5 m. In
our design models, soil was simulated with the use
of solid elements of their own rigidity. Some of the
results are given in Tables 1, 2 and 3.
To retain the resilience of piles and reduce the
load on them, one more design option was consid-
ered that involved more piles. With the cross section
of the piles and the elevation of the foundation grill
unchanged, the increase in the number of piles has
led to a significant reduction in the forces sustained
by the piles. One of the possible structural embodi-
ments of piles we arrived at, was C690 steel piles
with annular cross section and outside diameter ∼
20 cm according to GOST 8732-78. The height of
the unrestrained part of the pile was 4 m. This design
of elevated pile foundation grill enabled a 25% to
80% reduction in the load sustained by the building.
At the second stage of our study, we focused on
implementation of Principle II in the design of a
terminal station foundation (Fig. 8).
The selected design solution involved a three-
dimensional, one-piece foundation platform for
the entire building. It was a composite construc-
tion consisting of several boxlike sections.
 The design model was built in order to estimate
the effect from the permafrost thawing basin on the
stressed-deformed state of the load-bearing elements
pf the terminal station. As previously, the calcula-
tions were performed using SCAD software. Some
of the design models are presented in Figure 9.

Table 1. The effect of pile rigidity and pile-to-grill

joints.

Displacement, δ, m

Pile In the In the

diameter, upper lower In the
cm; part part upper part Period of
2 cm wall of the of the relative to oscillation, Figure 8. Longitudinal profile of the building.
thickness building building lower part Ts, sec

Hinge support
32.5 0.25 0.16 0.09 0.95
35.5 0.24 0.15 0.09 0.92
40.6 0.22 0.13 0.09 0.89
45.0 0.21 0.12 0.09 0.87
50.0 0.20 0.11 0.09 0.86
Anchorage
32.5 0.19 0.09 0.10 0.84
35.5 0.18 0.09 0.09 0.84
40.6 0.17 0.08 0.09 0.83
Figure 9. Soil mass breakdown into structural ele-
45.0 0.17 0.08 0.09 0.825 ments: a) transversely (Hsoil = 15 m); b) longitudinally
50.0 0.16 0.08 0.08 0.82 (Hsoil = 30 m).

Table 2. Soil conditions comparison results.

Total force in the lower part

Displacement, δ, m of the building

Cross section. In the upper In the lower In the upper Period of

height above Soil part of the part of the part relative to oscillation,
ground type building building lower part Ts, sec M, t*m N, t Q, t

D = 32.5 cm. Sand 0.25 0.16 0.09 0.95 26059 2296.76 2479.5
s = 2 cm.
2.5 m
D = 32.5 cm Clay 0.34 0.20 0.14 1.4 16115.6 2298.4 1510.67
s = 2 cm.
2.5 m

Table 3. Effect of the anchored part of the pile on the period of oscillation.

Displacement, δ, m

Penetration In the upper part of In the lower part of In the upper part Period of oscillation,
of pile, m the building the building relative to lower part Ts, sec

10 0.25 0.16 0.09 0.95

7.5 0.26 0.16 0.1 0.966
5 0.26 0.16 0.1 0.98

40
Table 4. Stress-deformed state parameters in design model options.

Design model options Maximum value of parameter

1 2
Element ∆z max, mm σx, kN/m2 σy, kN/m2

Option I
Non-frozen soil Roof slabs −4.54 −1730.18 −2056.60
(Hsoil = 15 m) 745.86 2453.52
Foundation −2.71 −1671.94 −2056.60
726.79 1387.86
Element N. kN M. kNm Q. kN
Pillars −590 −80.51 −44.64
69.19 39.06
Foundation beam −5.86 −64.54 −57.32
32.62 50.15
Option II
Frozen soil Roof slabs −3.39 −1727.67 −2078.93
(Hsoil = 15 m) 739.82 2459.70
Foundation −1.47 −1634.76 −2078.93
725.33 1393.98
Element N. kN M. kNm Q. kN
Pillars −591.3 −79.61 −44.45
68.38 38.90
Foundation beam −5.80 −64.82 −57.41
32.67 50.24
Option III.1
Thawing basic – 6 m; Roof slabs −3.63 −1732.34 −2053.02
Soil mass – 15 m 756.64 2452.70
Foundation −1.78 −1689.51 −2053.02
729.83 1388.65
Element N. kN M. kNm Q. kN
Pillars −589.5 −80.72 −44.65
69.37 39.07
Foundation beam −5.92 −64.47 −57.30
32.64 50.14
Option III.2
Thawing basic – 12 m; Roof slabs −4.03 −1755.10 −2034.78
Soil mass – 15 m 779.88 2450.45
Foundation −2.28 −1755.10 −2034.78
736.77 1385.94
Element N. kN M. kNm Q. kN
Pillars −588.5 −81.64 −44.71
70.18 39.12
Foundation beam −5.98 −64.23 −57.25
32.52 50.09
Option III.3
Thawing basic – 27 m; Roof slabs −9.03 −2073.78 −2026.00
Soil mass – 30 m 1159.76 2408.81
Foundation −7.62 −2073.78 −2026.00
745.06 1383.40
Element N. kN M. kNm Q. kN
Pillars −584.7 −85.86 −44.74
73.93 39.15
Foundation beam −6.42 −62.97 −56.91
32.34 49.80

41
 In our design model, soil mass was simulated
using solid finite elements, to which rigidity char-
acteristics were assigned based on frozen and
thawed state of the soil. The ration of “frozen” and
“thawed” elements varied greatly,
, which enabled us to model the
growth of the thawing basin underneath the entire
building. The soil depth was assumed equal 15 m
and 30 m. The examples of soil mass breakdown
into elements are given in the design diagrams. The
design diagrams were built based on recommenda-
tions in (Paramonov & Nabokov 2014).
For the purpose of comparative analysis, two
more models were built in addition to the one
showing the growth of the thawing basin under the
building. One model (“zero” model) assumed that
the foundation was underlain by permafrost, and
the other (“reference” model) that the soil under the
foundation was non-frozen. The following assump-
tions were made:
– for all finite elements comprising the soil mass,
rigidity properties are the same in both frozen
and non-frozen states;
– the rigidity properties of thawed soil vary across
layers, the upper layers consisting of “loose” soil
and the deeper ones of more rigid soils (within
the range established for thawed soils).
The magnitude of seismic forces was assumed
equaling 9. The calculation used full static load
and a combination of static and dynamic loads.
Some of the results are presented in Table 4.
The studies have shown that as the thawing
basin grows, the elements of the building experi-
ence significant settlement deformation. Yet, even
at 27 m depth, the settlement is within the allowed
range. It has been found that the settlement expe-
rienced by the foundation design under analysis at
its foundation base, inclusive of the seismic forces,
is evenly distributed, the difference between maxi-
mum and minimum values being around 0.65 mm.
All the load-bearing elements, including founda-
tions, show an increase in their internal forces,
which is especially manifest under seismic load.
However, the maximum compressive and tensile
stresses they sustain are within the allowed range.
The analyzed results enable a conclusion that the
behavior of the three-dimensional, boxlike foun-
dation remains reliable during thawing under both
static and dynamic loads.
3 CONCLUSION
1. One of the most challenging tasks faced by the
construction sector is designing buildings for
42
operation in areas with severe climate, perma-
frost soils, and seismic activity. In such areas,
safety and reliability of buildings can be assured
only if they rely on high-performance design
solutions with carefully elaborated foundations.
2. The many-year experience of construction on
permafrost foundations has generated two basic
principles for assuring the reliability of build-
ings—Principle 1 and Principle 2 which are
enshrined in building standards and are obliga-
tory to observe.
3. Each of the principles of construction on perma-
frost foundations has its own scope of applica-
tion, which must be considered also when dealing
with earthquake-prone sites, and is designed to
achieve maximum possible reduction of the
probability of structural damage or failure.
4. When Principle 1 is followed, which targets to
preserve permafrost in seismically-prone areas by
using, for instance, elevated pile foundation grills,
it is recommended that the piles be designed
as flexible elements for ensuring seismic isola-
tion between the foundation and the building,
in which case most reliable are metal piles with
annular cross section and unsupported length of
more than 3 m. Such piles enable at least two-fold
reduction in the seismic load on the building.
5. When Principle 2 is followed in seismically-
prone, thawing areas, it is recommended that
the foundation design be that of a three-
dimensional platform of, for instance, boxlike
elements. This design solution enables the foun-
dation to withstand the deformations caused
by uneven settlement not only under static load
but also under seismic load—due to its three-
dimensional performance and the structural
rigidity of foundation.
The studies were assisted by master’s and PhD
students of Department of Buildings—D.A.
Sergeev, T.M. Chirkst and M.N. Mitrofanova.
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Aubakirov, A.T. Pile Foundations as Seismic Isola-
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Kucherenko Research and Structural Engineering
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Aubakirov A.T. 1988. Pile Foundations as Seismic Isola-
tion. Alma-Ata: Kazakhstan. 166 p.
Belash, T.A. 2016. Non-Conventional Seismic Protection
Methods for Transport Works. M.: Railroad Transport
Training and Resource Center. 175 p.
Belash T.A., Sergeev, D.A. 2013. An earthquake resistant
foundation in permafrost areas // Earthquake Resist-
ant Engineering. Structural Safety. Iss.6. pp. 40–42.
Chemezov, E.N., Petrov, A.F. & Blinova, T.E. 2007. On
Seismic Hazard of Yakutsk // Journal of M.K. Ammo-
sov North-Eastern Federal University. Vol.4. Iss. 3.
pp. 33–38.
Chernysheva, I.A., Mashchenko & Vashchenko. A.V.
2016. On Methods Ensuring Protection from Frost
Heaving // Journal of Perm National Research Poly-
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Dalmatov, B.I. 2001. Designing Foundations of Buildings
and Subsurface Spaces. 2nd Edition. M.: ACB Pub-
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156644 RF.: 02 D 27/34/ Belash T.A.,
Sergeev, D.A.; applicant and patent holder: Emperor
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10.11.2015, Bull. No.31.
Grib, S.I. 1983. Pile Foundations in Permafrost Soils in
Seismically-Prone Area. L.: Stroyizdat, 152 p.
Kelly, J.M. 1997. Earthquake resistant design with rubber.
Springer. 243 p.
Kotov P.I., Roman L.T., Sakharov I.I., Paramonov
V.N. & Paramonov M.B. 2015. Influence of Thaw-
ing Conditions and Type of Testing on Deformation
Characteristics of Thawing Soil. Soil Mechanics and
Foundation Engineering 52(5). C. 254–261.
Kudryavtsev, S.A., Sakharov, I.I. & Paramonov, V.N.
2014. Soil Freezing and Thawing (case studies and
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Kudryavtsev, V.A. 1978. General Frozen Soil Studies
(Geocryology). 2nd Edition. – M.: MSU Publishing.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Geotechnical aspect of load-bearing analysis of explosively driven pile

foundation soil

L.M. Borozenets
Togliatti State University, Togliatti, Russia

ABSTRACT: This paper illustrates that the bearing capacity of granular soils used as foundation of
explosively driven piles results from two processes, one being the initial displacement of soil during explo-
sion drilling and the other the subsequent secondary displacement which is induced mechanically by
loaded piles. The practical issues have been addressed of the bearing capacity and settlement analysis of
granular soils used as foundation of explosively driven medium- and large-size piles. For the first time
ever, the maximum physically possible bearing capacity has been achieved in the granular soils used as
foundation of explosively driven medium- and large-size piles with a diameter of 2.8 m and larger.

Keywords: soil, foundation soil, blast effect, displacement of soil, borehole, pile, classification, resource,
nonlinearity, graph, load, settlement

1 INTRODUCTION developed as part of a series of projects to engineer

A series of theoretical and experimental studies
have been conducted that enabled to achieve the
maximum physically possible bearing capacity in
the granular soils used as foundation for single,
explosively driven, vertically loaded, large-size
piles with dp ≥ 2.8 m. This became possible due
to solving some of the fundamental issues of
geoengineering and, particularly, the novel linear
and nonlinear theories of granular soil mechan-
ics applied to single, explosively driven, vertically
loaded piles; and applied issues of geoengineering
and, particularly, the technology of explosive dis-
placing of boreholes and sustainable installation
of explosively driven piles, as well as design analy-
sis and calculation of explosively driven piles and
load-bearing capacity of explosively-displaced,
compacted foundation soils (Borozenets 2015).
The bearing capacity of granular soils used as
foundation for explosively driven piles results from
two processes—displacement of soil during explo-
sion drilling and subsequent secondary displace-
ment which is induced mechanically by loaded piles.
2 EXPLOSIVE, HOLE-FORMING
DISPLACEMENT OF FOUNDATION SOIL
The vehicle for the explosive displacement of
foundation soil technology is a new solution
its technological equipment (Borozenets 2014).
The explosive displacement of foundation soil
technology has received description and has been
tested using the explosive device for installation of
explosively driven piles, which has proven capable
of creating the target stresses and displacements
while also increasing the density and quality of
the granular soil surrounding the hole (Borozenets
2016). The holes were displaced to acquire a
strictly rectilineal and cylindrical form, followed
by installation of the explosively driven piles of
the sustainable design. Field and laboratory test-
ing has been conducted of the bearing capacity
of explosively driven pile foundation soil, which
indicated, based on a number of parameters, the
improved density and quality of the foundation
soil compacted around the explosively driven pile.
A linear mechanics theory has been developed for
granular soils for vertically loaded piles. Theories
have been developed also of nonlinear soil stresses
and deformations occurring in the zones of five
ultimate equilibrium states in the granular soils for
vertically loaded piles.
Geotechnical rationales are provided for
design analysis and methods for calculating the
dimensions of the zones of five ultimate equilib-
rium states in the granular soils and for graphical
contouring of the granular media of explosively
compacted and improved soil around the hole
(Fig. 1).

44
 generated by the minimum main normal soil com-
pression stress σ3. For the 216 mm diameter explo-
sively driven pile under analysis, the normal stress
due to the lateral area of the hole being compressed
by soil equals ∑σ3(0–3) = 33.9 kPa in the third zone
of limit equilibrium states. In the fifth zone of
limit equilibrium states, the normal stress due to
the lateral area of the hole being compressed by
soil, which is experienced by the pile in a 500 mm
diameter hole, equals ∑σ3(0–5) = 99.3 kPa. Also, in the
fifth zone of limit equilibrium states, the total com-
pression experienced by the lateral area of the hole
for 216 mm diameter explosively driven pile quals
∑σ5(0–5) = 345.1 kPa, which is a sum total of the
maximum σ1 and the minimum σ3 of the main nor-
mal soil compression stresses, designated as σ total.
Figure 2 shows σ = f(d) line graph (A), plotted
from the tabulated coordinates of points 0, 1 and
2 in σ – d system.
Based on stress ∑σ3(0–5) = 99.3 kPa, point 3 is
fixed on graph A with coordinate dp = 0.8 m,
which is the largest diameter of pile at which the
ultimate compression stress σ3(0–5) occurs along
the lateral area of the hole due to the minimum
main normal soil compression stress σ3. Based on

Table 1. Stresses σn and diameters dn.

Point 0 1 2 3 4

σn, kPa 0 33.9 60.7 99.3 345.1

dn, m 0 0.22 0.50 0.80 2.80

Figure 1. Formation of the zones of five ultimate

equilibrium states of soil 1…5, zone of explosively com-
pacted foundation soil 6, explosively displaced hole 7,
compacted soil cone 8, concave bottomhole 9, angle
α = 2ϕ of cone, daylight surface by squeezed soil 10 (O.C.
= line of symmetry).

3 EXPLOSIVELY DRIVEN PILES

CLASSIFICATION BY DIAMETER

The technology for installing explosively driven

piles distinguishes itself by free pouring of con-
crete with sufficient consolidation of it inside the
hole. As was shown by geotechnical calculations,
the normal compressive stresses σ due to the lateral Figure 2. Soil stresses in limit equilibrium state zones
area of the hole being compressed by soil and the vs. diameter of explosively driven pile: A – medium-size
equivalent tangential stresses τ due to the response piles with diameter up to 0.8 m; B – large-size piles with
to loading applied by penetration of piles, are diameter between 0.8 m and 2.8 m or larger.

45
stress ∑σ5(0–5) = 345.1 kPa, point 4 is fixed on graph where ϕ = soil internal friction angle.
B with coordinate dp = 2.8 m, which is the largest Soil elastic strain:
diameter of pile at which the ultimate compression
stress ∑σ5(0–5) occurs along the lateral area of the σd = γd (6)
hole due to the aggregate main soil compression
stress σ. Explosively driven piles with diameter dp ≤ where γd = specific weigh of soil skeleton (dry).
0.8 m area classified as middle-size, and those with Maximum stresses in soil limit equilibrium state
diameter 0.8 < dp< 2.8 large-size. zones of elastic viscosity:

σi = τi = (σd + ) tgϕik (7)

4 SECONDARY MECHANICAL
DISPLACEMENT OF SOIL BY where i = number of soil limit equilibrium state;
EXPLOSIVELY DRIVEN PILES k = aggregate normal soil compression strain
coefficient
This section explores the subsequent secondary
displacement of soil by single, vertically loaded, k = k1 + k3 = cosϕ + sinϕ (8)
explosively driven piles. A theoretical and experi-
mental study was conducted into the process of Sum total of elastic viscosity strain by zone:
secondary mechanical displacement of soil, which
had been pre-compacted by explosively driven pile σ0–i = τ0–i = σ0–(i–1) + σi = τ0–(i–1) + τi (9)
under the vertical load applied by its coned bottom
to the footing of the conventional foundation soil Loads on the five limit equilibrium state zones
mass, causing the soil to displace under strain; the in the cone area:
soil around and along the hole to deform under the
pressure of the soil being displaced; normal stresses Pki = Aκ σ 0− i (10)
as the hole becomes compressed by the soil and
equivalent tangential stresses as the soil resists the where = lateral area of cone.
penetrating pile; bearing capacity and residual dis- Minimum main normal compression strain and
placement of granular soil under the load of single, equivalent tangential shear strain in five limit equi-
vertically loaded, explosively driven piles. A linear librium state zones:
mechanics theory has been developed for granu-
lar soils for single, vertically loaded, explosively σ 3.i = τ 3.i = (σ d + c ) tgϕ i k3 (11)
driven piles. The geotechnical method is developed
for calculating the bearing capacity of secondary,
where k3 = sinϕ – aggregate strain coefficient (8).
mechanical displacement of granular soils under
Aggregate strains by zone:
single, vertically loaded, explosively driven piles.

∑σ 3 ( 0− i ) = ∑τ 3 ( 0− i ) = σ 3[ 0− ( i−1)] + σ 3.i . (12)

5 THE GEOTECHNICS OF THE BEARING
CAPACITY AND SETTLEMENT Critical load on explosively driven pile across
ANALYSIS OF GRANULAR SOIL the five zones of soil limit equilibrium states:
DISPLACED BY EXPLOSIVELY
DRIVEN PILES P1–i = Pic + Pik + P[1–(i–1)], (13)

The analysis in question is conducted to determine
the maximum bearing capacity of granular soils in
the fifth zone of limit equilibrium state and the sta-
bilized settlement of a medium-size 0.8 m diameter,
12.0 m long explosively driven pile in stratified argil-
laceous soil, using the following data and equations
(Borozenets 2016). Soil internal friction angles in
five zones of the soil limit equilibrium states:
where Pic and Pik = loads on hole and cone area,
respectively; and P[1–(i–1)] = load from preceding
zone.
Ultimate load on pile with allowance for soil
pre-stressing by hole-concrete interaction along
the lateral area of the hole:
Pi = P0–i + Pb, (14)

ϕ1 = ϕ (1) where Pb = pre-stressing due to soil-concrete

ϕ2 = 22.5° + ϕ/2 (2) interaction.
ϕ3 = 45° (3) Figure 3 shows the scheme for zones 1…5 of soil
ϕ4 = 67.5° – ϕ/2 (4) limit equilibrium states to form along the lateral
ϕ5 = 90° – ϕ (5) area of cone 1 due to load N applied to pile 2 and

46
zones 1…5 and the resultant pressure causing the
soil to displace from under the cone and along the
lateral area of the explosively driven pile.
The moduli of total deformation and nonlinear
aggregate linear deformation of soil in the first E1
and E10 and second E2 and E20 of limit equilibrium
zones of phase A compacted soil are determined
based on the cone footing base and pile diameter:
dy = 2(R3 + 0.5∆h2),
E10 = (1 − ν 2 )Py1 / d yS1,
where ν = soil lateral expansion coefficient; 1 =
load applied to the conventional soil mass footing,
see formula (14); and S1 = test pile settlement;
E1 = E10 / Κ 10 ,
Within zones three to five of limit equilibrium
states in phase B compacted soil at deformation
modulus E = 5.2 MPa and pile cone diameter
dc = 0,8 m:
E30− 5 = EK30− 5 . (20)
Final compressibility of soil between the bound-
aries of limit equilibrium state zones:
(15)
(16) S1− 2 = (1 − ν 2 )Py (1− 2 ) / d y E10− 2 , (21)
S3 − 5 = (1 − ν 2 )Pk ( 3 − 5 ) / dc E30− 5 . (22)
The calculated results are shown in Table 2.
Based on the calculated data in Table 2, load vs.
(17) settlement graph S = f(Pn) was plotted (Fig. 4).

where K10 = reference coefficient of proportionality

on nonlinear aggregate soil deformation; Table 2. Stresses σn, loads Pkn, Pyn and settlements Sn.

E20 = E1 / K 20 , (18) LES 1 2 3 4 5

σn, kPa 23.0 60.8 117.8 204.0 345.1

where K 20 = reference coefficient; Pkn, kN 30.9 81.5 158.0 273.5 462.8
Pyn, kN 1464.0 1884.9 2426.3 3238.8 4483.2
E2 = E20 / K 20 . (19) Sn, mm 5.1 7.8 59.0 159.5 318.0

LES = limit equilibrium state.

Figure 4. Load vs. settlement graph S = f(Pn) for

medium-size, 0.8 m diameter explosively driven pile: 1
Figure 3. Formation of the five zones of limit equilibrium – nonlinear 1…3 zones of soil limit equilibrium states;
states in the soil surrounding the explosively driven pile. 2 – linear 3…5 zones.

47
 The geotechnical algorithm developed for calcu- 6 CONCLUSIONS
lating the load-bearing capacity of medium-size,
explosively driven, 0.8 m diameter pile was used to 1. At this stage of work to develop the geotechnical
calculate the bearing capacity of large-size, explo- rationales for the design analysis and methods
sively driven, 2.8 m diameter pile. The calculated for calculating the bearing capacity of granu-
results are shown in Table 3 and load vs. settlement lar foundation soil for single, vertically loaded,
graph S = f(Pn) in Figure 5. explosively driven piles, the granular soil’s max-
imum physically possible bearing capacity has
been achieved only with large-size, explosively
driven piles with diameter dp ≥ 2.8 m.
Table 3. Stresses σn, loads Pkn, Pyn and settlements 2. The newly developed theoretical method has
Sn. been tested to produce the linear-nonlinear load
vs settlement graph for foundation soil under
LES 1 2 3 4 5
explosively driven pile.
σn, kPa 23.0 60.8 117.8 204.0 345.1
Pkn, kN 278.1 733.7 1422.0 2462.0 4165.4
Pyn, kN 4445.2 11345.8 19449.6 29491.0 44757.3 REFERENCES
Sn, mm 5.1 15.5 177.0 478.6 954.1
Borozenets, L.M. 2014. The Geotechnical Aspect of Explo-
LES = limit equilibrium state. sively Driven Pile Foundation Engineering: Technical
Facilities and Geotechnological Outcomes of Explosive
Drilling of Boreholes/L.M. Borozenets // Proceedings
of the International Engineering Research Conference
“Advanced Geotechnologies in Construction Industry and
Their Scientific Bases”. Spb: SPbGASU. pp. 160–167.
Borozenets, L.M. 2015. The Geotechnics of Foundation
Engineering and Soil Stabilization/L.M. Borozenets//
Monograph. Togliatti, TGU Publishing. 588 p.
Borozenets, L.M. 2016a. Controlled Explosive Drilling
of Boreholes for Pile Foundations/L.M. Borozenets
//ISSN 1068–798 X, Russian Engineering Research,
2016, Vol. 36, 11, pp. 895–901. © Allerton Press,
Inc., 2016. Scopus.
Borozenets, L.M. 2016b. An Integrated Study of Load-
Bearing Capacity of Explosively Driven Pile Founda-
tion Soil/L.M. Borozenets // The Journal of YUrGU.
Series: “Construction and Architecture”, 2016. Vol. 16.
1. pp. 20–25.
Chernov, Y.T. & Zebilila, M.D.K. 2018. Planar vibra-
tions of massive vibro-insulated bodies upon arbi-
trary displacement of the base/Chernov, Y.T., Zebilila,
M.D.K.//ISSN: 0038–0741. Soil mechanics and foun-
dation engineering, 2018, Vol. 55, 3, pp. 190–194.
Scopus.
Il’ichev V.A. & Nikiforova N.S. 2018. Methods for
the determination of curvatures and the difference
between the slopes of foundations as the criteria
of deformation of the basements of buildings and
structures/Il’ichev V.A., Nikiforova N.S.//ISSN:
0038–0741. Soil mechanics and foundation engineering,
2018, Vol. 55, 3, pp. 168–172. Scopus.
Ponomarev A.B. & Sychkina E.N. 2018. On the stress-
strain state and load-bearing strength of argillite-like
clays and sandstones/Ponomarev, A.B., Sychkina,
E.N.//ISSN: 0038–0741. Soil mechanics and foundation
engineering, 2018, Vol. 55, 3, pp. 141–145. Scopus.
Uzdin A.M., Freze M.V., Fedorova M.Y. & Guan Y.
2018. On the reliability of finite-element evaluation of
the dynamic interaction of a structure with the base/
Figure 5. Load vs. settlement graph S = f(Pn) for large-
Uzdin A.M., Freze M.V., Fedorova M.Y., Guan Y.//
size, 2.8 m diameter explosively driven pile: 1 – nonlinear
ISSN: 0038–0741. Soil mechanics and foundation engi-
1…3 zones of soil limit equilibrium states; 2 – linear 3…5
neering, 2018, Vol. 55, 3, pp. 201–208. Scopus.
zones.

48
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Experimental estimate of instantaneous adfreeze strength of glass-fibre

reinforced plastic in frozen soil

A.V. Boyarintsev & S.V. Lanko

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: This paper presents a study into adfreezing strength, a concept that currently remains
underexplored. The description is presented of the laboratory experiment that produced the values of
instantaneous adfreezing strength of two types of glass-fibre reinforced plastic in frozen soil. Relation
coefficients are obtained. The effect is demonstrated of the use of composite materials as the material of
foundation, as compared to steel or concrete.

1 INTRODUCTION
 n

Fu = γ t ⋅ γ c ⋅  R ⋅ A +

∑R af i ⋅ Aaf i 

(1)
A foundation design common used in conditions i=1

of frozen soil is a piled one that uses conven- γc

tional ferro-concrete or steel piles, the latter being
more common due to higher relative load-bearing
capacity (i.e. the load-bearing capacity relative to
density of the material). At the same time, installed
in frozen soils, piled foundations are not without
drawbacks, as the load-bearing capacity depends
not only on thermophysical characteristics of
soil (temperature, moisture content, etc.) but also
on the characteristics of piles (material, surface
roughness). The heaving properties of the active
layer of permafrost soil causes the low-loaded
piles to rise up to several meters higher. In order to
reduce the heaving-induced tangential forces, the
lateral surface of the pile is treated, to the depth
of the active layer, with antifriction compounds.
The pile design which looks more effective is the
one with low adfreeze strength of the upper part of
its lateral surface (for higher resistance to heaving
forces) and, oppositely, high adfreeze strength of
the lower part (for higher load-bearing capacity).
Adfreeze strength should be understood as
resistance to soil shear across the surface where the
frozen soil forms a bond with the material of foun-
dation. This definition is used by N.A. Tsytovich
and B.I. Dalmatov (Tsytovich 1973, Dalmatov
1955). A more detailed interpretation of adfreeze
strength is given in the Russian building codes
(Building Code 25.13330.2012), where adfreeze
strength features as a component of two basic pile
design calculations for permafrost soils (PFS) –
calculation of load-bearing capacity (Raf) (1) and
calculation of resistance to tangential forces of
heaving (estimated relative tangential force of heav-
ing τth) (2), sections 7.2.2 and 7.4.2 [0] respectively.
τ fh ⋅ Afh − F ≤ ⋅F (2)
γn
Adfreeze strength represents a characteristic
that depends on a variety of factors and among
them type, temperature and moisture content of
soil; material of foundation elements; founda-
tion surface roughness; and time. The building
codes prescribe the value of the adfreeze strength
be obtained experimentally. At the same time, for
the purposes of foundation design calculation for
facilities with criticality rating II and III, as well
as for preliminary calculation purposes, tabulated
values are prescribed, given in Annex B (Build-
ing Code 25.13330.2012). Section B.3 of Annex B
introduces coefficient γaf, which takes into account
the material of foundation. The tabulated values of
Annex B need to be multiplied by this coefficient,
whose value is defined by the material of founda-
tion surface. The building code cites values only
for conventional materials such as concrete, wood,
and metal. For instance, for concrete and wooden
surfaces untreated with oil-borne preservatives γaf
equals 1; for wooden surfaces untreated with oil-
borne preservatives – 0.9; and for hot-rolled metal
surfaces – 0.7. Given these values, the use of metal
instead of concrete as a material for piled founda-
tions to be embedded in PFS, is responsible for
a 30% reduction in the bearing capacity of piles
across their lateral surface.
The paper by S.S. Volokhov and N.V. Solovyova
(Volokhov 2010) presents experimentally obtained
data on adfreeze strength of polyethylene film in
various frozen soils. Where films are used instead

49
of steel, the values of instantaneous and long-
term adfreeze strength go down from 30% to 40%,
meaning that coefficient γaf varies between 0.42
and 0.49, which explains the use of films on piles
as protection from heaving.

2 RELEVANCE OF THE EXPERIMENT

Composite materials have recently become the

focus of an increasing number of studies. Our
analysis of literature (Boyarintsev 2018) has found
only one composite-based development for use
in permafrost and frozen soils—the heave resist-
ant branch piece made from modified polyolefin
(Iospa 2015, Alyavin 2013, Pat. 170 032 RF: Figure 1. Test diagram: 1 – frozen soil; 2 – test material;
E02D 5/60 E02D 27/35). According to its specifi- 3 – support; 4 – area distributing the bursting pressure
cation (Series 1.411.3–11 cm.13 Metal Caisson Pile evenly across the sample; 5 – bursting pressure P.
SMOT), the γaf of its material is 0.42.
According to (Boyarintsev 2018), a certain eco-
nomic effect could be achieved from using com- with excessively rough one, designed to increase
posites as a material for heave resistant piles. The adfreeze strength. Both the types were pultruded.
distinctive feature of heave resistant piles consists For the ease of comparison, similar tests were per-
in the special performance of their surfaces that formed on rings made from metal.
contact the surrounding soil. The authors are
of the opinion that the use of composites might
allow engineers to alter adfreeze strength along the
length of the pile to the higher or lower side, by
changing the properties of a given composite. If
implemented, this idea can make heave resistant
piles even more resistant to tangential forces of
frost heaving. Among the potential materials are
polymer composites (PCs), based, particularly, on
glass, basalt, and carbon fiber. However, none of
these materials have been studied for instantane-
ous and long-term adfreeze strength yet. Figure 2. Test samples left to right: glass-fibre rein-
forced plastic with raised roughness; smooth glass-fibre
reinforced plastic; metal.
3 EXPERIMENTAL PROCEDURE

To test the above idea, a series of laboratory exper- Prior to testing, all of the samples had been
iments were conducted to estimate the adfreeze degreased, measured, and weighed. Metal samples
strength of metal and glass-fibre reinforced plastic underwent derusting.
samples. The obtained data was used to calculate In our experiment, we used Cambrian clay of
coefficient γaf for glass-fibre reinforced plastic with disturbed structure. Its samples had been prepared
different surface properties. as follows: first dry clay was milled and then water
Instantaneous adfreeze strength was deter- was added to it in the ratio of 1 liter per 3 kg.
mined by way of pressing the soil through rings
made from the material under testing. Please see
Figure 1 for the test diagram.
The effect of surface roughness on adfreeze Table 1. Physical characteristics of the prepared soil.
strength has been explored by Soviet (Sokolov
Plastic Liquid
1976), Russian (Volokhov 1993), and Canadian limit limit Plasticity Liquidity Density
(Sego & Smith 1989) research teams. All of them Wetness wetness wetness index index ρ,
conclude that the higher the surface roughness, the Soil w, % wp, % wL, % Ip IL kN/m3
higher the adfreeze strength.
Cambrian 54.28 24.26 41.8 17.5 1.7 1.8
Tested were two types of glass-fibre reinforced clay
plastic—one with smooth surface and the other

50
 The resultant soil had W ∼ 50%, which corre-
sponds to the wetness maintained in previously
conducted tests (Tsytovich 1973, Volokhov 2010).
The 4–5 cm layers of soil were placed inside a tray,
each layer consolidated by keeping it under exter-
nal load of 6 kPa during two days.
Preparation completed, the samples were filled
with soil by way of pressing them through the soil
mass. This enabled the evenly distributed adher-
ence of the soil to the walls of the samples.

Figure 4. Effect of temperature on ad-freeze strength

of metal (1) and polyisobutylene adhesive (2) in perma-
frost soil [0].

formed at minus 10°C. The applied forces and dis-

placements were recorded automatically.

4 EXPERIMENTAL RESULTS ANALYSIS

Figure 3. Sample preparation: filling with soil and The adfreezing strength was calculated using
freezing. formula:

Pi + Gi
τ ci = (3)
Ai
M

After the rings were filled with soil, heat insulation

materials – 2.4 cm thick mineral wool and a 4.5 cm
thick sheet of foamed polystyrene—were applied where:
to their sides and bottom, respectively, in order to
– Pi = pressing force, kN;
ensure single sided freezing of the soil as occurs
– Gi = weight of soil inside ring i, kN;
naturally.
– Ai = soil-ring i contact area, m2;
The heat-insulated samples were placed inside
refrigerating chamber and cooled to minus 10°C – The test results underwent statistical analysis
the temperature at which the content of nonfrozen forgross error using Charlier critetion.
water in the soil would be minimal. This allowed The test results are presented in Table 2.
us to increase the soil strength and ensure that the The graphs of pressing load as a function of
soil, when pressed, would burst along the ring-soil displacement for 8 metal (series M), 6 glass-fibre
contact line, not in the place where the external reinforced plastic with smooth contact surface
load would be applied. Since the relation between (series ) and 6 glass-fibre reinforced plastic with
temperature and ad-freeze strength is linear rough contact surface (series ) are shown in
(Fig. 4), the values of γaf at minus 10°C will be true Figures 5–7, respectively.
also for frozen grounds of higher temperature. The coefficient γaf for glass-fibre reinforced plas-
During the freezing, the temperature was tic with smooth contact surface was determined
monitored by three sensors installed with Pt using formula:
thermocouple and submerged into the reference
sample analogous to samples under testing. The τ cks 0, 91
sensors were submerged to three difference depth— γ af = 0, 7 ⋅ M
= 0, 7 ⋅ = 0, 7 ⋅ 0, 72 = 0, 51; (4)
τcM
1, 26
bottom, middle, and near-surface. Data reading
M

and processing were performed by analog-to-dig-

where 0.7 = coeffienct γaf for metal surfaces.
ital converter ZET 220.
The coefficient γaf for glass-fibre reinforced
Once the soil reached the required temperature,
plastic with rough contact surface was determined
the samples were pressed according to the scheme
using formula:
shown in Figure 1.
The pressing was performed in cryochamber-
τ ckw 1, 79
installed testing machine INSTRONW-5196 at γ af = 0, 7 ⋅ M
= 0, 7 ⋅ = 0, 7 ⋅ 1, 42 = 1; (5)
maximum load of 600 kN. Tests were also per- τcM
M
1, 26

51
Table 2. Test results.

Pos. Samples P, kN A, m2 τ i, MPa τ , MPa

1 18.81 0.0157 1.20 1,26

2 19.58 0.0152 1.29
3 22.15 0.0152 1.46*
4 19.09 0.0157 1.22
5 13.67 0.0151 0.91*
6 20.45 0.0155 1.32
7 15.42 0.0153 1.01*
8 19.64 0.0155 1.27
Figure 7. External load as a function of displacement
9 13.09 0.0165 0.80* 0,91 for series samples.
10 15.05 0.0165 0.91
11 15.08 0.0170 0.89
12 15.51 0.0169 0.92
13 16.02 0.0165 0.97*
14 15.26 0.0166 0.92
15 27.29 0.0162 1.68* 1,79
16 28.66 0.0162 1.76
17 29.64 0.0164 1.81
18 27.94 0.0161 1.73*
19 15.68 0.0086 1.82
20 28.55 0.0161 1.77

Note: *values discarded during the statistical analysis for

gross error. Figure 8. External load as a function of displacement
for series samples.

5 CONCLUSIONS

The results of our analysis enable the following the

conclusions:
– the ad-freeze strength of series samples is
28% lower than of metal and 49% lower than of
concrete;
– the ad-freeze strength of series samples is 42%
higher than of metal and equals that of concrete;
– during the testing of glass-fibre reinforced plas-
tic samples of series, bursting occurred
along the soil-soil line, not along the soil-sample
ad-freezing surface, which is evidenced by the
Figure 5. The soil pressed through the sample of glass-
fibre reinforced plastic with smooth surface. ad-freezing value having been retained as the
contact area was decreasing (sample 5 ), as
well as by the character of bursting diagram.
These conclusions speak in favour of the
authors’ forecast that the use of composites might
allow us to alter the ad-freezing strength to the
higher or lower side, indicating also the need in
further studies in this field.

REFERENCES

A Pile with Frost Heave-Resistant Shell: Pat. 170 032

Figure 6. External load as a function of displacement RF: E02D 5/60 E02D 27/35/D.V. Alyavin,
for M series samples. A.V. Kuzmin; applicant and patent holder: JSC

52
 Ural Polymer Technologies Plant MYAK –
2016151230; Appl. 26.12.2016; Publ. 12.04.2017,
Bull. 11. – 10 p.
Alyavin, D.V. 2013. Determining the Efficiency of
Radiation Modified, Polyolefin-Based Foundation
Coatings for Reducing the Adfreeze Strength and
Frost Heaving/D.V. Alyavin, A.R. Klestov, O. A.
Potapova, O.V. Stoyanov//Journal of the University of
Engineering. Iss. 7. pp. 136–139.
Boyarintsev, A.V. 2018. The Analysis of Composite
Applications to Geoengineering/A.V. Boyarintsev, S.V.
Lanko//4th International Researh-to-Practice Geoengi-
neering Conference of Beginner Researchers: Proceedings/
Y.A. Pronozin (ed.). Tyumen: TIU, pp. 5–10.
Building Code 25.13330.2012. Foundations in Perma-
frost Soils. Updated Construction Norms and Rules
2.02.04-88. M. 2012. 118 p.
Dalmatov, B.I. 1955. The Effect of Frost Heave on Foun-
dations of Buildings: PhD Dissertation abstract/Dal-
matov Boris Ivanovich. USSR Academy of Sciences.
Moscow-Leningrad. 345 p.
Iospa, A.V. 2015. The Results of Tests on Heave-
Resistant and Anticorrosion Coatings for Metal
53
Foundations in Permafrost Soils/A.V. Iospa, V.I.
Aksenov. I.V. Shmelev//OFMG, Iss. 5. pp. 27–31.
Sego D.C., Smith L.B. 1989. Effect of backfill properties
and surface treatment on the capacity of adfreeze pipe
piles//Canadian Geotechnical Journal. Vol. 26, Iss. 4.
pp. 718–725.
Series 1.411.3-11 cm.13 Metal Caisson Pile SMOT.
Design Materials//JSC Ural Polymer Technologies
Plant MYAK, Ozersk. 2018. 65 p.
Sokolov, V.M. 1976. The Study of force impact of freezing
soils on vertical members of pipelines: PhD dissertation
abstract/Sokolov, V.M. LISI – Leningrad. 163 p.
Tsytovich, N.A. 1973. Frozen Soil Mechanics/Study Guide/
N.A. Tsytovich (ed). M.: Vysshaya Shkola. 448 p.
Volokhov, S.S. 1993. The Effect of Roughness of Foun-
dation Material on Adfreeze Strength in Various Con-
ditions//Environmental Geotechnics. Hydrogeology.
Geocryology. Iss. 3. pp. 76–30.
Volokhov, S.S. 2010. The Adfreeze Strength of Pipeline
Material/S.S. Volokhov, N.V. Solovyova//OFMG,
Iss. 5. pp. 25–28.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Predicting air quality in underground structures

T.A. Datciuk, D.M. Denisikhina & E.A. Anshukova

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: The article discusses the issues related to the formation of an environmentally safe habitat
in Underground Facilities (UF) where people stay for a long time. It is proposed to take into account the
aerodynamic regime in the area of the facility and the level of air pollution when designing underground
structures. It is shown that for the quantitative assessment of the air parameters of underground struc-
tures, it is advisable to use mathematical modeling based on well-known software tools such as ANSYS,
STAR-CCM+ or specially developed programs. The proposed approach is illustrated by the example of
designing natural ventilation for an underground facility where people are located. A method of inte-
grated analysis of the choice of design solutions is proposed, based on mathematical modeling of the
aerodynamic mode of the built-up area, taking into account air pollution from low sources of emissions
within the built-up area and choosing the method of air exchange for the underground facility.

1 INTRODUCTION underground spaces located in urban areas, it is

There is shortage of space in the centers of histori-
cal cities, and construction of new objects becomes
a problem. Infrastructure development in large
cities and transport capacity increase lead to the
deterioration of the ecological situation.
In addition, urban population has recently
increased demands to the quality of the environ-
ment: green spaces and recreation areas, efficient
use of real estate and public space, air qual-
ity (Broere 2012), as well as transport problems
solving.
The way out of this situation is the development
of underground space. This will make it possible to
effectively locate engineering and other real estate
objects, free urban areas from auxiliary facilities,
and allocate additional territories for recreation
areas. In underground structures, special attention
should be paid to air quality. Microclimate param-
eters depend both on the condition of enclosing
structures (Pelsmakers et al.) and on the ventila-
tion efficiency. Depending on their purpose, natu-
ral or mechanical ventilation (air conditioning)
is designed in underground facilities (Bu 2012;
ShihMing et al. 2015; Datsuk 2000; Datciuk 2016;
Dodoo et al. 2017; Liu & Nielsen 2011; Liu et al.
2018).
2 MAIN PART
The air environment of underground facilities must
comply with environmental safety requirements.
To ensure regulatory microclimate parameters in
necessary to take into account not only the level of
air pollution, but also the nature of the concentra-
tion distribution in built-up areas (Datciuk 2016;
Xiaobin et al. 2014). This will allow selecting the
location of the air intake devices in areas of lowest
concentrations when designing the UF ventilation.
In case of mechanical ventilation, this will improve
energy efficiency of the systems, and in case of
natural ventilation, it will provide better air qual-
ity, for example, in underpasses (Pritchrd & Scott
2014; Schulze & Eicker 2013).
The nature of urban environment pollution by
low sources, mainly by motor transport, is associ-
ated with the complex structure of air flows and
the location of urban highways. In wind shadow
areas (circulation zones), which are located near
buildings and in street canyons, concentrations of
harmful substances from vehicle emissions often
exceed the allowable values. Additional sources of
air pollution, such as industrial emissions, which
under certain conditions, despite the creation of
sanitary protection zones, can make a significant
contribution to urban air pollution, should be
taken into account.
In the Russian Federation, when assessing the
level of atmospheric pollution, the UND-86 reg-
ulatory document is used, which is based on the
solution of the semi-empirical equation of the tur-
bulent diffusion. Features of dispersion of emis-
sions in the built-up areas are taken into account
by the introduction of increasing coefficients. To
predict indoor air quality (IAQ) when designing
underground facilities, a more accurate analysis is
needed based on solving Navier-Stokes equations,

54
which allows to choose the option that provides
safe environment in underground structures or
conduct research in wind tunnels (Bui et al. 2010).
Air quality and distribution of microclimate
parameters in UF depend on the number of people
and their activities. For example, energy efficiency
of mechanical ventilation systems in UF depends
on proper air exchange. Currently, such studies
are not enough to develop guidelines (Zhai and
Villafruela 2013).
In connection with the above mentioned, the
article presents the results of studies of the influ-
ence of ventilation types in UF on the distribution
of microclimate parameters taking into account
radiation heat exchange of people (Liu & Nielsen
2011; Oh & Kato 2018).
To select effective design options that provide
an ecologically safe habitat, it is proposed to use a
comprehensive approach based on the joint solu-
tion of external and internal problems based on
mathematical modeling.
3 METHODS
The results presented in the article were obtained
by the method of mathematical modeling (ANSYS,
STAR-CCM+) and the specially developed SPC
program (Datciuk 2016). However, it should be
noted that the introduction of modern software
systems into engineering practice requires their
testing in order to substantiate the reliability of the
results obtained. This particularly applies to the
selection of turbulence models in ventilation proc-
esses modeling.
The variety of factors that form the IAQ com-
plex does not allow the use of a single mathemati-
cal model. To perform quantitative analysis, an
iterative method is proposed, based on the use of
various mathematical models, which involves using
the results of the first stage calculation (external
problem) as input data for the next stage.
Mathematical models are based on Navier-Stokes
system of equations in Reynolds averaging.
Mass conservation equation:
∂ρ 
+ ∇ ⋅ (ρV ) = 0, (1)
∂t
Momentum conservation equation:

∂ρV  
+ ∇ ⋅ (ρVV ) = −∇p + ∇ ⋅ ( τ + τt ) + ρg , (2)
∂t
Viscous stress tensor τ is determined using
Newton’s rheological law:
55
  2 
τ = µ (∇V + [∇V ]T ) − µ∇ ⋅ VI, (3)
3
Turbulent stress tensor τ t is determined in
accordance with the generalized Boussinesq’s
hypothesis:
  
2 2
τ t = µt (∇V + [ ∇V ]T ) − µt ∇ ⋅ V I − ρ kI , (4)
3 3
Mass conservation equation for the impurity
component:
∂ρc   
+ ∇ ⋅ (ρcV ) = −∇ ⋅ ( J + Jt ), (5)
∂t
Diffusion and turbulent flows of the mixture
components:
 µ
Jt = − t ∇ c (6)
Sct
Energy conservation equation:
2  ∂u 
−ρui′u′j = 2µt sij − µt  k + ρk  δij (7)
3  ∂X k 

where ρ is air density; V – flow rate; T – air tem-
perature; λ – air thermal conductivity; cp – air 
heat capacity at constant pressure; t – time; q , qt
– molecular and turbulent components of the ther-
mal density vector.
To solve the internal problem, the STAR-CCM+
program was adopted; for the closure of the hydro-
dynamics equations, different turbulence models
are used (standard, k-ε,k-ω, Menter’s).
The SPC program (Datsuk 2000) is used to cal-
culate the velocity fields, pressure and air pollution
levels at the building facades (external problem).
When solving the external problem, Smagorinsky
method is used to close the hydrodynamics equa-
tions, which is based on the parameterization of
turbulent processes on sub-grid scales. The devel-
oped model is focused on the analysis of the spa-
tial distribution of local meteorological parameters
(velocity, pressure) and the assessment of the air
pollution level at the facades of buildings. Testing
of the developed model was carried out according
to the results of building models blowing in a wind
tunnel.
To account for radiation heat transfer from the
surface of a person, the total heat flux of appar-
ent heat q = qconv + qrad was set. Equations of
radiation heat exchange are added to the system
(1)–(7):
     
∇ ⋅ ( I ( r , s )s ) + ( a + σ s )I ( r , s ) =
σ T 4 σ s 4π    
a
π
+
4π 0
∫ I (r , s′)Φ( s ⋅ s′)d Ω′ (8)

 
where r is radius vector, s – radiation direction
vector, s ′ – scattering vector, a – absorption coeffi-
cient, σs – scattering coefficient, I – total radiation
intensity depending on the radius vector and the
direction of radiation, Φ – scattering indicatrix,
Ω ′ – solid angle, σ – Stefan-Boltzmann constant
(5, 67 ⋅ 10−8 BT 2
M ⋅ K4
. )
To carry out mathematical modeling, a finite-
size computational grid with a dimension of
2.1–3 million cells was constructed with refinement
in the areas of sources of heat-gas release (people)
and distribution of inlet jets.

4 RESULTS

The modeling of microclimate parameters distri-

bution was carried out for a closed room with 5
people. Total apparent heat release from people is
300 W, total CO2 emissions are 225 g/h.
Depending on the way the air exchange is organ-
ized, the distribution of temperature, hazards Figure 1. Scheme 2.
(CO2 concentration) by room volume is different
(Zhai and Villafruela 2013). At the same time, the
lower the quality of the outside air taken in by the
mechanical ventilation systems, the lower the CO2
concentration should be above the outdoor air in
the working area with the same desired level of the
absolute value of CO2 concentration.
The results of numerical modeling of the fields
of velocity, temperature, CO2 concentration in the
underground room, which are formed with various
air exchange organization schemes, are presented
below.
1. Scheme 1. Supply of inlet air from the wall with
a compact ceiling jet.
2. Scheme 2. Supply of inlet air from the ceiling
with a radial air jet.
3. Scheme 3. Supply of inlet air directly into the
working area by a low-speed flow.
For all the considered schemes, the following
parameters were adopted: inlet air is supplied to a
room with a temperature T = 21°C and a flow rate
L = 300 m3/h.
The results of calculations in the form of fields
of velocity, temperature and CO2 concentration
are presented in Figures 1–3.
Figures 1 and 2 compare the velocity and tem-
perature fields for the two ways of organizing air
exchange, which lead to minimum and maximum
CO2 concentrations (Schemes 2 and 3). Figure 2. Scheme 3.

56

Figure 3. The value of CO2 concentration in the work-
ing area without taking into account background CO2
concentrations in the outside air.
Thus, the mean values of CO2 concentration of
the working area over the outside air are:
− Scheme 1 – 370 ppm;
− Scheme 2 – 417 ppm;
− Scheme 3 – 300 ppm.
As can be seen from the presented results, the
CO2 concentration and the microclimate param-
eters in the working area with the same values of
the outdoor air flow and CO2 emissions signifi-
cantly depend on the method used to organize air
exchange. The air mobility is less than 0.1 m/s, there
is also a temperature and concentration gradient.
Thus, in the underground premises with mechani-
cal ventilation, the lowest value of the average CO2
concentration was obtained for Scheme 3 – supply of
inlet air directly into the working area by a low-speed
flow. Table 1 shows the classification of indoor air.
The air quality in the UF will also depend on
the distribution of concentrations of harmful
substances in the outside air. If the concentra-
tion of harmful substances, for example, from
vehicle emissions, is close to their maximum level
at the place of air intake, it is necessary to use air
exchange schemes that ensure minimum values of
harmful substances concentration in the working
area. As can be seen from the presented numerical
simulation results, such schemes will include the
scheme with direct air supply to the working area,
i.e. displacement ventilation.
57
When solving outdoor tests, we determined the
pressure and wind velocity fields at the facades
of buildings in the built-up area. Figure 4 shows
the velocity fields for the most unfavorable wind
direction (perpendicular to the buildings), when
the wind shadow zones are formed. Figure 5
presents the plan of the built-up area fragment.
Concentrations of harmful substances from
motor vehicle emissions near the building facades
were determined in a dimensionless form rela-
tive to the source. The movement of vehicles was
modeled as a linear source with a length of 100 m.
The number of lanes is 4, the roadbed width is
15 m. The traffic intensity is 3,700 cars per hour.
The distribution of automobile traffic by groups:
passenger cars – 60%, minibuses – 20%, lorries
– 10%, buses – 10%. The average velocity of the
flow is 60 km/h. Zones with the lowest concen-
trations of harmful substances are located at the
edges of the buildings.
The calculation of the aerodynamic conditions
in the built-up area and the nature of harmful
substances distribution makes it possible to iden-
tify the places of least pollution and organize air
intakes in these areas for underground facilities
with minimal costs for air purification, providing
regulatory requirements (Table 2).
Table 1. Classification of indoor air (GOST 30494-
2011 Residential and public buildings. Indoor microcli-
mate parameters).
Indoor air quality
Permissible 2*
Class Optimal Permissible content, cm3/m3
1 High – 400 and less
2 Medium – 400–600
3 – Permissible 600–1000
4 – Low 1000 and more
* Permissible 2 content indoors is taken in excess of
2 content in the outside air, cm /m .
3 3
Figure 4. The velocity field (m/s) with the wind direction
perpendicular to the longitudinal axis of the buildings.
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58
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Setting soil strength parameters for slope stability calculations

I.K. Fomenko & K.V. Kurguzov

Ordzhonikidze Russian State Geological Prospecting University (MGPI-RGGRU), Moscow, Russia

O.V. Zerkal & O.N. Sirotkina

Moscow State University, Moscow, Russia

ABSTRACT: A paradigm shift is emerging in Russia’s present-day geotechnical engineering in response

to the need for wider application of the concept of nonlinearity of soil deformation and strength perform-
ance. Recognizing this need will have serious consequences for all the aspects of engineering-geological
studies. The article deals with the diversity and the complexity of selecting the optimal failure criterion
when assessing slope stability. Descriptions are given of the most commonly used soil strength models and
among them classical Mohr-Coulomb model and its modifications.

1 INTRODUCTION elasto-plastic model, the limit point depends only

An essential component of all computational theo-
ries is a set of physical interrelations representing
a mathematical model for deformation and failure
(Duncan 2000). It is expedient to analyze physi-
cal interrelations through two interrelated aspects
– stress-deformation equations (soil behavior
on the state of stress. Consequently, the failure
criterion, which normally depends on very simple
strengths (tensile, compressive, and shear), can be
presented in the form of in equation:
(
K ≥ F σ x ,σ y ,σ z ,τ xy ) (1)

model); and failure criteria defining the conditions

for soils to enter limit tolerance state (Pendin &
Fomenko 2015).
Especially relevant are the soil behavior mod-
els to the process of evaluating deformations and
whether the conditions of service limit state (defor-
mation) are met.
When comes to calculating the ultimate limit
state (loss of bearing capacity by soils), one of the
most important issues is the selection of a failure
criterion which would be most consistent with the
failure mechanism. It is the failure criterion that is
crucial to selecting of the parameters of soil crucial
to the calculations.
This article is not intended to give descrip-
tions of all the existing failure criteria. Instead,
it attempts to focus the reader’s attention on the
diversity and the complexity of selecting the opti-
mum failure criterion when dealing with concrete
cases of soil failure. The authors deem these diver-
sity and complexity remain underexplored.
2 FAILURE CRITERIA USED IN SLOPE
STABILITY ASSESSMENT
2.1 General representations
Failure criterion (K) is defined as a function F
that describes the trajectory of a limit point. In
59
Historically, the above failure criterion was
defined in maximum stress theory (according to
Galileo): “Failure occurs when the highest of the
normal stresses reaches its limit”:
σi ≤ σmax (2)
This criterion produces satisfactory outcome
with regard to fragile materials in uniaxial stress
state or under volume strain, when all the three
stresses have different values. As the knowledge
evolved, other criteria were formulated (Latyshev &
Kornilkov 2016).
For instance, the experimental data produced by
Treska led Saint-Venant to believe that failure limit
occurs in bodies when maximum tangential stress
τmax reaches certain critical value k (yield point):
τmax = k (3)
The current, classical theories of limit tolerance
states (failure criteria) can be presented in differ-
ent ways depending on the physical nature of the
dangerous state in question. Catastrophic failures
are often related to normal stresses, while plasticity
theories focus primarily on tangential stresses.
The current, classical theories of limit tolerance
states (failure criteria) can be presented in differ-
ent ways depending on the physical nature of the
dangerous state in question. Catastrophic failures
are often related to normal stresses, while plasticity
theories focus primarily on tangential stresses.
In a general way, soil plasticity can be deter-
mined on the basis of incremental plasticity theory
(Hill 1950). In modern practice of the stability
calculations for elasto-plastic models, most com-
monly used it Mohr-Coulomb failure criterion.

2.2 Mohr-Coulomb model

Mohr-Coulomb theory is a mathematical model
describing the ideally elastic behavior and the linear
criterion of failure in the materials, whose compressive Figure 2. Graphical representation of Mohr-Coulomb
strength far exceeds the tensile strength. This model yield function.
can be referred to as universal, as it forms the basis for
a variety of modifications of the models describing
the behavior of an entire range of materials – rock,
concrete, composite materials, among others. Origi-
nally, this model was proposed in the 18 th century by
Charles-Augustin de Coulomb to be developed in the
19 th century by Christian Otto Mohr and assume the
form of a graphical method for analyzing the compo-
nents of combined stress states (Fig. 1).
The Mohr-Coulomb model reproduces the
linear character of failure and relies of two com-
ponents of failure – ϕ – specific cohesion and ϕ –
angle of internal friction. It describes the depend-
ence between tangential stresses (shear strength)
and actual normal stresses. In its general form, this
model is presented as an inclination of the yield
line to the axis of stresses σ at an angle ϕ (Fig. 2),
and is described by the equation:

τ = σ ⋅ tgϕ + C (4) Figure 3. Hexagonal cone of Mohr-Coulomb failure

Represented spatially, the material strength
has, according to Mohr-Coulomb, the form
of a equiangular hexagonal cone (Fig. 3). The
criterion.
symmetric property of the cone describes iso-
tropic substance. It is evident that there is a point
on one of the planes that is representative of ulti-
mate limit state. Thus, point D is characterized by
a stress state where σ ′1 = max;σ ′2= σ ′3, point C
(σ ′3 = max;σ ′1 = σ ′2 ).
Correspondingly, the mathematical notation of
the end planes in space will be of the form:


 ( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
3 2 3 2


 ( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
2 3 2 3


 ( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
3 1 3 1



( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
1 3 1 3
(5)

 ( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
2 1 2 1

Figure 1. Graphical representation of Mohr-Coulomb

failure criterion and the real line of failure surface.

 ( σ ′ + σ ′ ) ≤ 2c′ cosϕ′ − ( σ ′ + σ ′ ) sinϕ′
1 2 1 2

60
 When dealing with practical tasks, the number
of the soil properties to be accounted of in slope
stability calculations, is much greater. Depend-
ing on whether the problem is stated in terms
of combined stress or in effective stress, the cal-
culation of soil strength follows the undrained
or the consolidated drained shear strength
model, respectively. When assessing the stabil-
ity of slopes that are prone to landslides (in
conditions of landslide development), the slide
area should be considered with account of the
residual parameters of soil strength, whereas
the assessment of the likelihood for landslide to
occur (in the absence of landslide development)
should consider the peaking parameters of the
soil strength.
2.3 Modifications of the Mohr-Coulomb model
There currently exists a multitude of modifications
of the Mohr-Coulomb model. One such modifica-
tion is the bilinear model of strength (Krahn 2004),
according to which the enveloping curve is defined
by the values of the internal friction angle and the
specific cohesion angle, as well as by the normal
stress in shear plane, at which yield state occurs
(Morgenstern & Price 1965):
According to Morgenstern-Price bilinear model
of strength, is the normal stress in shear plane is
higher than the preset value, the Mohr-Coulomb
failure criterion should use the value of the inter-
nal friction angle and the cohesion angle – Phi2
and C(computed), respectively. The Morgenstern-
Price bilinear model was the first to attempt to take
account of nonlinearity in the Mohr-Coulomb
failure criterion.
One more bilinear modification of the Mohr-
Coulomb model is Patton criterion, developed
for rocky grounds and accounting of the fracture
roughness effect (Patton 1966):
Figure 4. The bilinear model of enveloping slip curve
(Morgenstern&Price 1965).
61
τ max = σ n ⋅ tg ( φb + i ) if σ n ≤ σ ny
(6)
( )
τ max = c jeq + σ n ⋅ tg φ jres if σ n ≥ σ ny
where ϕb = angle of internal friction of forma-
tion; i = angle of roughness, σn is effective stress;
σny = the effective normal stress inducing fric-
tional sliding of roughness microdefects; and
cjed = equivalent cohesion (shear strength due to
the action of microdefects).
The above modification of the Mohr-Coulomb
model has recently become commonly used in eval-
uating the various nonsteady states in the slopes
that are (potentially) prone to landslides – for
instance, in conditions of fast rise in groundwater
levels, or when performing a stepwise, quasi-static
analysis of seismic forces (Duncan et al. 2014).
A particular case of Mohr-Coulomb bilinear
criterion is drained-undrained shear strength model
(Krahn 2004), developed and widely used in Scan-
dinavian countries, where softer marine clays are
prevalent. In this model, clay is seen as a soil with
strength parameters C and ϕ, and the maximum
value of specific cohesion is achieved in the absence
of drainage (undrained shear), as is shown in
Figure 5 (Morgenstern & Price 1965, Huang 1983).
The extreme case of Mohr-Coulomb criterion
is the undrained shear strength model. It is based
on the assumption that the internal friction angle
equals 0. Similarly, the pore pressure along any of
the sections of the slip surface, within which the
soil strength meets the condition of absence of
drainage, is assumed to be 0. This technique does
not imply the absence of pore pressure as such, but
rather assumes that with the increase in the pore
pressure the value may equal 0, in which case shear
strength τ will depend only on cohesion
1983). Graphic representation of Mohr-Coulomb
function according to undrained shear strength
model is given in Figure 6.
Figure 5. Combined drained-undrained shear strength
model (Morgenstern & Price, 1965).
 Even though in the equation of Mohr-Coulomb
failure criterion for incompletely water-saturated
soils (Fredlund et al 1978), ϕb is a constant value,
in reality it varies depending on the degree of water
saturation and relates to soil-water characteristic
curve SWCC (Fig. 7).

3 THE USE OF MOHR-COULOMB FAILURE

CRITERIA FOR ANISOTROPIC SOILS
Figure 6. Undrained shear strength model.
3.1 Simple anisotropic model of strength
To determine the anisotropy of strength properties
of soil (parameters C, ϕ), the following correlation
is used in transversally isotropic case (Krahn 2004,
Zerkal’ & Fomenko 2013).

ci = c1cos2α + c2sin2α (8a)

ϕi = ϕ1cos α + ϕ2sin α
2 2
(8b)

where α = inclination of anisotropy plane; indices

1 and 2 indicate direction (along or perpendicular
to superposition, respectively) followed in deter-
mining of properties.
Figure 8 shows the scheme for determining the
Figure 7. The zones of water saturation described by parameters for anisotropic strength criterion. This
SWCC (Soil-Water Characteristic Curve) (Pendin & criterion is recommended for use when predicting
Fomenko 2015). the stability of layered slopes. The disadvantage of
this model consists in the fact that it fails to account
of the strength decrease in the fractured zone.
2.4 Mohr-Coulomb failure criterion for
incompletely water-saturated soils 3.2 Linear anisotropic model of strength
Over the recent decades, the behavior of incom- The linear anisotropic model of strength relates
pletely water-saturated soils under load has been the minimum shear strength to fracture (Snow-
the focus with many studies. AS a result, more den 2007). In order to set the linear anisotropic
theories appeared (Fredlund et al. 1978, Lu & strength criterion, the following parameters should
Likos 2004, Gardner 1956, van Genuchten 1980) be determined (Figure 9):
and a new scientific field emerged – the mechanics
of incompletely water-saturated soils. The theory
of failure of incompletely water-saturated soils
relies on the idea of strength increase due to nega-
tive pore pressure (commonly referred to as suc-
tion pressure) that emerges in the zone of aeration
above groundwater level (Fredlund & Rahardjo
1993, Vanapalli et al. 1996).
The Mohr-Coulomb bilinear failure criterion
for incompletely water-saturated soils has the fol-
lowing form (Fredlund et al. 1978):

τ = c′ + ( σ n − ua ) ⋅ tgφ′ + ( ua − uw ) ⋅ tgφ b (7)

where ua = pore pressure of air, uw = pore pressure

of water; and ϕb = friction angle due to suction
pressure (a property of soil).
In this equation, component (ua–uw) is called Figure 8. Scheme for determining the parameters for
“suction pressure”. anisotropic strength criterion (source: Rocscience).

62

Figure 9. Scheme for determining the parameters for lin-
ear anisotropic strength criterion (source: Snowden 2007).
• soil strength properties (cohesion and angle of
internal friction C1, ϕ1) in the fractured zone
(minimum shear strength);
• soil strength properties (cohesion and angle of
internal friction C2, ϕ2) in continuous mass of
soil (maximum shear strength);
• angle of inclination of anisotropy plane α (to be
determined as shown in Fig. 8);
• parameters A and B define the linear transition
from shear strength in fracture to shear strength
in continuous mass, depending on the position
of the shear plane which is defined by anisot-
ropy angle (alpha).
According to the above model, shear strength
will be determined in the following way. On the
plane oriented at sharp angle alpha (α) in relation
to fracture plane, non-dimensional parameter t is
calculated according to formula:
t = (α – A)/(B – A)
where A and B are the above described parameters
of linear anisotropic model, and α is absolute value
of angle α.
Depending on the obtained value of t, cohesion
C and friction angle ϕ in anisotropy plane will be
calculated by means of the following equations:
at t ≤ 0, C = C1, tg ϕ = tg ϕ1
at 0 < t < 1, C = C1(1–t) + C2t, tgϕ = (10b)
tgϕ1(1–t) + tgϕ2t
at t ≥ 1, C = C2, tgϕ = tgϕ2
In 2011, the above model was updated to
set also the non-symmetrical functions of anisot-
ropy, based on the use of four parameters A1, A2,
B1 and B2 (Snowden 2011). The principal scheme
of non-symmetrical linear model is shown in
Figure 10.
Figure 10. Scheme for determining the parameters for
non-symmetrical linear anisotropic strength criterion
(source: Snowden 2011).
4 CONCLUSION
The main conclusion of our study comes down to
the following issues:
• To which extent do the current methods for deter-
mining of strength performance of soil reflect the
possible mechanisms of soil failure and, conse-
quently, allow the use of adequate failure criteria?
• How does the use of Mohr-Coulomb linear fail-
ure criterion influence the accuracy of calcula-
tions (particularly, slope stability calculations)
in cases where the evidence of nonlinearity of
strength model is present?
We presume that the answers to these ques-
tions lie in the methodological shift in soil strength
analysis. The fact should be recognized that the
analysis of soil strength is not intended simply to
determine certain abstract quantities C and ϕ, but
represents a physical experiment which is expected
to give answers to the minimum of three questions:
• What is the actual mechanism of soil failure?
• Which failure criterion provides the most ade-
(9)
quate description of such mechanism?
• Which parameters, and methods to determine
them, should be used for the selected failure
criterion?
In a broad sense, alongside with the type of soil,
the soil strength model is defined by state of soil
and external impacts. This seemingly evident fact
enables the following definition of the primary
(10a) task of any lithotechnical system (LTS) design:
limit the variation in the state of LTS soil and the
external impacts so that the stability of the system
being designed could be described by the failure
(10c) criterion selected.
Therefore, it should be admitted that a para-
digm shift is emerging in the present-day geotech-
nical engineering in response to the need for wider
application of the concept of nonlinearity of soil
deformation and strength performance. Recogniz-
ing this need will have serious consequences for all
the aspects of engineering-geological studies.
63
REFERENCES
Duncan, J.M. 2000. Factors of safety and reliability in
geotechnical engineering. J. Geotechnical & Geoenvi-
ronmental Engineering, April, pp. 307–316.
Duncan, J.M., Wright, S.G., Brandon, T.L. 2014. Soil
Strength and Slope Stability/2 ed. -John Wiley and
Sons. –317 p.
Fredlund, D.G. and Rahardjo, H. 1993. Soil Mechanics
for Unsaturated Soils. John Wiley, New York.
Fredlund, D.G., Morgenstern, N.R., Widger, R.A. 1978.
The shear strength of unsaturated soils. Canadian
Geotechnical Journal 15(3): 313–321.
Gardner, W. 1956. Mathematics of isothermal water
conduction in unsaturated soils. Highway Research
Board Special Report 40 International Symposium on
Physico-Chemical Phenomenon in Soils, Washington
D.C. pp. 78–87.
Hill, R. 1950. The Mathematical Theory of Plasticity.
New York: Oxford University Press, 355 pp.
Huang, Y.H. 1983. Stability Analaysis of Earth Slopes.
Moscow: Stroyizdat. 240 p.
Krahn, J. 2004. Stability modeling with SLOPE/W. An
Engineering Methodology: First Edition, Revision 1.
Calgary, Alberta: GEO-SLOPE International Ltd.,
396 pp.
Latyshev, O.G. & Kornilkov. M.V. 2016. Modifying the
Fractal Properties and States of Rock with Surface
Active Substances in Mining Practice: Monograph. Ural
State University of Mining: UGGU Publishing. 407 p.
64
Lu, N., Likos, W.J. 2004. Unsaturated Soil Mechanics.
Wiley. 584 p.
Morgenstern, N.R., Price, V.E. 1965. The analysis of the
stability of general - slip surface. Geotechnique 15(1):
70–93.
Patton, F.D. 1966. Multiple models of shear failure in
rock. Proc. 1st Internat. Congr. on Rock Mechanics.
Lisbon, vol. 1. 509–513.
Pendin, V.V. & Fomenko, I.K. 2015. The Methods
for Assessing and Predicting Landslide Hazard. M:
LENARD, 230 p.
Rocscience https://www.rocscience.com/help/slide2/#t=
slide_model%2Fmaterials%2FStrength_Type.htm.
Snowden 2007. Proposal for Additional Features in
SLIDE and SWEDGE/Unpublished memorandum to
Rocscience, 5th April 2007.
Snowden, 2011. Snowden Modified Anisotropic Linear
strength model/Unpublished memorandum to Roc-
science, November 2011.
van Genuchten, M. Th. (1980). A closed form equation
for predicting the hydraulic conductivity of unsatu-
rated soils. Soil Science Society of America Journal 44,
892–898.
Vanapalli, S.K, Fredlund, D.G., Pufahl, D.E. and Clifton,
A.W. 1996. Model for the prediction of shear strength
with respect to soil suction. Canadian Geotechnical
Journal, 33: 379–392.
Zerkal, O.V. & Fomenko, I.K. 2013. The Analysis of
Soil Anisotropy and Its Effect of Slope Stability//
Engineering Survey. Iss.9. pp. 44–50.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Development of analytical methods to determine swelling and

shrinkage of clay soils

F.G. Gabibov
Azerbaijan Scientific Research Institute of Construction and Architecture, Baku, Azerbaijan

ABSTRACT: When developing an analytical expression to determine swelling of clay soil during its
moistening, the authors proceeded from the fact that the volume of clay soil increases by the amount of
water absorbed into it. Based on simple mathematical operations, an equation to determine soil swelling
is obtained, where the product of the unit weight of soil skeleton in the initial state by the difference in
moisture contents of soil in the swollen and initial states is presented in the numerator of the fraction
expression, and water density is presented in the denominator of the same expression. A method to derive
a basic equation to determine shrinkage of clay soil is identical to the method mentioned above. An
equation to determine shrinkage is obtained, where the product of the unit weight of clay soil at initial
moisture by the difference in moisture contents in the initial state and after shrinkage is presented in the
numerator of the fraction expression, and the product of water density by the sum of one and soil mois-
ture in the initial state is presented in the denominator of the same expression.

1 INTRODUCTION monitoring increase in soil moisture, the authors

proceeded from the following facts.
Swelling clay soils are distributed in all continents Swelling of two-phase clay soil can be repre-
except Antarctica. sented as the sum of the following volumes: vol-
The relevance of the study on swelling and umes of soil particles (Vsoil) and volumes of water
shrinkage deformations in clay soils is determined particles before swelling (V1):
by damage to various structures, caused by those
soils during their moistening and drying. Vinit = Vsoil + V1 (1)
Only a limited number of papers address methods
of studying swelling and shrinkage deformations in The volume of soil after swelling can be repre-
clay soils. Among those, papers by Gromko (1974), sented as the sum of the following volumes: vol-
Sorochan (1989), Peredelskii & Ananiev (1987), Chen umes of soil particles (Vsoil) and volumes of water
(1988), Nelson & Miller (1992), Day (2010), Mustafaev particles after swelling (V2):
(1989) and Gabibov (2011) can be mentioned.
Almost all methods of studying swelling and
shrinkage deformations in clay soils are associ- Vsw = Vsoil + V2 (2)
ated with the use of various laboratory and field
instruments. Such methods and instruments Substituting (1) and (2) in the numerator of the
and described in details in papers by Olson & following expression:
Langfelder (1965), Ziangirov et al. (1980), Day
(1993, 1996, 1997), Al-Homoud et al. (1995), Vsw − Vinit
Fityus et al. (2004) and others. The purpose of this
δ sw = (3)
Vinit
study is to develop analytical methods to determine
swelling and shrinkage of clay soils by monitoring and removing brackets, we will obtain the
changes in their moisture. following:

V2 − V1
2 DEVELOPMENT OF AN ANALYTICAL δ sw = (4)
METHOD TO DETERMINE SWELLING Vinit
OF CLAY SOIL
Expression (4) shows that in two-phase clay soil,
Developing an analytical expression to determine the increase in the volume upon swelling is equal to
volumetric swelling of two-phase clay soil by the volume of water absorbed into soil.

65
 Based on the fact that the mass of the initial wet Based on the fact that:
clay is equal to the product of the initial volume
of the sample by the unit weight of clay soil in the ∆ init
initial state (∆init): sk =
∆ init (11)
1 + W init
m3 ⋅ kg where ∆ init
minit = Vinit ⋅ ∆ init , (5) sk — unit weight of clay soil skeleton in
m3 the initial state, and substituting (11) in (10), we
will obtain the final equation:
and the mass of water in the initial volume of clay
sk (W − W init ) kg⋅m3⋅kg
is as follows: ∆ init SW
δ sw = , (12)
m3 ⋅ kg ⋅ kg ρW m3⋅kg⋅kg
mV1 = Vinit ⋅ ∆ init ⋅Wmcinit , (6)
m3 ⋅ kg
As it can be seen, the value of swelling (volu-
metric swelling) in equation (12) is dimensionless,
where W — moisture content of clay soil in the
init
mc
which once again proves the correctness of this
initial state,
equation.
Table 1 shows results of comparative determina-
W
Wmcinit = (7) tions for the swelling value of clay soils, performed
1 +W with the use of the developed analytical and stand-
ard (using a mold) methods.
where W – soil moisture, the mass of dry clay in As can be seen from Table 1, the results obtained
the initial volume of the sample can be represented by the proposed analytical method are in most
as follows: cases higher than those obtained by the standard
method. Apparently, this is due to the fact that the
mdr.cl = minit − mV1 = analytical method is not subject to inevitable meas-
(8)
= Vinit ⋅ ∆init − Vinit ⋅ ∆init ⋅ Wmcinit urement errors associated with the volume and
deformation of samples with the help of mechani-
Let us express equation (4) through the above- cal devices.
mentioned transformations:

δ sw =
( Vinit ⋅ ∆init − Vinit ⋅ ∆init ⋅ Wmcinit )W SW −
Vinit ⋅ ∆init ⋅ Wmc
init Table 1. Swelling value of clay soils.
ρW ρW
= Moisture, % Unit Soil swelling value, %
Vucx weight
Vinit ⋅ ∆init ( W SW − Wmc
init
⋅ W SW − Wmc
init
) of the
= = initial
ρW ⋅ Vinit Upon sample,
∆init ( W SW − Wmc
init
⋅ W SW − Wmc
init
) Clay Initial swelling g/cm3 Analytical Standard
=
ρW Na
kaolinite 25.68 28.56 2.005 4.74 4.58
(9)
Ca
where WSW – moisture of the swollen sample; kaolinite 26.13 27.67 1.998 2.63 2.55
ρW – water density equal to 1 g/cm3.
Na
Substituting equation (7) in equation (9), we will montmo- 71.95 304.55 1.578 204.00 213.40
obtain the following: rillonite
Ca
∆ init  SW W init ⋅W SW Winit  montmo- 57.30 88.21 1.668 34.00 32.77
δ sw = W − − =
ρW 
rillonite
1 + W init 1 + W init 
∆  W SW + W init ⋅W SW − W init ⋅W SW − W init  Na
= init   = hydromica 23.42 32.58 2.043 16.62 15.16
ρW  1 + W init
∆ (W SW − Wmcinit ) Ca
= init hydromica 19.60 26.93 2.113 12.14 12.95
ρW (1 + W init ) Khvalynsk
clay 32.24 38.74 1.910 8.94 9.39
(10)

66
3 DEVELOPMENT OF AN ANALYTICAL Expression (17) shows that in two-phase clay
METHOD TO DETERMINE SHRINKAGE soil, the decrease in the volume upon shrinkage is
OF CLAY SOIL equal to the volume of water removed from soil.
If:
No well-defined analytical method to determine
shrinkage of clay soils in a two-phase state by V1 ⋅ ∆ ⋅ Wmc′
monitoring changes in soil moisture has been VWo = (18)
ρW
developed yet.
N.Ya. Denisov (Denisov 1946) made such
attempt proceeding from the fact that soil mois- and:
ture corresponding to the shrinkage limit can be
calculated based on the provision of the capillary VW′ =
(V ⋅ ∆ − V ⋅ ∆ ⋅ W′ ) ⋅ W
1 1 mc 2
(19)
theory on equality between the volume of evapo- ρW
rated moisture and changes in the volume of soil: n1
∆= (20)
q ′
Wmc
V0 − VS = (W0 − WS ) (13)
100 W1
n1 = (21)
W1 + 1 ρ
where V0, W0 – volume and moisture of soil before
drying; VS, WS – volume and moisture of soil at
the limit of shrinkage; q – weight of soil in a com- where ∆ – unit weight of clay soil at initial mois-
pletely dry state. ture; Wmc – moisture content in clay soil at initial
However, it is difficult to monitor or determine moisture (water content) W1; ρW – water density;
volumetric shrinkage according to changes in soil W2 – soil moisture after shrinkage; p1 – soil poros-
moisture, based on analytical expressions obtained ity in the initial state, then, substituting (18) and
by Denisov. (19) in (20), we will obtain the following:
Developing an analytical expression to deter-
mine volumetric shrinkage by monitoring changes
in soil moisture, the authors proceeded from the δS =
( ′ − W2 + Wmc
∆ Wmc ′ W2 ) (22)
following facts. ρW
Reduction of the two-phase clay soil volume, i.e.
shrinkage, is determined according to the follow- Substituting expression (7) in (22), we will
ing equation: obtain the final equation for determination of
shrinkage in clay soils:
V1 − V2
δS = (14)
V1 Table 2. Shrinkage value of clay soils.

The initial volume of clay soil V1 can be repre- Moisture, % Unit Shrinkage, %
weight
sented as the sum of the following volumes: vol-
of soil
umes of soil particles Vsoil and volumes of water in the
particles before shrinkage VW0 : initial
Upon state, Analytical Instrumental
V1 = Vsoil + VW0 (15) Soil Initial shrinkage g/cm3 method method

The volume of soil after shrinkage V2 can be Montmo-

represented as the sum of the following volumes: rillonite
volumes of soil particles Vs and volumes of water clay 94.4 17.0 1.479 60.35 58.90
particles after shrinkage VW′ : – «» -- 94.4 50.0 – «» -- 33.12 33.78
– «» -- 94.4 64.0 – «» -- 24.50 23.13
Hydro-
V2 = Vsoil + VW′ (16) micaceous
clay 48.70 13.36 1.735 39.85 41.24
Substituting (15) and (16) in the numerator of – «» -- 48.70 25.44 – «» -- 28.18 27.14
expression (14) and removing brackets, we will – «» -- 48.70 36.27 – «» -- 13.94 14.50
obtain the following: Kaolinite
clay 47.50 24.85 1.746 25.93 26.78
V 0 − VW′ – «» -- 47.50 31.50 – «» -- 18.12 18.94
δS = W (17) – «» -- 47.50 41.45 – «» -- 7.72 7.16
V1

67

∆ (W1 − W2 )
δS = (23)
ρW (1 + W1 )
Table 2 shows results of comparative deter-
minations for the shrinkage value of clay soils,
performed with the use of the analytical and
instrumental (using a conical device) methods.
As it can be seen from the comparative studies,
the difference between the results obtained is insig-
nificant and lies within permissible error limits,
which proves sufficient accuracy of the developed
analytical method. The advantage of the analyti-
cal method is obvious as it is possible to determine
volumetric shrinkage of clay soil by monitoring
decrease in clay soil moisture for two-phase clays,
without the help of special devices.
REFERENCES
Al-Homoud, A.S., Basma, A.A., Husein Malkawi, A.I. &
Al Bashabsheh, M.A. 1995. Cyclic swelling behavior
of clays. Journal of Geotechnical Engineering (ASCE)
121 (7): 562–565.
Chen, F.H. 1988. Foundations on expansive soils. New
York: Elsevier.
Day, R.W. 1993. Expansion potential according to Uni-
form Building Code. Journal of Geotechnical Engi-
neering (ASCE) 119 (6): 1067–1071.
Day, R.W. 1996. Study of capillary rise and thermal
osmosis. Environmental and Engineering Geoscience 2
(2): 249–254.
68
Day, R.W. 1997. Hydraulic conductivity of a desiccated
clay upon wetting. Environmental and Engineering
Geoscience 3 (2): 308–311.
Day, R.W. 2010. Foundation engineering handbook:
Design and construction with the 2009 International
Building Code. New York: McGraw Hill.
Fityus, S.G., Smith, D.W. & Allman, M.A. 2004. Expan-
sive soil test site near Newcastle. Journal of Geotech-
nical and Geoenvironmental Engineering (ASCE)
130 (7): 686–695.
Gabibov, F.G. 2011. Theory and practice of improving
properties of structurally unstable clay soils in solving
geotechnical and engineering-and-geoecological prob-
lems. Baku: Elm.
Gromko, G.J. 1974. Review of expansive soils. Journal
of the Geotechnical Engineering Division (ASCE)
100 (6): 667–687.
Mustafaev, A.A. 1989. Foundations on subsiding and
swelling soils. Moscow: Vysshaya Shkola.
Nelson, J.D. & Miller, D.J. 1992. Expansive soils:
Problems and practice in foundation and pavement engi-
neering. New York: Wiley.
Olson, R.E. & Langfelder, L.J. 1965. Pore-water pres-
sures in unsaturated soils. Journal of the Soil
Mechanics and Foundations Division (ASCE) 91 (4):
127–150.
Peredelskii, L.V. & Ananiev, V.P. 1987. Swelling clay soils
of the North Caucasus. Rostov-on-Don: Rostov Uni-
versity Publishing House.
Sorochan, E.A. 1989. Construction of structures on swell-
ing soils. Moscow: Stroyizdat.
Ziangirov, R.S. et al. 1980. Guide to laboratory stud-
ies on swelling and shrinkage of clay soils. Moscow:
Stroyizdat.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0
Disadvantages of standards for construction on collapsible soils
B.F. Galay, V.V. Serbin & O.B. Galay
North Caucasus Federal University, Stavropol, Russia
ABSTRACT: The article is about the unreliability of piles in collapsible soils. The drawbacks of soil
compaction are shown. Recommendations for deep explosions and soil piles are given.
1 INTRODUCTION
Loessial collapsible soils in the North Caucasus
occupy 85% of the area. Abelev & Abelev (1968)
describe the problem of construction on these
soils; emergency deformations of buildings and
structures of Atommash plant were considered at
the All-Union Conference in Volgodonsk (Design
and construction… 1984) and by Kokhanenko,
Polyakov & Shevelev (1990).
Trofimov et al. (Loess cover… 2001, Trofimov
et al. 2008) report that in the North Caucasus, in
the area of the city of Budennovsk, 100-meter-
long loess with a subsidence capacity of up to
55 m is common. The subsidence capacity of Stav-
ropol loess exceeds the one of China’s famous loess
(Liu Tungcheng et al. 1985; Lin Zaguan & Liang
Weiming 1982).
In 1975, in Budennovsk, simultaneously with
Atommash plant, the construction of the world’s
largest Prikumsky Plastics Factory, where the loess
subsidence is approximately twice the subsidence
of the loessial loam in Volgodonsk, began. Emer-
gency deformations of buildings and structures
in the city of Volgodonsk are widely covered in
print. The successful construction of explosion
hazardous chemical facilities in Budennovsk is vir-
tually unknown to the scientific and construction
community.
It should be noted that practically all regula-
tory construction methods for collapsible soils
were tested at these All-Union construction sites
in the South of Russia. During the construction
in Budennovsk, significant shortcomings of deep-
seated methods for eliminating subsidence and
the unreliability of standards for pile foundations
design were revealed.
The use of pile foundations in the North Cauca-
sus is limited by several factors: the high thickness of
the collapsible loess strata (up to 30–50 m); in many
cases, the absence of the carrier layer for supporting
piles; increased seismicity of territories (Stolyarov
2010); undeveloped construction standards for the
69
design of pile foundations on collapsible soils; the
need for long and expensive testing of test piles with
pits soaking in case of type II subsidence conditions;
high cost of piling compared to collapsible soils
compaction.
SNiP 2.02.03-85 for pile foundations and Con-
struction Rules (CR) 24.13330.2011 for pile foun-
dations indicate that in case of a subsidence of over
30 cm “measures to transfer type II ground condi-
tions to type I by means of soil cutting or com-
paction with the help of pre-soaking, soaking by
means of explosion, soil piles and other methods
should be taken”. Hereof it follows that in many
cases pile foundations are not an independent type
of foundation: a preliminary compaction of col-
lapsible soils is required by the above mentioned
methods. However, after such soil preparation, the
use of piles is often not necessary.
It should be mentioned that full-fledged testing
of test piles with pits soaking was carried out only
in the 1970s when designing housing and explosion
hazardous objects of the Prikumsky Plastics Fac-
tory in Budennovsk and Volgodonsk due to emer-
gency deformations of houses, public buildings and
Atommash facilities. It is no coincidence that many
buildings and structures built on pile foundations
and collapsible soils have experienced emergency
deformations (Design and construction… 1984;
Kokhanenko et al. 1990). The difficulties of design-
ing pile foundations in structurally unstable soils are
well illustrated by Ulitsky et al. (Ulitsky et al. 2010).
During the construction of critical facilities in
Budennovsk, significant shortcomings and errone-
ous recommendations of existing standards for the
use of deep collapsible compaction methods were
identified.
2 PRE-SOAKING OF COLLAPSIBLE
SOIL IN PITS
According to CR 45.13330.2012 for earthwork
structures, bases and foundations, clause 17.1.8,
“soil compaction by pre-soaking should be per-
formed by flooding the pit with water, maintaining
a depth of 0.3–0.5 m and continuing until wetting
is achieved up to the design moisture level of the
entire stratum of collapsible soils and the condi-
tional stabilization of the subsidence, for which a
subsidence of less than 1 cm per week is taken”.
The practice of pits soaking showed that after
complete wetting of the loess stratum, the subsid-
ence is not fully implemented. To stabilize a sub-
sidence of 1 cm per week, it usually takes 2–4 times
more water, which is scarce in the steppe regions of
Southern Russia. Accordingly, the time for the pit
soaking increases. Construction engineers jokingly
call soaked construction pits “frog pools”. Drain-
age of such pits and compaction of the upper layer
delay construction for a long time.
After pre-soaking, the upper part (5–7 m), which
is the most heavily loaded part of the base under
the foundation, remains uncompacted, and it can-
not be finally compacted by single-layer tampering
to a depth of 2–3 m. Additional deepening of the
pit, tampering and/or the soil cushion at optimum
soil moisture level are required.
3 PRE-SOAKING OF COLLAPSIBLE SOILS
BY MEANS OF DEEP EXPLOSIONS
(HYDRAULIC BLASTING METHOD)
The history and results of applying the hydraulic
blasting method in the conditions of the North
Caucasus are described in our book (Galay
et al. 2015). When compacting collapsible soils
with soaking and energy of deep explosions, CR
45.13330.2012, clause 17.1.9 recommends:
− continue soaking until the entire subsidence
stratum is soaked;
− simultaneously detonate explosive charges;
− the gap between the end of soaking and explosive
charge explosions should not exceed 3–8 hours.
These recommendations are erroneous. Simul-
taneous explosion of a large mass of charges many
times increases the safe distance to protected objects
and becomes impossible in urban environments, and
in case of detonating immediately after soaking the
entire subsidence stratum turns the pit into the “frog
pool”. It is no coincidence that in order to reduce
seismic loads Ulitsky et al. (Ulitskiy et al. 2014;
Sikora & Wyroslak 2013) recommend compaction
of weak soils by means of micro explosions.
4 SOIL PILES
Since the beginning of the 1930s, soil piles with
elongated charges or cable drilling machines have
70
been used in order to make wells (Abelev & Abelev
1968). Until the 1960s, compaction with elongated
charges in wells was considered more effective,
from the 1960s – drilling of wells and filling them
with local soil.
The introduction of soil piles occurred mainly
at large construction sites in Ukraine, and severe
accidental deformations of buildings and struc-
tures built on soil piles occurred there as well
(Kostoglotov 1962). It may seem surprising, but
an employee of the Research Institute of Bases,
Doctor of Technical Sciences, Professor Rzhyanit-
syn spoke out against these piles developed by the
institution where he worked (Rzhanitsyn 1962).
In the North Caucasus, soil piles, strongly rec-
ommended by the regulations, did not find appli-
cation. This type of collapsible soil compaction
stood aside when considering accidents of resi-
dential buildings, public buildings and Atommash
plant facilities in Volgodonsk, built on bored and
driven reinforced concrete piles (Design and con-
struction 1984…; Kokhanenko et al. 1990).
Despite the simple and scientifically based tech-
nology, “normative” soil piles have significant
drawbacks:
− the use of deep explosions with elongated
charges for the expansion of explosive wells or
making wells with a tamper weighing 3–5.5 tons,
dropped from a height of 4–10 m, is impossible
in a dense urban area with underground and
surface communications;
− for punching of wells, an expensive and ineffi-
cient drilling rig of BS-1 type is required;
− after punching and filling of the well, a large
unconsolidated layer remains on top, the so-
called “buffer” layer up to 2.5–3.0 m, which
requires additional compaction with a heavy
tamper or replacement for a ground bed;
− moisture content of compacted soil should be
close to optimal;
− the geological section should not contain any
layers and interlayers of silty-clayed soils, sands,
pockets of the overmoistened soil, temporary
perched ground waters;
− the recommended thickness of the collapsible
soil layer is from 10 to 24 m (ibid).
5 CHEMICAL STABILIZATION
OF COLLAPSIBLE SOILS WITH
SILICATIZATION
This method was very popular in the 1960–1970s
thanks to the study of the Research Institute of
Bases and Rostov Promstroyniiproekt. The enthu-
siastic attitude towards silicatization was expressed
by professor B.A. Rzhanitsyn in a summary report
at the VIII All-Union meeting in Kiev (Rzhanitsyn
1974) and many participants in the meeting. As a
successful application of silicatization, Odessa
Opera and Ballet Theatre and the main building of
Georgievsky Repair Plant were mentioned.
However, later it turned out that silicatization
did not stop the deformation of Odessa Opera
and Ballet Theatre building (Medvedev 1994) and
many residential buildings in the Stavropol Terri-
tory (Kislovodsk, Georgievsk, Budyonnovsk, etc.).
Silicatization has proved ineffective in restoring
emergency houses, public buildings and industrial
facilities of Atommash plant in Volgodonsk. Cur-
rently, construction engineers have abandoned this
method due to its high cost, limited scope, unreli-
ability and inefficiency at pilot sites.
6 THERMAL STABILIZATION (BURNING)
The first and last attempt to introduce burning to
strengthen collapsible soils in the Stavropol Terri-
tory took place in 1975 on the initiative of the Mos-
cow Fundamentproekt. The base of a small winery
building in Praskoveya settlement was experimen-
tally burnt for strengthening. After this, the con-
struction engineers abandoned this method.
At present, two methods are widely used for
tampering thick loess strata in the North Cauca-
sus. They are: 1) hydraulic blasting method and
2) soil piles manufactured by means of the auger
method (auger piles).
in order to prevent surface discharge of water
during a rapid post-explosive soil subsidence;
− single explosions are made with an interval of
5 seconds, starting from the perimeter charges,
in order to “tear off ” the soaked part of the mass
from the surrounding soil, and then remaining
parts inside the pit.
This technology makes it possible to eliminate
the watering of the pit and proceed with compact-
ing of the upper “buffer” layer immediately after
the deep explosions. At the same time, the lower
part of the collapsible stratum is compacted by the
large dead weight of the overlying soil when the
excess water is dumped down after the explosion.
The big savings and reduction of base prepara-
tion terms are achieved due to:
− drilling of shallow drainage and explosive
wells with augers available in each survey
organization;
− abandoning the use of steel casing pipes with a
length of 0.75 of the subsidence mass;
− saving water for partial soaking of the
subsidence;
− continuous base preparation.
For the mass use of explosions, including in
built-up areas, the Manual was compiled and

7 HYDRAULIC BLASTING METHOD

The new deep explosion technology includes:

− soil soaking by flooding the pits with combined
drainage and explosive wells;
− drilling of drainage and explosive wells with
augers with a diameter up to 200 mm to a depth
of 6–10 m, ensuring the explosions containment
without soil ejection, regardless of the subsid-
ence stratum thickness;
− lowering into dry wells (without casing!) charges
of waterproof ammonite in a sealed package
weighing up to 10 kg, connected to two wires
of a waterproof detonating cord, which are
attached to the pegs for the time of soaking;
− after lowering of the charges, the wells are filled
to the top with drainage material (gravel, crushed
stone, slag, etc.);
− soaking by flooding the pit with water to a depth of
0.75 of the subsidence stratum, not allowing it to be
completely soaked and turn into a “frog pool”; Figure 1. Soil subsidence after deep explosions at the
− explosions in 3–5 days after soaking up the design construction site of a Gas Processing Plant in Buden-
rate of water and draining the top (2–4 m) layer novsk (2015).

71
coordinated with Gosgortechnadzor of Russia
and Kavkazvzryvprom OJSC. This Manual sum-
marizes 40 years of experience in compacting col-
lapsible soils at important construction sites in the
South of Russia (the Stavropol Territory, the Ros-
tov and Volgograd regions, Kabardino-Balkaria
and the Chechen Republic).
Deep explosions were the only and single-
option method for compacting collapsible soils
during the construction of a 50-meter collapsible
mass of the treatment facilities of Prikumsky Plas-
tics Factory (now STAVROLEN LLC), a military
town and a Gas Processing Plant in Budennovsk.
The total economic effect from the use of explo-
sions amounts to hundreds of millions of rubles
at current prices. During the construction of the
Gas Processing Plant of LLC STAVROLEN
(Fig. 1), the savings in monetary terms amounted
to 887,372 million rubles, let alone the reduction of
construction time.
8 AUGER PILES
The auger piles technology is shown in Fig. 2.
Fig. 3 demonstrates a pile made by means of the
auger method in collapsible soil.
Figure 2. The technological scheme of making bored
auger piles: stage 1 – preparation of the well by direct
or reverse rotation of the augers; stage 2 – formation of
the bored pile bottom-up; 1 – drilled or punched well;
2 – auger column; 3 – bottom of the auger column;
4 – wellhead; 5 – bottom hole; 6 – compacted zone when
the augers are immersed by reverse rotation; 7 – working
material (local loam, sand, gravel, concrete mix, etc.); P –
pressure on the augers.
72
Figure 3. Soil pile installation during the construction
of the Gas Processing Plant in Budennovsk. Pile diam-
eter is 90 cm.
For practical use of the auger technology, Recom-
mendations (Galay et al. 2016) have been developed.
They were coordinated with the Research Institute
of Bases and the Main State Expert Examination of
Russia at many sites in Southern Russia.
REFERENCES
Abelev, Yu.M. & Abelev, M.Yu. 1968. Fundamentals of
design and construction on collapsible macroporous
soils. (2nd ed., rev.) Moscow: Construction Literature
Publishing House.
Design and construction of buildings and structures on
collapsible soils. 1984. Abstracts and reports of the All-
Union Conference in Volgodonsk.
Galay, B.F., Serbin, V.V. & Galay, O.B. 2015. Compac-
tion of collapsible soils with deep explosions. Stavropol:
Service School, SKFU.
Galay, B.F., Serbin, V.V. & Galay, O.B. et al. 2016. Recom-
mendations on the design and development of bored soil
piles manufactured by auger method in collapsible and
weak soils. Stavropol: SKFU.
Kokhanenko, M.P., Polyakov, G.P. & Shevelev, V.B. 1990.
Restoration of civilian buildings on collapsible soils
(Practice and methods of work production). Moscow:
Stroyizdat.
Kostoglotov, V.V. 1962. Yields of industrial buildings and
structures built on natural and artificial bases on col-
lapsible soils. Proceedings of the meeting on soil stabi-
lization and compaction, Kiev: 417–421.
Loess cover of the Earth and its properties. 2001. Trofimov,
V.T., Balykova, S.D., Bolikhovskaya, N.S., et al. Mos-
cow: Publishing House of Moscow State University.
Medvedev, O. Yu. 1994. Features of the deformation
of the building of Odessa Opera and Ballet Theater.
Geoecology (3): 91–94.
Rzhanitsyn, B.A. 1962. Stabilization and compaction
of soils in industrial construction. Proceedings of the
meeting on soil stabilization and compaction, Academy
 of Construction and Architecture of the Ukrainian
SSR, Kiev: 3–11.
Rzhanitsyn, B.A. 1974. Some results of work in the field
of chemical stabilization of soils (summary report).
Stabilization and compaction of soils in construction
(Materials of the VIII All-Union Conference). Kiev:
Budivelnik: 99–112.
Sikora, Z. & Wyroslak, M. 2013. Hybrid technologies
application as a tool for weak soil improvement. Pro-
ceeding of XVI Polish-French Colloquium. Montpellier,
France.
Stolyarov, V.G., Babaevskaya, L.V. & Galai, B.B. 2010.
Seismic risks of cities in the North Caucasus. Pro-
ceedings of the international conference on geotechnics
“Urban development and geotechnical construction”
(5). Geotechnical problems of megacities. Moscow:
“Georeconstruction”: 1897–1904.
Trofimov, V.T., Balykina, S.D. & Andreeva, T.V. et al.
2008. Support engineering-geological sections of loess
rocks of Northern Eurasia. Moscow: KDU.
73
Tungcheng, L. et al. 1985. Loess and the environment.
China Ocean Press. Beijing, China.
Ulitsky, V.M., Shashkin, A.G. & Shashkin, K.G. 2010.
Guide to geotechnics (guide to the footings, founda-
tions and underground structures). St. Petersburg:
“Georeconstruction”.
Ulitsky, V.M. et al. 2014. Strengthening the weak soil
bases of road structures. Modern technologies in con-
struction and their scientific and technical support:
proceedings of the International scientific and technical
conference dedicated to the 80th anniversary of the for-
mation of the Department of Geotechnics of SPSUAC
(soil mechanics, bases and foundations of Leningrad
Civil Engineering Institute) and the 290th anniversary
of Russian science. – Part I. St. Petersburg: SPSUACE:
192–202.
Zaguan, L. & Weiming, L. 1982. Engineering properties
and zoning of loess and loess soils in China. Canadian
Geotechnical Journal 19(1): 76–91.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Efficient use of sand cushions

V.S. Glukhov & M.V. Glukhova

Penza State University of Architecture and Civil Engineering, Penza, Russia

ABSTRACT: The authors propose a new approach for calculating the settlement of a foundation on a
sand cushion beyond the linear dependence between stresses and deformations in the soil.

1 INTRODUCTION medium-compressible soil. Traditionally, the latter

1.1 Analysis of existing methods
When considering existing methods to increase
the stability and bearing capacity of soil bases, the
main factor is to reduce the foundation settlement
of buildings and structures. In a number of ground
conditions of construction sites, the use of sand
cushions is quite an economically effective option
for the foundation (Glukhov et al. 2014, Abelev
et al. 2015, Oschepkov & Bochkareva 2017). In
this article, the authors consider the use of a sand
cushion in combination with a shallow foundation
under the column of a frame building.
In design practice, base deformations are deter-
mined using the design scheme of the base in the
form of a linearly deformable half-space with
the limitation of the compressible thickness. At the
same time, the average pressure under the founda-
tion bed P should not exceed the design resistance
of the base soil R. The specified resistance is deter-
mined by the well-known formula designed so that,
at the pressure P ≈ R, zones of limiting equilibrium
develop in the soil under the edges of the founda-
tion to a depth of z ≈ ¼b. As far as the pressure
P ≈ R, the dependence of the settlement S on the
pressure P is almost linear, which is allowed by the
building standards when calculating settlements.
Study of the limiting resistances of soil bases
(Vesic 1973, Pilyagin 1996) in the framework of
calculations of bearing capacity and deformations
of foundations (Malyshev 1996, Vyalov & Mindich
1974) allowed us to assume that the pressure P ≈ R
is completely safe. Therefore, in low-compressible
soils, when, at the indicated pressure, the calcu-
lated settlement does not exceed 50% of the maxi-
mum allowable Su value according to the norms,
it is allowed to exceed the value of the calculated
resistance.
In the present work, the authors investigate
the possibility of using an option of the founda-
tions on a sand cushion, replacing the soil base of
is effective in replacing weak layers of soil directly
under the foundation bed. In this case, the authors
consider the possibility of designing a sand cush-
ion with regard to nonlinearity (Glukhov 2011).
1.2 Relevance and novelty
The relevance of this technique lies in the possibil-
ity of a more accurate prediction of deformations
of the soil base with simultaneous maximum use
of the limiting resistance of the latter within the
required reliability for the bearing capacity of the
base.
The development of a new calculation path,
taking into account the nonlinear dependence
of the base settlement on the load, was preceded
by the process of studying the state of this issue
(Alekseev 1998, Kalugin 2010, Lushnikov &
Yardyakov 2014). A new approach to estimating
the contribution of plastic deformations to the
total settlement of foundations is proposed.
2 CALCULATION METHOD
For clarity, the proposed calculation method is
demonstrated with an example when the load is
acting on the foundation with a load NII = 2000 kN
(Fig. 1).
Sand cushions are made of medium-sized sand
or sand and gravel mix. The technology presup-
poses layered dumping with compaction. The
cushion formed in such a way is characterized by
a rather high deformation modulus E ≥ 25 MPa.
The calculation of such a foundation is limited to
determining the deformations of the soil base.
Sand cushions are categorized as low-
compressible soil bases, for which there is a signifi-
cant gap between the results of the calculation of
the two limiting states (Malyshev & Fradis 1968).
Therefore, the authors of this article conducted
research on the development of the method for

74

Figure 1. Calculation scheme for determining settlement.
calculating foundations on a sand cushion, taking
into account nonlinearity.
2.1 Initial data
In this study, the soil base was taken in the form of a
homogeneous thick layer of loam with the following
characteristics: weight by volume γII = γII′ = 17 kN/m3;
internal friction angle cII = 16 °; specific adhesion
ϕII = 20 kPa; liquidity index IL = 0.4; deformation
modulus E = 6 MPa. The groundwater level corre-
sponds to the foundation bed.
Characteristics of the cushion consisting of a
medium-size sand are as follows: weight by volume,
taking into account the weighing effect of water,
γII = 10 kN/m3; γII′ = 16 kN/m3; internal friction
angle ϕII = 32°; deformation modulus E = 25 MPa.
2.2 Calculation procedure
In accordance with the scheme (Fig. 2) and the
formula, the calculated resistance Rsc of the sand
cushion under the foundation bed is determined.
The latter was Rsc = 230 kPa. Vertical load on the
foundation NII = 2000 kN. The dimensions of
the foundation bed are 3.0 m × 3.6 m = 10.8 m2.
Foundation height is 1.5 m, weight – 430 kN.
With these parameters, the condition
P = 225 kPa < R = 230 kPa is satisfied. The mini-
mum allowable thickness of the sand cushion is
hc = b/2 = 1.5 m.
When calculating settlements taking into account
nonlinearity, one should determine the limiting
resistance of the soil Pu according to the formula
5.32 of the CR 22.13330.2016 “Bases and founda-
tions”. As a result of the calculations, the limiting
75
Figure 2. The graph of settlement S of the foundation
on the pressure P under the bed.
resistance is Pu = 1530 kPa. The permissible design
pressure Ppd on the soil base is calculated by for-
mula 5.27 of the above CR.
γ c Ppd 153 ⋅ 1, 0
Ppd = = = 1330.0 kPa (1)
γn 1,15
When taking into account nonlinearity with
pressure under the foundation bed P in the range
R < P ≤ Ppd, the settlement is determined with the
nonlinear coefficient n. The latter is calculated
from the expression:
K n = 1+
( Pu − R ) ( P − R ) , (2)
( R − σ zg,0 ) ( Pu − P )
where all designations correspond to those adopted
in formula 68 (Malyshev 1994).
According to the results of the calculations, the
optimal pressure under the bed P = 600 kPa was
selected by successive approximation. The latter
made it possible to designate the dimensions of the
foundation bed b × l = 1.8 m × 2.1 m = 3.8 m2. The
specified pressure is 40% of the calculated limiting
resistance of the soil base Pu = 1530 kPa.
It is known that with the pressure under the
bed corresponding to the calculated resistance
R = 230 kPa, zones of limiting equilibrium develop
to a depth of z = 0.25b (Fig. 1) (Kirillov 1992).
The indicated pressure is 15% of Pu. With confi-
dential probability for practical cases, it can be
assumed that at a pressure of P = 600 kPa, i.e. 40%
of Pu, the development of plastic zones in depth
zp = z × 2.7 = 0.7b (Fig. 1). In this example, this is
zp = 1.25 m. In the example, the safety margin is
assumed to be the thickness of the sand cushion
hc = 1.5 m.
2.3 Results
Taking into account these parameters, a calcula-
tion was made to determine the settlement of the
foundations taking into account the nonlinear-
ity according to the scheme (Fig. 1). In this case,
the nonlinearity of the dependence SR = f (P)
was taken into account within the first two layers
up to point 2 along the axis of symmetry of the
foundation bed, which is a significant difference
between the proposed method and the existing one
(Malyshev & Nikitina 1982). The Sa deformations
of the subsequent soil layers from point 2 to point
7 were determined based on the traditional linear
dependence.
In general, the settlement was determined by the
formula:
S p = SR K n + Sa (3)
where SR is the settlement from the pressure P = R
within the compressible thickness zc = 1.25 m;
Sa – settlement of layers from point 2 to point 7;
Kn is a nonlinearity coefficient, chosen by succes-
sive approximation, equals 3.4.
With the accepted dimensions of the bed, the
pressure P = 600 kPa and equals the sand cush-
ion thickness; the calculated settlement taking into
account nonlinearity is SP = 11.9 cm < Su = 15.0 cm,
where Su is the maximum permissible deformation
according to the norms.
3 CONCLUSIONS
The new approach to the calculation of base defor-
mations taking into account nonlinearity only
within the limits of the plastic zones development
is more in tune with the real conditions of base
operation.
The authors carried out the technical and eco-
nomic comparison of the foundation option on
the sand cushion when designing a linear position.
The estimated cost of one foundation is 165 thou-
sand rubles. When calculating the deformations
taking into account nonlinearity, the specified cost
is 128 thousand rubles, which is 1.3 times less.
REFERENCES
Abelev, M.Yu. et al. 2015. New in the device of artificial
compacted foundations of buildings and structures on
weak soils. Industrial and Civil Engineering 9: 76–81.
Moscow: ISE Publishing House LLC.
76
Alekseev, S.I. 1998. Engineering method of foundation
design by equalized settlements. Soil Mechanics and
Foundation Engineering 4–5 (35): 138–143. Moscow:
Springer New York Consultants Bureau.
Glukhov, V.S. et al. 2011. The study of the effect of wid-
ening of piles in punched holes on the settlement.
Proceedings of the South-West State University 5–2
(38): 367a–370. Kursk: SWSU.
Glukhov, V.S. et al. 2014. Pile-slab foundations on a
combined basis. Bulletin of Perm National Research
Polytechnic University. Construction and Architec-
ture 2: 229–237. Perm: PNRPU.
Kalugin, P.I. 2010. To account for the nonlinearity of
the deformation of the soil when calculating the set-
tlement of foundation beds. Scientific Bulletin of
Voronezh State University of Architecture and Civil
Engineering. Materials of the Interregional Scientific-
Practical Conference “Top Technologies in Ecology”
1: 60–64. Voronezh: VSTU.
Kirillov, V.M. 1992. Approximate accounting of zones
of plastic deformation in the bed of a rigid plate. Soil
Mechanics and Foundation Engineering 4 (29): 95–100.
Moscow: Springer New York Consultants Bureau.
Lushnikov, V.V. & Yardyakov, A.S. 2014. The analysis
of calculations sediment in the nonlinear stage of the
soil. Bulletin of Perm National Research Polytechnic
University. Construction and Architecture 2: 44–55.
Perm: PNRPU.
Malyshev, M.V. & Fradis, E.D. 1968. Strength conditions
of sands. Acta technica Academia scientiarum Hun-
garicae. T. 63 (1–4): 167–175. Budapest: Akademia
Kiadoo.
Malyshev, M.V. & Nikitina, N.S. 1982. Computing
foundation settlements for a nonlinear relationship
between stresses and strains in the soils. Soil Mechan-
ics and Foundation Engineering 2 (19): 70–79. Moscow:
Springer New York Consultants Bureau.
Malyshev, M.V. 1994. Strength of soils and bed stability of
structures. Moscow: Stroiizdat.
Malyshev, M.V. 1996. Prediction of the settlement of
shallow foundations using both limiting-state criteria.
Soil Mechanics and Foundation Engineering 1: 1–5.
Moscow: Springer New York Consultants Bureau.
Oschepkov, D.V. & Bochkareva, T.M. 2017. Analysis of
existing foundation mattresses of buildings and struc-
tures. Bulletin of Perm National Research Polytechnic
University. Applied Ecology. Urbanism 3 (27): 152–162.
Perm: PNRPU.
Pilyagin, A.V. 1996. Deformation-based bed design
using linear and nonlinear methods. Soil Mechanics
and Foundation Engineering 1 (33): 12–15. Moscow:
Springer New York Consultants Bureau.
Vesic, A.S. 1973. Analysis of ultimate loads of shallow
foundations. Journal of the Soil Mechanics and Foun-
dation Division 45–71. Reston: ASCE.
Vyalov, S.S. & Mindich, A.L. 1974. Settlement and limit-
ing equilibrium of a layer of weak soil underlain by a
rigid foundation bed. Soil Mechanics and Foundation
Engineering 6 (11): 381–386. Moscow: Springer New
York Consultants Bureau.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Numerical studies on horizontally loaded bored piles

A.L. Gotman
Gersevanov Research Institute of Bases and Underground Structures, Moscow, Russia

A.Z. Gaisin
Scientific and Design Enterprise EkspertGeoProekt, Ufa, Russia

A.O. Glazachev
Ufa State Petroleum Technological University, Ufa, Russia

ABSTRACT: The present article deals with numerical studies on a dependence of the subsoil elasticity
coefficient on the diameter of bored piles upon their design for horizontal loading in clayey soil. The
article addresses a non-linear dependence between subsoil deformability and the diameter of a bored
pile. The purpose of the article is to determine quantitative parameters of the dependence. To achieve
that purpose, theoretical studies, including design of horizontally loaded bored piles using Plaxis 3D
software and the existing applied design methods, are conducted. The studies are performed for piles with
a diameter from 400 to 1,200 mm in diameter increments of 200 mm, that operate in subsoil under the
“rigid” arrangement. According to the calculation results, curves of load/displacement are plotted and
subsoil elasticity coefficients for the elastic stage of pile operation are determined. An analysis of the results
obtained allows revealing a dependence between the subsoil elasticity coefficient and the pile diameter.
Scaled coefficient ψ, taking into account the non-linear dependence between subsoil deformability and
the pile diameter, is suggested. Following the findings, an increase in the scaled coefficient with an increase
in the diameter of a bored pile is noted, and conclusions on the need to use it in design of large-diameter
piles are drawn.

1 INTRODUCTION regard, large-sized piles with high load-bearing

At the present time, construction of high-rise
buildings, large shopping and entertainment cent-
ers, long-span industrial and civil buildings and
structures with foundations taking up significant
loads (including horizontal and momental) is
developing intensively, and such buildings are often
constructed at sites with complex soil conditions.
Therefore, the main task in design and engineering
of such foundations with the aim to derive an opti-
mal and efficient design solution is to theoretically
predict stresses in a pile and its deformations.
Improvement of those design methods is
addressed in papers by Shakhirev & Yanyshev
(1971), Shakhirev (1987, 1989) Ziyazov (1974, 1977),
Buslov (1979), Berezantsev (1947), Gorbunov-
Posadov et al. (1984), Bakulina (2016), Khokhlov
(2015a,b), Reese & Van Impe (2001), Scott (1981),
Davies & Budhu (1986), Brown et al. (1988),
Brown & Shie (1991), Yang & Liang (2006), Yang
& Jeremic (2005).
With the increase in the number of floors in
buildings and aisles in industrial shops, loads
transmitted to foundations increase as well. In this
capacity are extensively used. As a rule, those are
bored piles of a large diameter (up to 1.5–2.0 m)
and long length (30 m and more).
In engineering of foundations using such piles,
it becomes necessary to design those for horizontal
loading and bending moment. However, the exist-
ing design methods, including those described in
regulatory documents, are hardly applicable for
such piles since design parameters for their opera-
tion in soil differ from those for piles with a small
cross-section. One of such factors is poor knowl-
edge of the dependence between the subsoil elas-
ticity coefficient and the pile diameter.
2 SUBSOIL DESIGN MODEL
The issue of designing bored piles of large diam-
eters for horizontal loading is primarily a task of
choosing a soil model and developing a design
diagram. The subsoil design model shall be chosen
with account for patterns in interaction between a
horizontally loaded pile and subsoil. Currently, the
model of local deformations (Fuss–Winkler model)

77
is the most common and widely used model. Within
that model, a pile is considered as a beam on elas-
tic or linearly deformable subsoil. Subsoil elasticity
coefficient KZ characterizing subsoil resistance or,
more generally, subsoil deformation properties is
considered as a subsoil design parameter.
The model is well elaborated in terms of math-
ematics, possesses closed solutions for various pat-
terns of changes in the subsoil elasticity coefficient
in depth; it rather accurately reflects deformation
phenomena when beams with a relatively small and
constant along the length cross-section are loaded,
e.g. when those involve horizontally loaded piles
for wide use (30 × 30 cm cross-section). There-
fore, to design one-pile foundations using piles of
a large diameter, it is feasible to use the model of
local deformations with experimental justification
of the corresponding determining parameters.
To derive an equation to determine the subsoil
elasticity coefficient, let us assume that, when a
pile with a developed cross-section is pressed into
the ground, deformation of subsoil occurs not
only directly below the pile, but also beyond it, as it
is described in the theory of elastic half-space.
Then, according to M.I. Gorbunov-Posadov
et al. (1984), to determine the subsoil elasticity
coefficient, we shall derive the following equation
through the equality of settlements as per two the-
ories – the theory of local deformations and the
theory of elastic half-space:
E0
KZ = (1)
(1 − µ 2 ) ⋅ b ⋅ ω
where E0 – modulus of deformation; µ – Poisson’s
ratio; b – width of the contact surface of the pile;
ω – coefficient depending on the ratio between the
sides of the contact surface of the pile.
The equation applies to piles with a rectangular
cross-section and the ratio of sides l/b. In our
case, for bored piles with a round cross-section,
there is no need to apply a coefficient depending
on the ratio between the sides of the rectangular.
However, to determine the subsoil elasticity coef-
ficient for piles with a developed cross-section, it
is feasible to apply the additional scaled coefficient
ψ taking into account the non-linear dependence
between the subsoil elasticity coefficient and the
pile diameter d.
Then, equation (1) can be written as follows:
E0 ⋅ ψ
KZ = (2)
(1 − µ 2 ) ⋅ b
Thus, it is necessary to clarify patterns of sub-
soil deformation below the pile upon its horizon-
tal displacement and determine if it is feasible to
78
apply the scaled coefficient ψ by means of numeri-
cal studies and experiments.
3 NUMERICAL STUDIES ON THE
INTERACTION BETWEEN
HORIZONTALLY LOADED PILES
AND SUBSOIL
To determine patterns of changes in the subsoil
elasticity coefficient depending on the pile diam-
eter, numerical studies using Plaxis 3D Foundation
1.6 software package in a 3D arrangement are con-
ducted. The studies involve a conventional single
pile in one-layer subsoil with the calculated area of
50 × 50 × 15 (h) m (see Fig. 1).
Subsoil is represented by semi-hard clay
with the following characteristics: specific
weight = 19 kN/m3, E = 15 MPa, µ = 0.42,
c = 15 kPa, ϕ = 15°. The Mohr–Coulomb soil
model is used for calculations.
Series of calculations are performed for bored
piles with the length of 10 m and diameters from 400
to 1,200 mm in diameter increments of 200 mm. To
minimize the impact of pile shaft bending and its
transition to operation under the “rigid” arrange-
ment, the initial concrete modulus of elasticity for
a pile is taken as E = 3 ⋅ 1013 kPa, which is 106 times
higher than the actual parameters.
The horizontal load affecting the pile head is
taken as increasing in increments of 50 kN until
the soil load-bearing capacity is exhausted.
The calculation results are given in Table 1 and
in Figure 2.
Since the subsoil elasticity coefficient char-
acterizes linear subsoil deformations caused by
the applied load, let us distinguish sections with
Figure 1. Design model of a bored pile.
Table 1. Horizontal pile displacements. 10 mm and determine the loads corresponding to
that displacement. For a pile of 400 mm diameter,
Diameter of the pile displaced, mm the head displacement of 10 mm occurs at the
Load,
horizontal load of 250 kN, for a pile of 600 mm
kN 400 mm 600 mm 800 mm 1,000 mm 1,200 mm
diameter – at 305 kN, 800 mm – 355 kN, 1,000 mm
0 0 0 0 0 0 – 400 kN, 1,200 mm – 445 kN.
50 1.83 1.54 1.33 1.21 1.13 Let us calculate the subsoil elasticity coefficient Kz
100 3.66 3.07 2.65 2.4 2.21 for the obtained “load/displacement” pairs accord-
150 5.54 4.61 3.99 3.61 3.32 ing to the method suggested by A.L. Gotman &
200 7.55 6.2 5.32 4.82 4.43 A.Z. Gaisin (2018) through the backward calcula-
250 9.84 7.87 6.7 6.05 5.55 tion, i.e. determine Kz at known displacements of
300 12.65 9.66 8.1 7.33 6.7 the pile head and the load applied to the pile.
350 15.98 11.65 9.52 8.62 7.89 A design model of the method is given in
400 20.02 13.9 11 9.92 9.08 Figure 3. When equations are derived using this
450 25.39 16.42 12.66 11.26 10.29 method, the following assumptions are made:
500 31.88 19.55 14.42 12.69 11.52
1. Subsoil is heterogenous and multi-layered in
550 39.52 23.35 16.36 14.25 12.79
600 50.36 27.45 18.77 15.93 14.17
depth within the pile length; it is broken down
650 61.91 33.47 21.42 17.92 15.66
into n layers with the subsoil elasticity coefficients
700 74.06 40.28 24.56 20.01 17.31 Ki which are constant within each i-th layer.
750 47.31 28.76 22.59 19.05 2. The pile cross-section along the depth d is
800 55.02 33.15 25.8 21.13 constant, bending stiffness is considered to be
850 63.41 37.68 29.13 23.69 infinite.
900 72.18 42.92 32.64 26.33 3. Changes in the horizontal pile displacement
950 48.34 36.55 29.05 Uz in depth are adopted as for a stiff rod in an
1,000 53.86 40.79 32.13 elastic environment:
1,050 59.48 45.2 35.5
1,100 65.34 49.66 39 U Z = U 0 (1 − z / l0 ) (3)
1,150 71.82 54.21 42.6
1,200 59.14 46.39 where U0 – horizontal displacement of the pile
1,250 64.5 50.33 at the soil surface level; l0 – depth of the point
1,300 70.22 54.49 of zero displacements, l0 = U0/ϕ0; ϕ0 – pile bend
1,350 76.2 59.08 angle at the soil surface level.
1,400 63.86 4. Pressure of soil qz on the unit of pile length is
1,450 68.76 proportional to its horizontal displacement UZ
1,500 73.68 and the subsoil elasticity coefficient KZ:

Figure 2. Pile load/displacement.

a linear dependence, i.e. before the occurrence

of plastic deformations in subsoil around the
pile. Based on an analysis of the “load/displace-
ment” curves, it can be noted that prior to the
displacement of the pile head within 10 mm, the
displacement in general depends on the load. For
further calculations in the indicated range, let us
assume the displacement of the pile head to be Figure 3. Design model of a bored pile.

79
 qZ = dK ZU Z (4) where j – the number of layers above the section
z; Ki – the subsoil elasticity coefficient of the i-th
subsoil layer.
Based on equilibrium between applied and reac-
If we take in (8) that z = l, and in (10) – that j = n,
tive forces, in accordance with the design model
with account for such boundary conditions at the
in Figure 3, the transverse load QZ and bending
pile foot as Ql = 0 and Ml = 0, we will obtain a system
moment MZ in an arbitrary section of the pile at
of two equations, the solution to which will allow
the depth z, when external horizontal load H0 and
deriving equations to determine the pile displace-
bending moment M0 are in effect, can be repre-
ment U0 and bend angle ϕ0 at the soil surface level:
sented as follows:

Q0 = H 0 − QZsoil ; M Z = M 0 + H 0 z − M Zsoil (5)

U 0 = H 0 ⋅ δ nn + M 0 ⋅ δ mn
φ0 = H 0 ⋅ δ nm + M 0 ⋅ δ mm } (11)

Based on the assumptions made earlier, the where δnn and δmn – horizontal displacement and
subsoil resistance qz at the depth z can be repre- bend angle of the pile at the soil surface level at
sented as follows: H0 = 1; δnm and δmm – horizontal displacement and
bend angle of the pile at the soil surface level at
 z M0 = 1.
qZ = d ⋅ U 0 ⋅ K Z ⋅ 1 −  (6)
 l0  The values δnn, δmn, δnn and δmn are determined by
the following equations:
where Kz – subsoil elasticity coefficient of the i-th
Φ 4 − l Φ2
layer of subsoil corresponding to the depth z. δnn =
Then, the transverse force Qzisoil and bending η
moment M zisoil in an arbitrary section z of the pile, Φ
δnm = δmn = − 2 (12)
depending on the subsoil resistance qz of the i-th η
layer, can be represented as follows: Φ1
δmm =
z η
 z
Qzisoil = U 0 ⋅ K i ⋅ d ∫  1−  ⋅ d z
 where η = Φ2 × Φ3 – Φ1 × Φ4.
zi − 1
l 0 
z (7) The values Φ1, Φ2, Φ3 and Φ4 are determined
 z
M zisoil = U 0 ⋅ K i ⋅ d ∫  1−  ( z − z ) ⋅ d z as per equations (9) and (10), and summing-up in
zi − 1 
l0  equations (10) is performed along the whole length
l of the pile.
After integration of equations (7), summing up The design bending moment MZ and transverse
along the length of the pile till the layer j where force QZ in the pile section at the depth z are deter-
the section z is located, and transformations with mined by equations (8). Summing-up in equations
account for the value (6), equations (5) can be writ- (10) is performed from the first layer to the layer
ten as follows: where the section z is located.
Following the results of the calculations per-
QZ = H 0 + U 0 ⋅ Φ1 + ϕ 0 ⋅ Φ 2 formed, the following dependence graph for the
(8) scaled coefficient ψ and the pile diameter is plotted
M Z = M 0 + H 0 ⋅ z + U 0 ⋅ Φ3 + ϕ 0 ⋅ Φ 4
(see Fig. 4).
where:
bz 
Φ 1 = − d ⋅ az ; Φ 2 = − d ⋅ 
2
d d 
Φ3 = (−12az + 6bz ) = (bz − 2az ⋅ l )  (9)
12 2 
d d
Φ4 = (6bz − 4d z ) = (3bz l − 2d z ) 
12 6 
j j

az = ∑ K (z − z
i=1
i i i − 1 ); bz = ∑ K (z
i=1
i
2
i − zi2− 1 ) 

j 
dz = ∑ K (z
i=1
i
3
i −z )
3
i−1


Figure 4. Dependence of the scaled coefficient on the
(10) pile diameter.

80
4 CONCLUSION
As can be seen from the graph plotted, there is a
non-linear increase in the scaled coefficient ψ from
1.2 for a pile with 400 mm diameter to 1.99 for a
pile with 1,200 mm diameter. It can be explained
by the fact that, with an increase in the diameter of
the pile, the volume of subsoil involved in action
at horizontal displacement of the pile increases as
well. Therefore, in design of large-scale bored piles
operating under the “rigid” arrangement, it is nec-
essary to take into account the scaled coefficient.
REFERENCES
Bakulina, A.A. 2016. Experimental model studies on sta-
bility and deformation of horizontally loaded piles.
Systemic Technologies, 18: 80–84.
Berezantsev, V.G. 1947. Design of single piles and pile
clusters for horizontal loafs. Proceedings of the Lenin-
grad Institute of Railway Engineers, 136 (theoretical):
pp. 62–78.
Brown, D.A., Morrison, C., Reese, L.C. 1988. Lateral
load behavior of pile group in sand. Journal of
Geotechnical Engineering, 114 (11): 1261–1276.
Brown, D.A., Shie, C.F. 1991. Some numerical
experiments with a three dimensional finite element
model of a laterally loaded pile. Computers and
Geotechnics, 12 (2): 149–162.
Buslov, A.S. 1979. Behavior of piles in horizontal loading
beyond elastic limits in cohesive soils. Tashkent: Fan.
Davies, T.G., Budhu, M. 1986. Non-linear analysis of
laterally loaded piles in heavily overconsolidated clays
// Geotechnique, 36 (4): 527–538.
Gorbunov-Posadov, M.N., Malikova, G.A., Solomin,
V.I. 1984. Design of structures in elastic subsoil. Mos-
cow: Stroyizdat.
81
Gotman, A.L., Gaisin, A.Z. 2018. Study of the large-
scale bored piles on the horizontal load and their
calculation. Bulletin of PNRPU. Construction and
Architecture, 9 (3): 14–27.
Khokhlov, I.N. 2015. Analysis of interaction of the deep
bases and jointed rocky massifs at horizontal loadings.
The Russian Automobile and Highway Industry
Journal, 4 (44): 99–106.
Khokhlov, I.N. 2015. Calculation methods of laterally
loaded drilled shafts in rock. Vestnik MGSU
(Scientific and Engineering Journal for Construction
and Architecture), 10: 40–53.
Reese, L.C., Van Impe, W.F. 2001. Single piles and pile
groups under lateral loading. Rotterdam: Balkema.
Scott, R.F. 1981. Foundation analysis. NJ: Prentice-Hall,
Englewood Cliffs.
Shakhirev, V.B. 1987. A new method to design short stiff
piles for horizontal load. Stroitelstvo i Arkhitektura
Belorussii, 1: 35–36.
Shakhirev, V.B. 1989. Design of pyramidal piles for
horizontal loads. Voprosy Stroitelstva i Arkitektury
(Minsk), 17: 87–90.
Shakhirev, V.B., Yanyshev, G.S. 1971. Design of horizon-
tally loaded piles for multi-layered subsoil. Proceed-
ings of BashNIIstroy, 10: 29–38.
Yang, K., Liang, R. 2006. Methods for deriving p-y curves
from instrumented lateral load tests. Geotechnical
Testing Journal, 30 (1), 31–38.
Yang, Z., Jeremic, B. 2005. Study of soil layering effects
on lateral loading behavior of piles. Journal of
Geotechnical and Geoenvironmental Engineering, 131
(6): 762–770.
Ziyazov, Ya.Sh. 1977. Design of pyramidal poles in het-
erogenous subsoil for vertical and horizontal load.
Matters of Foundation Construction. Proceedings of
NIIpromstroy (Ufa), 21: 40–47.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Assessment of operation of fiber-reinforced soil located behind

retaining wall

A.S. Grishina & A.B. Ponomaryov

Perm National Research Polytechnic University, Perm, Russia

ABSTRACT: The article presents the results of model tests on the study of the stability of the soil
mass reinforced with discrete fibers of polypropylene, located under the retaining wall. The test program
assumed the study of the influence of the following factors: the percentage of reinforcing fibers in the
backfill soil, the location of the foundation relative to the wall, the height of the wall.

1 INTRODUCTION The results of model and numerical experiments

Currently, active use of reinforced soil retaining
walls is underway (Kasharina & Prikhodko 2015).
The role of backfill in this case is performed by
layers of compacted soil alternating with flat rein-
forcement (Kashapova 2016). Metal meshes, thin
steels, geosynthetic materials (Bartolomey et al.
1999) can act as reinforcement.
In addition to the well-known technology of
horizontal reinforcement with coil geosynthetics,
there is a technology of bulk-dispersed soil
reinforcement. This type of reinforcement implies
the introduction of short natural or synthetic
fibers into the soil mass, with the aim of giving it
optimum physical and mechanical characteristics
(Michalowski 1996). The results of previous
laboratory studies show that fibers embedded in
the soil increase the strength characteristics of sandy
soil (Diambra & Ibraim 2010). The joint work of
soil particles and reinforcing fibers contributes to
the specific cohesion in the non-cohesive soil and
an increase in the angle of internal friction. At the
same time, fibersand has good filtration properties
(Kuznetsova & Ofrihter 2012).
The studies of the authors, as well as the litera-
ture review, have shown that one of the promising
areas for the use of fibersoil can be the use of it as
a backfill for various enclosing structures. Park &
Tan (2005) concluded that the use of 60 mm poly-
propylene fibers in combination with a geogrid
would reduce the lateral soil pressure and horizon-
tal displacements of the retaining wall.
Some researchers have studied the effect of
fibers on the characteristics of soil stabilized by
cement. Nasr (2014) investigated the work of a strip
foundation located on a mass of fiber-reinforced
cemented soil located behind the retaining wall.
showed a significant decrease in the horizontal dis-
placements of the wall and an increase in the car-
rying capacity of the foundation.
Although the technology of volume-dispersed
reinforcement has been known since ancient times,
it still remains poorly studied and requires addi-
tional research (Hejazi & Sheikhzadeh 2012). It is
necessary to further study the possible use of fib-
ersoil for solving issues related to the stability of
soil masses.
2 EXPERIMENTAL RESEARCH
2.1 Equipment and test pattern
To determine the nature of the operation of the
fiber-reinforced soil mass, used as a backfill of the
retaining wall, and to obtain empirical depend-
encies of the influence of various factors on the
behavior of the structure under consideration,
model tests were performed on a laboratory bench
designed to test foundation models (Illarionov &
Kaloshina 2013). The role of the retaining wall was
performed by 10 mm thick plywood with rigidity,
which on the 1:10 experiment scale is commensu-
rable with the rigidity of a 200 mm thick concrete
wall. The measured parameter in the model experi-
ments were vertical displacements of the base soil
and horizontal displacements of the wall. Vertical
displacements were recorded automatically with
the help of Geotek ASIS 3.3 software (Tatyannikov
et al. 2011). Horizontal displacements were meas-
ured by taking samples from 5 dial indicators
located along the wall height at a distance of
5 cm from each other and fixed on a rigid frame
(Kashapova & Kleveko 2016). The model test pat-
tern is shown in Figure 1.

82
 25 kPa with the subsequent expectation of stabi-
lization of the vertical deformation, the condition
of which was the yield increment of not more than
0.1 mm in 30 minutes. The test was completed
when one of the two conditions was met: when the
stepping motor motion was exhausted or when the
maximum load value for the equipment used was
reached, equal to 600 kPa.

3 RESEARCH RESULTS

According to the results of the tests, graphs of yield

Figure 1. Model test pattern: 1–5 – horizontal displace-
ment indicators.
2.2 Materials
As a backfill in the model experiments, homoge-
neous fine sand was used with a bulk density of
1.64 g/cm3, as well as fibersoil obtained by rein-
forcing the above-mentioned sand with randomly
distributed polypropylene fibers 12 mm in length.
Both backfill materials were applied at optimum
moisture content, which was 8–10%.
dependences on the load were made for different
percentages of reinforcement and foundation
position relative to the wall x in the pressure range
0–300 kPa (Figs. 2–5).
According to the test results, the critical load was
determined as the peak load value, after which the
destruction occurred, or the maximum load value
at the end of the test. To assess the effect of fiber
reinforcement on the critical load for an improved
foundation, the dimensionless critical load factor
bear was introduced, which was defined as:
Freinf
max
K bear = (1)
Funreinf
max

The percentage of reinforcing fibers was 0.25%

and 0.5% by weight of dry soil. The percentage
of reinforcement was chosen based on the previ-
ous studies (Kolesov et al. 2016). The fibersoil was
prepared using gravitational mixing equipment,
according to the method developed by the authors
(Grishina et al. 2017).

2.3 Test procedure

Evaluation of the influence of backfill from fiber
reinforced soil in the active zone and the study
of its applicability were carried out by successive
measurement of changes in the input parameters
affecting the nature of the operation of the struc-
ture under study to obtain a model of the quality Figure 2. Graphs of yield dependence on applied pres-
of the structure depending on these parameters sure for different backfill options for x = 2 cm.
(Kuznetsova & Ponomarev 2015).
The first series of experiments included load test
of the sandy soil mass, located behind the retain-
ing wall, with the foundation relative to the wall at
the distance x = 2, 12, 22 and 32 cm. In the follow-
ing phases of the experiment, the sand backfill was
replaced by the fibersoil with a percentage content
of fibers of 0.25% and 0.5%. Other test conditions
did not change. The soil dumping was carried out in
layers of 5 cm with the compaction of each layer by
manual tamping with layer-by-layer density control.
The loading was carried out in accordance with
GOST 20276-2012 “Methods for field determina-
tion of strength and deformability characteristics”. Figure 3. Graphs of yield dependence on applied pres-
The load on the base was transferred by steps of sure for different backfill options for x = 12 cm.

83
 Table 1. Results of model experiments.

Yield
% of x, F max with F max,
reinforcement cm kPA mm bear Idef

0 2 23 20.92 1 1
12 38 21.14 1 1
22 64 22.11 1 1
32 100 21.16 1 1
0.25 2 200 20.93 8.7 1
12 475 11.52 12.5 0.54
22 600 8.69 9.4 0.39
Figure 4. Graphs of yield dependence on applied pres- 32 600 6.88 6.0 0.33
sure for different backfill options for x = 22 cm. 0.5 2 270 20.65 11.7 0.99
12 356 19.00 9.37 0.9
22 600 18.04 9.4 0.82
32 600 17.54 6.0 0.83

appeared only when the load was applied directly

Figure 5. Graphs of yield dependence on applied pres-
sure for different backfill options for x = 32 cm.
where Funreinf
max
and Freinf
max
are critical loads for fiber-
reinforced and unreinforced base, respectively, kPa.
The following assessment of the fiber-reinforced
base was the deformation index Idef, defined to
assess its deformability and equal to:
Sreinf
I def = (2)
Sunreinf
where Sreinf and Sunreinf are the surface yield in
the active zone at the critical load of reinforced
and non-reinforced bases, respectively, mm
(Kuznetsova & Ponomarev 2015).
The results of calculations of critical load coeffi-
cients and deformability indices for different percent-
ages of reinforcement and location of the foundation
relative to the wall x are shown in Table 1.
Table 1 demonstrates that with fiber reinforce-
ment of the backfill soil, the critical load on the
base increases by an average of 9 times. In accord-
ance with the graphs (Figs. 2–5), in the considered
range of construction loads (0–300 kPa) in all tests
with a sandy backfill of the retaining wall, plastic
deformations appeared in the soil mass. Meanwhile,
in case of fibersand backfill, plastic deformations
next to the retaining wall and at much larger loads.
The graphs showing dependences of yields on
the applied pressure for fibersand have a more
extended portion of linear deformability than the
classical soil mechanics graph. This observation
will allow considering the fiber-soil as an elastically
deformable material in an increased load range.
Fiber reinforcement of the active zone also
reduced the base deformability at critical load by
an average of 30%.
The test results also show that increasing the
reinforcement percentage to 0.5% is not feasible,
since with the double increase in the cost of rein-
forcement, the critical load varies slightly, and
the yields in some cases even exceed the yields
with 0.25% reinforcement. This can be explained
by worse mixing properties of soil particles with
0.5% fibers, which was noted by the authors in the
study of the technology of fibersoil preparation
(Grishina et al. 2017). An increase in the reinforce-
ment percentage leads to a local concentration of
fiber; the fiber is unevenly distributed in the soil,
forming slip surfaces (Kolesova et al. 2016).
Table 2 shows the values of horizontal displace-
ments of the upper point of the retaining wall
(indicator 5, Fig. 1) with the critical load or with
the load of 300 kPa.
Table 2 shows that the horizontal displacements
of the wall with backfill from fibersand are signifi-
cantly reduced and do not exceed 6 mm under criti-
cal load. Under loads, at which destruction took
place in case of sandy backfill, the wall movement
with the fibersoil in the active zone was less than
0.3 mm.
The decrease in the horizontal displacement of
the wall in case of fibersand use is explained by the
decrease in the active pressure of the soil backfill.
Due to the joint operation of fiber reinforcement

84
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Filling type materials in the highway engineering in the Urals.
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cm kPa Sand 0.5% 0.25% mechanics and geotechnical.
Diambra, A. & Ibraim, E. Fibre reinforced sands:
2 23 9.84 0.14 0.21 experiments and modeling. 2010. Geotextiles and
150 – 4.27 5.54 Geomembranes 28: 238–250.
12 38 11.12 0.09 0.08 Grishina, A.S. et al. 2017. Assessing the performance of
250 – 1.58 6.08 a retaining wall with backfill from fiber-reinforced
300 – 2.81 – soil using model tests. Civil Engineering Bulletin 2:
126–132.
22 64 10.75 0.25 0.11 Hejazi, S.M. & Sheikhzadeh, M. 2012. A simple review of
300 – 1.83 1.95 soil reinforcement by using natural and synthetic fib-
32 100 4.41 0.25 0.11 ers. Construction and Building Materials 30: 101–106.
300 – 1.83 1.95 Illarionov, S.O. & Kaloshina, S.V. 2013. The study of the
impact of new construction projects on the yield of
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ment. Bulletin of the Perm National Research Poly-
and soil particles, fibersoil has high strength char- technic University. Urban Studies 4: 116–123.
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model tests to determine the horizontal deforma-
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4 CONCLUSION Volga State University of Technology. Applied Ecology.
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Based on the results of the conducted model Kashapova, K.R. 2016. The planning of the model exper-
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as a backfill of the retaining wall, the following ers. Bulletin of the Perm National Research Polytechnic
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− Fiber reinforcement of the soil active zone Kasharina, T.P. & Prikhodko, A.P. 2015. The results of
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85
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Geo-Base Isolation with geogrid reinforcement for buildings

A. Boominathan, S. Banerjee & J.S. Dhanya

Department of Civil Engineering, Indian Institute of Technology Madras, Tamil Nadu, India

ABSTRACT: In seismically active regions, one way of protecting buildings from ground shaking
damages is to adopt base isolation techniques. The conventional techniques of base isolation system
such as elastomeric bearings require costly installation procedure. Therefore the present study aims to
utilize a control proportion of sand and rubber tyre scrap mixture as a possible base isolation material.
The static and seismic response of a typical low-rise framed structure supported on raft foundation placed
on the Geo-Base Isolation (GBI) layer consisting of sand-rubber mixture reinforced with geogrid layers
is carried out using finite element code ABAQUS for various earthquake input motions. It is found that
the introduction of geogrid layers improve the bearing capacity and settlement performance of the GBI
system. The proposed GBI layer with geosynthetic reinforcement significantly reduces the peak spectral
acceleration.

1 INTRODUCTION bridges and buildings of strategic importance. In

Earthquakes and its aftershocks caused by tectonic
movements in the earth’s crust can cause cata-
strophic damages to mankind concerning life and
property. Earthquake damages to the structures
can be minimised by incorporating engineering
interventions that could improve the flexibility of
building. Building codes have been introduced with
an emphasis on safety to prevent building collapse
in case of a seismic event. In recent years base isola-
tion techniques and energy dissipating mechanisms
have proved useful for improving the earthquake
protection of structures. Unlike conventional sys-
tems which focus on enhancing the strength and
ductility demands of the structure, seismic isola-
tion systems focus on reducing the intensity of
earthquake waves reaching the structure through
altering the stiffness and damping within the struc-
ture. Ideally, base isolation systems partially decou-
ple the superstructure from its foundation thereby
reducing the intensity of seismic waves reaching
the superstructure. Introducing base isolation tech-
niques like elastomeric bearing systems, laminated
rubber bearing systems, and friction pendulum sys-
tems can reduce the intensity of earthquake waves
reaching the building to a great extent.
Typical base isolation systems use sliders, rotat-
ing ball bearing and dampers (oil, steel and rubber).
The earthquake response within the structure can be
reduced by 40–60% using energy dissipaters placed
within the structure (Zhou et al. 1990). Advanced
techniques of base isolation to minimise damage on
buildings during strong shaking are very costly and
are hence used only for important structures like
developed countries like Japan, around 50% of the
buildings are seismically safeguarded using energy
dissipating devices (Torunbalci 2004). However,
in developing countries, poor implementation of
building codes and lack of seismic safety measure
has put earthquake resistant safe housing a chal-
lenge. In areas with a history of frequent seismic
activities, a sustainable and eco-friendly solution is
needed for residential and commercial buildings to
survive the earthquake damages.
Rubber bearings are widely used for base isola-
tion systems (Kelly 1996) due to its low stiffness in
the lateral direction and high stiffness in the verti-
cal direction. The visco-elastic nature of the rubber
attributes to its vibration damping capacity (Tsang
et al. 2012). The damping properties of rubber
from scrap tyre can be used for earthquake haz-
ard mitigation in the form of seismic isolators. Use
of low-cost scrap tyre derived materials for earth-
quake protection of buildings could also act as an
alternative for costly base isolation techniques.
The present study investigates the use of an engi-
neered bed of sand-scarp rubber tyre mixture, also
known as Geo-Base Isolator (GBI) reinforced with
geogrid layer placed between the building footing
and the base soil layer thereby acting as a buffer in
attenuating earthquake waves.
2 STUDIES ON THE USE OF SAND-
RUBBER TYRE MIXTURE (SRM)
In this section past studies on the use of SRM for
various geotechnical applications are presented.

86
Studies on the evaluation of engineering and
dynamic properties of the mixture are also
discussed.
2.1 Geotechnical applications
Annual waste tyre generation in the world is about
13.5 million tons out of which only a subtle per-
centage is recycled. Recycled and shredded scrap
tyres are used in the geotechnical field for embank-
ment fill, retaining walls backfill and as drainage
layer in landfills. A wider reuse of scrap tyres can
be made in the area of earthquake geotechnical
engineering in the form of low-cost seismic isola-
tors. The bulk utilization of scrap tyre in the geo-
technical field would reduce the stockpiling and
disposal issues related to the waste rubber tyres
that are being dumped worldwide with little recy-
cling and reuse.
The practical use of shredded waste tyre for
civil engineering applications such as highway
embankments and retaining wall backfills were
studied by Bosscher et al. (1997) and Humphrey
et al. (1993). In the past, Konagai & Kim (2001)
proposed to cover tunnel linings with a soft and
thin coating (e.g. rubber) for reducing deformation
in an earthquake. Kirzhner et al. (2006) conducted
experiments by replacing soils with softer and elas-
tic materials (including rubber or rubber-soil mix-
ture) surrounding a tunnel for noise and vibration
absorption. The use of tyre chips for protecting
waterfront retaining structures in an earthquake
was proposed by Hazarika et al. (2008). Haza-
rika et al. (2010) used tyre chips and tyre chips-
sand cushion to reduce earthquake-induced lateral
deformation of retained walls.Based on shake table
experiments conducted by Xiong and Li (2015)
using soil-rubber mixture as isolation medium it
was reported that the isolators perform well for a
higher intensity of earthquake input motions.
Shake table experiments conducted on footing
supported on sandy layer by Bandyopadhyay et al.
(2014) shows that sand bed effectively dampens the
incoming earthquake waves. Sustainable and green
technology for seismic isolation can be achieved by
adding fragmented scrap tyre to sand which can
improve the damping properties of soil. In the
recent years, several studies have been carried out
on the use of recycled rubber tyre mixed with sand
as a low-cost seismic base isolation for low rise
buildings (Senetakis et al. 2012; Tsang et al. 2012;
Sheikh et al. 2013; Pitilakis et al. 2015). Finite
element based numerical analysis carried out by
Tsang et al. (2012) and Pitilakis et al. (2015) on
buildings supported on sand-rubber mixture for
seismic protection for different earthquake input
motions shows that Sand-Rubber Mixture (SRM)
could be an effective solution of seismic isolation
87
due to its low cost and simplicity of incorporating
into the field.
2.2 Engineering properties of SRM
The shredded and granulated form of rubber
exhibits high elastic deformability, low unit weight
and high hydraulic conductivity (Edil & Bosscher
1994; Masad et al. 1996). The material charac-
terisation of SRM was well explored by various
researchers like Lee et al. (1999), Zornberg et al.
(2004), Edeskar (2006) and Senthen Amuthan et al.
(2017). It has been reported by Tatlisoz et al. (1998),
Zornberg et al. (2004), Ghazavi & Sakhi (2005) and
Rao & Dutta (2006) that addition of tyre shreds/
chips improves the shear strength characteristics of
the base soil. Maximum shear strength increment
was observed when tire chip content of 20–35%
(gravimetric) was mixed with soil (Zornberg et al.,
2004; Rao & Dutta, 2006). Humphrey et al. (1993)
and Bosscher et al. (1997) observed that com-
pressibility of sand-tyre mixture is significantly
less once the initial porosity is reduced. The shear
behaviour of sand-tire mixtures is mainly control-
led by the confining pressure and tire chips content
(Bosscher et al., 1997). Also, size of the tyre chip
was found to have negligible effects on the shear
strength behaviour of sand-tyre mixtures.
Studies by Ab-Malek & Stevenson (1986) on the
properties of rubber tyres immersed in sea water
for 42 years (recovered from a sunken ship) showed
that water absorption by tyre in the 42 years dura-
tion was only 4.7%. Also, no adverse effect on the
strength properties of tyres and inner tubes were
noted based on tensile and tear test conducted on
the samples. Chemical evaluation of the rubber
condition by studying free sulphur and sulphide
also showed that the chemical composition of
rubber is not much altered due to severe exposure
to alkaline conditions. Tyre shreds showed high
durability under normal foundation engineering
conditions based on investigations on old tyres by
Edeskar, (2004). Studies on the use of tyre sheds
mixed with concrete also confirm the high dura-
bility of tyre shreds (Sukontasukkul & Tiamlom,
2012; Adamu & Uche, 2014).
2.3 Dynamic properties of SRM
The strain-dependent dynamic soil properties such
as shear modulus and damping of SRM can be
determined using laboratory-based cyclic triaxial
and resonant column tests. Studies by Nakhaei
et al. (2012) and Madhusudhan et al. (2017) have
found that an increase in rubber content in SRM
leads to an increased damping ratio and reduced
shear stiffness. The small strain dynamic response
of sand-tyre mixtures was investigated using
resonant column apparatus (Feng & Sutter, 2000;
Senetakis et al. 2012).
Experimental studies carried out by Nakhaei
et al. (2012) on SRM using large sized cyclic tri-
axial apparatus (15cm diameter and 30 cm height)
has confirmed that shear modulus of SRM is pri-
marily governed by confining pressure. The shear
modulus increases with increase in confining pres-
sure irrespective of the percentage of rubber con-
tent. The damping ratio of the soil-tyre mixture
decreases with increase in rubber content for lower
confining pressure, But for higher confining pres-
sure, the damping ratio increases with an increase
in rubber content. Figure 1. Geogrid reinforced GBI system used for
Hazarika et al. (2011) experimentally investi- earthquake protection of buildings.
gated the effect of material size (scale effect) on
the strength and deformation behaviour of tyre-
derived geo-materials. The test results confirmed
that material size does not significantly affect the
material behaviour of tyre chips. More recently,
works by Mashiri et al. (2015) has found that rub-
ber inclusion in the soil can decrease its dilatancy
properties. Extensive studies were carried out by Figure 2. Finite element model of the soil-structure sys-
Anastasiadis et al. (2009, 2012) on the dynamic tem with GBI layer.
behaviour of SRM. It was reported that sand-
rubber mixture exhibits a reduced shear modu- reinforcement was incorporated below the foot-
lus and higher damping ratio compared to sand. ing to improve the bearing capacity and settlement
The low liquefaction potential of SRM due to aspects of GBI layer.
reduced excess pore water generation was studied
by Okamoto et al. (2008).
3.1 Finite element model
There is a general concern associated with the
bearing capacity and settlement aspect of SRM The numerical modelling of soil-structure sys-
due to its compressible nature (Cabalar 2011; tem is carried out using the finite element code
Sheikh et al. 2013). Hence soil reinforcement ABAQUS 6.14 considering the direct approach
techniques using geosynthetics can be adopted to of soil-structure interaction. The two storied 3
improve the stiffness and deformation characteris- bayed framed building with rigid footing as con-
tics of SRM similar to typical soil reinforcements sidered in Pitilakis et al. (2015) resting on the soil
for shallow foundations (Bathurst & Jarrett, 1989; medium is modelled in the time-domain assuming
Das et al., 1994). plane strain conditions as shown in Figure 2. The
Most of the studies on SRM focus primarily width (B) and depth of the footing (Df) are 20 m
on the material characterization. Limited studies and 1 m respectively. The foundation and super-
on the performance of SRM for seismic isolation structure are placed on the SRM-isolation system
purpose are reported in the literature. The present with thickness (T) of 0.1 B. The entire structure
study focuses on the performance of low-rise and geo-isolation system is placed on a 30 m thick
building placed on geo isolation layer under static homogeneous soil medium. The length of soil
and seismic loading conditions. The GBI layer was medium is considered as 250 m (12.5 B) to ensure
reinforced with geogrid layers in the present study. free-field conditions and infinite boundaries are
provided at the far field to ensure absorption of
outgoing waves thereby preventing wave reflection.
3 SEISMIC RESPONSE OF A TYPICAL Two layers of geogrids with a length of 2B placed
BUILDING RESTING ON GBI SYSTEM at a depth of 0.5 m below footing maintain a spac-
ing of 0.5 m apart was adopted for the study.
The present study adopts a conventional low-rise
moment resisting 2 storied framed structure with
3.2 Finite element mesh generation
3 bays. The frames are rigidly connected to a
raft footing as shown in Figure 1. A layer of geo Elastic beam-column elements are employed for
isolator is placed below the footing and its sides the simulation of the 2D frame elements with
followed by a homogeneous half space. Geogrid three degrees of freedom. Rectangular sections are

88
used for the simulation of the column and beam
sections. Based on the lumped-mass approach,
the total mass of the elements is distributed to
the nodes of the corresponding frame elements. The
size of the FE mesh is adopted considering the fre-
quency content of the input motion and the shear
wave velocity of the soil medium. The soil medium
is discretized using isoperimetric four-node plain
strain continuum elements. The mesh size of the
soil medium is varied from 1m x 1m to 5 m × 1 m.
To minimize the wave refraction effects infinite ele-
ments were considered at the lateral boundaries.
The frame is modelled using wire elements. Beam
profile of cross section 0.35 m × 0.35 m is assigned
to the wire elements.
Figure 3. Shear modulus curves for sand and SRM
3.3 Material models (Dhanya et al. 2017).
Zornberg et al. (2004) reported that the maximum
shear strength and shear modulus increment for
sand-rubber mixture occurred when SRM with tire
chip content of 20–35% by weight of sand. Hence,
in the present study, dynamic properties of SRM
corresponding to 30% rubber content (Dhanya
et al. 2017) is used for SRM-isolation layer as
shown in Table 1.
Soil and geo-isolator was modelled using hypoe-
lastic material model. Strain dependent shear
modulus curves of sand as well as sand-tyre mix-
tures developed by the authors (Fig. 3) based on
the cyclic triaxial tests were used in the equivalent-
linear procedure to account for non-linear soil
behavior (Dhanya et al. 2017).The damping nature
of soil and SRM is incorporated in the finite ele-
ment model using Rayleigh damping coefficient α
and β based on the concept of damping matrix (C) Figure 4. Damping curves for sand and SRM (Dhanya
which is proportional to mass (M) and stiffness et al. 2017).
(K) matrices (Ryan & Polanco 2008). Damping
curves of sand and SRM (Fig. 4) developed by the
authors adopted in the equivalent-linear procedure strength of geogrid adopted is 100 kN/m with a
to account for non-linear soil behavior. The con- Poisson’s ratio of 0.3.
crete footing and frame are modelled with linear The boundary conditions in the FE model
elastic properties considering 5% structural damp- involves fixed support at the base of the soil model
ing as listed in Table 1. Geogrids were modeled by restraining rotation and displacement to ensure
using wire elements which were embedded inside the stability of the model to simulate rigid bound-
the soil medium. For the study the ultimate tensile ary condition equivalent to bedrock. The far-field
response was ensured by infinite elements which
are placed at the lateral boundaries of the model to
Table 1. Material properties used in finite element minimise reflection of shear wave energy back to
model. the model during dynamic excitations. The footing
is considered at the centre of the model to avoid
Properties Sand SRM Concrete boundary effects. Lumped masses are applied at
Young’s modulus (MPa) 72 56 30000 the nodes of the frame.
Poisson’s ratio 0.32 0.34 0.2
Density (kg/m3) 1650 1540 2400 3.4 Input motion
Damping α 0.104 1.934 0.97
Coefficient β 0.005 0.302 0.0004 Earthquake input motions were applied horizontally
at the base of soil model at a depth of 30m from the

89

Figure 5. Acceleration-time history of input motions
(a) 1999 Chamoli earthquake (b) 2016 Myanmar
earthquake.
ground surface. For the study, acceleration time his-
tories of input motion corresponding to two earth-
quakes namely the 1999 Chamoli earthquake and the
2016 Myanmar earthquake was used (Fig. 5). The
1999 Chamoli earthquake (Mw = 6.8; PHA = 0.32 g
and predominant frequency = 3 Hz) that occurred
in the foot hill region of Himalaya is a medium fre-
quency earthquake while the 2016 Myanmar earth-
quake (Mw = 6.9; PHA = 0.12 g and predominant
frequency = 8Hz) represents a high frequency earth-
quake. The input motions were normalized to peak
acceleration (PA) of 0.1 g for the study.
4 RESULTS AND DISCUSSION
4.1 Bearing capacity and settlement
The bearing capacity and settlement aspect of the
geogrid reinforced GBI layer is studied under static
loading conditions for the two storey building.
Vertical pressure is applied on the footing at equal
increments of 20 kPa until failure occurs. Figure 6
shows the bearing pressure-settlement ratio (s/B)
curves for geo-isolated and non-isolated systems.
In this case, the settlement ratio is the normal-
ized value of footing settlement (s) to the width of
the footing (B). It is evident that there is a small
reduction in bearing capacity for geo-isolated
system compared to the non-isolated system. It is
evident that geogrid reinforcement increased the
bearing capacity of the foundation system by 40%
corresponding to a settlement ratio of 0.12%.
90
Figure 6. Bearing pressure—settlement ratio under
static loading of building.
Figure 7. Acceleration-time history at the footing level
for the 1999 Chamoli earthquake.
4.2 Seismic response
The acceleration-time histories at the top of the
footing of the building with and without GBI layers
obtained from the dynamic finite element analysis
are shown in Figure 7 for the 1999 Chamoli earth-
quake. It is clearly visible from Figure 7 that the
presence of GBI layer reduces the acceleration when
compared without isolation system. The computed
peak acceleration at the top of the footing and the
first floor are presented in Table 2. It can be easily
noticed from Table 2 that an average reduction of
peak horizontal acceleration by 40–45% occurs for
building with GBI layer in comparison to the build-
ing without isolation for both the earthquakes.
The response spectra for 5% damping ratio at
the footing level of the building with and without
geo isolation is plotted in Figures 8 and 9 for the
1999 Chamoli and the 2016 Myanmar earthquakes
respectively. It can be noticed from Figures 8 and 9
that a significant reduction in spectral acceleration
at the footing level due to the presence of geo iso-
lator is evident in both the cases of earthquake
motions. Also, a slight period shift occurs for the
isolated building for both input motion considered.
For the 1999 Chamoli input motion, the reduction
Table 2. Peak horizontal acceleration at different levels the 2016 Myanmar earthquake input motion in
of the building. comparison to the non-isolated system. Also, it is
noted that both the geogrid reinforced as well as
Peak acceleration, g unreinforced GBI layer shows significant reduc-
1999 2016 tion in peak spectral acceleration. However the
Description Level Chamoli Myanmar period shift is predominant in unreinforced GBI
layer compared to reinforced GBI layer.
Without GBI Footing 0.41 0.21
First floor 0.53 0.32
With GBI Footing 0.26 0.15 5 CONCLUSIONS
First floor 0.35 1.21
The static and seismic performance of low-rise
building with geo-base isolation using sand-rubber
tyre mixture placed below the footing was carried
using finite element code ABAQUS. It is found out
that the bearing capacity and settlement aspect of
the building is improved by the introduction of
geogrid layers into the GBI layer below the foot-
ing. The GBI layer with geosynthetic reinforce-
ment significantly reduces the peak horizontal
acceleration and peak spectral acceleration of the
building due to the occurrence of a high amount
of damping. The beneficial effects of GBI layer
are highly influenced by the frequency content of
earthquake input motion.

Figure 8. Response spectra at the footing level for the
1999 Chamoli earthquake.
Figure 9. Response spectra at the footing level for the
2016 Myanmar earthquake.
of peak spectral acceleration is significant in com-
parison to the 2016 Myanmar earthquakes input
motion. The shift in predominant period is evident
in both cases. It is also found from Figures that
the reduction of peak spectral acceleration at the
footing level for geo isolated system is about 45%
for the 1999 Chamoli input motion and 35% for
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Stabilization of permafrost soils at base of road fill

M.E. Igoshin
Georekonstruktsiya Construction Design Institute, Saint Petersburg, Russia

M.V. Paramonov
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

V.V. Vorontsov
Tyumen Industrial University, Tyumen, Russia

P.A. Kravchenko
Emperor Alexander I Saint Petersburg State Transport University, Saint Petersburg, Russia

ABSTRACT: The article describes measures to reduce critical deformations at an accident cluster of
the Salekhard–Nadym motor road. At local sections of the road under consideration, deformations and
defects affecting its transport and operational performance manifest themselves annually. During devel-
opment of design solutions, at the road section under consideration, local zones characterized by complex
geocryological processes and phenomena occurring at the base were not considered, which resulted in crit-
ical cyclic deformations of the road bed during seasonal freezing and thawing. At the experimental section
of the operating motor road, on the slope of the road bed, on the side of the permafrost base, a thrust soil
roll made of non-frost-susceptible mineral soil is formed, which is bordered by a reinforcing geosynthetic
material placed under the slope of the road base and a part of the slope of the road bed, forming a semi-
holder with fixation of the lower edges in the permafrost soil column. To prevent thawing of permafrost
base soils, Seasonal Cooling Devices (SCD) are installed. As a result of design solution construction, time
between road surface repairs as well vertical and horizontal deformations of the road surface, road bed,
and base soils decrease. Results of numerical simulation for operation of SCDs installed at the accident
cluster are presented. A comparison of the numerical solution with the field data is provided.

1 INTRODUCTION In foreign scientific and regulatory sources on

Yamalo-Nenets Autonomous District is one of the
largest industrial centers in the territory of the cry-
olitic zone. Currently, development of the transport
network in the region is the most relevant issue.
Since the 1990s, the Northern Sea Route has existed
only nominally; the existing transport routes do not
cope with large cargo turnover in the district (Con-
cept of the Yamalo-Nenets Autonomous District
investment strategy until 2020, 2013, Development
project, 2005). The Novy Urengoy–Nadym high-
way is able to solve some of transport problems.
However, the problem of ensuring serviceabil-
ity of linear structures in the region has been the
case for a long time. Measures taken to stabilize
road fills are ineffective since the matter of causes
behind deformations in various sections of those
structures has not been studied sufficiently. Unac-
ceptable deformations of the road pavement and
road fills under the influence of cryogenic proc-
esses lead to a decrease in the capacity of roads
and reduce their safety.
methods of road design in areas of seasonal distri-
bution of permafrost soils (PFS), two alternative
concepts are distinguished (Hennion and Lobacz
1973, Linell et al. 1963). The first concept requires
that the total thickness of the road surface and
non-frost-heaving gritting should exclude or limit
freezing and thawing and their consequences to an
acceptable value. The freezing or thawing depth
can be determined based on the calculated index
of freezing or thawing temperatures. The second
concept takes into account a decrease in soil base
strength during thawing and ignores the neces-
sity to reduce heaving. of clay soils by monitoring
changes in their moisture.
2 CURRENT SITUATION
Despite annual repair works to restore evenness
of the “Novy Urengoy–Nadym” road surface
(Kudryavtsev 2004), subsidence of the road pave-
ment with formations of potholes with a depth

93
Table 1. Characteristics of air temperature conditions.
Nadym station.
Characteristics Month
Temperature, °C 1 2 3 4 5 6
Average monthly– –24.5 –24.0 16.8 –8.8 –1.0 8.8
Absolute minimum –54 –60 –54 –39 –31 –12
Absolute maximum 2 2 9 15 28 34
Characteristics Month
Temperature, °C 7 8 9 10 11 12
Average monthly– 15.5 11.4 5.6 –5.4 –16.1 –21.9
Absolute minimum –1 –6 –12 –34 –48 –57
Absolute maximum 34 30 24 16 3 0 – trench.
up to 40 cm, occurrence of longitudinal and
transverse cracks with openings up to 40 mm on
the road surface, failure of road filling stability
in places of asphalt-concrete surface subsidence,
presence of long-standing water near the bottom
of the road bed body are observed. According to
results of long-term observations, thawing of the
frozen peat layer is the reason behind development
of deformations in the base in the left part of the
road bed structure.
Climate in the area of the designed road is
extremely continental and characterized by severe
long winter, cool summer, short transitional sea-
sons (spring and autumn), late spring and early
autumn frosts, and a short frost-free period. Char-
acteristics of air temperature conditions are given
in Table 1.
Climatic conditions of the road section allow
using cooling and year-round maintenance of the
soil base in a frozen (stable and not heaving) state
due to changes in thermal conductivity in the “ice/
water” system in the form of a “thermal diode”.
3 SOLUTION FOR STABILIZATION
OF THE BASE AND ROAD FILL
To improve stability of the road bed, reduce vertical
and horizontal deformations of the road surface,
road bed and base soils, reduce the opening width
of longitudinal and transverse cracks, subsidences,
and waves in the road pavement at the experimen-
tal section of the existing Novy Urengoy–Nadym
road (the area of Pangody village), a design solu-
tion was developed and implemented (Fig. 1)
(Igoshin et al. 2016, Vorontsov et al. 2014).
The proposed measure to stabilize the road will
increase time between repairs during its opera-
tion, and the technology of implementation is
designed to ensure traffic during construction and
installation. A distinctive feature of the design
94
Figure 1. Design solution for stabilization of the road
bed: 1 – thermal stabilizer; 2 – Geospan; 3 – soil roll; 4
Figure 2. Layout of thermometric wells.
solution is that on the slope of the road bed,
depending on engineering and geocryological
conditions of the road, a thrust soil roll made of
mineral non-frost-susceptible soil is formed, which
is placed in trenches filled with mineral non-frost-
susceptible soil under the slope of the road base
and a part of the slope of the road bed, forming
a semi-holder with installation of vertical thermal
stabilizers, placed in two rows along the axis of the
road, to ensure the required stability and rigidity
of the thrust soil roll, under the influence of the
structural weight of the road with a mobile load.
Besides, thermal stabilizers allow providing a firm
frozen soil mass of a cylindrical shape around
themselves, fixing the reinforcing material near
the thermal stabilizers, and the lower ends of the
reinforcing material due to permafrost soils’ top
rising. The distance between the adjacent thermal
stabilizers and the number of rows are determined
in accordance with the design, depending on ther-
mal and physical characteristics of base soil and
the stress-strain state of the base and the road
structure.
During a comprehensive survey of the section
of the operating road, temperature conditions of
road fill base soil were assessed (Fig. 2). According
to the results obtained, diagrams of soil tempera-
ture distribution in depth were plotted (Fig. 3). It
should be noted that on the left the road fill base
is represented by frozen soils, and on the right—by
thawed soils.

Figure 3. Diagrams of soil temperature distribution
in depth as of the moment of engineering and geologi-
cal surveys: t – temperature, Celsius degrees; h – depth,
meters.
4 NUMERICAL SIMULATION OF
THE SITUATION
To assess temperature conditions of base soils when
the accepted technical solutions are used, numerical
simulation was performed using the Termoground
software module forming a part of the FEM mod-
els certified software developed by employees of
Georekonstruktsiya group of companies (Saint
Petersburg) under the guidance of professor V.M.
Ulitsky. The Termoground software module was
sertified (Igoshin et al. 2016, Kudryavtsev 2004,
Paramonov et al., 2011) and used in solving prob-
lems related to various objects (Ulitsky et al. 2015,
Paramonov & Sakharov 2017).
As a thermophysical model of soil, a model pro-
posed by Ya.A. Kronik (Kronik & Demin 1982)
is used, where thermophysical and thermodynamic
95
characteristics of soil represent temperature func-
tions. To solve the deformation problem related to
thawing, an expression proposed by M.F. Kiselev
according to physical parameters of frozen soil is
used.
Within the framework of the present study,
changes in temperature fields during installation
of thermal stabilizers were evaluated to assess the
size of the soil freezing zone and road deformation
in case the accepted technical solutions are used
and in case they are not used.
To perform those tasks, a finite element model
of the base and the road itself with a width of the
road bed of 12 m was compiled. Road fill height –
2.0 m. Width of the trafficway – 7.0 m, width of
the shoulders – 2.0 m. A fragment of a design
diagram is shown in Figure 4. The model of the
road fill base is made with account for actual soil
formations according to the data of engineering
and geological sections. At the lower boundary of
the design diagram, soil temperature determined
according to the data of thermometric wells was
set. On the surface, air temperature by months,
taken according to the data of a weather station
in Nadym, was set. During geotechnical monitor-
ing and inspection of the road fill state, snow was
removed from the surface of the slope, therefore,
the snow cover was not modeled.
In the course of geotechnical monitoring in the
period from September to April during the second
year of road operation after stabilization of road
bed deformations, temperatures of road bed soil
and road fill base soil were recorded.
Diagrams of changes in soil temperature in
depth, obtained as a result of field studies and
numerical simulations in the Termoground soft-
ware module in November, March and April,
respectively, are presented in Figs. 5–7.
According to the results of comparing the soil
base temperature values, the temperature distribu-
tion pattern shows a good correlation between field
and calculated data. The maximum discrepancy
Figure 4. Design diagram for the problem in question
(a fragment); the numbers of engineering geological ele-
ments correspond to the numbers of engineering geologi-
cal elements (EGE) in Table 2; natural soil formations are
highlighted with colors.
Figure 5. Diagram of soil temperature distribution in
depth in November.
Figure 6. Diagram of soil temperature distribution in
depth in March.
Figure 7. Diagram of soil temperature distribution in
depth in April.
between the calculated and measured temperatures
(0.01–1.35°C) is associated with the areas of peak
temperature values.
At the road section under consideration, obser-
vations over road fill deformations without any
additional measures during construction were
carried out. According to the results of the obser-
vations, the maximum settlement of the road fill
was about 40 cm without account for measures
to stabilize base soils. Diagrams of base defor-
mations, obtained according to the calculation
results, combined with a photo taken at the sec-
tion under consideration are presented in Figure 8.
96
Figure 8. Isolines of settlements at the road section
without reinforcement.
Figure 9. Isolines of settlements at the road section
after application of the proposed solutions.
The maximum settlement of the road fill over 4
years is about 37 cm.
As for solution of the problem related to deter-
mination of road fill deformations during con-
struction of vertical reinforcement for the road fill
and installation of thermal stabilization (Fig. 9),
the maximum settlements were 0.5 cm. Therefore,
the proposed measures are sufficient for safe oper-
ation of the road.
5 CONCLUSION
1. In development of standard design solutions,
local zones in areas characterized by com-
plex geocryological processes and phenomena
occurring at the base are not considered, which
results in critical cyclic deformations of earth
structures during seasonal freezing and thaw-
ing. To increase time between repairs of road
sections, the design solution was developed and
implemented to stabilize the road pavement
base and the road fill. The technology of imple-
mentation was designed to ensure traffic during
construction and installation.
2. The article presents the results of simulating
thermal stabilization measures to reinforce the
accident cluster of the existing “Novy Urengoy–
Nadym” road, using the Termoground software
package.
3. According to the results of the field studies at
the experimental section, vertical reinforcement
of the slope and the base under the slope with
formation of a thrust soil roll in the body of the
road bed slope, supported by permafrost soils
of the base, towards which critical deformations
develop, and installation of thermal stabilizers
allow eliminating critical deformations, which,
in turn, leads to an increase in time between
repairs.
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Concept of the Yamalo-Nenets Autonomous District
investment strategy until 2020. Approved by resolution
of the Yamalo-Nenets Autonomous District Governor
No. 203-PG date December 25, 2013.
Development project “Construction of the road Surgut–
Salekhard, Novy Urengoy–Nadym section. Start-up
complex 1: Pangody village (870 km) – Pravokhettinsky
village (936 km). Adjustment (PK 593 + 00 – PK
600 + 50 section)”. 2005.
Hennion, F.B. & Lobacz, E.F. 1973. Corps of Engineers
technology related to design of pavements in areas
of permafrost. In: North American Contribution. 2nd
International Conference on Permafrost, Yakutsk,
658–664. Washington: National Academy of Sciences.
Igoshin, M.E., Paramonov, M.V. & Vorontsov V.V. 2016.
Simulation of the temperature regime of the base of
an exploited motor road taking into account a con-
structive decision for stabilization of the permafrost
boundary. Geotechnics 3: 34–41.
Kronik, Ya.A. & Demin, I.I. 1982. Calculations of
temperature fields and the stress-strain state of soil
structures using the finite element method. Moscow:
Moscow Institute of Civil Engineering.
97
Kudryavtsev, S.A. 2004a. Calculation and theoretical jus-
tification of design and construction of structures in
freezing heaving soils. Abstract of the DSc Thesis in
Engineering. Saint Petersburg: Emperor Alexander I
St. Petersburg State Transport University.
Kudryavtsev, S.A. 2004b. Geotechnical modeling of
freezing and thawing of frost-susceptible soils. Moscow:
ASV.
Kudryavtsev, S.A, Sakharov, I.I. & Paramonov, V.N.
2002. Numerical forecast of freezing, heave and
thawing of soils under footings in three-dimensional
mode. In: Proceedings of the 5th International
Symposium on Permafrost Engineering 1: 198–202.
Yakutsk: Permafrost Institute Press.
Linell, K.A., Hennion, F.B. & Lobacz, E.F. 1963. Corps
of Engineers pavement design in areas of seasonal
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2011. Experience in joint calculation of a building
with a foundation suffering from frost penetration.
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Sakharov, I.I., Paramonov, V.N. & Shashkin K.G. 2011.
Solution of a three-dimensional temperature/moisture
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Ulitsky, V.M., Sakharov, I.I., Paramonov, V.N. &
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Authenticity of soils and foundation of Bayon temple in Angkor Thom

and restoration of retaining structures in Angkor

Y. Iwasaki
Geo Research Institute, Osaka, Japan

M. Ishizuka, S. Soeur & R. McCarthy

JASA Project Office, Siem Reap, Cambodia

T. Nakagawa
Waseda University, Tokyo, Japan

Ly Vanna
APSARA National Authority, Siem Reap, Cambodia

ABSTRACT: The heritage structure of Bayon in Angkor stands upon shallow direct foundation. The
high main tower stands upon thick manmade fill without special supporting elements for such a founda-
tion as piles. The strong strength of the manmade fill that makes to support heavy stone structure is the
one of the character defining elements of the authenticity of the foundation of Bayon in Angkor Thom.
Several methods of the restoration of retaining structures in Angkor in the past are reviewed in terms of
the authenticity.

1 INTRODUCTION procedure (Venice Charter, 1964). The concept of

Geotechnical engineering plays one of the impor-
tant roles to safeguarding cultural heritages and
has made such key contribution as in restoration
work for the inclined Pisa Tower. In the past, foun-
dations are generally considered as simply nothing
but an element to support the heritage structures
and not considered as a part of the heritage.
However, the recent trend of conservation of
heritage indicates that a foundation system has
become to be considered as one of the basic com-
ponents of the heritage structure. In 2010, the
international standard of ISO 13822 on assess-
ment of structural safety was renewed and added
an Annex “Heritage Structures” and stressed the
importance of the foundation (ISO, 2010).
In this paper, the new concept of “authenticity
of foundation” is discussed as well as the character
defining elements of authenticity that should be
evaluated and restored.
2 AUTHENTICITY
the Venice Chapter is called “anastylosis (Greek),”
which means “take column back to original posi-
tion.” Anastylosis implies that original stone col-
umns spread over a historical ruin shall be rebuilt
at their original positions.
The principle of anastylosis was developed on
the basis of conservation of stone structure in
Europe and does not give any values of heritage
to such repaired materials as often seen in wooden
structures in Japan.
Later in 1994, the concept of the authenticity
was expanded by the Nara Document on Authen-
ticity to cover various methods characterized by
the region to which the heritage belongs. Region
specific methods that were developed in some area
are also accepted as the characteristic of authentic-
ity (Nara Doc, 1994).
Character-defining elements are defined as
historic materials, forms, locations, spatial configu-
rations, morphology, concept and details, structural
design, uses, and cultural associations that contrib-
ute to the heritage value of a structure that shall be
retained in order to preserve its heritage value.

2.1 Authenticity of cultural heritage 2.2 Authenticity of soil and foundation

Authenticity was defined in the Venice Charter of In 2005, ISO 13822 (Bases for design of structures –
1964 as heritage composed from original material, Assessment of existing structures) was reviewed
original position, original design as well as original for renewal. ISCARSAH (International Scientific

98
Committee on the Analysis and Restoration of
Structures of Architectural Heritage under ICO-
MOS) had proposed to include heritage structures
in the standard and worked together for five years to
develop. The ISO 13822 has been updated in 2010,
and added an Annex-I (informative) Heritage Struc-
ture, which has expanded the heritage structure to
include foundation as a part of the structures.
The Annex I clearly states as in paragraph of
I.5.3 Authenticity of foundation that “From the
point of view of conservation, foundations are
not different from the rest of the structure and
should be assessed and rehabilitated taking into
consideration their heritage value. This involves
the requirement to identify their authenticity and
character-defining elements.” (ISO, 2010)
3 BAYON TEMPLE IN ANGKOR THOM
Bayon, as shown in Figure 1, is the central temple
of Angkor Thom constructed around in late 12th
to early 13th century.
Figure 1. Bayon from the southern side.
Figure 2. Plan and section of Bayon temple.
99
Figure 2 shows section and plan view of the
Bayon temple. Japanese Government of Safe-
guarding Angkor Team (JSA) performed archaeo-
logical trenching study at the north-eastern corner
as “Long trench” also shown in Figure 2 in blue.
4 TRENCHED FOUNDATION
The result of the long trench has revealed the fol-
lowing facts as shown in Figure 3 (Narita, 2000).
1. The surface of the first terrace was covered
with sandstone and laterite block, beneath
which densely compacted sandy filled layer was
identified.
2. Compacted sandy filled layer continued with
and additional laterite block layer to the level of
the original ground surface.
3. It was identified that the compacted sandy filled
layer continues from the original ground level to
2–3 meters in thickness.
4. The compacted sandy filled layer below the
original surface was found to continue horizon-
tally to about 10 m outside of the outer gallery
plinth.
The archaeological study suggests that the foun-
dation work for the Bayon is “trenched foundation”
and was systematically constructed by excavating
the original ground 2–3 meters vertically as well as
about 10 meters outside of the temple boundary of
the outer gallery as shown in Figure 4. The stone
masonry structures were constructed upon ter-
races with three different levels of 2.95 m, 6.95 m,
and 12.40 m.
5 NORTHERN LIBRARY
A pair of structures called “Library” stands in
front of main temple in Angkor. Section and plan
view of the northern library of Bayon is shown in
Figure 5.
Some deformations are recognized at top of
the main structure as settlement and at both sides
of the platform as vertical gap opening near the
edges.
5.1 Monitoring crack behavior
Seasonal changes of gaps between stones at several
points were monitored. Two representative moni-
tored points are shown as H and V in Figure 5.
Gap sensors at H and V points were to monitor
vertical crack at the boundary between tiers and
platform and horizontal gap between stones of the
inclined column. Figure 6 shows these two moni-
tored points.
Figure 3. Long trench of archaeological study.

Figure 4. Trenched foundation.

Figure 5. Northern library, Bayon.

100

Figure 6. Monitoring.
The monitored results are shown as well as
monthly rain fall in Figure 7. The vertical gap V of
the stone column was found to heave under rainy
season and to return during the dry season.
The horizontal gap also was found to expand
during the rainy season but not to return in dry
season.
It should be noted that the difference of the
response of these gaps.
When the filled soil becomes wet under con-
stant vertical stress in the rainy season, the soil
will be softened and associated with the shrink-
age in vertical and the expansion in the hori-
zontal direction. In dry season, the soil becomes
hardened with vertical expansion and horizontal
shrinkage under constrained condition of the
horizontal stress at the inside of the platform.
101
Figure 7. Gap monitoring at Northern library.
However, the sandstones at the edge of the plat-
form that were displaced outwards by soil expan-
sion during rainy season remained because of
no horizontal constrain. Soil particles are found
flowing out through the opened gaps of stones.
The filled soil at the edge of the platform has
no horizontal constrain and the loosened filled
soil which has caused the vertical settlement of
the platform soil near the stone retaining wall.
(Iwasaki, 2000)
5.2 Archaeological trench of platform
The gaps between the tiers and the main body of
the platform was regarded as a possible sign of slid-
ing failure of the steep tiers as shown in Figure 8.
It was decided to excavate a vertical trench at the
western part of the platform and to study the orig-
inal fill and discuss the stability of the platform
foundation.
Inside of the sandstone of retaining wall, lat-
erite blocks, and compacted layered manmade fill
were found as shown in Figure 9.
The manmade layered fill was mainly sandy
soil and the boundary between laterite blocks and
manmade soil were filled with clayey soil fill, which
intended to prevent seepage of water from outside
of the platform into the filled soil.
There was found no sliding surface on the
trenched section. There was recognized some sag-
ging of the surface of the platform just behind the
top edge of the platform.
5.3 Plate loading test on the compacted filled
Plate loading test on the manmade sandy soil fill
was carried out. The change of the load and the
settlement of the loading plate (d = 15 cm) with
time and the relationship between the load and
the settlement are shown in Figures 10 and 11

Figure 8. South side view before trenching.
Figure 9. Trenched section of the west side.
respectively. Two kinds of tests were performed.
One is carried out upon natural conditions and
another one is carried out after providing water
on the ground surface. Red line shows the results
for the dry condition. Blue line shows the results
for the wet ground condition.
102
Figure 10. Load, settlement-time of plate load test.
Figure 11. Load-settlement relationship.
The maximum loading stress available at the
testing site was 650 kPa and was not reached at
the failure. Water was supplied around the load
plate and had caused sudden settlement as shown
in Figure 10.
The loading failure took place around 400kPa
for wetted ground. It became clear that the wetting
has strong effect upon the soil strength and weak-
ened the loaded ground.
5.4 Grainsize distribution of filled soil
The filled soils at the excavated trench section
looked to consist of very uniform soil.
The grain size distributions of the filled soils of
sandy and clayey fills were tested respectively and
the results are shown as in Figure 12.
The contents of fine soil (d < 0.063 mm) are
about 10–20% for sandy and 20–30% for clayey
fills.
Figure 12. Grain size distribution of Northern library.

Figure 14. Boring results at the platform foundation of

central tower of Bayon.

Figure 13. Tall stone tower upon thick manmade fill.

6 PLATFORM FOUNDATION OF MAIN

TOWER OF BAYON TEMPLE

At the center of the base of the main tower of

Bayon, a vertical shaft was excavated in 1933 by
French as shown in Figure 4.
Stone masonry main tower of 31 m in height
stands upon the platform of manmade fill of 14 m
in thickness by direct shallow base stone as shown
in Figure 13. It is amazing that the tower has been
Figure 15. Collapse of stiff sandy filled soil in water.
standing for 800 years since the late 12th–early
13th century upon the manmade fill.
Several borings were carried out to study the
in the water within 10 min. as shown in Figure 15.
platform foundation. The results of two borings
(Iwasaki, 2018)
are shown in Figure 14 BYV-2009 at the vertical
shaft and BYV-2010 at the edge of the foundation
of the tower on the third terrace. Boring BYV-2009
7 CHARACTERISTICS OF FILLED SOIL
at the vertical shaft shows very loose sand layer of
IN BAYON TEMPLE
SPT, N < 4, which shows no compaction efforts
were considered by French conservator. Boring
7.1 Grainsize distribution of filled soil
BYV-2010 shows laterite block of 6 m in thick-
ness beneath the paving stones followed by densely Grain size distributions of the samples of filled
compacted sandy fills. soils by the vertical boring within the platform
The manmade filled layer showed very large foundation are plotted in Figure 16 including addi-
SPT, N-values larger than 100–250 as shown in tional horizontal boring in the platform, Northern
Figure 14. The sampled soil is just like soft rock and Southern Libraries, N1 Prasat Suor Prat and
rather than sand. Baphuon Temple. Surprisingly, two kinds of clayey
A sample of the sandy fill was put into water as and sandy fills are clearly separately grouped with
shown in Figure 14. The stiff sandy fill collapsed uniformity.

103

Figure 16. Grain size distribution of filled soil.
Figure 17. X-ray diffraction analyses.
Figure 18. Micrograph of sandy fill soil.
104
7.2 X-ray diffraction analysis (XRD)
X-ray diffraction analysis was performed to study
the mineral component of the filled soil. Figure 17
shows the results of X-ray diffraction analysis. The
major mineral is quartz with clay mineral of hal-
loysite of kaolin group.
The micrograph sample of the sandy fill is also
shown in Figure 18. The rounded particles of sand
of quartz are gathered together filled with kaolin
clay. (Iwasaki, 2018).
8 CHARACTER DEFINING ELEMENTS
OF AUTHENTICITY OF FOUNDATION
OF HERITAGE STRUCTURE
Foundation of a heritage structure has been
regarded as only to support the upper structures.
In conservation of heritage structures in Angkor,
the principle of anastylosis was introduced in
1930’s as a general principle. However, the techni-
cal guideline of soil and foundation was at the time
as follows:
Compacting the exposed soil under the build-
ing by alternate watering and ramming, or when
necessary casting of a reinforced concrete raft
foundation.
The French EFEO team had traditionally
adapted to use the reinforced concrete for the foun-
dation structures in Angkor with no discussion of
the authenticity of foundations.
Character defining elements of the authentic-
ity for the foundation that have been discussed in
Angkor heritage structure for Bayon are as follows:
1. Trenched foundation extended outside the tem-
ple domain.
2. Direction foundation upon densely compacted
layered fill.
3. Filled soil consists of two types of sandy and
clayey soils with uniform grain size distribution
respectively.
4. The contents of fine soil is 20–30% and 5–20%
for clayey and sandy fills respectively.
5. The compacted filled soil is very strong in dry
condition but collapses in water.
9 PRESERVATION OF RETAINING
STRUCTURE OF HEIRTAGE IN
ANGKOR
9.1 Baphuon temple
In 1943, the northeastern side of the slope of the
Baphuon temple (Figure 19) near Bayon temple in
Angkor Thom failed. The vertical section of the
temple is shown in Figure 20, which shows a very
steep retaining structure. (Royere, 2016)

Figure 19. Baphuon temple from air (Royere, 2016).
Figure 20. Section of Baphuon temple.
Figure 21. Original retaining structure of Baphuon.
Figure 21 shows the original structure of the
stone masonry retaining wall that was discovered
at Baphuon. Thin layers of crushed laterite chips
of 1–2 cm in thickness were embedded in com-
pacted sandy layers for possibly drainage of infil-
trated water, they extend some 4 to 5 m behind
the stone masonry rear face. It had been tried to
reconstruct the original structure but failed three
times. The reinforced concrete retaining wall was
introduced as shown in Figure 22. (Launay, 1994)
105
Figure 22. RC retaining wall adapted for Baphuon.
Figure 23. West Causeway, Angkor Wat.
9.2 West causeway, Angkor Wat
West causeway of Angkor Wat is the entering road
that overpasses the wide moat of 190 m in width
as shown in Figure 23. The causeway consists of
earthen embankment with a masonry retaining
system. After the failure of the causeway in 1952
due to heavy rain, the restoration work for the
southern side of the retaining structure was used
reinforced concrete retaining structure.
Figure 24 shows the appearance of the retain-
ing structure of the west causeway, Angkor Wat.
The lower part of the laterite has been weathered
around the water level of the moat. The top surface
of the paved sandstone and laterite were settled
and moved outwards.
Based upon the excavation study by Sophia
University, the restoration work in the 1950’s was
reported as in Figure 25 for the southern side of the
west causeway that failed in 1952 during a heavy rain.
At present in 2018, the second phase of the
restoration work for the northern side of the west
causeway of Angkor Wat. This is a modified ver-
sion based upon a concrete retaining structure. The
backfilled soil behind the masonry wall is excavated
first and the reinforced concrete retaining wall is
Figure 24. Masonry retaining structure of west cause-
way, Angkor Wat.
Figure 25. Concrete retaining wall for the northern side
of the west causeway, Angkor Wat (Katagiri, 1999).
placed behind the existing laterite block retaining
wall as shown in Figure 26.
The existing weathered and decayed laterite
blocks are to be fixed to the concrete with cramps.
9.3 Northern library, Bayon temple
As shown in Figure 8, vertical cracks at the both
sides the Northern Library of Bayon temple were
major deformation that had caused failure and
damage of the upper structures. Research work
and geotechnical study was performed to keep the
characteristic elements of the filled soil; a method
of slaked lime mixed with the original sandy soil
was developed to keep the high strength of the
original sandy fill under wet condition.
106
Figure 26. Concrete retaining wall behind the laterite
blocks for the 2nd phase of northern side of the cause-
way, Angkor Wat.
Figure 27. Reconstitution of foundation platform.
Japanese Government Team for Safeguard-
ing Angkor (JSA) adopted countermeasures as
follows,
1. Dismantling the upper structure and the top
layer of the platform
2. Dismantling the both side of the platform
3. The platform foundation to be built by compac-
tion of the slaked lime mixed soil
4. Install laterite and sandstone
5. Clayey filled layer to be place at the top of the
platform
6. Reconstitution of the upper structure
The reconstitution of the foundation platform is
shown in Figure 27.
9.4 Comparison of the countermeasures of
safeguarding platform filled structures
At present in 2018, there are two kinds of methods
available for the reconstitution of the retaining wall
by manmade filled platform mound in Angkor.
 Those are: One of the main differences is the method to
A: Reinforced concrete retaining wall behind the stabilize the platform mound. The original design
sandstones/laterite blocks that are front facing is high strength of compacted sandy fill and retain-
B: Slaked lime mixed with original soils for man- ing the interior structure by sandstone and laterite
made filled mound exterior blocks.
There are three basic principles of intervention When the reinforced concrete retaining struc-
of cultural heritage as follows, ture was introduced, the sandstone becomes cover-
ing the front face of the concrete and a fake facade.
1. Minimal Intervention
The design principle concept of the original
Intervention should be kept to the minimum
masonry stone retaining wall was changed into a
level that meets structural requirements in order
reinforced concrete retaining structure, which means
to ensure the least harm to heritage values.
the authenticity of the design concept was changed
Compatible materials: material used for inter-
and the integrity of the authenticity was lost.
ventions should be compatible with the original
Another point to discuss is the durability. The
material in terms of mechanical, chemical, and
corrosive property of steel that is used in the con-
other characteristics, and should maintain these
crete is another point to be checked.
characteristics in the long term.
Table 1 summarizes the comparison of the
2. Incremental Approach
countermeasures adapted in the past
3. Removable measures
The design principle of the original design is the
The original structure is manmade fill of the masonry retaining wall. The design concept is the
high platform mound with masonry stone retain- reinforced concrete retaining wall for the southern
ing wall. part and for the northern in the 2nd phase of the
JSA studied the special character of the sandy causeway of Angkor Wat.
soil, which is strong like soft rock in dry condition The design principle of the retaining structure
but collapses in water. A slaked lime mixed with of the Northern Library of Bayon Temple is the
original soil was developed and the high strength masonry retaining wall, by which the integrity of the
remained under water condition. The high strength authenticity of the design principle has been restored.
of the character defining element is extended from
only dry to dry and wet condition.
10 CONCLUSIONS
Table 1 summarizes the comparison of major
differences among the original platform mound,
The foundation of Bayon temple was studied and
A and B methods.
the character defining elements are identified as
follows:
Table 1. Comparison of countermeasures. 1. The original ground was excavated 2–3 meters
from the surface and filled back with compacted
West Library sandy soil. The trenched foundation was found
Site Original Baphuon Causeway Bayon to be extended outside of the stone plinth of the
temple.
Structural Masonry RC RC Masonry
design retaining retaining retaining retain-
2. Main masonry stone tower stands upon a plat-
concept wall wall wall ing wall form foundation mound of manmade fill by
Fill Sandy soil Sandy soil Sandy soil Lime shallow direct foundation without special foun-
material mixed dation support.
sandy 3. The manmade fill shows very high bearing
soil strength due to special characteristics of grain-
Durability — RCRW RCRW Masonry size distribution of sandy soil with kaolin clay.
cramp RW 4. The stiff sandy soil collapses within 10 minutes
Soil Strong in Strong in under water.
strength dry poor dry and 5. Masonry stone retaining structure with very
in wet wet steep slope
Durability Steel Steel —
Min.inter. ? ? Several restoration works of the retaining struc-
Incre. Ap High High Low tures are reviewed in terms of the Authenticity and
Removable High Low Integrity and concluded as follows;

RW: Retaining Wall. 1. Restoration of masonry stone retaining struc-

RCRW: Reinforced Retaining Wall. tures that failed by heavy rain has been to cre-
Min.Inter: Minimal Intervention. ate the reinforced concrete retaining wall and to
Incre.Ap: Incremental Approach. place the stones to cover the wall for Baphuon

107
 and West Causeway of Angkor Wat. The usage
of the concrete retaining wall is recognized.
2. Introducing slaked lime mixed with the origi-
nal soil, the design as the retaining structure
of masonry stone is restored by JSA, which
resulted in keeping the integrity of the authen-
ticity of the foundation structure in Angkor.
3. The use of the concrete retaining wall has been
adapted instead of masonry retaining one,
which has been successful but lost the integ-
rity of the authenticity of heritage structure in
Angkor.
In 1930’s when the foundation was not consid-
ered a key element of the heritage structure, the use
of reinforced concrete for foundation was included
in the technical guidelines. Since then the use of
concrete became a standard style for many of the
restoration work in Angkor.
However, based upon both the Venice Charter
and the Nara Statement on Authenticity, as well as
current ISO standards, the sandy filled soil and the
masonry retaining structure are identified as the
character defining elements of the authenticity of
heritage structures in Angkor.
Past interventions such as restoration of masonry
stone retaining structures that failed by heavy rain
has been to create the reinforced concrete retaining
wall and to place the stones to cover the wall for
such sites of Baphuon, Terrace of Leper King, and
the west Causeway of Angkor Wat. The use of the
concrete retaining wall has been adapted instead
of masonry retaining one, which has been success-
ful but with the loss of the integrity of the authen-
ticity of heritage structure in Angkor.
The introducing the concrete material has
resulted in not only losing the integrity and authen-
ticity of the monuments but also consequently gen-
erating some negative such impacts on the original
material as producing salt efflorescence, that we
have seen now on some monuments in Angkor and
the case of Borobudur is clear.
108
REFERENCES
Angkor Charter, 2014, http://apsaraauthority.gov.kh/?page=
detail&menu1=647&ctype=document&id=647&
ref_id=6&lg=e.
EFEO, 1990: Conservation of Angkor 1907–1972,
International Round Table on the Preservation of
the Angkor Monuments, Bangkok, UNESCO/CC-90/
Conf.801/6, 1990.
ISO_STANDARD 13822-2010, 2010. Bases for design
of structures – Assessment of existing structures,
Annex I Heritage Structures.
Iwasaki, Y. and Fukuda, M., 2018: Preservation of the
main tower of Bayon temple, Angkor, Cambodia,
Geotechnics and heritage—Historic Towers, CRC
Press,-Balkema, 2018, pp.191–227.
Iwasaki, Y., 2000, 3.5.4 Structural stability of the
Northern Library and monitored behavior, Report
on the Conservation and Restoration Work of the
Northern Library of Bayon, Angkor Thom, kingdom
of Cambodia, pp. 95–100.
Katagiri, M. 1999, A consideration on the process of
restoration work of the west causeway of Angkor
Wat, Renaissance Culturelle du Cambodge (16),
Sophia Asia Center for Research and Human Develop-
ment, Tokyo, pp. 17–30 (in Japanese).
Launay, J. 1994: A Geotechnical and Structural
Engineering Approach, Proc. of XIII International
Conference of Soil Mechanics and Foundation Engi-
neering, New Delhi, India, 1994 (in French) 191–194.
Nara Doc, 1994: www.icomos.org/charters/nara—e.pdf.
Narita T., Nishimoto S., Shimizu M., Akazawa. Y. 2000:
Outline of excavations and investigation at the outer
gallery of Bayon complex, Annual technical report
2000, JASA, Tokyo, pp. 3–22.
UNESCO, 1993: Safeguarding and Development of
Angkor, prepared for The Intergovernmental Con-
ference on the Safeguarding and Development of the
Historical Area of Angkor, Tokyo, 12–13 October,
1993.
Royere, P. 2016: Le Baphuon, EFEO, 2016 (in French)
Venice Charter, 1964, www.icomos.org/charters/
venice_e.pdf.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Characteristics of ultrafine permeation grouting for foundation soil

of Northern River Terminal in Moscow

F.N. Kalach
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

V.I. Nozdrya
NPO Polycell (JSC), Vladimir, Russia

A.I. Osokin & V.B. Ivanishchev

GeoSphere LLC, Saint Petersburg, Russia

ABSTRACT: The article discusses the results of the experimental studies conducted as part of the
restoration works on Northern River Terminal in Moscow to test the expediency of Ultracement
5 M-based ultrafine cement grouting as a technique for stabilizing the loose sands of its foundation soil in
accordance with the design parameters for volume and strength of the grouted soil mass along the depth
of grout holes.

Keywords: ultrafine Portland cement, injection grouts, permeation grouting, laboratory investigation,
grouted sands

1 INTRODUCTION In Germany, the microcement-based permea-

Injected into soil, ultrafine Portland cements
(microcements) are designed to improve the physi-
cal and mechanical performance of subfoundations.
With particle size of 1–9 μm, which is several-
fold lower than that of portland cements, and a
sophisticated system of agents, the microcements
are highly penetrant, bonding and compacting the
loose soil mass as they travel through its pores,
voids and fine cracks.
tion grouting came into use in 1995 (Shishkin et al.
2011), whereas Russia is still new to it because the
access to microcement manufacturing technology
and high-precision design and calculation methods
became available to it only recently. Our experi-
mental study aimed to provide a rationale for the
use of microcement grouting as a technique for
stabilizing loose, fine- and medium-grained sands
and was conducted as part of accident-prevention
works to preserve the region-level cutural heritage
site situated in Moscow in Leningradsky Dr. –
Northern River Terminal, 1932–1937, Architect:
A.I. Rukhlyadev.

2 BACKGROUND CONDITIONS

The strip foundations of the terminal are found

Figure 1. Comparative analysis of penetration strength
of cement grouts injected in sand: Dsand part. = 0.2 mm.
Left – Portland cement, Right – microcement.
to consist mainly of boulders of magmatic (meta-
morphic) rock and limestone blocks in cement
and sand grout slurry. The foundations under the
columns are cast-in-place reinforced concrete; the
foundations under the tallest part of the termi-
nal are bonded longitudinally and transeversely.
According to the classification in GOST 31937-
2011, the state of the foundations is defined as

109
limitedly operable—due to the loose sands (EGE-
2a/b) underlying the foundations’ bottom. For
this reason, the terminal was recognized as non
operational and the decision was taken to apply
permeation collar grouting to stabilize its subfoun-
dation by injecting microcement into the upper
underlaying soil.
3 THE GEOLOGICAL AND
GEOTECHNICAL CONDITIONS
ON SITE
The foundation depth is 4.50 m (absolute depth
mark 162 m) for walls and 2.90 m (absolute depth
mark 163 m) for columns. The foundation soil is
composed of fluvioglacial deposits EGE-2 (fQIIms)
and EGE-2a/b (fQIIms) – loose, medium-grained,
yellow-brownish sand with low water content. The
moduli of deformation are E = 28 MPa for EGE-2
and E = 17 MPa for EGE-2a/b.
Based on the task of the study, the physical
and mechanical properties of the soil, the selected
grouting technique and material, and in accord-
ance with Building Code 45.13330.2012, the
grouted soil is to be monitored for instantaneous
uniaxial compression strength Rcomp = 0.5 MPa;
and modulus of deformation E = 38 MPa.
Figure 2. Geotechnical profile of the survey area.
110
4 WORKING METHOD
Technologically, the permeation collar grouting of
the soil involved three stages:
1. drilling of a Ø 82 mm hole down to the design
elevation: installation of a diamond bit drill-
ing rig; drilling, and rod addition, down to the
foundation’s bottom; removal and dismantling
of rods;
2. drilling of a Ø 76 mm hole down to the
design elevation: installation of a rotary bit
drilling rig; drilling, with adding of rods, and
mud flushing; removal and dismantling of rods;
filling with cement-bentonite grout via an injec-
tor tube; installation of a 42 × 3 mm diameter
collar (injector); 24–48 hour rest;
3. rounds of soil grouting with microcement under
maximum pressure of 0.3 MPa.
4.1 Consolidation grouting
The works were conducted during July to
September 2018. The geological elements within
the experimental site included EGE-2, EGE-2a
and EGE-2b.
The grout was injected at:
− initial pressure (formation fracture pressure) of
up to 1.5 MPa;
− operating pressure of 0.1 ÷ 0.2 MPa; and
− final (refusal) pressure of 0.3 MPa.
In the event of low injection pressure (under
0.1 MPa) the feed rate should be increased. Should
the pressure fail to pick up, the grouting should
be stopped (to be resumed after 24 hours), and
another horizon should be injected.
4.2 Intermediate results of the subfoundation
grouting
For the purpose of physical and mechanical
analysis of the grouted soil, a prospecting shaft was
Figure 3. Operation diagram.

Figure 4. The subfoundation grouting solution for the
Northern River Terminal.
Figure 5. Prospecting hole profile.
drilled to the depth of 3.30 m on the experimental
site of the Northern River Terminal. It showed
that for the medium-grained sand—at a depth
50 cm lower than the foundation’s bottom—the
permeation was satisfactory and cement stone had
formed. At 50 ÷ 110 cm interval, lies fine-grained,
low-permeability sand (packed sand).
The permeated, packed fine-grained sand of the
underlying layer did not meet the design strength
requirements. So, samples were taken of this sand
for laboratory testing of its grain-size composition
and further correction of the grout composition.
111
Figure 6. Prospecting hole: the boundary is vis-
ible between the grouted medium-grained sand and the
ungrouted fine-grained sand.
Figure 7. Test 1 result.
The lab analysis showed that the content of
dust and clay particles in the samples was rather
low –0.53%. However, practice shows that even the
content as low as this is sufficient for the intergran-
ular spaces to get clogged and the cement micro-
particles to lose penetration capability. Using the
“Method for determining particle-size distribution
and fineness modulus” the size ranges were obtained
– 0.3÷0.15 mm (65%), under 0.15 mm – 18%.
Based on the results of lab analyses, a series of
grouting tests was performed on the fine-grained,
dust-containing sand:
• Test 1. 300 g of pre-packed dust-containing
sand, sampled from the subfoundation of the
Northern River Terminal, is grouted with micro-
cement under 5 atm. Prior to testing, the sand
samples were impregnated with an aqueous
solution containing the manufacturer additive.
• Test 2. Prior to microcement grouting, the medi-
um-grained sand was washed with water with-
out the use of the manufacturer additive.
• Test 3. The microcement grout recipe used
higher content of CaCl2. Prior to testing, the
sand samples were impregnated with water with-
out the manufacturer additive.
The tests resulted in a microcement grout with
the composition most optimal for the grouting of
the subfoundation of the Northern River Terminal
in terms of its design strength.
 Table 1. Spread diameter of injected microcement with
different water-cement ratios.

Spread diameter,
Check borehole W-C ratio m

1 1.5 0.3 ÷ 0.35

2 2 0.4 ÷ 0.45
3 2.5 0.6
4 3 1.0 ÷ 1.1
5 3.5 1 ÷ 1.2

Table 2. Averaged strength performance of samples.

28 days 35 days 64 days

Figure 8. Test 2 result. E, MPa 41.3 49.2 58.8
Rcomp, MPa 0.28 0.72 1.82

Figure 9. Test 3 result.

5 SUBFOUNDATION GROUTING
RESULTS
A total of 5 check boreholes were drilled on the
trial site to measure the extent of spread of the
injected microcement grout with different water-
cement ratios.
Further analysis has shown that the most opti-
mal microcement-based permeation grouting,
injected at P ≤ 3 atm was that with W/C ratio = 3
and spread diameter of 1.0 ÷ 1.1 m.
The subsequent core sampling for laboratory
strength tests took place in August 2018.
The findings of the on-site surveys indicate
that the development of strength was a continu-
ous process that took the minimum of 30 days. On
the 28th day, the uniaxial compression strength
equaled 0.19 ÷ 0.35 MPa; upon achieving of the
target modulus of deformation – 38.5 MPa to
43.3 MPa (the design range). The grouted soil
reached its design uniaxial compression strength
(Rcomp > 0.5 MPa) on after 33 ÷ 35 days, which was
Figure 10. Ultrafine cement grouted subfoundation of
the Northern River Terminal.
evidenced by test results (Rcomp = 0.55 ÷ 1.1 MPa ) .
The samples aged 64 ÷ 65 days showed the
uniaxial compression strength and modulus
of deformation higher than the design ones
(Rcomp = 1.55 ÷ 1.95 MPa; E = 56.7 ÷ 60.1 MPa).
6 CONCLUSIONS
1. The analysis of penetration strength of loose
fine- and medium-grained sands grouted with
microcements by different manufacturers has
shown that the grouting most suitable the site
in question is Ultracement 5M (NPO Polycell,
Moscow) with W/C ratio = 3.
As a means to achieve better continuity of the
grouted subfoundation of the building, we rec-
ommend that the grout injection process uses
the adjusted pressure (which may be increased
to 0.5 MPa for loose sands interlain with hard

112
 sands) and adjusts the time for grout to be
injected into each of the horizons.
2. The findings of the experimental works indicate
that the material most suitable for grouting the
subfoundation of the Northern River Terminal
is microcement with particle diameter not more
than 5 μm, whose performance is found to be
the best in terms of strength and spread. The
grout used on site was Ultracement 5 M.
3. The grouted soil developed strength over a
lengthy period of time, which is in line with the
strength development characteristics of sandy
and clayey soils (56 days).
The obtained data shows that it took the
grouted soil the minimum of 33 days to develop
its design strength (Rcomp > 0.5 MPa ) , as was
evidenced also by testing of the grouted soil
samples. The samples aged 65 showed the
uniaxial compression strength and modulus
of deformation higher than the design ones
(Rcomp = 1.55 ÷ 1.95 MPa; E = 56.7 ÷ 60.1 MPa).
REFERENCES
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V.A. 2008. The Characteristics of Microcement Col-
lar Injection Grouting as a Soil Stabilization Method//
OFMG. 1. pp. 25–28.
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A Study of the Properties of Cements with Fine-
Grained Additives//Beginner Researcher 10. pp. 96–97.
Henn, R.W. & Soule, N.C. 2010. Ultrafine cement in pres-
sure grouting, ASCE Publications, Virginia, USA.
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2016. The Challenges of Microcement Grouting of
Soils//Academia. Architecture and Civil Engineering.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Basic relationships between statics and dynamics in reinforced

shell roofs of underground and aboveground structures and
methods of their calculation

V.V. Karpov & A.A. Semenov

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: The paper addresses an option of basic relationships in a mathematical model for
deformation of reinforced shell structures that can be used in construction of underground and
aboveground structures. Relationships both under static and dynamic loading are considered. The model
is derived in the form of motion equations and takes into account geometrical nonlinearity and transverse
shears. To obtain the required relationships, the first variation of the functional of full shell deformation
energy is found. An important distinctive feature of the model is that reinforcement of the structure with
stiffeners, when the contact between the stiffener and the shell is along the line, is taken into account.
This model can be used in design of a wide range of thin-walled shell structures of various geometry.
Calculation results are provided.

1 INTRODUCTION geometry taking into account geometric nonlin-

earity and transverse shears.
Studying the dynamic behavior of structures is
of great significance for different industrial fields,
including construction. The main task of researches 2 THEORY AND METHODS
on shell structures under dynamic loading is study-
ing their stability, strength and oscillations, which Let us examine shell structures of arbitrary form
is evidenced by numerous papers (Bacciocchi et al. (of h thickness) subjected to an external uniformly
2016, Gao et al. 2018, Ghavanloo & Fazelzadeh distributed transverse load q = q (x, y, t).
2013, Kogan & Yurchenko 2014, Kumar 2017, Let us consider the middle shell surface as the
Malekzadeh Fard & Baghestani 2017, Sirivolu & coordinate surface. The x, y axes are oriented
Hoo Fatt 2015). along the main shell curvatures lines, and the z
For instance, a review by Kogan & Yurchenko axis—along the normal in the direction of the con-
(2014) provides an analysis of the current state of cavity (Fig. 1).
researches on free and forced nonlinear oscillations
of elastic plates and shells under periodic actions.
2.1 Introduction of stiffeners
Various approaches to solving nonlinear dynamic
equations, applied to the class of problems under Let us examine shells reinforced by stiffeners
consideration, are discussed. Existing experimen- (Fig. 2) introduced discretely and characterized by
tal findings are analyzed. the following functions:
Reinforcement of thin-walled structures with
various stiffening elements allows significantly
improving performance characteristics of such
structures. Unfortunately, a relatively small
number of studies on shells reinforced with stiff-
eners under dynamic loading have been published
(Bich & Ninh 2017, Dung & Nam 2014, Li et al.
2013; Patel et al. 2006, Shi et al. 2015, Srinivasan &
Krishnan 1989, Thang & Nguyen-Thoi 2016, Yu &
Li 2016).
The purpose of this study is to derive motion Figure 1. Shallow shell of double curvature reinforced
equations for reinforced shell structures of various by stiffeners.

114
 U z = U + zΨ x , V z = V + zΨ y , W z = W . (2)

where U = U (x, y, t), V = V (x, y, t), W = W (x, y, t)

are unknown displacement functions, and ψx = ψx
(x, y, t), ψy = ψy (x, y, t) are unknown functions
of the normal rotation angles in the xOz and yOz
planes, respectively. In this case, with account for
geometrical nonlinearity and transverse shears,
geometrical relationships in the middle surface will
take the following form:
1 ∂U 1 ∂A 1
εx = + V − kxW + θ12 ,
A ∂x AB ∂y 2
1 ∂V 1 ∂B 1
εy = + U − kyW + θ 2 2 ,
Figure 2. A view of stiffeners. B ∂y AB ∂x 2
1 ∂V 1 ∂U 1 ∂A 1 ∂B
m n γ xy = + − U − V + θ1θ 2 ,
F = ∑ F jδ ( x − x j ) + ∑ F iδ ( y − yi ) A ∂x B ∂y AB ∂y AB ∂x
j =1 i =1 γ xz = k f ( z ) [ Ψ x − θ1 ] ,γ yz = k f ( z ) Ψ y − θ 2 ,
n m
− ∑ ∑ F ijδ ( x − x j )δ ( y − yi ); 1 ∂Ψ x 1 ∂Ψ y 1 ∂B
χ1 = , χ2 = + Ψx ,
i =1 j =1 A ∂x B ∂y AB ∂x
m n
1  1 ∂Ψ y 1 ∂Ψ x 1 ∂B 
S = ∑ S jδ ( x − x j ) + ∑ S iδ ( y − yi ) χ 12 =  + − Ψ y ,
j =1 i =1 2  A ∂x B ∂y AB ∂x 
n m (1)
− ∑ ∑ S δ ( x − x j )δ ( y − yi );
ij (3)

m
i =1 j =1
n
where εx, εy – deformations of elongation along the
J = ∑ J jδ ( x − x j ) + ∑ J iδ ( y − yi ) x, y coordinates of the middle surface; γxy, γxz, γyz –
j =1 i =1
shear deformations in the xOy, xOz, yOz planes,
n m respectively; χ1, χ2, χ12 – functions of curvature and
− ∑ ∑ J δ ( x − x j )δ ( y − yi ),
ij
torsional change; kx, ky – main curvatures of the
i =1 j =1 shell along the x and y axes;

where, e.g.:  1 ∂W   1 ∂W 
θ1 = −  + kxU  , θ 2 = −  + kyV  ;
 A ∂x   B ∂y 
F j = h j , S j = h j ( h + h j ) / 2,
1 F (z) – a function characterizing distribution of
J j = 0, 25h 2 h j + 0, 5h( h j )2 + ( h j )3 .
3 shear deformations γxz, γyz by shell thickness; k – a
numerical coefficient [58]:
Here, hj, ri, m – height and width of stiffen-
ers parallel to the y axis, and the number of  1 z2  5
f ( z ) = 6  − 2 , k = (4)
stiffeners in this direction; hi, ri, n – similarly for 4 h  6
stiffeners parallel to the x axis; hij = min {hi, hj};
δ ( x − x j ) – a unit column function equal to one Physical relationships at linear-elastic deforma-
at aj ≤ x ≤ bj (a j = x j − rj / 2, bj = x j + rj / 2 ) and tions for an orthotropic material in a plane stress
equal to zero at other x values; δ ( y − y j ) – a condition will be as follows:
unit column function equal to one at ci ≤ y ≤ di
(ci = yi − ri / 2, di = yi + ri / 2 ) and equal to zero at E 
other y values (rj = rj / A; ri = ri / B ). A, B – Lamé σx = ε x + µε y + z ( χ 1 + µχ 2 ),
parameters. 1− µ2
E 
σy = ε y + µε x + z ( χ 2 + µχ 1 ),
1− µ2
2.2 Basic relationships E  (5)
τ xy = γ xy + 2 z χ 12 ,
Let us consider the shell deformation model of 2 (1 + µ )
Timoshenko (Mindlin–Reissner) type. Then, dis- E E
placements in the layer at distance z from the mid- τ xz = γ xz , τ yz = γ yz .
dle surface will be as follows: 2 (1 + µ ) 2 (1 + µ )

115
where E, µ – the modulus of elasticity and Poisson’s
ratios of the shell material. Knowing the physical
relationships, we can derive equations for forces
and moments:
To derive motion equations, we need to find the
first variation of the functional of full deformation
energy of the shell (7) and set it to zero:
t1

E 
(
δ ∫ E k − E p + Α dt = 0.) (9)
Nx =
1− µ2 
(h + F ) (ε x + µε y ) + S ( χ 1 + µχ 2 ), t0

E  At first, let us find the variation of kinetic shell

Ny =
1− µ2 
(h + F ) (ε y + µε x ) + S ( χ 2 + µχ 1 ), deformation energy:
E   h3  
Mx = S (ε + µε ) +  + J  ( χ 1 + µχ 2 ), t1
ρ 1
t a b
  ∂U  ∂U 
δ ∫ ∫ ∫  ( h+ F )  2
x y
1− µ2  12   δ ∫ E k dt = δ 
E   h3   2 t0 a1 0   ∂t  ∂t 
S (ε y + µε x ) +  + J  ( χ 2 + µχ 1 ),
t0
My = ∂VV  ∂V  ∂W  ∂W  
1− µ2  12   + δ δ
2  +2 
E  ∂t  ∂t  ∂t  ∂t  
N xy = N yx =
2 (1 + µ ) 
( ) xy
h + F γ + 2 S χ 
12  , (6)
 ∂U  ∂Ψ x  ∂Ψ x  ∂U 
+ 2S  δ  + δ 
E   h3    ∂t  ∂t  ∂t  ∂t 
M xy = M yx = S γ xy + 2  + J  χ 12 , ∂V  ∂ Ψ y  ∂ Ψ y  ∂ V  
2 (1 + µ )  12  
+ δ + δ  
kE ( h + F ) ∂t  ∂t  ∂t  ∂t  
Qx = ( Ψ x − θ1 ) ,  h3   ∂Ψ x  ∂Ψ x 
2 (1 + µ ) + +J 2 δ 

122   ∂t  ∂t 
kE ( h + F )
Qy =
2 (1 + µ )
(Ψ y − θ 2 ). + 2
∂Ψ y  ∂Ψ y   
δ   ABdxdydt.
∂t  ∂t   
Full deformation energy of a shell structure can (10)
be written using the following functional:
This expression needs to be transformed in such
t1 a way so that there would be no variations of time
I = ∫ ( E k − E s ) dt, (7) derivatives of the unknown functions U (x, y, t),
t0 V (x, y, t), W (x, y, t), ψx (x, y, t), ψy (x, y, t) under
the integral taken over the variable t, using integra-
Where Ek is kinetic deformation energy of the tion by parts:
system, and Es = Ep – A is the functional of the
static problem, equal to the difference in potential t1 t1 a b
  ∂ 2U ∂ 2V
deformation energy of the system and the work of δ ∫ E k dt = − ρ ∫ ∫ ∫  ( h + F )  ∂t 2
δ U + 2 δV
∂t
external forces. They will have the following form: t0 t0 a1 0
∂ 2W   ∂ 2U ∂ 2Ψ x
a b + δW  + S  2 δ Ψ x + δU
1  1 ∂tt 2   ∂t ∂t 2
Es =
2
∫ ∫ N ε x x + N yε y +
2
(Nxy + N yx )γ xy + M x χ 1 ∂V 2 ∂ Ψy
2
  h 3

a1 0 + 2 δ Ψy+ δV  +  +J
+ M y χ 2 + (M xy + M yx ) χ 12 ∂t ∂t 2   12 
 ∂ 2Ψ x ∂ 2Ψ y  
+Qx ( Ψ x − θ1 ) + Qy ( Ψ y − θ 2 ) − 2qW } ×  δ Ψx + δ Ψ y   ABdxdydt
 ∂t ∂t 2
2
ABdxdy,  
a b
b    ∂U ∂V ∂W 
  ∂U 2  ∂V 2  ∂W 2  + ρ∫ ∫  ( h+ F ) 
a
ρ δU + δV + δW 
Ek =
2
∫ ∫ (h + F ) ∂t  +  ∂t  +  ∂t   a1 0   ∂t ∂t ∂t 
a1 
0   
 ∂U ∂Ψ x ∂V ∂Ψ y 
 ∂U ∂Ψ x ∂ V ∂ Ψ y   h 3  +S δ Ψx + δU + δ Ψy+ δV 
+2S  × + + + J   ∂ t ∂ t ∂ t ∂ t 
 ∂t ∂t ∂t ∂t  12  t = t1

 2   h3   ∂Ψ x ∂Ψ y  
∂Ψ   ∂Ψ   + +J  δ Ψx + δ Ψy 
2
ABdxdy.
×  x  +  y   ABdxdy,  12   ∂t ∂t   t= t0
 ∂t   ∂t  
(11)
(8)
The second term of the sum in this equation
where ρ is material density; t is time. that can be expressed as follows:

116
 a b
 ∂U ∂Ψ x  where Ep1 – Ep5 are the left parts of equilibrium
ρ∫ ∫ (h + F ) ∂t +S
∂t 
δ U equations:
a1 0
 ∂V ∂Ψ y 
+ ( h + F ) +S δ V ∂BN x
− Ny
∂B ∂AN xy
+ + N xy
∂A
− ABkxQx
 ∂t ∂t  ∂x ∂x ∂y ∂y
∂W +ABkx ( N xθ1 + N xyθ 2 ) + ABPx = 0,
+ (h + F ) δW
∂t
 ∂U  h 3  ∂Ψ  ∂AN y ∂A ∂BN xy ∂B
+ S +  + J  x δ Ψ x − Nx + + N xy − ABkyQy
 ∂t 12  ∂t  ∂y ∂y ∂x ∂x
t = t1 +ABky ( N yθ 2 + N xyθ1 ) + ABPy = 0,
 ∂V  h 3  ∂Ψ y  
+ S + + J  δ Ψ y  ABdxdy, ∂
 ∂ t  12  ∂t   AB ( kx N x + ky N y ) − B ( N xθ1 + N xyθ 2 )
t = t0 ∂x
∂ ∂BQx ∂AQy
(12) − A ( N yθ 2 + N xyθ1 ) + + + ABq = 0 ,
allows forming initial conditions for the variable t, i.e. ∂y ∂x ∂y
initially, either all unknown functions equal zero or ∂BM x ∂B ∂AM xy ∂A
− My + + M xy − ABQx = 0,
the first derivatives of these functions equal zero ∂x ∂x ∂y ∂y
(equal the zero rate of these functions). ∂AM y ∂A ∂BM xy ∂B
The first term of the sum in (11), that is an − Mx + + M xy − ABQy = 0.
∂y ∂y ∂x ∂x
expression under the integral taken over the vari-
able t, based on which motion equations are formed (16)
(or, more precisely, inertial terms of this equation),
can be transformed by combining the similar terms: The underlined members in these equations
t1
reflect the geometric nonlinearity, and they can be
a b
 ∂ 2U ∂ 2Ψ x  neglected in the first two equations.
− ρ∫ ∫ ∫   ( h + F ) ∂t
t0 a1 0
2
+S
∂t 2 
δU Therefore, the motion equations for reinforced
shells with transverse shears and rotational inertia
 ∂ 2V ∂ 2Ψ y 
+  ( h+ F ) 2 + S δV taken into account will be as follows:
 ∂t ∂t 2 
∂ 2W  ∂2U ∂2 Ψ x  ∂BN x
+ ( h + F ) 2 δW ρ ( h + F ) 2 + S  AB =
∂t  ∂t ∂t 2  ∂x
 ∂ 2U  h3  ∂ 2Ψ x  ∂B ∂AN xy ∂A
+S 2 + +J δΨx −N y + + N xy − ABkxQx + ABPx ,
 ∂t  12  ∂t 2  ∂x ∂y ∂y
 ∂ 2V  h3  ∂ Ψy 
2
  ∂2V ∂2 Ψ y  ∂AN y
+ S 2 + +J δ Ψ y  ABdxdyydt. ρ ( h + F ) 2 + S  AB =
 ∂t  12  ∂t 2    ∂t ∂t 2  ∂y
(13) ∂A ∂BN xy ∂B
−Nx + + N xy − ABkyQy + ABPy ,
∂y ∂x ∂x
Now, let us find the variation of the statics ∂W
2
functional. The Es expression does not have any ρ ( h + F ) 2 AB = AB (kx N x + ky N y )
derivatives of the unknown functions with respect ∂t
∂ ∂
to the variable t, and, therefore: − B ( N xθ1 + N xyθ 2 ) − A ( N yθ 2 + N xyθ1 )
∂x ∂y
t1 t1
∂BQx ∂AQy
δ ∫ E s dt = ∫ δ E s dt (14) + + + ABq,
t0 t0
∂x ∂y
 ∂ U h
2 3 ∂ Ψ 
2
∂BM x
ρ S 2 +  + J  2 x  AB =
If we equate the first variation of the functional Es  ∂ t  12  ∂ t  ∂x
to zero and transform the derived expression so that ∂B ∂AM xy ∂A
there would be no derivatives of functions of displace- −M y + + M xy − ABQx ,
∂x ∂y ∂y
ments and normal rotation angles under the variation
 ∂2V  h3 ∂ Ψ 
2
∂AM y
sign, then we will obtain the following expression: ρ S 2 +  + J  2 y  AB =
 ∂t 12  ∂t  ∂y
t1 t1
∂A ∂BM xy ∂B
δ ∫ E s dt = ∫ {E δ U + E p 2δ V + E p3δ W
p1 −M x + + M xy − ABQy .
t0 t0 ∂y ∂x ∂x
+E p 4δ Ψ x + E p5δ Ψ y } ABdt, (15) (17)

117
 The derived set of equations (17) represents
a set of partial differential equations. Here, the
unknown functions depend on three variables x,
y, t. This set of equations should be solved with
the initial and boundary conditions taken into
account, i.e. a mixed problem is solved for sets
of partial differential equations. Solving such
problems causes certain mathematical difficulties,
since equations (17) are stiff equations where the
Runge–Kutta methods are conditionally stable.
For static problems, this paper suggests using
the Ritz method to transfer to a set of nonlinear
equations, and the best parameter continuation
method—for their solution.
For dynamic problems, it is suggested to use the
Vlasov–Kantorovich method for deriving an ODE
set and the Rosenbrock method—for its solution.

3 NUMERICAL RESULTS

As an example of calculation according to the

suggested model, let us examine a shallow shell

Figure 4. Calculation results for a shallow shell of dou-

ble curvature under dynamic loading and at different
options of reinforcement with stiffeners.

of double curvature with the following param-

eters: a = b = 1.2 m, R1 = R2 = 4.8 m, h = 0.01 m,
E = 2.1 × 105 MPa, µ = 0.3, reinforced with a set
of various regularly placed stiffeners (width – 2h,
height – 3h). During decomposition of the
unknown functions into rows in the Ritz method,
we will take the number of summands as N = 9.
Figure 3 shows a “load–central deflection” curve
for the shell under consideration under static load-
ing and at different options of shell reinforcement
with an orthogonal grid of stiffeners (0 × 0, 9 × 9,
18 × 18 stiffeners). Figure 4 shows similar results
under dynamic loading (where the load in this case
was calculated as q = A1t, A1 = 1 MPa/s).
As follows from Figures 3–4, stiffeners in the
shell significantly improve its stiffness, and, there-
fore, the critical load can increase by more than
100%.

4 CONCLUSION

Figure 3. Calculation results for a shallow shell of dou- Thus, basic relationships of the mathematical
ble curvature under static loading and at different options model for deformation of reinforced shell struc-
of reinforcement with stiffeners. tures under dynamic loading were obtained as

118
a set of partial motion equations. The suggested
model takes into account geometrical nonlinearity,
transverse shears and the possibility of structure
reinforcement. Stiffeners are introduced discretely,
with the account for the contact between the stiff-
ener and the shell along the line.
ACKNOWLEDGEMENTS
The research was supported by RSF (project No.
18-19-00474).
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Advanced composite-based structural design solutions

T.P. Kasharina
Platov South-Russian State Polytechnic University (NPI), Novocherkassk, Russian Federation

ABSTRACT: The article deals with ways to increase strength and stability of shell-type structures. One
such way is to use the composite materials that display, whilst being manufactured, the capability to
recover easily after strong impacts comparable to natural or man-made ones (such as floods, subsidence,
seismic phenomena). This capability makes composite materials a perfect material for making structures,
or components thereof, with pre-set performance and levels of slenderness, stability, service time, safety,
eco-friendliness and ergonomics. Examples are given of the possible applications of the shell-type struc-
tures based on composite materials, as well as process technologies and their methods. Core concepts and
design calculations are presented of the proposed structural applications, taking into account the natural
and anthropogenic conditions of construction and operation.

1 INTRODUCTION where h = minimum thickness of hydrodynami-

The global practice of using composite materi-
als (nanomaterials) offers a wide scope of their
application in different fields of engineering, as
well as manufacturing technologies and design
calculations.
This paper mentions the patented engineer-
ing solutions able to ensure structural durability,
reliability and environmental safety, as well as
heterogeneous systems of required specification –
for instance, semisolid lubricants with rheological
properties and operational stability. Or tribological
slip systems that are capable of absorbing oscilla-
tions and are highly durable and resistant to shock
or subsidence being transferring through lubricant
layer (Kasharina et al. 2018, Kasharina et al. 2017,
Pomogailo et al. 2015).
cal layer of lubricant (Kasharina et al. 2018); S1,
S2 = mean square deviations of roughness of the
surfaces of structures 1 and 2. At a first approxi-
mation, it equals 1.11 Ra, where Ra is surface
roughness parameter.
To determine λ, the following values should be
obtained: friction process—velocity, load, tempera-
ture; contact surfaces—roughness, reduced modu-
lus of elasticity, Poisson ratio, radius of curvature;
lubricant—viscosity, pressure-viscosity coefficient
and viscosity-temperature coefficient. It should be
noted that at λ > 5, fluid lubricants are recommended,
while material wear after multiple-cycle fatigue is
considered acceptable. At λ ≤ 1, 0, wear is caused by
adhesive interactions that may lead to jams.
If 1 < λ < 3 – mixed friction with hydrodynamic
load, the relation will assume, at a first approxima-
tion, the form of:

2 MATERIALS AND METHODS Pa 1  hmin 

6 ,3

=   (2)
In shell elements, plastic lubricants are designed to Pc λ  h 
reduce the traction coefficient, i.e. they are intended
to serve as sealers and corrosion protection. Out of where Pa = the pressure sustained by lubricant
all lubricants those should be chosen which do not layer; Pc = total contact pressure; h = average thick-
affect heavily the other layers of composite mate- ness of lubricant layer.
rials. Composite materials are applied by way of The plasticity index is given by the following
dipping, spraying, etc., while being manufactured. formula:
The lubricant film thickness factor is determined
using the following formula (Matveeva et al. 2018, E np  δ *  1/ 2
Pavanello et al. 2018): ψ = ⋅  (3)
H  r 
2h (1)
λe = where E = reduced modulus of elasticity of contact
S1 + S2 surfaces; H = Brinnel contact surface; δ * = mean

120
square deviation of asperity heights; r = average
radius of asperity tips of contact roughness at
ψ < 0, 6 – elastic under any load; at ψ > 0.6, sur-
face tearing may occur, i.e. the conditions of use
are not met.
The comparison of the mechanical surface of
traction TS with the first critical temperature of
lubricant at traction Tkp, which characterizes fric-
tional breakdown and jam occurrence, is given by
the following formula:
Ts = Tn + TB (4)
where Tn = average temperature of contour sur-
face; TB = instantaneous temperature rise above
the average surface temperature.
At Tkp > Ts , no jamming of layers occurs, i.e. the
essential condition is met.
Made from composite materials, shell-type struc-
tures and, particularly, connection joints receive
the tribological properties that largely increase
their durability and quality. Of great importance
is the composition of lubricant: it should be such
that higher viscosity and rheological proper-
ties last through the entire lifetime of a structure
without changing its mechanical properties. At the
same time, the mechanical properties can change
under the influence of mechanical impacts (load,
velocity) or climatic conditions (temperature,
humidity, etc.) (Sajad Razzazana et al. 2018, Salem
et al. 2018, Washington Allen et al. 1996, Kim
et al. 2018, Tony M. et al. 2014, Xu & Fatahi, 2019,
Brian & Benjamin 2017, Brandl 2010, Zania et al.
2008, Camanho & Matthews 2018).
All the above conditions should be taken into
account when manufacturing the multicomponent
composite materials, i.e. in each case the operating
conditions of the material and structural elements
in question should be considered, or scope of
application. Therefore, the selection of lubricants
for composite materials should be preceded by the
analysis of load; operating temperature (internal
and external); humidity; among others. Since our
study deals with the use of lubricants in composite
materials for various structural solutions of elastic
assembly joints, it requires series of experimental
analyses to validate the durability of structures and
their assemblies. In this case, experimental analyses
should target the quality of elastohydrodynamic
film of lubricant and involve application of alter-
nate loads in order to predict how temperature and
pressure influence the breakup of the lubricant
layer, the layers adjacent to it, and the aggregate
layer (Kasharina et al. 2018, Kasharina et al. 2017,
Pomogailo et al. 2015).
When manufacturing the fiber matrix in com-
posite materials, high strength is achieved due to
the entanglement of fibers, which then get glued
121
in special adhesive solutions (mixtures), i.e. the
behavior of a polymer composite is defined as fol-
lows (Kasharina et al. 2017):
X c = xm ⋅ vm + x f ⋅ v f + xn ⋅ vn + x j ⋅ v j (5)
where xm , x f , xn , x j are characteristics of the fib-
ers of the composite; fiber parameters; sealant
polymer;
M, n, f, j are the inferior indexes indicating the
following properties: adhesive basis; matrix-fibers
ratio; volume and thickness of coat; and whether
the coat is singe- or double-faced.
The resultant composite materials are capable
of retaining and restoring its design properties and
performance using the energy of activation. This
enables to design protection systems to prevent
structural damage from natural and anthropogenic
impacts such as floods, seismic phenomena, pro-
gressive alteration, among others.
To determine the essential parameters of shell-
type structures (including shape) with regard to
the quality of composite materials, the author pro-
poses the following relationship:
Φ(α ) = f ( N1, N2 , N p ,T , A,t, λc , λ ,Ts , X c , K ), (6)
where N1, N2 are internal and external actions; A,
Xc are properties of composite material; Np is seis-
mic wave load; λc is lubricant layer thickness coef-
ficient; TS is mechanical surface of traction; T is
stresses in shell; λ is energy of retraction; t is life
cycle of facility; K is break-up probability coef-
ficient depending of the service time and predicted
durability of the facility:
K = K ⋅ eξχ +cΨ ,
2
(7)
where K, ξ, Ψ are updates of the statistical moni-
toring data obtained from qualitative and quanti-
tative analyses of the state of composite material
(Kasharina et al. 2017, Camanho & Matthews
2006).
With solid experience in light-weight hydraulic
engineering and construction, the author is capa-
ble of analyzing the similar facilities in use for
structural and technological properties.
In membrane cabling dams made from rubber-
ized composites, damageability tends to be the
highest within the region of attachment points and
lateral abutments. In soil filled structures, most
vulnerable are abutment and the areas of tensile
regions in the upper section of shells, and in rein-
forced soil structures—the reinforcement tape to
face attachment points. In views of the above, the
need arises in composite materials of different elas-
ticity, strength, and plasticity, among others, which
can be achieved through composite materials with
distinctive quality characteristics. Crucial to the
constructability and performance of shell-type
structures are not only its strength properties but
also the elasticity of Young modulus E and fiber
diameter d:
Figure 1. Elements of water-retaining structure: 1 –
membrane; 2 – soil-filled apron; 3 – cable stay; 4 – cable
1 to anchor attachment point; 5 – cable stay to shore pier/
S = .
Ed 4 slope attachment point; 6 – water discharge; 7 – water
apron attachment point; 8 – baffle sill; 9 – reinforced soil
Based on the developments in light-weight engi- slope; 10 – reinforcement tapes; 11,12 – storm water and
neering and construction (dams, retaining works, drainage system.
soil-filled and reinforced soil structures, etc.), as
well as the emerging types of multilayer composite
materials, a hypothesis is under development con-
cerning novel methods for and conceptions of the
processes to create advanced structures and their
elements.
With many designs of membrane cabling or
cable-stayed hydraulic structures, and soil-filled or
reinforced soil structures, the task of overall sta-
bility and reliability was not always fully achieved,
as the existing composite materials (rubberized-
fabric, rubberized-cord) did not fully meet the
stability and reliability criteria. The membrane
cabling dams, for instance, would fail already after
their first year of operation, because their materi-
als—produced by Ufa Plant of Elastomer Mate-
rials—had low strength performance. As to the
composite materials produced by a similar plant in
Kursk lacked elasticity and were too heavy to be
mounted without dedicated machinery.
Currently, there exists a variety of design solu-
tions for dealing with all sorts of tasks to protect
communities from floods, mudslides, earthquakes,
as well as solutions for minihydro power plants
and those suitable for permafrost soils (Salem, M
Figure 2. Composite-based engineering process flow
et al. 2018, Washington Allen et al. 1996, Kim et al. diagram.
2018, Tony et al. 2014, Xu & Fatahi, 2019, Brian &
Benjamin 2017, Brandl 2010, Zania et al. 2008,
Camanho & Matthews 2018).
attachment points is a composite with heteroge-
neous properties, and for ground surface contact
3 RESULTS areas—a composite with increased roughness. The
choice of the material should be made taking into
Among the basic specifications the composite account of absorption of seismic shock, subsist-
nanomaterials are expected to meet are strength, ence, etc. (Washington Allen et al. 1996, Kim et al.
elasticity, restorability, decreased or increased 2018, Tony et al. 2014).
friction in certain structural components, adapt-
ability to the configurations of particular sites,
constructability, etc. (Kim et al. 2018, Tony et al. 4 DISCUSSION
2014).
The composites that meet all of their design Alongside with serving as protection from pol-
specification will enable the advanced struc- lutants, production-induced hazards, landslides,
tural solutions that are durable, eco-safe, and seismic phenomena, etc., our design solutions
ergonomic. Let us consider the example a water are expected to have all the technological prop-
retaining structure made from composite mate- erties mentioned above (Kasharina et al. 2018,
rials (Fig. 1). The material recommended for Kasharina et al. 2017).

122
 Important to consider is also the catastrophe
theory (bifurcation), as the structural solutions of
shell-type elements tend to change their param-
eters due to longer periods of loss of stability,
inducing a cycle of soft oscillations, or soft loss of
equilibrium that lasts for a certain period of time,
following which they experience hard loss of sta-
bility, which happens to membrane cabling dams
with the change in the water levels it their pools,
leading to failure of attachment points or signifi-
cant displacements in soil-filled, reinforced soil
or similar designs. Worthy of mentioning in this
regard is the hypothesis of standard peculiarities
and cuspidal edge of dovetail type.
5 CONCLUSIONS
Figure 2 shows the process flow diagram the
author proposes for engineering composite-based
structures.
The composite-based structures of this kind
should be operated in strict compliance with their
specifications, and be monitored in each particu-
lar natural and anthropogenic environment so as
to ensure their safety, reliability and durability
(Salem, et al. 2018).
REFERENCES
Allen, Tony M., Bathurst, Richard J. 2014. Design and
Performance of 6.3-m-High, Block-Faced Geogrid
Wall Designed Using K-Stiffness Method. Journal
of Geotechnical and Geoenvironmental Engineering.
Vol. 140.
Brandl, H. 2010. Geosynthetics applications for the miti-
gation of natural disasters and for environmental pro-
tection. Geosynthetics International. Vol. 18, Iss. 6, P
340–390.
Brian O.O. & Benjamin A.O. 2017. Applications of geo-
synthetic membranes in soil stabilization and coastal
defence structures. International Journal of Sustain-
able Built Environment. Vol. 6, Iss. 2, December 2017,
P 636–662.
Camanho P.P. & Matthews F.L. 2018. A Progressive Dam-
age Model for Mechanically Fastened Joints in Com-
123
posite Laminates. Journal of Composite Materials,
2018. Vol. 33, Iss. 6. pp. 2248–2280.
Kasharina, T.P. 2017. Improving the reliability of shell
structures made of composite nanomaterials. Solid
State Phenomena. Vol. 265 SSP. pp. 365–368.
Kim, H.J., Park, T.W., Dinoy, P.R., Kim, H.S. & Kim,
H.J. 2018. Design and consolidation analysis of geo-
textile tubes for the Saemangeum project in Korea.
Geosynthetics International. Vol. 25. P. 507–524.
Matveeva, L.Y., Efremova, M.A. & Shershneva, N.S.
2018. A Study of Dispersiveness and Morphology
of Waterproof Composite Material Based on Poly-
urethane Rubber by Method of High-Resolution
Optical Microscopy. Journal of Civil Engineers, 2018/2
(67). SPbGASU. pp.141–146.
Pat. 2660949. 2018. An arrangement for protecting
spaces that form part of natural or anthropogenic
entities and method for its erection.
Pavanello P., Carrubba P., Moraci, N. Dynamic fric-
tion and the seismic performance of geosynthetic
interfaces. Geotextiles and Geomembranes. Vol. 46.
pp. 715–725.
Pomogailo, A.D. & Dzhardimalieva, G.I. 2015. Hybrid
Metal—Polymer Nanocomposites. RAS academician
A.A. Berlin (ed.). PAS Institute of Chemical Physics:
Nauka, 494 p.
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of geosynthetics to reduce residual drifts of mid-
rise buildings after earthquakes. Soil Dynamics and
Earthquake Engineering. Vol.116, January 2019, P.
331–344.
Sajad Razzazana, Amin Keshavarza & Mansour Mosal-
lanezhadb. 2018. Pullout behavior of polymeric strip
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2018. pp. 968–976.
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monitoring and numerical modeling of 4.4 m-high
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R.D. Performance of a 12. 6 m high geotextile wall in
Seattle. Geosynthetic Reinforced Soil Retaining Walls.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Composite-based shell and soil reinforcement designs for bank

protection structures

D.V. Kasharin
Platov South-Russian State Polytechnic University (NPI), Novocherkassk, Russian Federation

ABSTRACT: The article explores the use of advanced engineering solutions for shell-type and ground-
reinforced bank protection structures, that allow for construction on weak soils and for minimum impact
on water catchment area. It further presents theoretical and numerical rationales for the foundation engi-
neering solutions, as well as the bank protection engineering technologies.

1 ENGINEERING RATIONALE
FOR COMPOSITE-BASED BANK
PROTECTION DESIGNS

1.1 Construction and operation of bank

protection structures
One of the challenges faced by the process of erect-
ing lengthy bank protection structures is the largely
non-homogenious foundations, composed mainly
of alluvial deposits, which, in turn, are largely
influenced by streamflow formation processes, as
well as by the environmental standards applicable.
The existing rigid designs, including those of
section type, rely on the foundations that had been
solidly prepared and stabilized through a costly,
challenging process. The major part of the depos-
its is absorbed through mesh structures without
causing any damage to the foundation itself. How-
ever, the material of the mesh structures does not
in every case meet natural and climatic conditions
and gets damaged easily from exposure to freez-
ing and thawing cycles, falling out from the mesh
cells and leading to destabilization of the bank
protection structure as a whole (Fig. 1d). The bio-
positive fascine designs may not always guarantee
ample fastening security: exposed to fluctuating
temperatures and water levels, they tend to have
shorter service life (Kasharin 2012).
In the absence of quality, local construction
materials, effectively performing are the ground
reinforcement and soil-filled designs by Longard,
TenCate, Soiltrain, RusGeoSynth Ltd., among
others, that have been in use since the 1950s to sta-
bilize collapsible soil bodies exposed to hazardous
geological processes (Fig. 1) (Kasharin 2012).
The main disadvantage of the existing bank
protection structures is the heavy weight of their
face walls, which adds to the irregularity of load
along the reinforcement.
Figure 1. Break-up of various bank protection struc-
tures [1–3]: (a) scoured ferro-concrete structure; (b) col-
lapsing gabions; (c) ground reinforcement; (d) soil-filled
design.
Another point to consider is the significant
impact experienced by water catchment area dur-
ing the preparatory works—removal of bottom
sediments; foundation preparation; piling, clean-
ing and, if necessary, transportation of the bottom
sediments to dedicated storage sites (Yanin 2002,
Sakharova 1990).
That said, the foundation depth should be lower
than the possible scouring level and be calculated
with account of the load from the structure in
question, as well as thickness of the active alluvium
layer. The strength, strain and filtration perform-
ance of the biogenic soils and alluvia should be cal-
culated for the pressure range in stressed state, i.e.
for post-tensioned construction. If the foundation
is underlain by a soil layer with elasticity modu-
lus E<5 MPa and thickness larger than its width,

124
the subsidence should be calculated with account
of the total pressure p underneath such soil layer,
which may not exceed the estimated foundation
soil resistance R (kPa), according to the formula
[6–9]:
R = γ c1γ c 2 Mγ kz bγ II + M q d1γ II′ + (M q − 1) dbγ ′II
(Mq ) + MccII  k
where γc1 and γc2 = operating conditions coefficients;
k = coefficient k = 1.1; Mγ, Mq, Mc = coefficients;
kz = coefficient if b<10 m kz; γII = average calculated
weight of soil volume unit based on upward buoy-
ancy, kN/m3; γ ′II = weight of water volume unit;
cII is estimated specific adhesion of the soil layer
underlying the soil-filled foundation, kPa; and
d1 = distance between the depth of soil-filled foun-
dation and thalweg.
Where the foundation soil is water-saturated,
slowly compacting, cohesive and biogenic soils—
with moisture content Sr ≥ 0, 85 and consolida-
tion coefficient cν ≤ 107 cm2/year, the ultimate
resistance will be calculated with account of water
overpressure in pores u, which is known to cause
non-stabilization.
Together with thixotropy of alluvia, any non-
stabilization in the foundation causes anisotropic
variation in its strength, strain and filtration per-
formance, leading to longer construction period;
the construction process in this case should con-
sider the time needed for the foundation to achieve
the required degree of consolidation, as well as ulti-
mate subsistence under supercharge (Sakharova
1990, Kasharin 2011).
Where the estimations of the foundation soil
which is composed of biogenic soils and alluvia,
are indicative of deformations higher than normal,
measures (Kasharin 2012, Yanin 2002, Sakharova
1990) should be taken to displace the biogenic soils
and alluvia by foundation if their thickness does
not exceed 0.2 m; incise the biogenic soil layers,
completely or partially, when laying the founda-
tion; replace biogenic soils and alluvia with sand,
gravel or crushed stone, completely or partially;
compact the soil by applying temporary or perma-
nent supercharge (fill-up soil) to the foundation or
the entire construction site; use soil-reinforcement
and soil-filled designs with horizontal reinforce-
ment, where biogenic soils and alluvia have thick-
ness over 1.5 m (Kasharin 2012, Kasharin 2011).
For weak bionegic soils, S.I. Sakharova proposed
reinforced ground cushions (Sakharova 1990).
The downside of reinforced ground cushions is
that they require a technology for installing rein-
forcing elements into a specially prepared trench,
as well as prior compaction of the soil, which
largely complicated the construction process.
Currently, the piling of the bottom sediments
after the preparatory works makes use of geo-
tubes made from filtering geotextiles, extensively
used by overseas and domestic manufacturers.
Their use allows for lesser volume of the bottom
sediments as they become dewatered. Yet, addi-
tional measures are needed to remove the cleared
flow and replace the material withdrawn from the
(1) foundation of the bank protection structure.
In this context, more promising is a combined
technology that uses geo-tubes to construct soil-
filled foundations without withdrawing the mate-
rial from near-shore areas around the water body.
When calculating the performance of the bank
protection structure, it is necessary to consider the
influence of water flow, as it causes effects such as
buoyancy filtration, wave action, and (ice) scour-
ing, among others. The design parameters to be
considered when estimating the performance of
bank protection structures have been covered by
numerous studies (Kasharin 2012, Kasharin 2011,
Building Code 22.13330.2011). When it comes to
bank protection structures using reinforced soil,
it is important that they ensure lesser weight of
face wall and adequate protection from the above
influences. Such structures allow for reduced load
on the foundation of the bank protection struc-
ture and on reinforced soil, simplifying the con-
struction process. We suggest the use of flexible,
geotextile-based face walls or the ones of sectional,
composite material-based design.
1.2 Proposed engineering solutions for bank
protection structures
We have developed a series of more advanced
solutions for ground-reinforced structures, that
allows for lowest structural weight due to flexible,
geotextile- based face wall and soil-filled foundation
(Fig. 2a, 2b) (Oliveira 2016 et al., Guo et al. 2014).
Where wave action and flow speed are minor,
flexible, geotextile-based face walls are recom-
mended as able to ensure lowest structural weight
(Fig. 2a, 2b). Where scouring and wave action are
intense, multi-layer composite material-based face
walls are recommended (Fig. 2c).
An important factor influencing the stability of
bank protection foundations, is the properties of
foundation soils, which may be composed of sub-
siding, easily erodible, biogenic soils that largely
complicate the process of constructing bank pro-
tection structures, including those employing soil-
reinforced designs with lighter face walls (Kasharin
2012, Kasharin 2011).
Such structures could be constructed without
the use of heavy machinery, a benefit that puts
them at advantage in conditions of lacking trans-
port infrastructure or dense urban environment.
125
 of a sheet-piling screen to prevent the shell from
sliding down.
The core parameters of soil-filled designs
include length and width; external and internal
loads; and allowable tilt of foundation.
The engineering criteria crucial to design ration-
ale include pressure inside the soil-filled structure;
tilt resistance; filtration gradient; and structural
subsidence.

1.3 Numerical modelling of soil-filled foundations

in engineeringly advanced bank protection
designs
Our soil-filled designs are provided with sequenced
numerical models:
1. Plotting the inlet sections of soil-filled struc-
tures by using Euler elastics. The soil-filled shells
design calculation relies on the funicular curve
accounting of the soil pressure (Khuberyan
1987):

 y = h 1 − 1 − k 2 sin2 ϕ ;
 1a 1  1 a1 
   k12   (2)
 x1a = h1 E 2 (ϕ a1, k1 ) − 1 −  E1 (ϕ 01,k1 )
   2 
Figure 2. Soil-reinforced bank protection structure:
a – design scheme for soil-reinforced, supporting struc- where x1a and y1a = the coordinates of the bot-
ture arrangement (Patent RF 2352713): 1 – face wall; tom thread point, m; h1 is the distance between
2 – fill-up soil; 3 – flexible coupling; 4 – ribbon shells; the most distant point of the lower thread to
5 – reinforced, corrugated and flat belts; 6 – drain
shell; 7 – special apertures; 8 – drainage arrangement;
the surface of the backfill, m; E1(ϕ;k1) and
9 – anchor blocks; b – soil-reinforced bank protection E2(ϕ;k1) = elliptic integrals of the first and sec-
structure in the submontane part of the Gizeldon River; ond order, respectively; k1 is module of the ellip-
c—engineered design of a bank protection with face wall tic integral (elastic modulus); ϕ = the angle of
made from multi-layer, composite material (Patent RF internal friction of soil filling shell, degrees; and
2444589): 1 – face wall; 2 – face wall elements made from α1 = the angle between the tangent to the thread
composite materials (scouring-resistant); 3, 4 – horizontal and the abscissa, degrees, i.e. k1< 1; ϕ = α1/2.
and vertical sections of face wall elements (2); 5, 6 – mutu- The elastic modulus is calculated according to
ally tilted upper and lower reinforced belts; 7 – soil body k12 = 4 N1/h12 , where N1 = the upper thread ten-
(e.g. man-made); 8, 9 – soil-filled, multi-shell lower and
upper anchor blocks; 10 – drainage; 11 – geotextile mate-
sion, kN/m.
rial with seeds.
 y2 0 = h2  ( 1 − k22 sin 2 ϕ ) ( 1 − k22 ) − 1
  
   E1 ( π 2 , k2 )  
  ( 1 − k2 2 ) 
2
−  ,
We propose that the foundation of the structures
 x2 a = h2   − E1 ( ϕ a 2 , k2 )   1 − k22
in question uses a soil-filled shell made from water-  − [ E 2 ( π 2 , k2 ) − E 2 ( ϕ a 2 , k2 ) ] 
proof geotextile (geotube) to receive pulp under 
the pressure that exceeds several-fold the one of (3)
the surrounding soil and thereby reduce humidity
from +80% down to 40%. The soil-filled shell will
be laid onto the original, standing ground cleared
by water jet. The density of the soil inside the shell
can be increased up to 1.8 t/m3. If necessary, a
solidifying agent can be put inside the geotube.
Capable of securing the stability of foundation,
the soil-filled shell may, however, prove inefficient
if the border of the original, standing ground tilts
by more than 10°. To avoid this, we propose the use Figure 3. Design scheme for a water-filled soft shell.

126
 where x2a and y2a = coordinates of the point of
the upper part of the soil-filled shell, m; h2 = the
distance between the outermost point of the
lower thread to the surface of the backfill, m;
E1(ϕ;k) and E2(ϕ;k) = elliptic integrals of the
first and second order, respectively; k2 is mod-
ule of the elliptic integral (elastic modulus) k2
≤ 1, k22 = 4 N2 / h22 + 4 N2 ; N2 = tension in the
upper part of the soil-filled shell, kN/m; and
α2 = angle between the tangent to the shell and
axis x2, degrees.
2. Determining the stress-and-strain state (SSS)
with account of the properties of the material
of geosynthetic shell. In Ansys Mechanical
APDL, the modelling of the shell and the foun-
dation used terminal elements SHELL 181 and
SOLID185; the terminal pair (shell-foundation)
is modelled by CONTA 174 – “contact sur-
face” and TARGET 170 – “target surface”. The
normal stiffness coefficient multiplier equals
FKN = 0.1…..; the shell-foundation friction
coefficient equals 0.3; the invasion tolerance
multiplier equals FTOLN = 0.1; contact cohe-
sion COHE = 0; and maximum allowable con-
tact pressure TNOP = 7 MPa.
3. Modelling the contact between backfill, shell,
and sheet-pile wall and its basis.
4. Modelling the soil by using the advanced
Drucker-Prager model (EDP) (Loginova et al.
2016, Petre et al. 2017, Hasan 2016, Bhandari &
Han 2018, Bacas et al. 2015, Tajabadipour et al.
2017, Abd et al. 2017, Olivera et al. 2015, Kim
et al. 2005);
The tentative results of the numerical model-
ling in Ansys Mechanical APDL at the tilt in the
original river bed of 10°; the friction coefficient
between geo-synthetical shell and soil of 0.3; the
soil density inside shell of 1.8 t/m3; and the shell
perimeter of 2 m are shown in Figure 4.
The above sequence enables to define the
pre-requisite conditions for steady position of
the shell; evaluate stress and strain state; and
Figure 4. Numerical modelling of the stability in soil-
filled shell: a – design without sheet-pile wall; b – design
with sheet-pile wall.
127
determine structural behaviour of geo-synthetic
material.
1.4 Laboratory testing of soil-reinforced designs
and density in soil-filled shells
Since formation of soil-filled shells represents a
complex process and given the qualitative changes
occurring in soils, the laboratory investigations
must be performed for the numerical modeling to
receive necessary corrections.
We have developed laboratory benches for eval-
uating the stress and strain state in soil-filled shells
at different levels of pressure, soil moisture and fil-
tration coefficients, allowing also for modelling of
friction coefficients between shell and foundation
surface, and of 0° to 25° tilt.
The laboratory bench is equipped with cameras
to monitor the geometrical parameters of the shell,
and with hydraulic fill pipe for filling the shell.
The design scheme of our laboratory bench is
given in Figure 5.
The laboratory bench for testing face wall and
reinforcing elements of the bank protection struc-
ture applies breakout force to both the face wall
and the reinforcing elements through tightening
device, and gross load to the reinforced soil body
and the vibrating table, the latter helping to model
seismic effect (Figure 6).
Upon completion of the laboratory testing, the
design concept will be introduced corrections and
checked for numerical accuracy.
This article was executed as part of Assignment
_13.1236.2017/4.6 on the topic: “Development
of energy-efficient and environmentally safe sys-
tems of decentralized water and power supply for
recreational facilities in the Southern Region envi-
ronment of the Russian Federation”.
Figure 5. Laboratory bench for testing shell material
strength.

Figure 6. Design scheme for testing soil-reinforced and
soil-filled designs: 1 – tray; 2 – tray frame (face wall fix-
ing); 3 – plate for even load distribution; 4 – compression;
5 – vibrating table; 6 – tightening device.
2 CONCLUSIONS
1. The analysis of the existing bank protection
designs has produced a series of new engineering
solutions that employ soil-reinforced and soil-
filled structures designed to reduce the scope of
operations to prepare and lay the foundation
using the bottom sediments, not the material
from near-shore areas around the water body.
2. The numerical modelling of the soil-filled shells
employing geo-tubes has allowed defining the
conditions necessary for attaining their stability
as bank protection foundation. Sheet-pile wall
is proposed for better stability in the foundation
shell where the tilt of the original soil exceeds
10°.
3. Laboratory bench design is obtained for testing
the soil-filled foundation shell and face wall of
bank protection designs.
REFERENCES
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reinforced slopes in cohesive backfills. Geotextiles and
Geomembranes. P. 627–641.
Bacas, B.M. & Cañizal, J. & Konietzky, H. 2015.
Frictional behaviour of three critical geosynthetic
interfaces. Geosynthetics International. Vol. 22. No. 5.
P. 355–365.
Bhandari, A. & Han, J. 2018. Two-dimensional physical
modelling of soil displacements above trapdoors. Geo-
technical Research. No. 5(2). P. 68–80.
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Building Code 22.13330.2011. Foundations of Buildings
and Structures. Updated Code 2.02.01–83*[text] –
Intro. 2011–05–20.
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Hydraulic Structures (wave, ice, shipping). Updated
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Building Code 45.13330.2017 Earthwork structures and
foundations. Updated Code 3.02.01–87. [text] – Intro.
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tion Methods for Mobile Applications on Soft Soil.
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ences. Vol. 56. P. 1–8.
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geossintéticos como reforço em estradas não pavi-
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Rubber Tire Chips-Sand Mixtures on Performance
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Urban Influence (formation, composition, geochemical
properties). M.: IMGRE, 100 p.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0
Construction of foundations using chrysotile cement pipes
Yu.N. Kazakov & A.E. Alekseev
Saint Petersburg State University of Architecture and Civil Engineering, St. Petersburg, Russia
ABSTRACT: The article reveals the technological sequence, ways and methods of constructing a pile
foundation of chrysotile cement pipes using the indentation technology.
1 INTRODUCTION
Nowadays, construction of high-rise buildings and
structures of frame and frame-core types using sup-
porting tube confined concrete, steel or reinforced
concrete columns and beams for supporting floor
structures has receives widespread development in
the world. Consequently, the construction of foun-
dations for such objects becomes an urgent issue.
In most cases, foundations constructed of vari-
ous combinations of monolithic slabs and pile
foundations are used, which entails a large amount
of earthwork, including pit excavation, drilling
wells and sinking piles. Such technology of the
foundation construction is rather unprofitable in
terms of duration, labor input and construction
profitability. For example, for pits excavation in
conditions of constrained and watered soils, in
a situation typical of the North-West region, it
is often necessary to construct special engineer-
ing structures, such as a wall in the soil, or erect
various sheet pilings. At the same time, there are
restrictions on the pile sinking method, excluding
the impact on the piles and adversely affecting the
foundations of nearby buildings and structures
(Kazakov & Alekseev 2017).
Thus, a situation has emerged that requires the
use of more advanced, but at the same time simple
and cost-effective technologies for the construc-
tion of foundations for high-rise buildings and
structures (Bikbau 2010).
The most effective solution to this problem pro-
posed by the authors is the construction of the pile
foundation using a chrysotile cement (CC) shell
filled with heavy reinforced concrete, driven by
means of the indentation technology with prelimi-
nary deep drilling of wells.
The objectives are:
1. To describe the essence and advantages of the
indentation technology for composite piles
consisting of chrysotile cement pipes (CCP)
with reinforcement cage and filled with heavy
concrete.
129
2. To determine the main direction of develop-
ment of this technology.
The tasks are:
1. To determine the essence and simplicity of the
indentation technology for composite piles of
CCP with reinforcement cage and filled with
heavy concrete.
2. To determine and fix the basic technological
standards for construction of pile foundations,
arranged by means of the indentation technol-
ogy for composite CC piles with reinforcement
cage and filled with heavy concrete, as well as to
determine labor costs, time standards, composi-
tion of work brigades and groups, the list of the
main machinery.
3. To calculate the economic feasibility of such
construction.
2 METHODS
Consideration of the tasks and ways of develop-
ment of the technology for the construction of
buildings and structures based on the indentation
technology for composite CC piles with reinforce-
ment cage and filled with heavy concrete will be
carried out by the analytical method.
The authors on the basis of theoretical and
practical research identified six main factors for
which it is necessary to obtain reliable evidence for
the application of this technology:
1. Absence of the developed CCP connection unit
for sinking by the method of indentation into a
pre-drilled well.
2. Lack of the developed methodology and
sequence for the construction of CCP founda-
tions with reinforced cage and filled with heavy
concrete.
3. Estimation of the possibility of CCP destruc-
tion when the inner part of the pipe is indented
and filled with heavy concrete under the action
of excess pressure.
4. Compatibility of chrysotile cement and con-
crete due to the same values of Poisson’s ratio
(μ = 0.2), which, when the design loads are
exceeded and the structure bends, does not lead
to the detachment of concrete from the inner
wall of the CCP (Zhukov et al. 2013). In addi-
tion, the presence of the casing in the design of
the pile creates additional strength for it.
5. The need to confirm the economic benefits of
the CC pile shell with the help of analysis.
6. Taking into account the calculations made,
select the optimal CCP characteristics for pile
formwork, diameters and thickness for different
conditions of their use.
Production of chrysotile cement materials has
been mastered in the world since 1901; pipe pro-
duction started in the 2010s and is widely devel-
oped in the Russian Federation and in other
ex-USSR countries. Originally they were used for
irrigation systems and aeration. Later, the produc-
tion of high-strength pipes for cold and hot water
supply systems was mastered.
In the current economic situation and under
the influence of a number of subjective unreason-
able factors, this product has ceased to be widely
demanded in the construction market. However,
its valuable properties over many decades of oper-
ation confirm its high potential in construction
(Neiman et al. 2006). Chrysotile fibrous mineral
that reinforces slate materials belongs to the lay-
ered silicates of the serpentine group of minerals
and is recognized as a safe type of asbestos. Fib-
ers are extremely durable in their tensile strength
and comparable in strength to high-grade steel.
The usefulness of the solution to use CCP as a pile
casing when constructing pile foundations relies on
the above mentioned experience in pipe production
exceeding 100 years and about 50 years of their
durable, defect-free service worldwide for water
transportation in underground highways. The use
of CCP in combination with a steel tip and junc-
tion for installation of subsequent sections would
allow, after sinking (indenting) pipes into the soil,
install reinforced cages with reinforcement bars in
the inner part, fill the pipes with heavy concrete of
a class not lower than B15 (calculated value), and
obtain a reliable and stable design. The relevance of
the application of chrysotile-cement shell (casing)
for pile installation is primarily associated with the
corrosion resistance of this material, its sufficiently
high strength and durability. Fillers, such as rein-
forcement and heavy concrete, play the role of a
bearing support; the CC shell in this case performs
a protective function with respect to the filler. It
prevents erosion of concrete by groundwater,
leaching, formation of fungi and microorganisms
that destroy its structure. At the same time, there is
130
no need for additional anticorrosion protection of
the pile surface before sinking, which significantly
reduces the time of its preparation for penetration.
Construction of the pile foundation with CC shells
without pit excavation and impact will decrease the
excavation volume to a minimum, as well as reduce
material and labor intensity, increase the speed of
construction and together with the above, reduce
the cost.
The selection of this foundation type should be
preceded by thorough engineering and geological
surveys and a thorough study of the soil proper-
ties and composition. Weak soils, common in the
North-West region of the Russian Federation, are
the most unfavorable for pile foundations. The
maximum total capacity of weak soils reaches
20–30 m, in some cases 50 m, which entails the use
of composite piles with a total length of 25–35 m
and a diameter of 200 mm and more for the instal-
lation of a pile foundation for high-rise structures
(Kurochkin 2010). Based on this, the construction
of the pile foundation is associated with the need
to overcome the weak soils stratum in order to
achieve solid and stable layers, which requires quite
powerful machinery for drilling wells and sinking
large-diameter CC shells into them (Krishan &
Melnichuk 2012). Equipment of some foreign
manufacturers, such as Bauer, Kato, Zoomlion,
Trive, has these capabilities. A specific example is
Bauer BG 24HBT 75 drilling rig; its technical char-
acteristics are presented in Table 1.
At the same time, the choice of a cost-efficient
CC shell sinking technology into a drilled well is
of importance, which in the first place will not
entail its destruction from the longitudinal load.
From reference data it is known that the temporal
resistance of chrysotile cement to compression and
crushing is about 22.5 MPa. This value is several
times higher than the pressing force of modern
machinery, such as the pile indentation unit (PIU),
which according to Table 2, allows performing
the specified operation. In addition, the destruc-
tion of the end part of the pipe is impeded by the
Table 1. Technical characteristics of Bauer BG 24HBT
75 drilling rig.
Parameters Characteristics
Drilling rig mass 82 500 kg
Engine power 313 kW
Drilling depth 58 m
Overall height 21 900 mm
Maximum well diameter 1700 mm
Traveling gear length 5500 mm
Travelling gear width 3000–4400 mm
Tracks 700 mm
Table 2. The main PIU parameters.

PIU types

Parameters and USV USV Starke SVU

No. characteristics 120 200 240 B-6

1 Mass of the unit 117 24 100 112

without loads, t
2 Maximum 115 200 240 80
penetration
Figure 1. The design of the CC shell connection:
force, t
1 – adapter; 2 – segment of chrysotile cement pipe.
3 Maximum length of 32 32 13 14
one submersible
element, m
4 The largest section 400 400 500 1200 Table 3. Standards of CC shell indentation into the
of the immersed pre-drilled well.
element, mm
Duration of one pile indentation, min, to

fastening of the pile helmet before vertical pressing
into the ground.
Considering the above, the authors of the article
propose the following sequence and method for the
construction of foundations based on the indenta-
tion technology of composite CC piles with rein-
forcement cage and filled with heavy concrete:
1. preparation of the CCP and adapters for pen-
etration, docking of the steel tip with the first
segment of the CC shell;
2. drilling of wells to a depth of 25–35 meters
using a drilling rig with a diameter equal to the
outer diameter of the CC shell;
3. lifting of the first segment of the CC shell with
a crane or pile driver, installation in a well with
an attached helmet;
4. sinking of the first section of the CC shell with
a pile-driving machine;
5. lifting with a crane or pile driver, fixing a subse-
quent segment with the help of an adapter and
sinking it by indentation;
6. lifting with a crane or pile driver, installation of
a reinforced cage into the inner part of a CC
shell;
7. filling the inner part of the CC shell with heavy
concrete using a vertically moving pipe with a
concrete pump.
It is possible to immerse a CC shell in weak soils
with overcrust by pre-sinking of a large-diameter
casing pipe, lowering the CC shell through the
inner part of the casing pipe, and then lifting the
casing pipe.
The assembly of pile elements is carried out in
sections on the construction site. The complete
assembly of the CC shell is carried out during pil-
ing by successively connecting them with adapters
after indenting each previous section into the well,
as shown in Figure 1 (Santalova et al. 2010).
Workers 5 10 15 20 25 30 40 60
Crane 1.56 1.71 1.98 2.28 2.58 2.88 3.3 4.5
operators:
1 person.
Pile drivers:
2 people,
man-hours:
The segments of the pile shell after manufactur-
ing are recommended to be spread out on horizon-
tal racks in the immediate vicinity of the place of
their sinking and they should be accessible for the
pile driver boom or crane. This simplifies the trans-
portation of pile segments and their movement,
reduces the number of workers and machinery
involved for the construction of the pile founda-
tion. To prevent soil from entering the inner part
of the CC shell at the moment of indenting into
the drilled well, a metal tip is to be installed in its
lower end part. This also contributes to the uni-
form filling of its inner part with heavy concrete
and free installation of the reinforcement cage
(Shaohua 2001).
The presented design makes it possible to sig-
nificantly reduce the time of pile shell installation
before indenting into the well, avoid formwork
dismantling, and also increase reliability, stability
and durability of the foundation. An important
factor in using CC shells is its absorption proper-
ties. After filling the CC shell with a concrete mix-
ture, the process of absorption of excess moisture
occurs; this positively affects concrete strengthen-
ing and significantly improves its characteristics.
Standards for CC shell indentation are presented
in Table 3.
Reinforcement cage sinking into the penetrated
CC shell follows after shell indentation. The man-
ufacturing technology of the reinforcement cage

131
provides for its subsequent location inside the
concrete body, as a result of which the indicated
structure will consist of longitudinal and trans-
verse reinforcement strings. The number of strings,
steel grade, and their cross sections are calculated
for various buildings and structures. The length of
the longitudinal strings shall exceed the length of
the shell by 500–700 mm, as shown in Figure 2.
Reinforcement bars are used for the subsequent
installation of the above-ground part of buildings
and structures.
The final construction stage of the foundation
with CC shells is filling of its inner part with heavy
concrete. This is primarily due to the impact of
longitudinal loads on the structure. A favorable Figure 3. Scheme of filling CC shells with heavy con-
factor in this case is the identity of the values of crete: 1 – concrete pipe; 2 – CC shell; 3 – reinforcement
Poisson’s ratios (0.2 for chrysotile cement and 0.2 cage; 4 – soil; 5 – adapter; 6 – steel tip.
for concrete), which characterizes the interaction
of concrete and chrysotile cement under the action
of the load. This means that if the design loads are Table 4. The main technological standards of filling CC
exceeded and the structure bends, the concrete will pipe shells with concrete mixture.
not peel off from the inner wall of the pipe shell
(Sidelnikova & Kozlov 2010). Distance up to 250 m, pump
The filling of the inner part of the CC shell Number, performance 20 m3/h, for
Worker persons 100 m3 of concrete mixture
should be carried out with heavy concrete of a class
not lower than B15. Concreting must be performed Concrete 1 18 man-hours
at the end of shell installation from the top down- pump
wards with the method of pressure concreting with operator
the help of a concrete pipe by immersing a vertically Technician 1
moving pipe (VMP) into the inner part, as shown in Concreter 1
Figure 3 (Becker & Zibelman 2010). The main tech-
nological standards for filling the pipe shells with a
concrete mixture are presented in Table 4.
At the same time, the lower part of the VMP at Table 5. Hydraulic testing of CC pressure pipes for
the time of filling should be immersed in concrete destruction.
to a depth of at least 0.3–0.4 m. When filling the
Hydraulic pressure, MPa
pipe shell of 30 meters with a concrete mixture,
Nominal
an internal excess pressure of 0.8 MPa is created, diameter of VT6, VT9, VT12, VT15,
incomparably (2–9 times) less than the frac- pipes, mm TT3 TT6 TT9 TT10 TT12 TT16
ture pressure for all pressure pipe types (Table 5)
(Komarinsky 2017). 100–125 2.4 3.6 4.8 4.5 – 5.8
A comparative analysis of the main technolo- 150–200 2.1 3.1 4.1 3.7 5.2 6.3
gies for the construction of pile foundations of 250–500 1.8 2.7 3.6 3.2 4.5 5.3
buildings and structures based on the known

characteristics of the pipes is presented in Table 6

Figure 2. The design of spatial reinforcement cage of
piles with CC shells: 1 – CC shell (one segment); 2 –
longitudinal reinforcement cage strings; 3 – mounted
steel tip of the CC shell; 4 – longitudinal strings of the
reinforced frame.
(Bolotskikh 2008). The table shows the types of
CC pipes, the production of which has already
been mastered by industry. The lack of CC pipes
with larger diameters is currently due only to the
absence of the need for their manufacturing. Rus-
sian and Belarus enterprises have technical ability
to manufacture pipes of larger outer diameters, in
particular, from 1.0 to 2 meters, greater wall thick-
ness, length, and strength (Neiman et al. 2006). At
the same time, the comparison of the technology
proposed by the authors with the technology of

132
Table 6. Comparative analysis of the known con- 2. It is shown that in comparison with competi-
struction technology of pile foundations to a depth of tive technologies, CC shells have the following
30 meters. advantages:
– give additional strength to the structure by
Technologies
of foundation
absorbing excess moisture from the concrete
construction mixture, which has a positive effect on con-
crete strengthening and significantly improves
Types of pile its characteristics;
shells – is resistant to corrosion and does not require
Indicators of anticorrosion protection before sinking,
technological Measur. CC Metal which reduces the cost of the work;
advantages unit shell shell – prevents erosion of concrete by groundwater,
Labor intensity man- 6 8
leaching, formation of fungi and microorgan-
hours/ isms that destroy its structure, which gives addi-
m3 tional reliability and durability to the structure;
Susceptibility to no yes – CC pipe has a 2 times lower cost compared to
erosion and competitive materials, including metal pipes.
corrosion 3. The main technological standards in the prepara-
Cost of pipes with a euro 760 1300 tion and indentation of CC shells were determined,
nominal diameter the list and sequence of the main technological
of 500 mm operations, labor costs, time standards, the com-
The need for corrosion no yes position of working brigades and groups, the list
protection of the main machinery were compiled.
Concrete peeling no yes 4. It is proved that in terms of their technologi-
during pipe
bending
cal parameters (labor intensity, cost, workers’
Welding no yes required qualifications), the use of CC shells for
the construction of pile foundations is 2–3 times
higher than competitive technologies, and their
use brings a significant economic effect.
piling with leaving metal pipes in the ground is
based on the latest domestic experience in the con-
struction of large objects, such as the construction REFERENCES
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shell structures with elastic infill in the construction.
was sunk to a depth of about 50 meters or more,
The Far Eastern Federal University: School of Engi-
followed by the lowering of the reinforcement cage neering Bulletin 2(4): 27–34.
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asbestos to pure tremolite: inhalation biopersistence
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Bikbau, M.Ya., Trosnitsky, V.B., Yuldasheva, F.S. &
1. A technologically new for the North-West Ilyasova, I.A. 2010. New Complex Housing Construc-
region of the Russian Federation method of tion Technologies. Technical and Economic Assess-
ment. Moscow: MIMET: 6–20.
constructing a pile foundation based on the use
Bolotskikh, O.N. 2008. Self-compacting concrete and its
of a CC shell with reinforcement cage and filled diagnostics. Concrete Technologies 10: 28–31.
with heavy concrete, performed according to Kazakov, Yu.N. & Alekseev, E.A. 2017. Improvement of
indentation technology with preliminary deep the technology for the construction of buildings and
drilling of wells, is proposed for widespread use. structures of pipe-concrete structures. Bulletin of Civil
It has been established that when applying the Engineers 6 (65): 122–134.
indentation technology of a composite CC shell Komarinskiy, M.V., Oniskovets, R.V. & Starkova, O.A.
into a pre-drilled well with a diameter equal to 2017. Strongly reinforced concreting design of cast
the outer diameter of the pile, the pipe mate- concrete alloy mixtures. Construction of Unique Build-
ings and Structures 2(53): 29–41.
rial does not break. The temporal resistance of
Krishan, A.L. & Melnichuk, A.S. 2012. Concrete-filled
chrysotile cement to compression and crushing steel tube columns with square cross-section. Housing
is about 22.5 MPa, which is several times higher Construction 5: 19–21.
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performing this operation. elements. MGSU Bulletin 3: 82–86.

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Neiman, S.M., Vezentsev, A.I., Kashansky, S.V. 2006.
About safety of asbestos cement materials and prod-
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Shaohua, T. 2001. China’s recent experience of using
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Influence of concrete strength evaluation method accuracy on reliability

levels of geotechnical structures

A.M. Kharitonov & Y.M. Tikhonov

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

Y.A. Belentsov
Emperor Alexander I State University of Transport in Saint Petersburg, Saint Petersburg, Russia

ABSTRACT: The current codes and standards provide a procedure for processing the results of concrete
strength evaluation that are obtained only by direct methods with the use of standard samples. However,
the accuracy rate of the direct methods for evaluating the performance of constructional materials, which
is found in national standards, is analogous to that of indirect measurements. The codes and standards
fail to account of the fact that in aggregate inaccuracy, the component relating to an indirect method of
measurement can be significant. The actual instrumental error may largely distort testing results, leading
to miscalculated structural reliability of projects under construction.
An example of concrete strength evaluation is given to illustrate how the accuracy of measured strength
performance, with standard samples used in tests, affects the level of reliability of concrete and ferrocon-
crete structures. The inaccuracy of indirect method of measurements has been analyzed for its effect on
test results and reliability of the construction projects. Evidence is given of the significant influence the
methods for testing concrete performance have on the reliability and trouble-free operation of geotechni-
cal structures and buildings in general. Practical measures are proposed that are designed to enhance the
quality of construction products.

1 INTRODUCTION 2 CASE HISTORY AND METHODS

Among the essential parameters constituting the
construction workmanship are the accuracy of
monitoring of the mechanical-and-physical prop-
erties of the material, and the adequacy of process-
ing and analyzing of the obtained results. With
regard to geotechnical structures, the process of
evaluating workmanship has to meet strict require-
ments, otherwise defects and errors in engineering
or operating of the structures may lead to substan-
tial losses.
The level of reliability and durability of struc-
tures is determined based on the accurate testing
of the degree to which their materials meet the
prescribed standards. In reliability assurance, a
process that spans the stages of design, construc-
tion, and operation, the accurate material quality
control is an essential part (Efremov et al. 2013,
Belentsov & Smirnova 2018).
At the same time, the present-day requirements
to quality control cannot be said to always assure
the high level of precision of measuring and test-
ing operations (Ulybin et al., 2012). Therefore, the
selection of metrological parameters for testing of
facilities and measurement instrumentation should
rely on evidence-based approach (Ulybin 2011).
Let us take the example of the actual accuracy
of determining strength grade of concrete, which
is estimated 95% based on standard sample
test results. In the current regulatory standards,
strength assessment is based entirely on process-
ing of the results obtained exclusively by using
the direct method of testing of standard samples
(Alwash et al. 2016). That said, the measured accu-
racy figures are given in GOST 10180 for both
direct and indirect test methods (including direct
measuring of geometrical dimensions and collaps-
ing force) (Proverbio & Venturi 2005). The limit
established for the coefficient of variability, which
is used in determination of concrete strength
grade, is 13.5% (Breysse 2012). However, this coef-
ficient was established without due account of the
indirect measurement of total inaccuracy, which
may be quite high. The regulatory standards pro-
vide for the following measuring inaccuracies when
using the direct methods of strength evaluation
(Varlamov et al. 2017):
− δa,b = 1% for measuring geometrical dimensions;
and
− δp = 0.5% for collapsing force.

135
 This leads to instrumentation error having a dis-
torting effect on test results. Under unfavourable
circumstances, instrumentation errors may lead
to decreased reliability of structural unit or cause
deterioration of ferro-concrete and concrete struc-
tures. The analyses of the effect the instrumenta-
tion errors have on the process of determining of
strength of constructional materials, as well as on
test accuracy and overall reliability of the construc-
tion projects, are essential in the light of improving
the present-day testing methods used by the con-
struction industry.
That the results of standard destructive test-
ing can be inaccurate is seen from the permissi-
ble tolerance established for direct measurement
of geometrical dimensions and collapsing force.
The definition of inaccuracy of indirect methods
is based on the assumption that the error of ∆a,
∆b, ∆P, … is much lower than the values of a, b,
P representing the geometrical dimensions and the
collapsing force measured during the tests. Conse-
quently, the formula for calculation of error has
the following form (Zaidel 1985):
∂R 2 ∂R 2 ∂R 2
δR = δa + δb + δ (1)
∂a ∂b δP P
where ∂R , ∂R , ∂R are significance factors of
∂a ∂a ∂a
direct measurements, defined as partial derivatives
of function R = f(a, b, P) = P/(a × b), based on
relevant derivative.
For each component, the significance factor will
be:
∂R 1 ∂R P 1 ∂R P 1
= ; = , = (2)
∂P axb ∂a b a 2 ∂b a b 2
Let us analyze the influence of the error of indi-
rect measurement by the example of testing of
standard B30 concrete samples for strength grade.
For testing of the standard 15 × 15 × 15 cm con-
crete samples for strength grade, the collapsing
force must equal 851707.6 N.
Then, the error of indirect method will equal:
P 2 P 2 1 2
δR = δa + 2 δa + δP = (3)
ba 2 ab ab
= 51.2δ a2 + 0.0044δ P2 = 0.071
As can been seen from the calculation, the error
of indirect method may be as high as 7%, which
means that with the allowed coefficient of vari-
ation of 13.5%, one half of the allowed strength
amplitude is accounted for by the error of method.
It should be noted that even though this error
does meet the allowed range, it will remain non-
136
Figure 1. The influence of error of indirect method on
the results of testing of standard concrete samples for
strength grade (dashed line – actual measurement results;
solid line – calculated results).
influenceable. The graphical representation of the
distortion of the test results due to the error of
method is shown in Figure 1.
Figure 1 shows two curves, one of which had
been plotted based on the actual results of test-
ing (measurements), and the other on the results
of calculations that accounted of the error of indi-
rect method. The shift in the latter curve equals
the value of the calculated error. It will have a sig-
nificant effect on the prediction of the probability
of failure-free performance and the safety index
(Rzhanitsyn 1978, Raizer 1998). The mean value of
the measured strength is likely to decrease by 7%.
3 RESULTS
The obtained results enable a conclusion that the
account in concrete strength grade testing of the
allowed error of direct methods has a significantly
distorting effect on the results (errors of indirect
method).
The example of measuring the probability of
failure-free performance for B30 concrete struc-
tures can be used for the purpose of analyzing the
extent of influence produced by the above error
of measurement (Raizer 2010). In Table 1 we
present the values of B30 concrete strength, cal-
culated with and without the account of the error
of method (i.e. with and without the deviation in
strength reduction according to Figure 1).
As can be seen from the table, the reduction in the
safety index when the calculations were conducted
with account of the error of indirect method,
amounts to 10%, which means that the probabil-
ity of failure is likely to increase two-fold – from
Pf = 73 ⋅ 10−4 to to Pf = 185.9 ⋅ 10−4. A conclusion can
Table 1. Change in the degree of reliability due to the
influence of error of concrete strength test method.
Rc Rp νR νQ Kass β Pf
Method 38.1 17 0.13 0.47 2.24 2.4 73 . 10−4
error not
considered
Indirect 34.5 17 0.13 0.47 2.03 2.0 185.9 . 10−4
method
error
considered
Rc = average strength according to test results, MPa;
Rp = calculated strength for serviceability limit states, MPa
(Snezhkov 2015); Kass = assurance factor (Belentsov &
Kharitonov 2016); νR, νQ = strength and load vari-
ation factors; and β = reliability index (Belentsov &
Kharitonov 2016).
therefore be made that the omission of the accuracy
of indirect method in calculating concrete strength
grade leads to reduced probability of failure-free
performance, clearly affecting the degree of reli-
ability and durability of concrete and ferroconcrete
structures to be erected (Snezhkov 2015, Belentsov
& Kharitonov 2016, Sreejith et al. 2017).
Given the need to achieve better consistency
between the rated limit of compressive strength
of concrete and its guaranteed strength, which
ultimately seeks to enhance reliability, durability,
and failure-free performance, the requirements of
testing schemes should be revised. Special focus
should be laid on the need to provide more precise
measurement of geometrical dimensions, which,
as is shown earlier, are crucial to determining of
accuracy of indirect method for testing strength
performance.
The efforts to update the current codes and
standards should be towards enhanced quality and
reduced number of allowed deviations and defects
in geotechnical engineering.
It is important and in the process of testing and
construction of geotechnical structures, the accu-
racy rate of a measuring method is related with the
evaluation of geometrical dimensions.
4 CONCLUSIONS
All things considered, by improving the testing
methods and enhancing the accuracy of measure-
ments it is possible to reduce the probability of
emergencies in geotechnical engineering.
The practical measures to enhance the quality
of construction products should seek to:
− improve the codes and standards so that the
quality of engineering and testing is aligned with
137
required levels of reliability of the construction
projects;
− ensure that the testing methods achieve reduced
instrumental and systematic error in estimat-
ing the performance of materials. Tentatively,
the increase accuracy of testing implies that the
coefficient of concrete performance variability
is reduced from 13% to 5%, which will enable a
two-fold reduction in probability of failure;
− enhance the quality of testing and construction
from the perspective of geometrical dimensions
and a final position with maximum tolerance
of 0.5 cm, which will enable a 30% reduction in
probability of failure;
− enhance the accuracy of testing by way of
tightening the requirements for the quality of
measurements when using destructive testing
methods. The first to be tightened is the require-
ment for measuring the geometrical dimensions
during testing;
− reduce the mean square deviation allowed for
calibration curves when using non-destructive
testing methods. It is important and non-
destructive methods gain wider use (and, ide-
ally, cover the entire range of testable quality
parameters of materials and structures). Quality
control methods should be of integrated nature
– the one that combines destructive and non-
destructive methods. By this means can high
precision and full coverage be achieved.
Once the combined methods are in place, the
quality of testing and the enhanced structural reli-
ability can be achieved. The accuracy of testing –
primarily of strength and deformability – is what
ensures the consistency with stated coefficient of
variability of concrete during testing. The main
difficulty in the process of developing such com-
bined methods lies in achieving the full coverage
of structural materials during testing, and the high
accuracy of test methods.
As mentioned earlier, the effect of the above
measures is expected to manifest itself in reduced
coefficient of variability of concrete, which in itself
will lead to reduced probability of failure of con-
crete and ferroconcrete structures. To be more pre-
cise, these practical measures come down to:
− switch to probabilistic methods of engineering;
− concrete compositions with better balanced
properties depending on a particular structure,
tasks and conditions;
− enhanced sustainability of manufacture of con-
structional materials with regard to the genesis
and morphology of the original raw materials
and components; and
− enhanced workplace culture as a measure
to increase the quality of operations on a
 construction site and to decrease the influence
of allowed and critical deviations or defects.
Together with the current standards of geotech-
nical and construction engineering, the use of high
quality concrete grades (Heravi et al. 2018) calls for
enhanced quality of design, construction and test-
ing operations, which, once achieved, will lead to
high reliability and durability of the construction
projects. For this purpose, the stages of design,
construction and quality monitoring should be
seen as a single whole and oriented towards high
performance and efficiency.
REFERENCES
Alwash, M., Sbartai, Z.M. & Breysse, D. 2016. Non-
destructive assessment of both mean strength and
variability of concrete: a new bi-objective approach.
Constr. Build. Mat. (113), pp. 880–889.
Belentsov, Y.A., Kharitonov, A.M. & Belentsov, Y.A.
2016. Determining the Margin of Safety as part of
Brick Structures Quality Assessment. The Journal of
Civil Engineers. Vol.4 (57). pp.105–110.
Belentsov, Yu.A. & Smirnova, O.M. 2018. Influence of
Acceptable Defects On Decrease of Reliability Level
of Reinforced Concrete Structures. International Jour-
nal of Civil Engineering and Technology (IJCIET).
Volume 9, Issue 11, November 2018, pp. 2999–3005.
Breysse, D. 2012. Nondestructive evaluation of concrete
strength: an historical review and new perspective by
combining NDT methods. Constr. Build. Mater. 33
(21). pp.139–163.
Efremov, I.V. & Rakhimova, N.N. 2013. Engineering
Systems Reliability and Technology-Related Risks.
Orenburg, OSU. 163 p.
138
Heravi, A.A., Smirnova, O. & Mechtcherine, V. 2018.
Effect of strain rate and fiber type on tensile behavior
of high-strength strain-hardening cement-based com-
posites (HS-SHCC). RILEM Bookseries. 2018. V. 15.
pp. 266–274.
Proverbio, E. & Venturi, V. 2005. Reliability of nonde-
structive tests for on site concrete strength. 10th Inter-
national Conf. on Durability of Building Materials and
Components, Lyon, 17–20 April 2005.
Raizer, V.D. 1998. Reliability Theory in Construction
Engineering. M. ACB. 304 p.
Raizer, V.D. 2010. Structural Reliability Theory. Publ.
ACB. 382 p.
Rzhanitskyn, A.R. 1978. Structural Reliability Calcula-
tion Theory. M., Stroyizdat. 239 p.
Snezhkov, D.Y., Leonovich, S.N., Kim, L.V. 2015.
Monitoring of Ferroconcrete Structures Using Non-
Destructive Testing: Methods and Criteria. Journal of
FEFU Engineering School. Vol.1 (22), pp. 80–88.
Sreejith, N, Yang, K, McCarter, J et al. 2017. Methods
of assessing the durability and service life of concrete
structures. In: Methods of assessing the durability
and service life of concrete structures. Annual techni-
cal symposium of the institute of concrete technology
(ICT), 06 Apr 2017, Leeds.
Ulybin, A.V. 2011. On Selecting Concrete Strength Test
Method for Constructed Projects. Journal of Engi-
neering and Construction. Iss.4 (22). pp. 10–15.
Ulybin, A.V., Fedotov, S.D. & Tarasova, D.S. 2012.
Determining the Strength of Concrete During Struc-
tural Surveying. Construction and Real Estate. Iss.45.
pp. 2–5.
Varlamov, A.A., Shapovalov E.L., Gavrilov, V.B. (2017)
Estimating Durability of Reinforced Concrete. IOP
Conf. Ser.: Mater. Sci. Eng. 262 012051.
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Error. L.: Nauka, 112 p.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Analytical study of effect of compensatory layer installed in contact

zone of foundation slab

N.Y. Kiselev & Ya.A. Pronozin

Tyumen Industrial University, Tyumen, Russia

ABSTRACT: This paper discusses the results of the analytical study of the effect produced by the com-
pensatory layer composed of a heavily deformed material and installed in the contact zone of the founda-
tion slab. A method is developed for determining the compensatory layer parameters, that relies on the
soil-foundation design calculation proposed by B.N. Zhemochkin. Installed in the contact zone, the com-
pensatory layer allows to control the soil-foundation interaction and, consequently, minimize the bending
moments in the foundation slab. The principle is defined for selecting the compensatory layer parameters
based on the desired distribution of the contact pressure across footing. The method proposed for cal-
culating the compensatory layer design makes allowance for the rigidity of surface construction. The
numerical design of the foundation with compensatory layer, modelled with the use of dedicated software,
has produced results consistent with those obtained with analytical analysis.

1 INTRODUCTION leads to higher internal stresses, which makes this

In a construction project, foundation works may
account for 5% to 15% of the total expenditure,
leading to high labour costs.
One of the most common foundation designs
is solid slab. Slab foundations boast high bear-
ing capacity, rigidity, resistance to differential
settlement, and water tightness, among other
properties.
As known, the loads and forces occurring out-
side of the foundation contour cause slab founda-
tions to bend more in their central part than on
the edges. As the slab moves together with its bed,
it resists the differential settlement, which leads
to its profile becoming saddle-shaped. Bent and
deflected, the slab causes extra stress in the skel-
eton of building (Fig. 1).
The stress and strain state (SSS) of the “soil–
foundation–structure” system can be controlled.
One way to do this is through setting the right
flexural rigidity of the slab – by way of increas-
ing its thickness. However, the increased thickness
Figure 1. Soil-foundation slab interaction.
method inexpedient in terms of material content.
Researchers in Russia and abroad – and among
them G.G. Boldyrev, S.A. Boldyrev, M.M. Dubina,
R. , V.I. Krutov, G.E. Labeznik, V.V.
Lushnikov, E.A. Sorochan, Y.A. Pronozin, A.N.
Tetior, and Z.G. Ter-Martirosyan – have been test-
ing adaptive control of soil-foundation interaction
as a means to enhance the foundation behavior.
Adaptive control can be passive and active
(Solomin 2014). Passive control refers to a set of
measures to optimize the soil-foundation interac-
tion and are implemented in the substructure design
based on modelled soil behavior. These measures
include, among others, intermediate preparation
of contact zone (Sorochan 1977, Krutov et al.
2009); curvilinearity of footing (Gritsuk 1998);
localized soil compaction or softening (Boldyrev
2000, Boldyrev & Boldyrev. 2001); modified
rigidity and geometry of foundation members
(Dubina 2004, Pronozin 2010, Ter-Martirosyan
2014); layers of porous material (Orzhekhovsky
2013); and reduction of soil hydraulic conductivity
(Petrukhin 2014, Stepanov 2017).
Active control refers to measures that are
implemented during the erection or life cycle of
a structure on an ‘as needed’ basis in response
to the actual environment-structure interaction.
Examples of active control of soil-structure
interaction include stabilization of the Leaning
Tower of Pisa by drilling out of its foundation soil
(Burland 2003); hydraulic cushioning of the piled
raft foundation of Messeturm (Katzenbach 2006);
and jacking (Zotov 2008).

139
2 SLAB FOUNDATION WITH
COMPENSATORY LAYER (FCL)
Let us consider the case where the slab-soil interac-
tion is controlled via an intermediate compressible
layer in the contact zone (Fig. 2).
Such design enables:
1. a reduced slab bending that results from better
balanced stiffness of the soil; and
2. redistribution of the loads on soil by shifting
them towards load-bearing elements and reliev-
ing the bays.
Essential to achieving an effective compensa-
tory layer is the calculation of “soil–compensatory
layer–foundation” interaction and parameter set-
ting for the layer.
The calculation of FCL-soil design (Fig. 3)
in conditions of plane-strain deformation relies
on the method proposed by B.N. Zhemochkin
(Zhemochkin 1962, Dmitrieva 2017).
Prior to the design calculation (Fig. 4a):
1. the beam was divided into discreet sections;
2. within each section, the continuous member
was replaced with point-fixed supporting spring
to model the yielding of the layer;
Figure 2. Design scheme of slab foundation with com-
pensatory layer (FCL).
Figure 3. Soil-FCL design diagram.
140
Figure 4. Calculation scheme: a – soil-FCL system; b –
force method scheme.
3. the curvilinear reaction pressure was replaced
with concentrated reaction in the supporting
member.
The designed calculation uses a mixed-mode
method. Hard backfill is placed on the end of the
beam to prevent angulation and vertical displace-
ment. The beam is then detached from the foun-
dation soil and the supports are replaced with
reaction forces (Fig. 4b)
The displacements of the beam and the soil in
the middle of the section are equal. The soil dis-
placements are contributed by the settlement and
reduction of the layer due to the reactive pressure
of the soil; beam deflection due to the reactive
pressure of the soil and external forces; and angu-
lation and displacement of the backfill (1).
n n
∑Xy
i=1
i ki + ∑ X iυ ki + ∆kp + akϕ 0 + y0 + X k λk = 0 (1)
i=1
where Xi…Xk = soil back pressure in sections i and
k; yki and υki = displacement of the soil and the
beam, respectively, in direction K due to the single
force in point I; y0 and ϕ0 = vertical displacement
and deflection angle of the backfill; ∆kp = beal
deflection due to external force Pk, λk = yielding of
the compensatory layer within section k.
The canonical set consists of n-equations in
directions 1-n, and two force balance and moment
equations relative to backfill.
After the unknown quantities – back pressures
X1, X2…Xn, and displacement and deflection angle
of the backfill – are found from the canonical
equations, beam stresses and deflections can be
calculated.
 However, if the reactive pressure of the soil is
a mirror reflection of the external load, the beam
deflection moments will equal zero. This regulated
loading of the foundation soil is the basic assump-
tion for the inverse problem. Unknown in this case
are the reduction/yielding of the compensatory
layer λ1, λ2… λn under the given section. Once the
yielding is determined, it will be possible to calcu-
late the thickness of the compensatory layer, pro-
vided that the strain characteristics of its material
are known.
Let us consider a slab foundation under distrib-
uted loading that interacts with a stressed founda-
tion soil in a linear fashion (Fig. 6) in conditions of
plane-strain deformation.
Figure 5. The design parameters for: a – foundation
without compensatory layer; b – foundation with com-
pensatory layer.
Figure 6. Example FCL calculation: a – task diagram;
b – soil-FCL system; c – deformation of elements; d –
compensatory layer.
141
Let us illustrate that by adjusting the deforma-
tion property of the compensatory layer, it is pos-
sible to reduce the bending moments several-fold
and to remove the differential settlement of soil
with its absolute value increasing only slightly. The
proposed method is simple and cost-efficient.
The parameters of the compensatory layer
have been calculated with the proposed method.
In effect, the reduction of the compensatory layer
equals the difference of fields, which is limited by
the beam bending line and the soil settlement line.
The numerical modelling (Fig. 7) was performed
with PLAXIS 2D and used elastoplastic modulus
and Mohr-Coulomb failure criterion (ϕ = 21°
and c = 23 kPa). The thickness of the compensa-
tory layer was estimated analytically. The design
model shows that the compensatory layer has led
to contact pressures becoming evenly distributed
across the fooling and to a 10-fold reduction in the
Figure 7. Numerical model: a – deformation pattern;
b – contact pressures; c – bending moment in the founda-
tion, kN*m; d – plastic points.
bending moments in the foundation. The soil set-
tlement increased only slightly (by 3.5%) – from 51
mm to 53 mm. Also, the depth of shear zones has
reduced greatly.
Thus, the compensating layer serves as a means
to control the SSS in soil-foundation system.

3 SOIL-FCL-STRUCTURE INTERACTION

As a rule, foundation design calculations involve

soil-structure interaction calculation, which is a
complex, multiple indeterminate task. Let us con-
sider a case where the loading of foundation from
the previous problem is transferred via a three-
dimensional frame (Fig. 8a) with member thick-
ness of 0.1 m.
In this case, the integral indices of frame stiff-
ness should be calculated first. Once the structure
is fixed on a “rigid table”, external load-induced
force Fk will be calculated (Fig. 8c). Then, vertical
reactions χki to unit support displacement will be
calculated (Fig. 8d). Also, displacements ζki will
be found for the foundation, which result from
application of the unit forces to the support points
(Fig. 8e).
With soil-structure interaction (Fig. 8b), the
stresses in the supports will be composed of load-
ing reactions Fk and soil differential settlement
reactions Rk (2).

{ Nk } = { Fk } + { Rk } (2)

The displacements of the support points of the

frame ∆k will be determined from expression (3)
and the support displacement reaction from (4):

[ ∆ ] = [ζ ] ⋅{N }
k ki k (3)

{ Rk } = [ − χ ki ] ⋅ [ ∆k ] (4)

On rearrangement of expression (2) with allow-

ance for (3) and (4), the following expression
(5) is obtained for determining the forces in the
frame supports due to soil-foundation-structure
interaction:

{ Nk } = ( [ χ ki ] ⋅ [ ζ ki ] + En ) ⋅ { Fk }
−1
(5)

where En = identity matrix.

Now, the SSS of the foundation can be cal-
culated using the method described in section 2
above.
The installation of the compensatory layer in
the contact greatly enhances the soil-structure
interaction.
Figure 8. The soil-foundation-structure design dia-
gram: a – task diagram; b – stresses in frame supports;
c – stresses in rigid points of supports; d – stresses due to
unit support displacement; e) soil-foundation displace-
ment under unit load.

142
 First, the adjustable loading of the foundation
will be set. It is expedient that the reactive pres-
sures concentrate more under the support point
(Fig. 9a) so as to relieve the bay of the slab.
Then (Figs. 9b and 9c), the stresses in supports
will be determined (6), and the reduction (7) and
the thickness (8) of the compensatory layer.
{Nk } = ([ χ ki ] ⋅ [υ ki ] + En ) ⋅ ({Fk } − [ χ ki ]
−1
⋅ [υ ki ] ⋅ {X k })
− ( [ ∆λk ] + y0 ) = [ yki ] ⋅ { X k } + [ υ ki ] ⋅ { X k }
+ [ υ ki ] ⋅ { N k } + { ak } ⋅ ϕ 0
hk
λk =
E2 ⋅ ck
( 1− 2 µ22 )
Figure 9. The parameters of FCL in soil-foundation-
structure interaction: a – adjustable loading of the foun-
dation; b – principle scheme; c – compensatory layer
thickness; d – calculated results.
where hk = thickness of the layer under section k;
E2 and µ2 = modulus of deformation and Poisson
number of the layer material; and ck = width of sec-
tion k.
The material of the compensatory layer used for
determining its thickness has E2 = 2 MPa and µ2 = 0.
The calculation (Fig. 9d) has shown that the
compensating layer has enabled a more even dis-
tribution of stresses in the frame supports, a 2.24
to 0.16 mm reduction of the maximum deflection
(6) in the foundation, and a 30.8 to 10.8 kN*m reduc-
tion of the maximum bending moment. The bend-
ing moments area, which is crucial to the material
(7) content, has reduced 6.9 times.
(8)
4 CONCLUSIONS
1. Installed between the foundation and soil, the
compensatory layer of graduated thickness
is means to adjust and optimize the SSS of
soil-foundation-structure.
2. The compensatory layer design calculation con-
sists in determining its yield under certain sec-
tions, based on the assumed distribution of soil
reactions.
3. It is expedient that the distribution of reac-
tions be assumed from the perspective of mini-
mum internal stresses in the foundation. It can
be assumed mirroring or nearing the external
loads.
4. The actual reduction of the compensatory layer
is defined as the difference of fields limited by
the beam bending line and the soil settlement
line, and making numerical modelling technique
suitable for parametric calculations.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Construction embankment of automobile road on pile foundation

in weak soil

S.A. Kudryavtsev, T.U. Valtseva, S.A. Bugunov & Z.I. Kotenko

Far Eastern State Transport University, Khabarovsk, Russia

N.I. Sokolova
Financial University under the Government of the Russian Federation, Moscow, Russia

M.N. Erofeev
Federal State Institution of Education, Russian University of Transport, Moscow, Russia

ABSTRACT: The Institute of Transport Construction of Far Eastern Transport University (FESTU)
developed modern geotechnical decisions with use of properties of geosynthetic materials for many non-
standard building objects of the Far East. One of the problems of modern geotechnologies is considered
to be the opportunity of design changing and technology of construction of road-bed strengthening on
especially weak from fluid slimes bases.

1 ENGINEERING-GEOLOGICAL 2 DEFORMATIONS OF AN
STRUCTURE OF A CONSIDERED SITE EMBANKMENT

A basal reinforced piled embankment consists of a Copy After the construction of bridge transitions
reinforced embankment on a pile foundation. The and the filling the first layer of earth cloth con-
reinforcement consists of one or more horizontal struction works were suspended. Further construc-
layers of geosynthetic reinforcement installed at tion was continued only in 2004
the base of the embankment. A basal reinforced In August–September, 2005 after the filling of
piled embankment can be used for the construction an road-bed up to height above 3,0 m on a con-
of a road or a railway when a traditional construc- struction site deformations of the basis began to
tion method would require too much construction occur locally accompanied by local destructions
time, affect vulnerable objects nearby or give too of dumping of roadbed and countervailing berms
much residual settlement, making frequent main- (Figure 1).
tenance necessary [1]. According to the results of additional
The construction of a motorway site Razdol- engineering-geological inspection, strengthen-
noye – Hasan began in 2001 as a result of the ing of the bottom part of roadbed is by soil
engineering-geological researches done, basically holders from high-strength woven geotextiles is
concerning places of water-streams crossings. recommended.
Geologic-lithologic cut of a river valley is pre-
sented by lake-alluvial and alluvial adjournment.
In lake-alluvial adjournment there are loams, sandy
loams, and the clay that have mainly fluid consist-
ence slimes. The river-bed consists of gravel-pebble
and sandy adjournment.
Over moistened soils lie in the basis of an
embankment up to depth of 10–13 m: slimes
clay, loamy with prevalence fluid and flow-plastic
consistence and of natural humidity of 38–66%.
The presence of high porosity ( is characteristic.
= 0,97–1,39), low structural connections predeter-
mining character of their mechanical properties,
high compressibility under loading is typical for all
the soils. Figure 1. Deformations of an embankment.

145
 In August, 2006 after the performance of con- construction period accompanied by work of
structional actions and land filling of roadbed up building technics, but also during operation.
to 4–5 v on height on separate motorway sites have
deformations of destruction of an earth cloth with
whistler of a ground basis, and destruction of con- 3 METHODS OF NUMERICAL
structions of holders with breaks of high-strength MODELING
geotextiles occurred.
Ruptures of woven geotextiles are obvious and The design geotechnical modeling was performed
connected, first of all, with low coupling of mate- using software package «FEM models», which was
rial with filling soils. Its smooth structure doesn’t developed by geotechnical engineers from Saint-
promote collaboration with soils. Therefore in Petersburg.
places of sharp differences of tension which is The elastic-plastic model with the yield criterion
formed in a zone of deformation of earth con- was used to describe the work of variable stiff-
structions and the bases it is extended from the ness design. This elastic-plastic model was chosen
massif and works in a shift zone for a cut. Rup- because its parameters can be taken from existing
tures of woven geotextiles in such cases come from material of engineering and geological surveys
high cutting efforts. [1–3].
Further we were using the integrated geomate- Numerical methods are in good correspondence
rials providing the maximum coupling practically with the traditional engineering methods of cal-
with all types of soils when developing options culating the settlement in such formulation. They
of designs of the artificial bases for the highway. provide accurate description of deformations in
These are monoaxial and biaxial integrated geo- structures.
lattices. Due to the rigid geometrical arrangement Figure 2 shows a scheme of determining the
they are capable to create geocomposites in soil theoretical stresses in the elastic-plastic model of
environments, providing uniform of a stress dis- the soil.
tribution and deformations in soils, significantly The ultimate stresses in the tension field are
increasing their carrying capacity. restricted by the tensile strength σp.
For detailed research of engineering-geological Area I in the tension field is restricted by the
and hydro-geological conditions, and also for defi- stress σ3 = σp, while in the compression area it
nition of physic mechanical properties of soils, is restricted by the Coulomb strength criterion
lying in the basis of an embankment, field works according to:
and laboratory researches soils were carried out.
From additional researches the following was σ 1 = Rc + σ 3ctgψ (1)
determined:
1. The floodplain of the river is put by weak soils, where Rc is the uniaxial compression strength.
which form the basis of an existing embank-
ment. Processes of road-bed deformation occur
periodically. Destruction of the basis and a
road-bed occurs on round-centric surface of
sliding with soil discharge at the basis of an
embankment.
2. Proceeding from the analysis of cross-section
engineering-geological cuts it is obvious, that
the greatest subsidence of soils occurs on an
axis of an embankment accompanied by shaft
whistler, countervailing prisms are insufficiently
counted. Consolidation process of the basis
occurs owing to filling of embankments up to
maximal height.
Thus, technical decisions for the device of a
“floating” embankment on especially weak basis,
recommended earlier, did not justify the purpose
already at the initial stage of construction of the
given motorway.
Other constructive decisions are required
to provide safety and uninterrupted operation Figure 2. Scheme of determining theoretical stresses in
of movement of transport not only during the elastic-plastic model of soil.

146
 The element stiffness matrixes and the ones for
the whole system are formed once and stay the
same in the procedure of elastic-plastic solution.
The load is applied in small portions as it happens
in its real sequence in nature.
If the point M occurs within the limits of the
elastic region I, it means the element is in the elastic
state and there is no need to correct the stresses.
If the point M occurs beyond the yield behav-
ior contour, the theoretical stresses are calculated
in the following order. If the point of total stress
occurs in the area II (the basic plastic zone), the
theoretical point lies at the intersection of the plas-
tic yield and the right line.
If the point of total strength occurs in area III,
the element breaks in the direction of the stress,
while the stresses go down to the level of the soil
strength to the uniaxial compression.
For the area IV where the stresses do not go
beyond the uniaxial compression strength. Finally,
for the area V where the element is broken.
In the FEM Models program the natural stress
state is substituted by the hydro engineering tensor
for pressing the soil of the “characteristic volume”
that is summarized with the actual stresses in situ:
{σ } = {σ }+ {σ }
1,3
Φ
1,3
Γ
1,3
(2)
The assumption reflects a real picture of the natu-
ral stress state in weak soils.
The used method and the software package
«FEM models» are developed by the authors for
the projects under construction in Russia and the
Far East.
Application of the methods and approaches
for the calculation and design of geotechnical
structures using software package «FEM mod-
els» show its accurate and objective performance
in the most rational calculations of geotechnical
constructions.
4 THE CONSTRUCTIVE DECISIONS
OFFERED FOR STRENGTHENING
OF A ROAD-BED
For the solution of such problems the application
of Russian and foreign experience of designing
and construction of a road-bed on the weak bases,
on the basis of methods of geotechnical modelling
with use in constructions of modern geosynthetic
materials is the most expedient [4–5].
Geotechnical modelling of construction of
strengthening of a road-bed and the weak basis for
the construction of a highway site Razdolnoye –
Hasan was carried out on a program complex
«FEM models». The basis of the given complex
147
is the method of the final elements, allowing to
research thermal and intense-deformed condi-
tion of constructions and their bases in spatial
statement.
For the description of a road-bed performance
of a highway Razdolnoye – Hasan on the weak
bases of a fluid consistence during the given design
stage is applied elasto-plastic model with the lim-
iting surface described by criterion Kulon-Mor.
Properties of modern geosynthetic materials–
integrated geolattices were included in the given
model. Properties of integrated geomaterials are
researched and confirmed by the results of large-
model experimental researches of the Russian and
foreign experts.
The principle of performnce of integrated geo-
lattices consists in strengthening of non-connected
layers of road clothes. When the granulated mate-
rial is condensed above a geolattice, its particles get
through apertures of a geolattice and are fixed, cre-
ating effect of “blocking”. Possessing high rigidity,
geolattice SS allows to maintain high loadings at
very low deformations.
The used technique and program complex are
realized by the authors on construction objects in
Russia. Application of methods and approaches
for calculations and designing of geotechnical con-
structions by use of appendices of a program com-
plex «FEM-models» has shown, that it allows most
authentically and objectively to carry out selection
and calculations of the most rational geotechnical
constructions.
Geotechnical modelling is done for different
loadings and the bases. In calculations it some var-
iants are determined. Their key parameters of the
intense and deformed conditions are determined.
One of the variants is the construction which
is offered to be made in the shape of 2 rows of
piles with of definite size set up along an embank-
ment on berms. The step of piles and their param-
eters are defined by calculations by geotechnical
modelling.
Between the headstalls piles the integrated geo-
lattice of high durability with rigid fastening in
headstalls pairs in the ranks of the friend opposite
to the friend uniaxial is set up. The number of lay-
ers of a geolattice is defined by amount of loadings
and geological features, durabilities of soils of bot-
tom supporting of piles in each settlement task.
It is supposed for all settlement cases, irrespec-
tive of capacity of bases weak soils, the supporting
of the ends of piles on strong soils with depth in
them not less than down to 1,5 m.
In Figures 3–8 as an example the settlement
scheme of a road-bed and the basis on the picket
17+00, the scheme of destruction, a construction
of strengthening and results of modelling is dem-
onstrated (showen).
Figure 3. The settlement scheme of a road-bed and the
basis 3–24 – settlement soils layers: 3 – silt clay, fluid;
6,8 – silt loamy, fluid; 9 – silt loamy, flow-plastic; 10 –
loam heavy weak-plastic; 14 – pebble with sandy loam
firm; 24 – gravel ground with sand.
Figure 4. The deformed scheme of a road-bed.
Figure 5. The scheme of a strengthening construction:
1 – woven geotextiles; 2 – uniaxial integrated geolattice
160RE in 2 layers; 3 – precast piles section 0,25 × 0,25 m,
reinforcing standard.
Figure 6. Isocurves of vertical movings in
construction.
For decrease in deformation of a road-bed the
design of strengthening is offered (Fig. 5).
As a result of numerical modelling vertical
deformations on an axis of a road-bed reach up
to 0,182 m (Fig. 6), and horizontal deformations
develop in the basis up to 0,037 m.
Thus horizontal pressure makes in a body of a
road-bed up to 114 kPa.
Results of modelling have shown, that for con-
ditions where height of an embankment is more
than 8,0 m, and capacity fluid slimes is in the basis
Figure 7. Isocurves horizontal movings in a
construction.
Figure 8. Isocurves horizontal pressure (kPa) in a
construction.
Figure 9. The scheme of a strengthening design for
small-sedimentary bases of a construction.
more than 14,0 m, the construction of a road-bed
is possible only on the continuous pile basis with a
distributing platform and strengthening at batter
parts of an embankment by integrated geolattices
(Fig. 9).
As a result of geotechnical modelling techni-
cal solutions of the considered designs using are
developed for various soil conditions of the basis
and capacity of constructions. In Figure 10 the
schedule of settlement parameters of designs of
strengthening of the basis, corresponding to limits
of height of an embankment is presented.
a As is apparent from the schedule for the defi-
nition of design type, use of the facilitated design
assuming deposits during operation, is admissible
at loadings from weight of an embankment of
height no more than 8,3 m.
At height of an embankment on a site of more
than 8,3 m the maintenance of durability, reli-
ability and durability of a construction for the set
parameters is possible only by application as the
basis of a pile field with from a geo-
composite of a ground and an integrated biaxial
geolattice.
The received results of modelling of an earthen
cloth of a motorway for various engineering-
148

Figure 10. Settlement parameters of designs of
strengthening of the basis heights of an embankment
corresponding to limits.
geological conditions allow to pick up a rational
design with admissible sizes of deformation.
5 CONCLUSIONS
1. Number It is got, that in designs of a highway
on the set site with especially weak bases at
height of constructions up to more than 4,0 m
without strengthening, already by initial load-
ing, deformations not compatible to demanded
parameters for roads of II category are realized,
including initial stages of destruction.
2. The done geotechnical modelling of condi-
tions of constructions has allowed to establish
the most rational designs, capable to provide
safe and uninterrupted movement of trans-
port during the construction and performance
periods.
3. The design of strengthening of the basis in the
form of a pile field with flexible foundation
grill from integrated biaxial geolattices of type
SS to the deformability properties is capable to
provide operational reliability of a construction
without additional deformations already practi-
cally right after the concluding of construction.
4. At height of embankments of more 6,0 m
stretching pressure in its top part and slopes
are high enough and close on sizes to pres-
sure in zones of loss of strength of bases. For
maintenance of reliability of constructions and
traffic safety partial reinforcing the stretched
zones of a body of embankments and batter
parts is offered.
5. On sites of construction, where deposits of
a road-bed during operation are structurally
assumed, it is necessary to provide a building
stock on width of an embankment. A pro-
spective a deposit during operation will make
70–100% from settlement size for the construc-
tion period.
149
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of the International Workshop on Scrap Tire Derived
Geomaterials – Opportunities and Challenges, IW-
TDGM 2007 International Workshop on Scrap Tire
Derived Geomaterials. Japan, Yokosuka P. 171–178.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Impact of artificial footing in pile-adjacent zone on operation

of laterally-loaded single pile foundation

S.V. Lanko, L.N. Kondratieva, A.V. Evstratov & A.V. Derendyaev

Saint Petersburg State University of Architecture and Civil Engineering, St. Petersburg, Russia

ABSTRACT: The article discusses Russian and foreign calculation methods for laterally-loaded piles.
The results of analytical and numerical models are compared with the data of the field tests of soils by
laterally-loaded piles. Analytical calculations are made according to Appendix 1 to SNiP 2.02.03-85.
Numerical modeling was performed in Plaxis 3D program using Hardening Soil model (elastic-plastic
model with hardening). With the help of the finite element model, the operation of the “pile – sand cush-
ion – soil” system and the influence of the sand cushion size on the pile bearing capacity were investigated.

1 INTRODUCTION To achieve this goal, the calculation methods for

A single pile foundation is the most advantageous
design in terms of land use management, as the
construction of the foundation on a small plot of
land allows it to be carried out near other struc-
tures, networks, etc. Its advantages include the
absence of grillage and formwork, a small amount
of earthworks, as well as minimum installation
time for underground and above-ground structures
using flange connections.
The single pile foundation is widely used in the
construction of pipeline supports, lighting masts,
billboard posts, power transmission line supports,
in the form of anchor piles of berth sheet piling,
etc. Such structures transmit significant lateral
load and moment to the pile compared to the ver-
tical load.
Many construction areas have a weak soil layer
in the upper part of the geological section. When
the pile is subject to lateral load and moment, the
soil of the pile-adjacent zone is to a certain depth
included in the operation. Therefore, in most cases,
soil is not checked for stability or deformations
according to SNiP 2.02.03-85 “Pile Foundations”.
The use of an artificially improved foundation of
the pile-adjacent zone in the form of a sand cush-
ion will ensure the fulfillment of all the calculation
conditions without adjusting the foundation struc-
ture or changing its type.
The aim of the research is to study the impact of
a sand cushion on the bearing capacity of a single
pile foundation.
The object of the study is a sand cushion of a
single pile foundation; the subject is the strain-
stress state analysis of the “single pile foundation
– sand cushion – soil” system.
laterally loaded piles used in Russia and abroad
were analyzed; the results of analytical and numer-
ical calculations were compared with the soil field
tests data; finite element modeling of the “pile –
sand cushion – soil” system was carried out and
the optimum dimensions of the sand cushion,
affecting the bearing capacity of a single pile foun-
dation, were determined.
2 CALCULATION METHODS FOR A
LATERALLY-LOADED PILE
In the Russian regulatory documentation, the
design of a single pile foundation for power trans-
mission line supports is considered according to
two methods:
− calculations for supports according to the Man-
ual to SNiP 2.02.01-83, clause 11 (Manual…
1986);
− calculations for piles according to SNiP
2.02.03-85 Appendix 1 (SNiP 2.02.03-85 “Pile
Foundations”).
These approaches consider different systems,
such as “support – soil” and “pile – soil” systems.
The use of a particular calculation method depends
on pile rigidity, which is not reflected in the regula-
tory documents.
According to Znamensky’s study (Znamensky
2000), single piles can be divided into three groups
according to the nature of deformation:
− short rigid piles (turn without bending) at l/d ≤
7.5;
− short flexible piles (turn with bending) at 7.5 <
l/d < 15;

150
− long flexible piles (bend without turning) at
l/d ≥ 15.
Thus, it can be assumed that a short rigid pile,
turning in the soil without bending, works as a
support (l/d ≤ 7.5). Therefore, the calculation
should be performed according to the Manual
(Manual… 1986), and in other cases (l/d ≤ 7.
5) – according to SNiP (SNiP 2.02.03-85 “Pile
Foundations”).
Tipping stability of the support footing and
deformations of the piles (rollover supports) are
calculated according to the Manual (Manual…
1986). This method regards a pile as an absolutely
rigid rod that rotates around point O (Fig. 1). The
destruction of the “support – soil” system occurs
when the passive resistance of the soil reaches the
limit value.
Calculation of the tipping stability of the sup-
port footing is as follows:

γ c 2Qu
Q≤ . (1)
γn

Calculation of post deformations is expressed

like this:

β ≤ βu . (2)

According to SNiP 2.02.03-85 “Pile Founda-

tions”, the stability of the footing surrounding
the pile is checked, and pile deformations are
calculated. There are two stages of the stress-
deformable state of the soil: linearly elastic defor-
mations and plastic deformations. According to
this method, the soil in the pile-adjacent zone is
to a certain depth involved in the operation; there-
fore, the presence of a weak soil layer in the upper Figure 2. The scheme of pile loads.
part of the geological section, in most cases, does
not provide verification of the stability of the foot-
ing soil.
− the calculation of the bearing capacity of the
The calculation of the combined effect of verti-
pile in case of possible development of the sec-
cal and lateral forces and moments influencing the
ond stage of the stress-strain state of the soil:
piles includes the following operations (Fig. 2):
abp
Fd = η1η2 zz2 . (3)
2

− the calculation of the lateral load H:

Fd
H≤ , (4)
γk

− the calculation of pile deformations:

Figure 1. The scheme for the calculation of tipping sta-
bility of supports: a – the scheme of loads acting on the u p ≤ uu , (5)
support; b – the scheme of bringing tipping loads to the
load line; c – the design scheme for embedding a support
in the soil. ψ p ≤ ψ u, (6)

151
where the calculated value of the pile displacement Analytical calculation methods, based on Win-
in one-stage calculation is: kler model, represent the interaction of the pile
with the soil by springs describing the foundation
u p = u0 = H 0ε HH + M 0ε HM , (7) modulus (Fig. 3). It was supposed that the founda-
tion modulus is a constant value in terms of depth,
− the calculation of the stability of the footing soil while the soil pressure is ensured by a series of
surrounding the pile: springs, which, in most cases, does not lead to a
significant error.
4 Pile displacement as a result of the joint action
σ Z ≤ η1η2 (γ I ztg ϕ I + ζ cI ), (8) of the lateral force and moment according to clause
cos ϕ I
17.1 (Rajapakse 2016) is as follows:
− checking the cross sections of the piles for mate-
rial resistance according to the limiting states of
the first and second groups for the combined
effect of the calculated forces.
The research considering pile operation under
lateral load in a linearly deformable medium is
actively developing abroad. The p-y method, based
on empirically derived curves, which describes
the soil as a homogeneous system, is widely used.
Han (Han et al. 2015) and Heidari (Heidari et al.
2014) proposed modified calculation models (p-y
method), which take into account soil strengthening
and are in good agreement with the experimental
data. This topic was also studied by other research-
ers (Adejumo et al. 2013; Conte et al. 2013; Elhakim
et al. 2014; Kwon et al. 2014; Mokhtar et al. 2014;
Russo 2016; Zhang et al. 2016). In these studies, spe-
cial attention was paid to the nature of pile deforma-
tion (depending on the length and diameter) and the
interaction of the structure with the soil. Figure 3. The scheme explaining the pile calculation.

Table 1. Characteristics of the test piles.

Pile Pile Maximum Pile movement

Pile section, length l, flexibility lateral load at at maximum
No. mm m l/d Pile type the test, kN load, mm Test site

1. Ø 219 × 10 11.0 50.2 driven, metal 12 1.56 Chudovo

2. Ø 219 × 10 11.0 50.2 14 2.40
3. Ø 325 × 10 17.0 52.3 driven, metal 55 5.69 Kem
4. Ø 325 × 10 17.0 52.3 55 4.75
5. Ø 325 × 10 8.0 24.6 55 0.70
6. Ø 325 × 10 15.5 47.7 55 7.87
7. Ø 325 × 10 11.5 35.4 55 2.48
8. Ø 325 × 10 12.5 38.5 55 0.90
9. Ø 630 24.0 38.1 bored, reinforce 260 14.88 Sochi, Veseloe
concrete settlement
10. Ø 630 24.0 38.1 260 4.94
11. Ø 630 24.0 38.1 310 10.47
12. Ø 630 24.0 38.1 310 11.42
13. Ø 1020 × 11 23.0 22.5 driven, metal 640 40.67 Ust-Luga
14. Ø 1020 × 11 21.6 21.2 930 37.14
15. Ø 1020 × 11 22.4 21.7 830 41.91
16. Ø 1020 × 11 25.0 24.5 980 40.64
17. Ø 1020 × 11 33.3 32.6 735 40.60
18. Ø 1020 × 11 34.3 33.6 1025 41.75

152
 −1 −2 ized by the presence of a weak soil layer in the
1
H  lc  M  lc  upper part (Table 2).
u = 22   +   , (9)
k  4 k  4
where 4 RESULTS OF ANALYTICAL
1
CALCULATIONS
 EI  4
lc = 4  . (10)
 k  Analytical calculations of the laterally loaded pile
are made in accordance with SNiP 2.02.03-85 “Pile
It should be noted that studies of the operation Foundations”.
of the laterally loaded pile, as well as the develop- According to the field test data, the bearing
ment of calculation methods using a larger number capacity of the pile was assumed to be equal to
of pile parameters are relevant. the maximum lateral load. According to the results
of analytical calculations (formula 8), the bearing
capacity of piles in the soil under the action of the
3 FIELD TEST DATA maximum lateral load for small diameter piles (d <
0.7 m) does not exceed the data of the field tests,
The initial data for performing analytical and numer- but for larger diameter piles (d > 1 m), it underesti-
ical calculations are the results of soil field tests by mates the value by 2–3 times.
driven metal and bored reinforced concrete piles According to the results of the field tests and
with a static lateral load (Table 1) by various com- analytical calculations, graphs of horizontal dis-
panies having appropriate equipment and approvals. placements of the pile were made (Fig. 4). The
According to Znamensky (Znamensky 2000), stages of load application are specified in accord-
the test piles by the nature of deformation are long ance with the report on field testing of soils by
flexible piles (l/d ≥ 15) and bend without turning. piles, where the final load F is the maximum load.
Therefore, the upper soil layer receives the main As can be seen from the graph, the discrepancy
part of the lateral load. The test results are divided between the results of the analytical calculation
into two categories depending on the pile diameter: of lateral displacements and the field data was
d < 0.7 m and d > 1 m. 1–138% (Fig. 4). In addition, the field test graph
For the study, field tests were selected at the has a non-linear dependence, while the graph of
sites, the geological section of which is character- theoretical calculations has a linear one.

Table 2. Characteristics of the material.

The name of the Average layer γsat, E50, Eurref, c,

material thickness, m kN/m3 MN/m2 MN/m2 kN/m2 ϕ,° Test site

Plastic clay loam 7.0 18.0 10.0 30.0 15 19 Chudovo

Stiff clay 5.0 18.0 10.0 30.0 20 10
Bulk soil 4.5 18.0 30.0 90.0 1 33 Kem
Plastic clay 1.0 18.0 12.0 36.0 16 16
Silt 13.0 16.0 11.0 33.0 19 18
Stiff clay loam 2.7 19.5 6.7 20.1 17 18 Sochi, Veseloe
settlement
Stiff clay 8.0 20.0 4.6 13.8 50 17
Soft sandy loam 1.5 18.0 10.1 30.3 11 21
Medium sand 0.9 18.0 32.0 96.0 1 35
Pebble gravel 2.9 18.5 35.6 106.8 1 27
Soft sandy loam 13.0 18.0 10.1 30.3 11 21
Pulverescent sand 5.7 18.0 25.0 75.0 1 28 Ust-Luga
Flowing silt 8.2 16.0 14.0 42.0 20 18
Flowing clay 2.7 18.0 15.0 45.0 29 12
Plastic sandy loam 7.5 18.0 13.5 40.5 11 21
Medium-hard clay 10.9 18.0 20.0 60.0 36 20
Sand cushion – 18.0 32.0 96.0 3 35 –
Bored reinforced pile – 25.0 8000 – – – –
Driven metal pile – 25.0 210000 – – – –

153

Figure 4. Pile displacement according to the field test
data and analytical calculation results (using the example
of the city of Sochi, Veseloe settlement).
According to the analytical model, pile displace-
ment under the action of lateral load (formula 6)
exceeds the field test data by 2–3 times. However, with
an increase in the pile diameter (d > 1 m), the theo-
retical value approaches the results of the field tests
without underestimating the deformation forecast.
modeling of the direct problem was performed,
which considered two branches of the calculation:
without replacing the soil, describing the nature
of the field tests, and with a constructive improve-
ment of the soil in the pile-adjacent zone (see the
calculation stages).
Stages of the calculation:
1 – taking into account the gravitational load with
the subsequent zeroing of the deformations
caused by this load;
2 – modeling of a pile with the subsequent zeroing
of deformations;
The first branch of the calculation (previous
phase – 2):
3 – application of external lateral concentrated
load to the pile top (calculation according to
the deformed scheme; three load application
stages: 0.2 F; 0.6 F; F).
The second branch of the calculation (previ-
ous phase – 2):
4 – replacement of the soil in the pile-adjacent
zone (options for changing the size of the sand

5 NUMERICAL MODELING RESULTS

The modeling was performed with the help of

Plaxis 3D program based on Hardening Soil (for
soils) and Linear Elastic (for the pile material)
models.
The soil deformation modulus under devia-
tor load (Eref50), the deformation modulus under
compression (Erefoed), and the soil unloading and
reloading modulus (Erefur) were set according
to recommendations (Fadeev 2012; Golubev & Figure 5. Design diagram of the sand cushion: d and
Seletsky 2010). l – the diameter and length of the pile, dn and h – the
diameter and depth of the sand cushion, k and m – posi-
The dimensions of the spatial model are taken
tive numbers.
as 5d from the face of the modeled pile. The size
of the breakdown of all test problems into finite
elements is the same (medium) and is determined
on the basis of sufficient accuracy of the obtained
calculation results.
The initial data are the results of the field tests,
in accordance with which the load was applied
to the pile in increments. To correct the numeri-
cal model, the calculation was carried out accord-
ing to the deformed scheme in accordance with
load increments. Each phase was modeled on the
basis of the inverse problem; a displacement cor-
responding to a given load increment was applied
to the pile. During the analysis of the model (with
a decrease in the number of intermediate stages), Figure 6. Stage modeling according to the first branch
three increments of load application were chosen of the calculation (using the example of pile 10, Sochi,
(0.2 F; 0.6 F; F). After the model adjustment, the Veseloe settlement).

154
 cushion in diameter and depth are considered
– Figure 5);
5 – application of external lateral concentrated
load to the pile top (calculation according to
the deformed scheme; three stages of load
application: 0.2 F; 0.6 F; F).
The convergence of the results of the numerical
calculations with the field data made up 87–95%
(Fig. 7).
On the basis of comparing the calculations
results for phases 3 and 5, the impact of the arti-
ficially improved footing on the bearing capacity
of the single-pile foundation was determined, the
optimum dimensions and the shape of the sand
cushion were established (Figs. 9, 10).
The bearing capacity of the pile under the action
Figure 9. Pile displacement in case of the calculation
of the lateral load according to numerical mod- using the deformed scheme based on the numerical mod-
eling results (using the example of pile 10, Sochi, Veseloe
settlement) h and d are the depth and diameter of the
sand cushion, d is the pile diameter.

Figure 10. Pile displacement in % of the sand cush-

Figure 7. Pile displacement based on the field test data
and numerical modeling results from the first branch
of calculations (using the example of Sochi, Veseloe
settlement).
ion size based on numerical modeling results (using the
example of pile 10, Sochi, Veseloe settlement) h and d
are the depth and diameter of the sand cushion, d is the
pile diameter, 100% of pile displacements without chang-
ing the soil in the pile-adjacent zone.

eling results grows with increasing the depth and

diameter of the sand cushion. Upon reaching a
certain size of the soil area to be replaced (depth
8–10 d and diameter 5–6 d), the bearing capacity
of the pile ceases to increase. The most optimal soil
replacement zone, at which the pile displacement is
reduced to 25–30%, is a sand cushion 5–7 d deep
and 3–4 d in diameter, of a round shape (where d is
the pile diameter).

Figure 8. Lateral displacement of the pile in case of the
calculation using the deformed scheme according to the
numerical modeling results – phase 5 (using the example
of pile 10, Sochi, Veseloe settlement); replacement of the
soil of the pile-adjacent zone with a depth of 4.5 d and a
diameter of 2.5 d.
6 CONCLUSION
The study revealed that the analytical model for
large diameter piles (d > 1 m) significantly under-
estimates the value of bearing capacity and for
small diameter piles (d < 0.6 m) overestimates the
displacement value by 2–3 times.

155
 Consequently, the prediction of the bearing
capacity and displacements in case of lateral loads
for these conditions using analytical models (SNiP
2.02.03-85 “Pile Foundations”) increases safety,
but is economically disadvantageous. Therefore,
there is a need to improve the analytical models or
introduce additional conditions of their applicabil-
ity, ensuring the accuracy of the calculation.
The convergence of the numerical modeling
results in Plaxis 3D software with the field test data
is performed within an error of 5–13%. Replacing
the soil of the pile-adjacent zone with a round-
shaped sand cushion with a depth of 5–7 d and a
diameter of 3–4 d increases the bearing capacity
and reduces displacements to up to 30%.
Thus, numerical modeling is the most promising
method for predicting processes in any construc-
tion branch. However, it is necessary to remember
that each model is imperfect and needs practical
confirmation of the described phenomena.
REFERENCES
Adejumo, T.W. et al. 2013. Laboratory Investigation of
Load Incremental Effect on the Deformation of Clay
Under Axially Loaded Modeled Circular Piles. Proce-
dia Engineering: 57: 83–88.
Conte, E. et al. 2013. Nonlinear three-dimensional analy-
sis of reinforced concrete piles subjected to horizontal
loading. Computers and Geotechnics 49: 123–133.
Elhakim, A.F. et al., 2014. Three-dimensional modeling
of laterally loaded pile groups resting in sand, HBRC
Journal: 1–10.
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Fadeev, A.B. 2012. Parameters of Hardening Soil Model
realized in program PLAXIS. St. Petersburg: Publish-
ing house SPSUACE: 13–20.
Golubev, A.I. & Seletsky, A.V. 2010. Selection of the
soil model and its parameters for the calculation of
geotechnical objects. Proceedings of the international
conference on geotechnics “Geotechnical Challenges in
Megacities” (GEOMOS 2010) 4: 1727–1732.
Han, F. et al. 2015. Nonlinear analyses of laterally loaded
piles – a semi-analytical approach. Computers and
Geotechnics 70: 116–129.
Heidari, M. et al., 2014. Generalized cyclic p–y curve
modeling for analysis of laterally loaded piles. Soil,
Dynamics and Earthquake Engineering 63: 138–149.
Kwon, K. et al., 2014. An experimental study of short
pile movement under horizontal load. Int. J. Nav.
Archit. Ocean Eng. 6: 87–97.
Manual on the design of footings of buildings and struc-
tures (to SNiP 2.02.01-83) 1986. Gersevanov NIIOSP,
USSR Gosstroy. Moscow: Stroyizdat.
Mokhtar, A. et al., 2014. Lateral displacement and pile
instability due to soil liquefaction using numerical
model. Ain Shams Eng J: 1–14.
Rajapakse, R. 2016. Pile Design and Construction Rules
of Thumb (2nd ed.).
Russo G., 2016. A method to compute the non-linear
behaviour of piles under horizontal loading. Soils and
Foundations: 1–11.
SNiP 2.02.03-85 “Pile Foundations”.
Znamensky, V.V. 2000. Engineering method for calculat-
ing laterally loaded groups of piles. Moscow: Publish-
ing House ASV.
Zhang, Y. et al. 2016. Ultimate bearing capacity of lat-
erally loaded piles in clay – some practical considera-
tions. Marine Structures 50: 260–275.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Concerning the dynamic load impact on development of landslide

processes

A.I. Latypov & E.A. Korolev

Kazan Federal University, Kazan, Russia

ABSTRACT: The paper addresses a matter of assessing the impact of dynamic loads on the possibility
of landslide processes occurrence. A land plot on the right bank of the Volga River in Ulyanovsk was
chosen as an example. Currently, a high-rise residential complex is being built there. Based on theoreti-
cal and practical studies, it was established that one of the reasons behind the landslide at the area under
consideration was pile driving during foundation construction. According to an analysis of literature, cur-
rently, both in Russia and abroad, there are no regulatory documents that would regulate the method of
assessing the impact of dynamic loads on stability of soil masses. The existing studies usually address only
specific problems. It is shown through the example above that, to solve such problems, the use of com-
prehensive assessment taking into account both the type and distance to the dynamic load source as well
as the specifics of the relevant soil mass is a promising method. Several international standards dealing
with the matter of vibration impact assessment to a greater or lesser extent are taken as the basis for the
calculations. Field works confirm that the calculated boundaries of the area of vibration impact from pile
driving correlate well with the data of opinion polls and inspections of damaged buildings and structures.
The study shows the need for national regulatory documents that would regulate allowable distances from
dynamic load sources to slopes with a risk of a land-slide.

1 INTRODUCTION

In the spring 2016, on the Volzhsky hillside in

Ulyanovsk, a landslide occurred which entailed
significant tangible damage due to damage to a
section of a federal road, private residences, drain-
age tunnels, pipes, wells and a part of the Kuyby-
shev Railway.
Figures 1 and 2 show photos of the landslide
taken in May 2016 and its boundaries shown in a
Google satellite image.
According to the mechanism of rock move-
ment, the landslide is classified as a consequent
flow slide.

Figure 2. Boundaries of the landslide.

Landslide dislocations occurred fragmentarily,

Figure 1. A photo of the landslide.
with the surface of the hillside affected, viz. its
medium and bottom parts. The width of the land-
slide area was about 150 m, and the length was up
to 293 m. The landslide active area was 28,000 sq.
m. The height of the breakaway area was up to
15 m. The lower part of the landslide with the
height of up to 4 m reached the railway. The vol-
ume of sliding earth masses was 70,000 m3.

157

Figure 3. A schematic layout of the landslide structure.
Figure 3 shows a schematic layout of the land-
slide structure.
Geological structure of the area under consid-
eration is characterized by the presence of Lower
Cretaceous deposits primarily represented by hard
and semi-hard Albian and Aptian clays covered
by Middle Quarternary and Upper Quarternary
deluvial and landslide deposits (primarily clays of
various consistency with layers of loams and sandy
loams), as well as filled soil of various composi-
tions and states.
The depth of the sliding surface reached 20 m
and partially covered Pre-Quarternary deposits.
The authors were engaged in identification of
causes behind the landslide process as experts.
Among various primary and secondary reasons,
the authors would like to distinguish an aspect that
seems very important.
Several months before the catastrophe, con-
struction of a high-rise residential complex started
at the distance of 180–200 m above the landslide
edge.
According to the engineering and geological sur-
vey data, it was recommended to the construction
company to eliminate the impact of dynamic loads
on the hillside. However, the distance between
the construction site and the slope edge, and the
absence of sufficient justification on the part of
both surveyors and designers were not enough to
convince the construction company to reject the
construction of a pile foundation through pile
driving.
Currently, there are no regulatory documents in
Russia that would regulate the method of assess-
ing the impact of dynamic loads on stability of soil
masses. Besides, this issue appears to be relevant in
158
assessing the risk of a landslide in various territories
(Latypov et al. 2016, Zharkova & Latypov 2014).
The existing studies are either theoretical in
nature (Sidorova & Voznesensky 2010) or address
specific practical problems (Strokova & Teterin
2016, Vasilev et al. 2014, Zhussupbekov et al. 2016).
Various vibrodiagnostic methods, e.g. those
suggested by Sudnik (2011), Lashova (2016), can
be used, with certain assumptions, to solve the
problem of vibration impact on slope stability.
According to such methods, the maximum impact
on de-formations is assessed using the maximum
velocities of waves propagating in subsoil. The
greater the soil density and stiffness, the greater the
maximum wave velocities.
A large number of papers address the matters of
measuring the level of vibrational impact (Kuras
2015, Liao & Lai 2018).
The vibrational impact arising at pile driving is
often assessed using various field experiments. For
example, Osthoff (2018) measures vibration char-
acteristics using three-axial acceleration sensors in-
stalled on steel piles.
Recently, the use of numerical methods of
modelling dynamic impact from pile driving has
be-come popular (Buachart & Hansapinyo 2018,
Dong et al. 2018, Lee 2018, Pal & Baidya 2018).
The common disadvantage of the studies is that
there is no comprehensive approach that would
take into account both parameters of dynamic
impact and characteristics of subsoil.
In this regard, comprehensive assessment given
in the national Norwegian standard NS 8141:2001
is interesting.
Let us review this method with regard to our
case.
According to the as-built documentation, pile
driving during construction of a residential com-
plex was performed using an SP-77 pile driving
hammer with the weight of the striking part of
2,500 kg. The specifications of this type of ham-
mer are as follows: striking part weight—2,500 kg,
design energy—50 kJ min, blow frequency—
0.7 Hz max.
The v maximum value at short-term vibration
can be determined using the following equation:
v = v0 Fs Fd Fv (1)
where v0 – reference value of velocity, 20 mm/s;
Fs – adjustment for the type of soil; Fd – adjustment
for the distance between the vibration source and
the measurement point; Fv – adjustment for the
type of the vibration source.
The adjustment for the type of soil Fs is taken
based on Table 1 and in our case equals 1.8 (the
piles were driven into hard Aptian clay).
Table 1. Adjustment for the type of soil.
Type of soil
Soft soil
Clay, high-moisture muddy soil
Sand, gravel, muddy soil
Hard boulder clay, compacted small stone filling
Slate stone, soft limestone
Granite, gneiss, hard limestone, quartzite, diabase
As can be seen, the classification of soils in the
standard is rather tentative, and the range of the Fs
factor is very wide.
It should be noted that there are many Russian
papers containing data on velocities of elastic wave
propagation in various soils that could be used for
assessment, but they are not systematized.
In case of impact driving, the adjustment for
the distance between the vibration source and the
measurement point Fd is calculated using the fol-
lowing equation:
  d −5 
−
2
 3 
Fd = 0.5 1 + e  (2)
 
In our case, at the distance from the source to
the site of 180 m the value is as follows:
  180 − 5  
−
2
 3 
Fd = 0.5 1 + e  = 0.5
 
The adjustment for the type of the vibration
source Fv in case of impact driving equals 1.
Thus, the maximum velocity v is as follows:
v = 20 ⋅ 1.8 ⋅ 0.5 ⋅ 1 = 18.0 mm/s
It is not possible to give a straight answer to the
question whether this level of velocity is critical for
the object under consideration as there are no cor-
responding appropriate methods. However, if we
refer to the literature data, we can find informa-
tion on critical parameters of velocities for various
cases.
For instance, ISO 4866:2010 contains data on
typical ranges of vibration parameters for various
sources given in Table 2.
The British standard BS 7835-2:1993 for build-
ings of category 2 establishes maximum velocities
at frequencies below 4 Hz to be equal to 16 mm/s.
It is evident that the obtained velocity of
18 mm/s calculated for the point at the distance of
180 m from the dynamic load source is significant.
Table 2. Typical range of vibration parameters for sev-
eral sources.
Fs
Frequency Velocity Acceleration
0.5 range range range
0.8
1.0 Excitation source Hz mm/s mm/s2
1.8
2.5 Railway transport 1–80 0.2–50 0.02–1
3.5 Explosions 1–300 0.2–500 0.02–50
Pile driving 1–100 0.2–50 0.02–2
The impact of the soil type on maximum veloci-
ties shall be noted as well. During construction,
piles were driven into hard Aptian clay, which had
a certain negative impact. Hard dense clay served
as a carrier of vibration from horizontal pile driv-
ing. It could transfer such vibration to loose filled
soil below the slope edge and modern loosened
landslide deposits. A wave propagates sufficiently
far through dense clays due to elastic deforma-
tions, but when it reaches loose soils oversaturated
with water, its damping and absorption occurs
due to its exit to the surface. The process results
in horizontal displacement of soil layers located at
the slope, accompanied by reduced stability of the
entire slope.
Another negative factor was the season as pile
driving was carried out during wintertime. Frozen
soils in the upper part of the section are less stiff
than non-frozen ones, and could also serve as car-
riers of vibration load from pile driving.
(3) Obviously, those facts should also be taken into
account in assessing the impact of dynamic loads
on stability of slopes.
The fact that the impact of pile driving could
cover the distance up to 200 m is confirmed by local
residents and employees of various institutions.
In Figure 4, stars indicate locations of buildings
(4) where deformations occurred and vibration was
felt during pile driving, based on the evidences and
opinion polls. Based on that, the minimum affected
area (shown as a dashed line) was outlined.
It can be seen that the area of dynamic load
impact from pile driving during construction could
cover the soil mass below the slope edge. Moreover,
deformations in buildings and structures are more
severe in areas where soils are softer and oversatu-
rated with water (along the slope, the thickness of
Quarternary deposits is higher).
Unfortunately, for the site under consideration,
the analysis of possible impact from pile driv-
ing on development of landslide processes was
conducted only after the accident. If geotechni-
cal engineers had been engaged at the design
stage, there would not have been any negative
consequences.
159

Figure 4. Minimum area affected by pile driving based
on an opinion poll of local residents and employees of
various institutions (shown as a dashed line). The edge of
the landslide slope is shown as a line with triangles.
2 CONCLUSION
Based on the above, it can be concluded that cur-
rently there are no regulatory documents in the
Russian Federation that would regulate allowable
distances from dynamic load sources to slopes with
a risk of a landslide.
Available national and international methods
allow assessing the dynamic load impact on build-
ings and structures only, and their applicability in
studies of slope stability is rather limited.
To eliminate development of landslide processes
on the Volzhsky hillside in Ulyanovsk, it would have
been appropriate to engage geotechnical engineers
to solve the issue. Such necessity should be clearly
stated in construction rules and regulations.
REFERENCES
Buachart C. & Hansapinyo C. 2018. Analysis of dynamic
response of axially loaded pile using nodal exact finite
element model. IOP Conference Series: Materials Sci-
ence and Engineering, 431 (11): 112010.
Dong J., Wu Z.-H., Li X. & Chen H.-Y. 2018. Dynamic
response and pile-soil interaction of a heavy-haul
railway embankment slope reinforced by micro-piles.
Computers and Geotechnics, 100: 144–157.
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Kuras P. 2015. Surveying techniques in vibration meas-
urement. 6th International Conference on Experimen-
tal Vibration Analysis for Civil Engineering Structures,
EVACES 2015; Dubendorf, Zurich; Switzerland,
19–21 October 2015; MATEC Web of Conferences,
24: 02004.
Lashova S.S. 2016. Prevent harmful vibrations caused by
vibro piles. Modern Scientific Researches and Innova-
tions, 7 (63): 104–109.
Latypov A., Zharkova N. & Nuriyev I. 2016. Landslide
hazard assessment in city under construction Innopo-
lis (Russia). IOP Conference Series: Earth and Envi-
ronmental Science, 33 (1): 012042.
Lee J.K. 2018. A unified model for analyzing free vibra-
tion and buckling of end-bearing piles. Ocean Engi-
neering, 152: 17–25.
Liao G. & Lai X. 2018. Analysis of coupling vibration
characteristics of electrically driven pile hammer
linkage system. Journal of Vibroengineering, 20 (5):
2212–2224.
Osthoff D. 2018. Metrological observation of vibratory
driving of steel sheet piles [Messtechnische Begleitung
des vibrierenden Einbringens von Stahlspundwand-
profilen]. Geotechnik, 41 (19): 84–98.
Pal A.S. & Baidya D.K. 2018. Dynamic analysis of pile
foundation embedded in homogeneous soil using cone
model. Journal of Geotechnical and Geoenvironmental
Engineering, 144 (8): 06018007.
Sidorova A.I., Voznesensky E.A. 2010. Estimation of
additional foundation settlements caused by dynamic
loading in urban areas. Acta Geophysica, 58 (1):
126–142.
Strokova L.A. & Teterin E.A. 2016. Identification and
assessment of geohazards affecting pipelines and
urban areas. IOP Conference Series: Earth and Envi-
ronmental Science, 43 (1): 012051.
Sudnik V.A. 2011. Assessment of the impact from vibra-
tions caused by pile driving on neighboring structures.
Dvoyniye Tekhnologii, 3 (56): 52–54.
Vasilev Yu.P., Denisenko V.V., Pelipenko E.Yu. 2014.
Influence of piling on the swing structures existing
buildings. Scientific Works of KubSTU, No. 1.
Zharkova N. & Latypov A. 2014. Regularities of slope
processes forming on the “Kazan” ski complex area
(Russia). International Multidisciplinary Scientific
GeoConference Surveying Geology and Mining Ecology
Management, 2 (1): 755–760. Albena: SGEM.
Zhussupbekov A.Zh., Omarov A.R., Lukpanov R.E.,
Zhukenova G.A., Tanyrbergenova G.K. 2016. Analy-
sis of effect of pile driving on the existing foundation
(vibration monitoring) PNRPU Bulletin. Construction
and Architecture, 7 (1): 131–138.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0
Hardening of clay soil under compression
P.A. Lyashenko
Kuban State Agrarian University, Krasnodar, Russia
V.V. Denisenko
Kuban State Technological University, Krasnodar, Russia
ABSTRACT: Soil hardening is estimated according to resistance increments. The content of loosely
bound water increases under compression. This fact causes soil hardening.
1 INTRODUCTION
Soil hardening is usually considered using uniax-
ial compression and shear, where the phenomenon
manifests most obviously. The resistance incre-
ment in a sample per unit of the axial deformation
(or shear deformation) increment increases, which
indicates soil hardening (Ter-Martirosyan 1990).
Detailed analysis of the phenomenon in physical
models points to the ambiguity of results, as defor-
mation can be accompanied by both hardening
and softening, as well as to the influence of soil
heterogeneities and choice of the sample testing
method (Matthews 1988, Vallejo 1989). Therefore,
it is necessary to take into account microstructure
features.
With triaxial compression in a compression
machine, “shear deformations develop simul-
taneously with volumetric deformations”
(Ter-Martirosyan & Ter-Martirosyan 2013), there-
fore, hardening and softening are inherent to this
type of soil test. Biaxial compression of a soil sam-
ple in a model experiment generates shear and sep-
aration cracks, which can be observed visually and
provide a complex picture of deformations devel-
oping with the increase of external load (Reches
1986). In this case, new cracks form in soil, and the
old ones expand or close.
It is obvious that the influence of heterogenei-
ties on boundary conditions, in this case, can be
taken into account only as a cooperative reaction.
It is known (Pokrovsky 1937) that loading of
a sample “with a very low constant speed” or
long-term observation of creep allow obtaining
modification of conditions at its boundaries,
determined by the soil microstructure (Pokrovsky
1937, Ter-Stepanyan 1988). Upon loading, the rate
of pressure increase or the rate of deformation
increase can be constant.
161
The purpose of the study is to identify the effect
of clay soil hardening in an experiment with sam-
ple compression.
2 CYCLICAL NATURE OF THE
DEFORMATION RATE AT EVER-
INCREASING LOADING
In the present paper, a method of compression test-
ing with a constant rate of pressure increase on the
sample and continuous measurements of its settle-
ment was used. As a result, an array of “pressure/
settlement” data pairs was obtained. Each value
can be used as an independent variable during
processing since both of them increase monotoni-
cally. When analyzing changes in deformation, it
is convenient to consider it as a pressure function.
When assessing soil hardening, it is convenient to
consider sample resistance to compression in a
deformation function.
The tests were carried out using AKP-6 N and
USG-A automated instruments designed by V.V.
Denisenko. Let us review a test of silty-clay loam
with a plasticity index of 14 (hard consistency) at
ever-increasing loading p = Bp x t, where Bp is the
rate of axial pressure increase, t is time from the
beginning of loading, and continuous observa-
tion of sample settlement. The axial pressure was
applied at the rate Bp = 0.208 kPa/min and registered
in axial deformation increments δs = 0.005 mm
(Lyashenko et al. 2016, Lyashenko & Denisenko
2018).
According to results of the test, axial deforma-
tion of the sample increases stepwise, where the
step size ∆s ≥ δs, and the deformation rate f = δs/δp
changes cyclically (Fig. 1). The length of the defor-
mation cycle along the pressure axis ∆p = ∆pe + ∆pr,
where ∆pe is the length of the descending branch,

Figure 1. Soil sample settlement and settlement rate
upon compression at ever-increasing pressure.
and ∆pr is the length of the ascending branch of
the cycle. Let us consider the deformation incre-
ment on the descending branch ∆se as the elastic
part of deformation in the cycle, and the increment
on the ascending branch ∆sr – as the plastic part
(Lyashenko & Denisenko 2018).
Maximum fmax and fmin minimum values of the
deformation rate decrease, in general, with the
pressure increase (Fig. 1). They serve as markers
for determination of deformation cycles and their
parts: the elastic part on the ∆pe branch and the
plastic part on the ∆pr branch.
Let us present the determined pressure incre-
ments in the form of dependences on sample
deformation, considering those as increments of
its resistance at specified deformation: ∆pe = G (s)
and ∆pr = H (s). Both dependences have common
features:
1. they are cyclical: G (s) forms ge cycles (shown as
a dashed line in Fig. 2), H (s) forms hr cycles;
2. the resistance increment Gmin at the end of the
ge cycle becomes greater than at the beginning,
the resistance increment Hmin at the end of the
hr cycle becomes greater than at the beginning,
with the deformation s increase, which indicates
soil hardening;
3. ge cycles and hr cycles form in antiphase, i.e. the
increase in increments ∆pe is accompanied by the
simultaneous decrease in increments ∆pr, and
vice versa. However, the lowest values of both
increase with the sample deformation increase
almost equally, pointing to the common cause
behind hardening.
Hardening can be estimated numerically by cal-
culating the increase in the resistance increments
162
Figure 2. Dependences between increments of elas-
tic and plastic resistances and sample compression
deformation.
per unit of compression (settlement) deforma-
tion of the sample. Compression tests of 18 types
of soils with a plasticity index from 7 to 26 pro-
vided the following values of hardening: from 0 to
18 kPa/mm for ∆pe and from 0.3 to 13 kPa/mm for
∆pr (Lyashenko & Denisenko 2018).
The increments of deformation work
density per unit of sample settlement were
also calculated. Their values lie in the range of
105–580 μJ/mm2/mm for elastic deformation and
in the range of 113–590 μJ/mm2/mm for plastic
deformation.
3 SOIL COMPONENT CONTENT
Bound water determines both elastic resistance
of contacts and viscous friction upon sliding of
clay microaggregates through micropores (Osipov
2013, Osipov & Sokolov 2013, Zlochevskaya 1969,
Sillivan & Steel 1978). Its role in those processes has
not been studied sufficiently due to complexity of
measuring mechanical parameters of the microstruc-
ture (Israelachvili & Adams 1978, Marčelja & Radič
1976, Osipov 2012, Zlochevskaya 1969), as well as
limitations of analytical models (Bondarik et al. 1975,
Kulchitsky & Usyarov 1981, Osipov 2016).
The increment of sample deformation work ∆Ae
on the ascending branch of the ge cycle reflects
elastic resistance of contacts, on the descending
branch—release of elastic energy in generation of
separation cracks. In this case, the number of elas-
tically deformed contacts on surfaces of the cracks
formed during separation decreases, which gener-
ates the descending branch of the ge cycle.
The increment of sample deformation work
∆Ar in the hr cycle reflects changes in work of
visco-plastic deformation in micropores. On the
descending branch of the hr cycle, resistance to
viscous flow decreases due to the decrease in the
rate of viscous sliding of microaggregates through
micropores. On the ascending branch of the hr
cycle, the rate of viscous sliding and resistance in
the micropore increase sharply at the moment of
separation cracks’ generation.
Those phenomena are registered in experiments
due to a cooperative reaction of contact groups
on heterogeneities of the soil microstructure: the
largest pores and the largest grains of non-clay
minerals (Lyashenko & Denisenko 2018). Soil test-
ing with ever-increasing pressure and continuous
observation of sample deformation allows measur-
ing this reaction.
Let us introduce the ratio of elastic work of
deformation kA = ∆Ae/∆Apl, where ∆Ae and ∆Apl
are increments of the unit (per volume unit of the
sample) work of elastic and plastic deformation in
the ge cycle and hr cycle, respectively, at the same
value of deformation. Let us assume that elastic
deformation is determined by elastically deform-
ing strongly bound water on the surface of mineral
particles, and visco-plastic deformation is deter-
mined by loosely bound water in micropores. Let
us assume as well that the volume content of water
involved in plastic deformation qpl is proportional
to the sum of the volume contents of mineral par-
ticles qss and elastically deforming water qe:
q pl = kA (qss + qe ) (1)
and the volume content of elastically deforming
water is proportional to the volume content of
mineral particles:
qe = (1 − kA ) qss (2)
Taking into account that the volume content
of the soil skeleton is determined through active
porosity n, and adding the following obvious
correlation:
1 − n = qss + q pl + qe (3)
we obtain from equations (1)–(3) equations for
calculating the volume content of mineral parti-
cles qss, elastically deforming water qe and water
involved in visco-plastic deformation qpl:
(1 − n )
qss = (4)
2 + kA − kA2
(1 − kA )(1 − n )
qe = (5)
2 + kA − kA2
2 kA (1 − kA ) (1 − n )
q pl = (6)
2 + kA − kA2
163
Figure 3. Dependences between volume phase contents
and sample compression deformation.
According to the calculations by equations
(4)–(6) for sample No. 74, with the increase of
compression deformation, the volume content
of mineral particles qss slowly increases, and the
volume content of water involved in visco-plastic
deformation qpl increases faster than qss (Fig. 3).
Therefore, we can argue that the qpl increase rep-
resents a determining factor for soil hardening.
Indeed, convergence of microaggregates at the
qss increase causes free water squeezing-out and
contributes to involvement of a larger volume
of loosely-bound water in their interaction. The
width of the micropores decreases and the viscous
resistance to sliding of microaggregates increases.
The volume content of elastically deforming
water qe decreases at first due to the loss of a part
of elastic contacts in separation cracks’ generation.
However, further compression of the sample pre-
vents such cracks from being developed in soil, and
the value qe stabilizes (Fig. 3), which reflects the
conservative nature of strongly bound water.
4 PHENOMENON OF SOIL HARDENING
Soil compression leads to its hardening, which can
be used in calculating foundation base resistance.
Compression testing with a constant rate of pres-
sure increase and continuous monitoring of settle-
ment showed that hardening and softening were
concurrent in loading and could be measured by
the minimum values of resistance increments cycli-
cally changing with the settlement increase.
According to the results of the same experiment,
the content of different phases in soil was meas-
ured and it was found that bound water involved
in visco-plastic deformation was a determining
factor of hardening and a common cause behind
the increase of both the elastic and plastic parts of
sample resistance.
Loosely bound water interacts with mineral par-
ticles less strongly than elastically deforming water.
It offers viscous resistance to microaggregates’
sliding through micropores. Resistance to micro-
aggregates’ sliding determines hardening both in
generation of shear and separation cracks, and
movement through shear cracks already formed.
This fact was reflected in the proximity of the
curves of elastic and plastic resistance increments.
With the increase of the average stress in the
soil sample, the width of the micropores decreases,
therefore, the viscous resistance to microaggre-
gates’ sliding increases, which is registered as hard-
ening of the sample.
Soil at the foundation base is always in a com-
plex stress-strain state. The proposed method
allows evaluating not only base hardening but also
distribution of the content of different soil phases
in it, mainly bound water.
REFERENCES
Bondarik, G.K., Tsareva, A.M. & Ponomarev, V.V.
1975. Texture and deformation of clay soils. Moscow:
Nedra.
Israelachvili, J.N. & Adams, G.E. 1978. Measurement
of forces between two mica surfaces in aqueous elec-
trolyte solution in the range 0–100 nm. Journal of the
Chemical Society, Faraday Transactions 1: Physical
Chemistry in Condensed Phases 74: 975–1001.
Kulchitsky, L.V. & Usyarov, O.G. 1981. Physics and
chemistry of clay rocks properties formation. Moscow:
Nedra.
Lyashenko, P.A. & Denisenko, V.V. 2018. Studies of soil
using the method of ever-increasing loading. Krasn-
odar: Kuban State Agrarian University.
Lyashenko, P.A., Denisenko, V.V., Shmidt, O.A. &
Gohaev, D.V. 2016. Hardening and softening of clay
soil. Polythematic Online Scientific Journal of Kuban
State Agrarian University 06 (120).
Marčelja, S. & Radič, N. 1976. Repulsion of interfaces
due to boundary water. Chemical Physics Letters 42
(1): 129–130.
164
Matthews, M.C. 1988. Engineering application of direct
and simple shear testing. Ground Engineering 21 (2):
13–21.
Osipov, V.I. 2012. Density of clay minerals. Soil Mechan-
ics and Foundation Engineering 48 (6): 231–240.
Osipov, V.I. 2013. Physico-chemical mechanics of clay
soils. In: Wu, F, & Qi, S. (eds.), Global View of Engi-
neering Geology and the Environment — Proceedings
of the International Symposium and 9th Asian Regional
Conference of IAEG, 35–40.
Osipov, V.I. 2016. Friction and cohesion as multifaceted
factors of soil shear resistance. Soil Mechanics and
Foundation Engineering 53 (3): 143–151.
Osipov, V.I. & Sokolov, V.N. 2013. Clays and their proper-
ties. Moscow: GEOS.
Pokrovsky, G.I. 1937. Studies on soil physics. Moscow,
Leningrad: Department of Scientific and Techni-
cal Information, Editorial Office of Construction
Literature.
Reches, Z. 1986. Networks of shear faults in the field and
in experiments. In: Jaeger, Z. & Englman, R. (eds.),
Fragmentation, Form and Flow in Fractured Media,
Proceedings of the F3 Conference Held at Neve Ilan
(Israel), 6–9 January, 1986, 42–51.
Sillivan, D.E. & Steel, G. 1978. Structure of a simple fluid
near a wall. I. Structure near a hard wall. The Journal
of Chemical Physics 69 (12): 5420–5459.
Ter-Martirosyan, Z.G. 1990. Rheological param-
eters of soils and design of structure bases. Moscow:
Stroyizdat.
Ter-Martirosyan, Z.G. & Ter-Martirosyan, A.Z. 2013.
Rheological properties of soil subject to shear.
Soil Mechanics and Foundation Engineering 49 (6):
219–226.
Ter-Stepanyan, G.I. 1988. A phenomenon of the step-
wise rearrangement of soil structure at deformation.
Inzhenernaya Geologiya 3: 11–26.
Vallejo L.E. 1989. Fissure parameters in stiff clays under
compression. Journal of Geotechnical Engineering 115
(9): 1303–1317.
Zlochevskaya, R.I. 1969. Bound water in clay soils.
Moscow: Publishing House of the Moscow State
University.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Experimental studies of soil base deformations under the model

of flexible bottom of steel vertical tanks

R.A. Mangushev, V.V. Konyushkov, R.A. Usmanov & V.M. Kirillov

Saint Petersburg State University of Architecture and Civil Engineering, St. Petersburg, Russia

ABSTRACT: The article presents the criteria for evaluating uneven settlements of the bottom of steel
vertical cylindrical tanks proposed by different authors. The technique of tray and field experiments with
the flexible ring plate as a model of the bottom of loaded steel reservoirs is presented and substantiated.
The results of the tray and field experiments with the use of the flexible ring plate undergoing uniformly
distributed load by various pressures are presented. Deformation ratios of the edge and center of the flex-
ible ring plate with uniformly distributed load are obtained and the results are compared with materials
of other researchers.

Keywords: steel vertical cylindrical tanks, flexible plate, bottom deformations, tray experiment method-
ology, field experiments, experimental dependences

1 INTRODUCTION Table 1. Permissible magnitudes settlements bottoms

center and edge.
Steel vertical cylindrical reservoirs (SVR) used to
store water, petroleum products and other liquids Source Suggested criterion
are specific industrial facilities related to spatial Rinn, J. (1963) W ≤ D/45 (W – movement of
solid metal thin-walled structures made in the form the bottom center; D – tank
of cylindrical shells. Their feature is that the mass diameter)
of the payload is one and a half orders greater than Hayashi (1973) Bottom (in case of total settle-
the mass of the reservoir structure. ment S): S ≤ d/51
Another feature of such thin-walled structures Huber (1974) Bottom (in case of local settle-
is great flexibility of their bottoms, which receive ment): d/13 ≤ S ≤ d/8
significant deflections when loading. To assess the (Here d – tank diameter)
uneven bottom settlements, the most commonly Langveld, J.M. (1974, W ≤ d/44 (W – bottom center
used criteria are the bottom deflection f, deter- 1978) movement; D – tank
mined by the difference between the settlement in diameter)
the center of the tank and the minimum settlement Clark, J.S. (1971) f /D ≤ 1/360
along its perimeter and the relative deflection f/D, Penman, A.D.M. (1975) f /D ≤ 1/40
where – D is the diameter of the reservoir. Herber, K.H. (1955) f /D ≤ 1/45
Numerous researchers have proposed various Rosenberg, R., Zherno, f /D ≤ 1/45
N.L. (1982)
and highly contradictory ratio values of permis-
Greene, P.A., Hait, D.V. f /D ≤ 1/50
sible dependences between the center and the edge (1975)
settlements of steel vertical cylindrical tanks. Konovalov, P.A., f /D ≤ 1/20
Table 1 systematizes and presents the proposed Mangushev, R.A.
requirements for the permissible magnitudes of et al. (2009)
the uneven center and edge settlements of the Klepikov (1989) S < 0.004D – small-size tanks;
bottom. S < 0.008D – large-size tanks
As can be seen from Table 1, most often, per-
missible values are recommended for the relative
deflection of the bottom and it can be calculated Table 2 shows the values of deflections permit-
and predicted in advance. Therefore, it is recom- ted for tank bottoms, provided in the regulatory
mended by many regulatory documents on tank documents of a number of countries (Konovalov
design as the main criterion. et al. 2009).

165
Table 2. Values of deflections permitted for tank
bottoms.
Country Relative deflection, f /D
The Federal Republic of 1/5
Germany (DIN)
The United States of America 1/45
(Shell)
The United States of America 1/44
(Exxon Mobil)
Typical tank design (SVR) 1/200
(Russia)
Great Britain (BS-2654) 1/50
In practice, vertical deformations of the edge
part of the tank bottom are monitored by the
method of geodetic measurement of the settlement
of the lower part of the reservoir wall. Measuring
the center of the bottom, as in the process of filling
and emptying it, is extremely difficult and practi-
cally not conducted.
In this case, the question of the experimental
study of vertical deformations (settlements) of the
soil base under the center and edges of the flex-
ible bottom of SVR tanks and the establishment
of a relationship between them is of interest. Due
to the complexity of conducting such experiments
on exploited tanks, studies were conducted on a
reservoir model—a flexible ring plate.
2 TRAY AND FIELD EXPERIMENTS
METHODOLOGY USING A FLEXIBLE
RING PLATE
The field experiment conducted on the experimental
reservoir with a volume of 20,000 m3 (Mangushev
& Sotnikov 1981) due to a number of organiza-
tional and technical difficulties did not allow to
answer one of the main questions about the set-
tlement values of the reservoir center in relation to
edge-center settlements, i.e. about the possibility
of applying theoretical solutions. The availabil-
ity of such data would allow a fairly reasonable
approach to the development of a reservoir settle-
ment determination method.
For this purpose, an installation was designed
and manufactured (a flexible ring plate simulat-
ing the operation of the tank bottom under load),
which is a steel cylindrical shell with a diameter
of 1,000 mm (1.5 mm sheet thickness), reinforced
with vertical stiffening ribs from a 30 × 30 mm
angle bar.
A plate of 2 mm thick vacuum rubber, tightly
attached to the cylinder machines with the help of
flanges and bolts, served as a bottom. In the top
166
cover of the cylinder, made of 5 mm thick steel
sheet, a rectangular inspection window was made,
which was hermetically closed with the help of
bolts and a 20 mm thick plexiglas plate.
Vertical displacements of the base were meas-
ured with the help of 9 metal rods, free-standing
on the rubber diaphragm (bottom) and connected
to the deflection gauges with a 0.2 mm thick invar
wire. Each rod passed through 2 coaxial holes,
made in steel plates and attached to the wall of the
cylindrical shell.
Deflection gauges, made of ICh-10 type indica-
tors, were attached to these plates with a scale divi-
sion of 0.01 mm. The arrangement of rods inside
the experimental installation is shown in Figure 1.
Readings from deflection gauges were taken
visually through the inspection window. The crea-
tion of a uniformly distributed pressure over the
area of the rubber membrane was carried out with
the help of compressed air from the CO-7 type
compressor.
For this purpose, nozzles were welded to the
wall of the steel shell for supplying compressed
air and installing an exemplary pressure gauge of
0.6 MPa. For the perception of reactive forces from
the base when it was loaded with a uniformly dis-
tributed load, a stop was placed on the plate cover,
which was a trefoil-welded I-beam with a support
platform in the center and with vertically movable
threaded rods on each trefoil branch.
A hydraulic jack with a carrying capacity of
12 tf, fitted with a 60 MPa pressure gauge, was
installed on the support platform. The jack recov-
ered reactive forces from the base through a rigid
support and in turn transferred it to a stop bar.
The jack was calibrated in increments of 100 kgf.
Based on the calibration results, the graph of pres-
sure gauge readings was made depending on the
applied load.
Vertical displacements of the flexible plate walls
were measured at three points on the upper cyl-
inder cover by three PAO-6 deflection gauges. In
addition, the misalignment of the installation dur-
ing the loading was recorded by 3 contact sensors
with remote light bulbs, which lighted up when the
Figure 1. Layout of rods inside the experimental instal-
lation. 1 – metal rods; 2 – guide plates; 3 – inspection win-
dow; 4 – Aistov’s deflection gauges; 5 – rubber bottom.
lower flange of the shell was detached from the
base.
The above experimental installation made it
possible to test the soil with uniformly distributed
load acting on a round flexible loading area with
simultaneous measurement of the settlement in
the center and at the edges. Such tests were carried
out in laboratory conditions in a large-dimension
tray and in field conditions on a specially equipped
experimental site.
3 TRAY MODEL TEST METHODOLOGY
Tray laboratory tests were carried out in a rein-
forced concrete tray with dimensions of 3 × 3 m
and a height of 3 m. Fine air-dry quartz sand was
used as the base under a flexible ring plate. The
granulometric composition of the sand is pre-
sented in Table 3.
Before each test, the sand was poured in layers
within a depth of 120 cm. The density uniformity
was checked by the penetration method.
Before installing the plate in the tray, before
each test, the determination of the sand deforma-
tion modulus was carried out by a rigid ring plate
of 600 cm2 according to Russian GOST−12374.
The load was transferred by the force of the jack,
rested on the carrier beam, in 25 kPa increments.
The plate settlement was determined by three
PAO-6 deflection gauges, mounted on a fixed ref-
erence beam.
The sand deformation modulus according to
the results of tray tests was 12–17 MPa.
Before installing the flexible plate, the sand sur-
face was carefully leveled with the frame, and the
horizontal positioning of the sand was checked
with a hydraulic level. After removal of the frame
and installation of the plate, the movable rods
and deflection gauges were mounted inside the
cylindrical shell through the inspection window,
and then the glass was installed and sealed. When
installing the stop knot on the plate cover, the sup-
port platform was placed horizontally with the
help of screw rods. The horizontality was checked
with the level. A jack was installed on the platform,
and its rod was unscrewed before the contact with
the support beam (Fig. 2).
To measure vertical displacements of the soil
surface near the plate, surface marks were set at
Table 3. The granulometric composition of the sand.
Diameter of 2.0–1.0 1.0–0.5 0.5–0.25 0.25–0.1 0.1
particles, mm
Content of 0.25 0.85 9.35 89.2 0.35
fractions,%
167
Figure 2. Scheme of the tray experiment on the installa-
tion with the flexible ring plate that simulates the bottom
of the tank during loading. 1 – compressor; 2 – reference
beam with dial gauges; 3 – deflection gauges; 4 – stop
bar; 5 – hydraulic jack with pressure gauge; 6 – stop with
threaded rods; 7 – flexible plate installation.
distances of 1.1; 1.2; 1.3; 1.4; 1.5; 2.0 radius from
the center of the plate. The surface mark was a ver-
tically mounted cylinder made of rod steel with a
diameter of 20 mm and a height of 70 mm with a
support platform equipped with three vertical legs
for stability of the installation in the ground. Verti-
cal movements of surface marks were recorded with
ICh-10 indicators fixed on the reference beam.
After installing the plate and mounting the
measuring instruments, zero counts were taken
and the compressor was connected.
The pressure in the plate reservoir was supplied
through the receiver reservoir in 10–20 kPa incre-
ments. Instrument readings were taken by two
observers simultaneously immediately after the
application of the load and every 5 minutes. Expo-
sure of each load increment continued until the
deflection gauges inside the plate showed a move-
ment of less than 0.01 mm in 5 minutes, which was
taken as the conditional moment of stabilization.
After that, the next load increment was applied.
The maximum pressure in one of the experi-
ments (experiment 1) in the tray experiments was
140 kPa, in the other four ones – 100–120 kPa.
The data obtained during the experiments were
recorded in the journal, where the values of pres-
sure levels inside the plate, the magnitude of the
reactive forces from the base, the readings of the
pressure gauges, the deflection gauges and the indi-
cators were noted. Totally, the observations were
made using 22 instruments.
The conducted tray experiments allowed work-
ing out the method of testing soils with a flex-
ible ring plates, making changes in its design and
obtaining data on the vertical displacements of the
soil surface under the plate and near it.

4 FIELD MODEL TEST METHODOLOGY

For experimental field work, a site was chosen in

one of the districts of St. Petersburg, where a tank
farm of the second stage of CHPP-5 would be con-
structed in future. This area is characterized by the
occurrence of silty loam and sandy loam surface
layers. Glacial dusty loams with gravel and pebbles
(moraine) lie beneath these layers. Table 4 shows
the average (normative) values of the specific grav-
ity and deformation modulus of the main soils that
compose the site.
To create a system for applying the load to the
plate, 4 nine-meter-high reinforced concrete piles
with a section of 30 × 30 cm were driven into a
rectangle measuring 5.0 × 3.5 m. 2 metal traverse
beams of I-beam No. 45 were fixed on the piles.
6 reinforced concrete columns with a total weight
of about 200 kN, laid on both sides of the beams,
were used as the weights. The layout and general
view of the site are shown in Figure 3.
The distance between the piles was chosen
so that the piles did not affect the results of soil
testing with the flexible plate provided that it was
located under the middle of the beam. The pres-
ence of two traverse beams made it possible to Figure 3. Scheme (a) and general view (b) of the field
carry out experiments with a double replication model experiment at the installation with the flexible
on an unconsolidated base. The fixing unit of the ring plate: 1 – reinforced anchor piles; 2 – stop bar; 3 –
beam to the pile head and the laid weights ensured hose from the compressor; 4 – reference system with dial
the immobility of the traverse beams. gauges; 5 – flexible plate installation; 6 – weights.
When constructing the reference system for
attaching measuring indicators, the possibility of
influencing the soil surface deformations from plate Before installing the plate on the site, the plant
loading was taken into account. To prevent this, the layer was removed, the surface of the soil was care-
pile anchors of the reference system were placed at fully planned, and the horizontal position of the
a distance of 1.5–2 m from the walls of the plate. site was checked by the level. To ensure the contact
of the rubber membrane with the ground, fine sand
was poured on the surface in a 5–10 mm thick layer
Table 4. Table of normative values of the specific grav- and marking was made for the installation of the
ity of the deformation modulus of the main soils at the plate and surface marks. Measurements of soil sur-
site of the second stage of CHPP-5 construction. face movements were made up to half the radius of
Name of soil, layer Bulk mass Total deformation 0.1R and at distances R and 2R from the plate wall,
No thickness (m) kN/m3, γ modulus, E where R is the radius of the plate; the measurement
was duplicated for some control marks. In the field
1 Lake-glacial loam 1.99 8 experiment, the same instruments and aids were
with plant residues used as in the tray tests.
1.5–2 m The load application was carried out in the same
2 Linear lake-glacial 1.90 6 way as in the tray tests, in 20 kPa increments from
loam, 0.5–1.0 m 0 to 140 kPa. The condition in which the maximum
3 Foliated pulverescent 2.04 20 movement of any of the measuring rods inside the
sandy loam, 2–3 m
plate was less than 0.01 mm in 15 minutes was
4 Glacial loam with 2.07 30
taken as conditional stabilization.
gravel and pebbles,
10–14 m Experiments 6 and 7 were carried out on a non-
compacted (natural) base with a maximum load of

168
140 kPa. Experiments 8 and 9 were conducted on The dotted line shows the theoretical diagram
the same bases, but already compacted by previous of the relative deformations of the soil surface
experiments. The maximum load in these cases did under the action of vertical uniform pressure influ-
not exceed 100 kPa. encing the area of the circle.
When comparing the graphs, it is noteworthy that
with increasing pressure, the curve characterizing
5 RESULTS OF THE CONDUCTED the measured displacements of the soil surface in
EXPERIMENTS WITH THE FLEXIBLE relative coordinates falls below the theoretical one,
RING PLATE and starting with pressure p = 60–80 kPa and above,
the nature of the relative position of the experimen-
The carried out experimental work allowed us to tal and theoretical curves changes slightly.
obtain a qualitative picture of the distribution of This is more convincingly seen in the graphs pre-
the soil surface deformations under a flexible ring sented in Figure 5, where the dependences of the
plate and around it at various values of uniformly edge-center settlement ratio of the flexible ring plate
distributed pressure acting across its area. depending on the magnitude of the applied pressure
In general, the results obtained are consistent for each of the 5 tray tests carried out are given.
with the theoretical concepts: larger displacements
were observed under the central part compared
with the edges of the plate, the shape of the sub-
sidence crater near the plate was regular.
Obviously, the testing of soils with the flexible
ring plate may have prospects for determining the
deformation characteristics of soils in field condi-
tions, since in this case the plate does not penetrate
into the soil, as is the case when testing with rigid
plates; plastic deformation zones at the edges of
the plate are significantly reduced.
The latter circumstance, as the cause of error
occurrence in the field determination of the
deformation modulus, was noted by Cherkasov
Figure 4. Diagrams of averaged relative displacements
(Cherkasov 1976). The use of the flexible ring plate along the radius of the flexible ring plate at different pres-
during field experiments avoids the occurrence of sures (tray tests).
these errors. This and other issues related to the
soil testing with the flexible plate are currently little
studied and require special studies that are not part
of the objectives of this article.
In this case, we were interested in the relation-
ship between the settlement of the edge and the
center of the flexible plate with the establishment
of the relationship between them.
When processing the results of the observa-
tions, the amendment was introduced into the
measurements from the displacement of the plate
design itself as a result of the reactive forces of the
base. These movements were recorded by Aistov’s
deflection gauges (PAO-6) at each increment of the
applied load. The symmetrical arrangement of the
measuring rods according to the diameter inside
the plate made it possible to control the measure-
ments. When calculating the deformations, the
average values of 2 measurements were taken into
account at each load increment. Similar measure-
ment control was performed for surface bench-
marks outside the loading area.
Figure 4 presents the diagrams of averaged rela-
tive displacements along the radius of the flexible Figure 5. Graphs of dependencies Sk/So = f(p) for the
ring plate under the tray testing for pressure inten- tray tests with the flexible ring plate. The numbers on the
sity from 40 to 140 kPa. graph indicate the number of the experiment.

169
 From the above graphs it can be seen that, start-
ing from a pressure of 60 kPa for experiments 3, 4,
5 and a pressure of 80 kPa for experiments 1 and
2, the ratio Sk /So becomes constant. Some varia-
tion in the values obtained in the experiments is
explained by insignificant differences in the com-
paction of the sandy base, as well as by a slight
slant of the plate structure.
The Sk /So ratio in the case of the tray experi-
ments turned out to be 0.75–0.85 at p > 60 kPa.
Similar curves of dependences Sk /So = f(p) were
made based on the results of the field experiments
(Fig. 6).
It is interesting to note that in the case of an
unconsolidated base (experiments 6 and 7), these
curves turned out to be monotonously increasing,
and in the case of tests on a compacted base they
were decreasing. The decrease of the graph with the
dependence Sk /So = f(p) can obviously be explained
by the unequal compaction of the leveling layer on
the compacted base as the pressure increases. At the
same time, for all four graphs it is characteristic that
from a certain pressure value (p ≈ 80 kPa) they tend
to a single asymptote Sk /So ≈ 0,5–0,55.
In the same figure, in a processed form, we
present the results of observations of settlement
of 3 reservoirs on a large stratum of weak soils in
Sweden (S. Hansbo, 1968). In all three cases, for
tanks with different filling heights the ratio is valid:
Sκ / So ≅ const = 0, 54
which is very close to our results in the field experi-
ment with the flexible ring plate for pressures of
more than 60–80 kPa.
To describe the tank bottom settlement profile
in the radial direction, S. Hansbo recommends the
empirical formula:
S = So ( 1− 0, 463r 2 / R 2 )
Figure 6. Graphs of dependencies Sk/So = f(p) for the
field model tests with the flexible ring plate. 1–4 – numbers
of experiments; 5 – test results by S. Hansbo (1968).
Figure 7. Graph of the dependence Sm = f (So) for a
group of foreign tanks.
where R is the radius of the tank, r is the distance
from the center of the bottom to any of its points.
When r = R in the formula S = Sk , and the ratio
Sk /So is equal to the empirically determined value
of 0.54. The difference in the limiting values of
Sk /So during the tray and field experiments can
be explained by the presence of a hard underly-
ing layer (bottom of the tray) during laboratory
experiments. However, in either case, the nature of
the dependencies (Sk /So) = f(p) turned out to be
the same.
Additional evidence confirming the empirically
found ratio Sk /So = 0,54 can serve a graph of the
experimental dependence of the average settlement
(1) along the contour (Scp.) on the reservoir center set-
tlement (So) constructed by us according to litera-
ture sources (Fig. 7).
The graph shows the results of observations
during the first year of operation for a group of
foreign tanks (mainly in the UK), built on a large
layer of weak soils. Correlation processing of the
observation results allowed us to establish the lin-
ear dependence, well described by the equation:
(2)
Sm = 0, 540So + 2, 87 cm (3)
when the correlation coefficient is r = 0.909.
6 CONCLUSION
1. The performed experiments allowed obtaining
a qualitative picture of the distribution of soil
surface deformations under the flexible ring
plate and around it at various values of uni-
formly distributed pressure acting over its area.
2. The results obtained are consistent with the
theoretical ideas: larger displacements were
observed under the center compared with the
edges of the plate, the shape of the subsidence
crater near the plate was regular. Knowing the
settlement in the center, using the empirical
170
 relation (1) with an approximation sufficient for
practical purposes, one can determine the aver-
age settlement of the edge of the flexible ring
plate and vice versa.
3. The soil testing with the flexible ring plate may
have prospects for determining the deformation
characteristics of soils in field conditions, since
in this case the plate does not penetrate into the
soil, as is the case with the tests with hard plates,
and the plastic deformation zones at the edges
of the plate are significantly reduced.
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Stability of slopes under exposure to soil wetting

I.V. Manyakhin & R.A. Mangushev

Saint Petersburg State University of Architecture and Civil Engineering, St. Petersburg, Russia

ABSTRACT: The article studies and analyses characteristic geotechnical, hydrogeological, and climatic
conditions of the mountain cluster at Krasnaya Polyana settlement. The authors carried out the analysis
of changes in the slope moisture content due to precipitation infiltration into the soil (based on the results
of repeated sampling of soil monolith) after cutting the surface confining layers represented by the soil
and vegetation layer and silt-clay soil. The mechanical characteristics of coarse clastic soils with clay
fillers and silt-clay soils containing large inclusions are determined according to the DalNIIS method,
depending on the moisture content of the filler (fraction Ø < 2 mm). The influence of wetting of coarse
clastic soils with clay fillers on the design stability coefficient of the natural slope is estimated by the
method of strength reducing in Plaxis 2D program. The existing regulatory document that settles the
minimum standardized stability coefficient margin [kst] – SP 116.13330.2012 “Engineering protection of
territories, buildings and structures from dangerous geological processes” – was reviewed and analyzed.
To assess the impact of soil wetting on the stability of cut slopes, taking into account changes in moisture
content (due to precipitation infiltration), the design stability coefficients and theoretical sliding surfaces
were determined in Plaxis 2D program, and a comparative analysis was performed with the results of field
observations such as photographic recording of the slopes under consideration. The results of the study
showed the need to take into account the effects of soil wetting for slopes composed of coarse clastic soils
with clay fillers as a separate load factor in a subtropical climate.

Keywords: coarse clastic soil with clay filler, precipitation infiltration, moisture volume, wetting effect,
design stability coefficient, slope stability

1 INTRODUCTION The main feature of this area is the presence of

The stability of slopes, the formation and develop-
ment of landslide processes are directly influenced
by precipitation, in view of the dependence of the
physical and mechanical characteristics of soils on
the moisture content (Brandl 2010).
In the current design practice, it is customary to
perform calculations of the stability of slopes com-
posed of coarse clastic soils with clay fillers without
taking into account the influence of precipitation,
since the change in strength and moisture content
for these soils is considered insignificant.
For the first time, large-scale development of the
territory located in a subtropical climate and high-
lands in the Russian Federation was carried out
during the construction of Olympic facilities in the
mountain cluster of Krasnaya Polyana. According to
the observations results, it was found out that when
cutting the slopes to form the required slope angles
and removing surface confining layers represented by
silt-clay soil and soil-plant layers, active absorption
of atmospheric precipitation into the soil takes place,
which leads to the development of landslide proc-
esses and loss of overall stability (Manyakhin 2018).
a dispersed sediment cover, represented by coarse
clastic soils with clay fillers, characterized by sig-
nificant filtration coefficients kφ = 0.1–10 m/day,
and a large amount of precipitation. This region
is unparalleled throughout the Russian Federation
in the amount of precipitation, the average annual
number of which is 1954 mm according to observa-
tions of Krasnaya Polyana meteorological station.
The purpose of this study is to assess the impact
of moisture due to precipitation infiltration on the
stability of slopes composed of coarse clastic soils
with clay fillers in a subtropical climate. The impact
of moisture comprises the increase of specific grav-
ity, reduction of the internal friction angle, specific
adhesion and the soil deformation modulus.
The following tasks are considered:
– assessment of the change in the slope moisture
content after cutting and removal of the surface
confining layer;
– the effect of changes in soil moisture content
on the design stability coefficient of the natural
slope composed of coarse clastic soils with clay
fillers;

172
– the need to take into account the impact of soil
wetting as a separate load factor when calculat-
ing the stability of natural slopes.

2 STUDY SITE CHARACTERISTICS

To assess the change in the moisture content of

slopes and the impact of moisture on their stabil-
ity, the characteristic site of the mountain cluster
in the settlement of Krasnaya Polyana was con-
sidered. From the surface, the site is represented
by a cover of dispersed sediments: the soil-plant
layer with the thickness of up to 0.4 m is underlain
by the engineering-geological element (EGE) 2 –
loam with inclusions of crushed stone and wood, Figure 3. Site at support 5.
followed by EGE 3 and 4 – coarse clastic soil with
clay fillers alternating 34% and 21% respectively. infiltration of atmospheric precipitation during
Dispersed deposits underlay EGE 5a—clay buck- rains and snowmelt. The minimum depth of the
wheat slates. Within the bed of the stream crossing groundwater level (GWL) is 8.1 m, in some areas
the site under investigation, interlayers of igneous GWL is not opened up. Engineering-geological
and sedimentary rocks are common—EGE 6. sections for the areas of the site under investiga-
Hydrogeological conditions of the site are repre- tion are presented in Figures 1–3.
sented by the horizons of sporadic distribution in
dispersed and rocky sediments formed due to the
3 STUDY OF THE MOISTURE
CONTENT CHANGES OF THE
SLOPES AFTER CUTTING

Initial surveys on the natural slopes under study

were carried out in November and December 2010.
Since January 2011, construction of a road and
then a cableway within the site started. To form
slopes and roadbeds, natural slopes were substan-
tially cut; EGE 2 was partly removed, as well as
the soil and vegetation layer. Therefore, in order to
assess the change in moisture content, monoliths
were re-sampled at the site under study from July to
September 2013. It was established that the mois-
ture content by weight for EGE 3 increased from
5.8% to 14.5%, for EGE 4 – from 7.3% to 13.2%, for
Figure 1. Site at support 3. EGE 2 it slightly decreased from 20.7% to 20.2%.
According to the filtration coefficient, EGE 2
and 3 are classified according to GOST 25100–
2011 as weakly permeable soils at kφ = 0.09 and
0.18 m/day, respectively. EGE 4 is classified as
permeable soil at kφ = 0.35 m/day. EGE 2 mainly
consists of a silt-clay fraction, which contributes to
a greater degree of moisture absorption and reten-
tion, water saturation Sr = 0.796, is mainly at the
land surface, which also contributes to moisturiz-
ing, therefore there is no significant change in the
moisture content. For EGE 3 and 4, the situation
is reverse, the low initial moisture content is due to
the predominant content of the coarse clastic frac-
tion more than 60% compared with the clay frac-
tion, a small degree of water saturation Sr = 0.327
Figure 2. Site at support 3(1). and Sr = 0.418, respectively, and no outlet to the

173
Table 1. Physical and mechanical characteristics of EGE. the calculated total stability coefficient kst must be
greater than or equal to the value of the standard-
EGE 2 3 4 5a 6 ized stability coefficient kst, which depends on the
combination factor of loads ψ, the coefficient of
W, 20.7 5.8 7.3 12.2 1.9
g/g,% responsibility of the structure γn and the coefficient
(sample 2010) of initial data precision γd in accordance with CR
W, g/g,% 20.2 14.5 13.2 116.13330.2012. For the operational period when
(sample 2013) ψ = 1, γn: 1a – 1.25, 1b – 1.20, 2–1.15, 3–1.10 and γd = 1
W filler, 20.7 11.6 14.6 (or γd = 0,9 in accordance with CR 22.13330.2016)
g/g,% the standardized stability coefficient is defined as:
(sample 2010)
W filler, 20.2 29.0 26.4 [kst] = ψγn / γd (1)
g/g,%
(sample 2013) The standardized stability coefficient is in the
ρs, g/cm3 2.77 2.80 2.80 2.66 2.80 range of [kst] = 1.10–1.39, therefore, the maximum
ρI, g/cm3 1.94 1.98 2.01 2.11 2.14 standardized margin is 39%.
ρd, g/cm3 1.61 1.87 1.88 1.88 2.10 In order to assess the impact of soil wetting
E, kPa 26900 35600 on the calculated stability coefficient of the natu-
Esat, kPa 13300 18800 27900 50000 ral slope angle, a series of numerical calculations
cI, kPa 18.0 16.1 was performed using Plaxis 2D software by means
cI sat, kPa 11.6 4.6 4.1 150 of reducing strength of EGE 3 and 4. These lay-
ϕI,° 29.7 29.5 ers, after planning the slopes, directly fall into the
ϕI sat,° 21.7 28.5 28.8 36.9 wetting zone. The moisture content increment for
kφ, m/day 0.09 0.18 0.35 EGE 2 is insignificant and, accordingly, does not
affect the change in the stability coefficient.
The stability calculations were made for slope
surface. As a result of the exposure of the roof of angles of 25°, 30°, 35°, 40°, 45°, 50° and 55°, with
EGE 3 and 4, the intensity of precipitation infiltra- a minimum slope length of 1 m and a maximum
tion into the soil increased due to the significant length of 2000 m. The reduction in the stability
filtration coefficients, which led to an increase in coefficient kst was considered to a numerical value
moisture content. of one, that is, to the limit of equilibrium. The
Strength and deformation characteristics of results of the calculations are presented in Fig-
dispersed soils of EGE 2, 3, 4 are determined by ures 4 and 5, namely, the dependence of the stabil-
the method of DalNIIS depending on the mois- ity coefficient kst on the length, slope angle, and
ture content of the filler (fraction Ø < 2 mm). This moisture content of the filler; where, 1, 1a – 25°;
method allows assessing the strength and com- 2, 2a – 30°; 3, 3a – 35°; 4, 4a – 40°; 5, 5a – 45°; 6,
pressibility of bases from clastic-clay soils devel- 6a – 50°; 7, 7a – 55°; index “a” corresponds to the
oped on the basis of Fedorov’s research (Fedorov wetted state of the soil, index absence corresponds
1988). For EGE 5a, the strength characteristics are to the initial moisture content.
determined according to the CR 23.13330.2011 As a result of the design analysis, it was revealed
recommendations. Physical and mechanical char- that the stability coefficient kst for EGE 3 decreases
acteristics of EGE are shown in Table 1. from 6 to 69%, for EGE 4 from 5 to 64%. When
the natural slope angle is less than 25° within the
length of 2,000 m, taking into account the effects
4 STUDIES OF THE MOISTURE of moisture, the slope does not pass into the limit
CONTENT IMPACT ON THE DESIGN equilibrium state. The stability coefficient kst is
STABILITY COEFFICIENT most significantly reduced when the slope angle
exceeds 30°. The characters of the graphs consid-
As a rule, the stability coefficient kst is calculated ered above for EGE 3 and 4 are similar to each
using the method of limit equilibrium or the finite other in view of their close values of strength char-
element method from Coulomb–Mohr strength acteristics, while there is a slightly greater decrease
condition. If the estimated coefficient of the over- in the stability coefficient kst for EGE 3, which is
all stability of the slope in the natural state is kst = 1, due to the higher percentage of the clay filler.
with the main combination of loads, then the It is established that the calculated stability coef-
slope is considered stable, and no engineering pro- ficient kst of the natural slope composed of coarse
tection measures are required in accordance with clastic soils with clay filler in a subtropical climate
CR 116.13330.2012. When cutting and breaking can decrease from 27 to 69%, with slope angles
the roof of the soil, i.e. changing the slope relief, from 30 to 55°.

174

Figure 4. Dependence of kst on the length, moisture
content of the filler and slope angle for EGE 3.
Figure 5. Dependence of kst on the length, moisture
content of the filler and slope angle for EGE 4.
This effect—soil wetting—does not cover the
maximum margin of the standardized stability
coefficient [kst] equal from 10 to 39%. Therefore,
condition (2) of clause 5.2 of CR 116.13330.2012
is not met:
kst ≥ [kst] (1)
5 STUDIES OF THE IMPACT OF
WETTING ON THE STABILITY OF
NATURAL SLOPES
To test the approach of the need to take into
account the effects of wetting as a separate load
factor, let us consider the stability of the cut slopes
in situ observations and compare with the results of
numerical calculations with and without moisture.
For the site at support 3, ignoring the effect of
wetting led to an increase in the sliding surface
to the edge of the slope, on which the cableway
175
Figure 6. Sliding surface at the initial moisture content,
kst = 0.99 (Support 3).
Figure 7. Sliding surface at wetting, kst = 0.83 (Support 3).
Figure 8. Development of erosion processes (Support 3).
Figure 9. Foundation strengthening (Support 3).
support is located, which caused continuous addi-
tional settlement of the spread foundation.
In order to stabilize the foundation of support
3, it was necessary to use 12 bored Ischebeck Titan
52/26 piles, 10.5 m long and an anchoring device.
The results of the slope stability calculations are
presented in Figures 6 and 7, and the photographic
recording of the slope is shown in Figures 7 and 8.
For the site at support 5, the effect of wetting led
to a loss of slope edge stability after the cutting.
The results of the slope stability calculations are
presented in Figures 10 and 11, the photographic
recording of the slope is presented in Figure 12.
The cut area at support 3 (1) can be characterized
as stable without visible landslide processes after
the cutting, which is confirmed by the calculated

Figure 10. Sliding surface at the initial moisture con-
tent, kst = 0.99 (Support 5).
Figure 11. Sliding surface at wetting, kst = 0.67
(Support 5).
Figure 12. Loss of the slope edge stability (Support 5).
Figure 13. Sliding surface at the initial moisture con-
tent, kst = 1.42 (Support 3 (1)).
slope stability coefficient. The results of the slope
stability calculations are presented in Figures 13
and 14, the photographic recording of the slopes
during the construction and operation stages is
presented in Figures 15 and 16.
176
Figure 14. Sliding surface at wetting, kst = 1.06
(Support 3 (1)).
Figure 15. Slope at support 3 (1) at the construction phase.
Figure 16. Slope at support 3 (1) at the operation phase.
6 MAIN CONCLUSIONS
1. The increase in the intensity of precipitation
infiltration due to cutting of surface confin-
ing layer in a subtropical climate significantly
changes the moisture content of coarse clastic
soils with clay fillers.
2. The established margin of the standardized sta-
bility factor in accordance with the existing regu-
latory documents of the Russian Federation does
not take into account the impact of soil wetting.
3. Increasing the moisture content of coarse clas-
tic soils with clay fillers significantly reduces the
strength characteristics, in particular, specific
adhesion, determined by the known methods.
4. The results of the stability calculations have a
good correlation with the field observations
 and confirm the need to take into account the
effects of wetting as a separate load factor when
assessing the slope stability and developing engi-
neering protection solutions in the subtropical
climate of the Greater Sochi mountain area.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Antimudflow protection with rigid thorough structures

S.I. Matsiy & L.A. Sukhlyaeva

Kuban State Agrarian University, Krasnodar, Russia

ABSTRACT: As part of the work to protect the motorway and the industrial area from the impact of
mudflows, visual and engineering geological surveys of the mudflow dangerous gorge were carried out. The
obtained materials allowed us to calculate the characteristics of mudflows, such as type, discharge, speed
and volume. At the time of the survey, antimudflow structures of two types were built in the stream bed:
rigid thorough and solid with partial bed closure. Thorough designs are made of metal pipes of three hun-
dredth and five hundredth diameters arranged in two rows with spacing. Solid structures are also erected
from steel pipes, but installed in one row and the gaps between the elements are closed with steel plates.
On the basis of the design data of the main mudflow parameters, the analysis of the performance of the
existing antimudflow structures was made, which revealed the need to increase the amount of retained solid
matter flow. In view of the good state of the structures, recommendations were given on the reconstruction
of antimudflow structures. To prevent the edges from undermining and to increase flow retaining, it is pro-
posed to: add elements to ensure complete bed closure and dismantle the plates on solid structures, as well
as install a new rigid thorough structure. After carrying out the recommended measures, a cascade of rigid
thorough antimudflow structures will allow to fully detain the design solid matter mudflow.

1 INTRODUCTION To prevent negative consequences, a cascade

The Black Sea coast of the Krasnodar Territory has
significant economic and recreational significance
for the whole country. Both various recreation areas
and industrial centers are concentrated here, such
as seaports, factories, and bases. Intensive develop-
ment of economic activities on the coastal territory
has led to the intensification of hazardous exog-
enous processes (Baburin et al. 2014; Barinov 2013;
Volosuhin 2011; Efremov 2014; Zaporozhchenko
2014; Kazakov et al. 2013, 2014; Fedotov 2014), and
mudslides as one of the most dangerous ones. Most
often linear objects, such as highways, railways, pipe-
lines, and power lines, are at risk. On the motorways,
mudflows damage bridge supports and spans, clog
the holes in the pipes, and block the roadways with
debris. The damage includes not only the costs of
restoring the damaged structures, but also transpor-
tation downtime, disruption of cargo delivery terms,
etc. (Morozov & Krivtsov 2014; Chou et al. 2014).
One of the road sections in the area of the city
of Novorossiysk is located in the mudflow impact
zone. As a result of mudflow activity in 2012, the
drainage tunnel was covered with debris. This led
to the mudflow penetration into the territory of
the industrial enterprise, damaged the access road
and the facilities. Then, the weakened mudflow
entered the M-4 “Don” highway, where it finally
stopped, which led to a disruption in the move-
ment of vehicles in this area.
of thorough antimudflow structures was urgently
erected. However, the check of the holding capac-
ity showed that a part of the mudflow will not be
retained.
Protection from mudflows is carried out by vari-
ous structures and activities. For most mud pools,
the most efficient structures are:
• retaining (discharge and thorough dams);
• passing (mudflow check canals, chutes, bridges);
• guiding (enclosing dams, groins);
• stabilizing (cascades of dams, retaining walls,
terracing of slopes, drainage, aforestation);
• preventing (dams regulating floods, drainage
ditches on lake closing dikes).
The choice of the protection method against
mudflow effects depends on such parameters as:
composition, speed, volume, mudflow discharge;
location of structures relative to mudflow zones;
technical and economic indicators, etc. (Natishvili &
Tevzadze 2008, 2014).
2 SURVEY RESULTS
In the surveyed stream, mudslides are represented
by water-and-stone flows. Debris deposits consist
of coarse clastic material (chalky clay) and a large
amount of medium and fine clastic material with a
small amount of loamy fraction (Table 1).

178
Table 1. Granulometric composition of debris deposits.

Particle size, Content,

Soil name, d, mm d, mm %

boulder >400 28.48

block >300 25.16
>200 15.45
>100 9.46
Coarse >60 6.12
clastic >40 4.38
>20 5.94
pebbly, >10 2.49
gravel >5 2.48
gravel >2 1.02
semi-gravel >1 1.06 Figure 1. Deposits of the solid mudflow component.
large >0.50 1.05
Sands medium >0.25 0.09
fine >0.10 0.11 Table 2. The main design parameters of the mudflow.
pulverescent <0.10 0.01
The name of the Unit of
parameter Designation meas. Value
It was found out that on the slopes and in the Average mudflow velocity Vaver m/s 3,50
valley of the stream, there are stocks of friable Maximum mudflow velocity Vmax m/s 6,30
fragmental material. In the middle course, before Average mudflow depth haver m 0,88
a steep turn of the main bed, two mudslide-active Maximum mudflow depth hmax m 1,32
tributaries flow in. Due to an abrupt change in the Mudflow discharge Qc1% m3/s 38,00
direction of the flow, there is a transformation of 1% probability
small debris flows into a flood. This leads to the Mudflow volume Wc1% m3 31800
fact that the thickness of the mud deposits in this (solid and liquid phases)
area (about 600 m) can reach up to 5 m. In the Solid matter volume Wm1% m3 6900
period of heavy precipitation, deposits (Fig. 1) will 1% probability flood
serve as a source of a strong mudflow.
The main design parameters of the mudflow are
calculated according to the instructions for deter-
mining the design characteristics of rain mudflows,
taking into account regional features of mudflow
formation, and are listed in Table 2.
In the framework of the fight against emergen-
cies, a complex of work was carried out to com-
bat mudflows in the surveyed gorge. In particular,
drainage facilities were cleared and rigid mudflow-
retaining structures of two types were erected. The
first type is made of separately standing metal pipes
of large diameter, arranged in two rows in spacing
covering the entire width of the bed (Fig. 2).
The second type consists of metal pipes arranged
in one row, interconnected by plates and blocking
a half of the bed (Fig. 3). Figure 2. Rigid thorough mudflow-retaining structures
Thorough rigid mudflow-retaining structures covering the full width of the bed.
require a smaller mud pool than solid massive
mudflow-retaining structures, because they accu-
mulate only the solid component of the mudflow However, due to the low level of knowledge
and let the water pass (Takahashi 2014). This type of rigid mudflow-retaining structures, and the
of structure is easily erected and does not require scattered materials necessary for designing, the
special knowledge and skills from construction use of this type of structures is severely limited.
personnel, and as a result, it has high economic Besides, there are difficulties in verifying com-
efficiency (Jakob & Hungr 2005). pliance of already built structures (Lien 2003).

179
 Table 3. The volume of solid matter flow retained by
the existing anti-mudflow structures.

The volume of the The height

The name of solid matter flow, of the structure,
the structure m3 m

SD1 557 1.2

SD2 845 1.2
SD3 – –
SD4 1356 3.0
SD5 591 1.8
SD6 181 1.5
SD7 169 1.5
SD8 162 1.5
Figure 3. Solid rigid mudflow-retaining structures with SD9 407 0.9
partial bed closure.
Totally for SD 4268

Therefore, research work was carried out that included

the analysis of scientific literature, recommendations,
and calculation techniques. Moreover, the calculation
method was developed based on combining and sup-
plementing existing developments in this area.

3 RESULTS OF CALCULATIONS

The results of calculations of the retaining ability

of existing rigid mudflow-retaining structures are
shown in Table 3.
Figure 4 shows the longitudinal profile of the
bed when it is filled with mudflow deposits of
existing rigid mudflow-retaining structures.
According to the obtained results, the retaining
ability of the existing retaining structures to detain
the solid matter component of the mudflow is
not enough. Therefore, a project was proposed to
improve the existing cascade of thorough antimud-
flow facilities.
The designed set of measures for the reconstruc-
tion of the existing mudflow retaining structures
includes:
• SD1 – the volume of retained solid matter flow
is increased, which provides for the extension of
the structure towards the right bank and increas-
ing the number of the elements of the structure
to seven units (two units in the first row and one
in the second one). It is also planned to increase
the elements in height to the value of h = 3.0 m
above the bottom level. The added elements and
built up parts are made of metal pipes with a
diameter of 530 mm.
• SD2 – the height of the structural elements was
increased to h = 3.0 m. Built up parts are made
of metal pipes 530 mm in diameter.
• SD3 – two rows of metal pipes with a diameter
of 530 mm and a height of the elements h = 3.0 m
were designed.
Figure 4. Longitudinal profile of the bed indicating
the amount of solid matter flow retained by the existing
structures.
• SD5 – SD8 – a complete bed closure by the
structure was designed, which provides for an
increase in the number of elements. In the exist-
ing structures there are no slots between the ele-
ments, and the extendable part will be thorough.
To provide the natural discharge, it is necessary
to disassemble the plates on a solid section of
the structure to the height of the flood water
level. The elements will be built up to a height
of h = 3.0 m. The elements to be added and the
parts to be built are made of metal pipes with a
diameter of 300 mm.
• SD9 – it is designed to extend the structure
towards the right slope, which provides for an
increase in the number of elements to 28 units:
namely, seven units in the first row, and seven in
the second one. It is also planned to build up the
bar elements to the height h = 3.5 m. The added
elements and built up parts are made of metal
pipes with a diameter of 300 mm.

180
Table 4. The volume of solid matter flow retained by be adapted to the conditions of a particular area
the structures after the reconstruction. of mudflow formation. The existing developments
in the area of antimudflow structures calculation
The volume of mostly deal with certain aspects and are difficult to
the solid The height
The name of matter flow, of the structure,
apply in the project activity.
the structure m3 m

SD1 1128 3.0 REFERENCES

SD2 990 3.2
SD3 1068 3.5 Baburin, V.L., Gavrilova, S.A., Seliverstov, Yu.G., Sokratov,
SD4 987 3.0 S.A. & Shnyparkov, A.L. 2014. Anthropogenic mud-
SD5 874 3.0 flows in Krasnaya Polyana. Proceedings of the 3rd
SD6 551 3.0 International Conference “Debris flows: disasters, risk,
SD7 410 3.0 forecast, protection”. Yuzhno-Sakhalinsk: IMGG
SD8 392 3.0 FEB RAS: 101–104.
SD9 520 3.5 Barinov, A. Yu. 2013. Protection against debris flows by
means of “flexible” barriers: Sochi experience. Georisk
Totally for SD 6920 4: 56–58.
Chou H.T., Lee C.F., Huang C.H. & Yang S.L. 2014.
The monitoring and flow dynamics of gravelly debris
flows. Debris flows: disasters, risk, forecast, protection,
Proceedings of III International conference. Yuzhno-
Sakhalinsk: 65–68.
Efremov, Yu.V. 2014. Analysis of the effectiveness of
measures to protect the infrastructure from mudflows.
Georisk 3: 12–15.
Fedotov, A.P., Khachatyan, D.A., Tsybulsky, D.A. &
Khachatryan, V.D. 2014. Human activities and dam-
age from mudflows. Proceedings of the 3rd Inter-
national Conference “Debris flows: disasters, risk,
Figure 5. Longitudinal profile of the bed indicat- forecast, protection”. Yuzhno-Sakhalinsk: IMGG FEB
ing the amount of solid matter flow retained after the RAS: 225–229.
reconstruction. Jakob, M. & Hungr, O. (ed.) 2005. Debris-flow hazards
and related phenomena. Chichester: Praxis.
Kazakov N.A., Gensiorovsky Yu.V., Kazakova E.N. &
The results of the calculation of the retained Morozov G.L. 2013. Mudflow processes in the basin
of the Mzymta River (Krasnaya Polyana) and their
solid matter flow volume of the mudflow after
influence on the construction site of the Olympic
the reconstruction of the rigid mudflow retaining complex. Geoecology. Engineering Geology, Hydroge-
structures are given in Table 4. ology, Geocryology 6: 516–529.
Volumes of solid matter flow detained by the Kazakov, N.A. 2014. Anthropogenic mudflows in Kra-
structures are shown on the longitudinal profile of snaya Polyana. Proceedings of the 3rd International
the bed (Fig. 5). Conference “Debris flows: disasters, risk, forecast,
protection”. Yuzhno-Sakhalinsk: IMGG FEB RAS:
202–205.
4 CONCLUSION Lien, H.-P. 2003. Design of slit dams for controlling
stony debris flows. International Journal of Sediment
Research 18 (1): 74–87.
The reconstruction of the existing rigid mud- Morozov, M. & Krivtsov, A. 2014. Mudflows and mud-
flow-retaining structures, taking into account the flow protection. Engineering Defense 3: 50–59.
proposed recommendations, will make the most Natishvili, O.G. & Tevzadze, V.I. 2008. Determination of
efficient use of the built structures and solve the the maximum height of an obstacle, surmounted by a
problem of protecting the motorway and the area debris flow. Hydraulic Engineering 8: 23–25.
from mudflow impact. Rigid thorough retaining Natishvili, O.G. 2014. Loss of kinetic energy when mix-
structures are a simple and effective way of dealing ing mudflows. Hydraulic Engineering 5: 52–54.
with mudflows, requiring minimal intervention in Takahashi, T. 2014. A review of Japanese debris flow
research. International journal of erosion control engi-
the natural environment.
neering 2 (1): 1–14.
However, the analysis of the calculation meth- Volosuhin, V.A. 2011. Engineering protection of Olym-
ods, both mudflow parameters calculations and pic facilities from mudslides. Science and safety 1 (09):
mudflow retaining structures calculations, revealed 45–50.
some difficulties in their use. Thus, the method of Zaporozhchenko, E.V. 2014. The North Caucasus: mud-
calculating the mudflow characteristics needs to flow challenges of the 21st century. Georisk 3: 42–47.

181
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Features of calculating gravity retaining wall without assumption of

base soil liquefaction

O.P. Minaev
Admiral Makarov State University of Maritime and Inland Shipping, Saint-Petersburg, Russia

ABSTRACT: The article outlines the most important aspects and provides the main results of calculat-
ing and designing the gravity retaining wall while preventing soil liquefaction at its base during seismic
impact. A comparative analysis of the calculations for the operational case with static and dynamic loads
(seismic load) for two types of retaining walls (a reinforced corner wall with the front console and a solid
concrete wall) is presented for a wide range of retaining wall sizes and sand backfill characteristics, as well
as for different soil base conditions.

1 INTRODUCTION of the gravity retaining wall for seismic load when

The gravity retaining wall is the basic fencing struc-
ture of hydraulic facilities: berths of sea and river
ports, city embankments and structural elements
of dams and dikes (Budin 2014, Garibin & Belyaev
2014, Evtushenko et al. 2006), etc.
The gravity retaining wall contains supporting
and protective parts of the structure. The design
of the gravity retaining wall is carried out directly
on the soils of the natural base and pile founda-
tion with a low pile grillage carrying out all the
necessary calculations for bases and foundations
of various types of structures.
The basic principles, the results of calculating
and designing the natural base and pile foundation
of the gravity retaining wall for static (erection
and operational) loads are well known (Kulmach
1970, Kulmach et al. 1991), and for dynamic, in
particular seismic, loads further development and
comprehensive reflection of calculation results are
required.
The calculation of the bearing capacity and
stability of bases and foundations (based on the
calculated base pressure and the maximum bear-
ing capacity of the base and pile foundation of the
retaining wall, the stability of the retaining wall to
sliding in the plane of the wall base and determin-
ing dangerous soil base liquefaction: conditions
for the structural stability of the sandy water-
saturated base) should be carried out for the main
and particular combinations of maximum loads,
for soil base deformations (settlement, uneven
settlement—retaining wall tilt)—only for the basic
combination of loads.
The purpose of this paper is to develop a method
of calculating the natural base and pile foundation
preventing foundation soils from liquefying, as
well as performing calculations for various struc-
tural options of the retaining wall in a fairly wide
range of sizes and characteristics of sand backfill
and ground conditions at the base. Another pur-
pose is to determine the calculation and design
features of the natural base and pile foundation of
the retaining wall to the erection, operational and
seismic loads according to the results of the calcu-
lations performed.
Two types of retaining walls were considered
in the calculations: a reinforced corner wall with a
front console (type “a”) and a solid concrete mon-
olithic wall (type “b”).
2 CALCULATION METHOD AND BASIC
THEORETICAL DEPENDENCES
For carrying out calculations of the bearing capac-
ity and deformations of the retaining wall, width
b of its base must be assigned. The definition of
width b of the wall base in static load calcula-
tions is usually carried out using Zarkhi’s formula,
which has the following form:
• for type “a” wall
(1)
• for type “b” wall
(2)

182
where Ea is the lateral pressure force on the retain-
ing wall, kN; ya is the height of the lateral pressure
force application relative to the wall base, m; γcm
is the specific weight of the wall material, kN/m3;
γw is the specific weight of water; γ0 is the coeffi-
cient of influence of the wall elevation h0 above the
water area assumed to be 1 kN/m3.
In seismic load calculations, it is proposed to
apply the methodology and formulas used for
static load calculations, assuming that the dynamic
load is replaced by the corresponding static load
value, increased as compared with the initial static
load, and including it.
Taking into account this assumption in both
formulas (1) and (2), to determine width b of the
wall base, Ea and ya values shall be replaced by Eac
and yac, respectively.
From the obtained results, the largest size of
width b of the wall base is taken.
Force Ea is determined from the lateral pressure
diagram of the imposed load q and the soil on the
retaining wall. The soil lateral pressure diagram for
the operational load is constructed for a vertical plane
drawn through the rear face of the retaining wall. It
is allowed to use Coulomb dependences to determine
ordinate ea of the lateral pressure of the soil.
( )
ea q + ∑γ i yi λa , (3)
where γi and yi are the specific weight and power
of the ith backfill layer, respectively; λa = tg2
(45–ϕbackfill/2) is the active pressure (expansion)
coefficient; ϕbackfill is the internal friction angle of
the backfill.
Height ya of the application of the lateral pres-
sure resultant Ea is determined as the quotient of
dividing the static moment of the diagram area ea
relative to the mark of the wall base by the diagram
area ea. The ya value is approximately 40% (±5%)
of the total wall height H, equal to hB + ho + h3. For
the solid wall of type “b”, h3 value = 0.
When designing hydraulic structures erected in
seismic areas, it is necessary to consider separately
the seismic pressure of soil and water (in the case
when soil is located under water) on the wall under
seismic impact.
In a general case when backfill is located above
the water level and under water, it is proposed to
use the dependence to determine the lateral pres-
sure ordinate of soil and water eac
a
c (
e = q + γ w hw + ∑γ i
c
)
yi λ ,
c
a
(4)
where γic is the resultant of the specific weight
forces γi of the soil and the mass seismic force
(per unit volume); hw is water depth from the
183
groundwater level (GWL) of the backfill to the
wall base; yi is the power of the ith backfill layer;
λac is the active pressure coefficient (thrust) under
seismic impact.
eac is the ordinate of seismic pressure diagrams
for soil and free water on the surface of the wall.
eac values include both the soil pressure under nor-
mal static conditions and additional soil and water
seismic pressure on it.
The lateral active pressure coefficient eac
under seismic impact is determined by the
dependence:
cos 2 (ϕ − ε )
λac = , (5)
(1 + z ) cos ε
2
where
sin(ϕ − ε )sin ϕ
z= . (6)
cos ε
Horizontal direction of the seismic pressure of
the soil is the most dangerous pressure for hydrau-
lic structures. Ad hoc:
γi
γ ic = , (7)
cos ε
where ε = arctg 1 is the deviation angle from the
vertical of the resulting specific weight γi of the
soil and seismic force γic 1; A is the coefficient,
the values of which should be taken equal to 0.1;
0.2; 0.4, respectively, for a calculated seismicity of
7, 8, and 9 points; K1 is the coefficient that takes
into account permissible damage to buildings and
structures. For hydraulic structures K1 is assumed
to be 0.25.
When determining the lateral active pressure of
water-saturated soil on the retaining wall under
seismic impact, the weighted soil γweight should be
included in the formulas like under operational
load, and seismic force γsatur 1 should be deter-
mined from the saturated soil densityγsatur. In this
case, the angle of the resultant deviation εsatur is
determined by the formula:
γ satur
ε satur = arctg AK1. (8)
γ weight
Minaev is the first to propose to check the
structural stability of sandy soil to liquefac-
tion under seismic effects for such retaining wall
calculations.
The first detailed studies of sandy soils lique-
faction, their consolidation and dynamic compac-
tion using an explosive method were started in the
middle of the last century by professor Ivanov
in relation to the construction of large dams on
sandy foundations (Florin & Ivanov 1961, Ivanov
1980).
To identify the conditions for dangerous liq-
uefaction of water-saturated base soils under the
dynamic impact, the author of the article uses the
ratio proposed in the USA by professor Seed (Seed
& Idriss 1982), referred to as the cyclic stress ratio
∆k that relates the dynamic shear stresses τdyn from
external load and static stresses σstat in the skeleton
of the base soil, as follows:
τ dyn
∆κ = ≤ 0.6...0.65 . (9)
σ stat
Seed’s formula is universally used by foreign
(Ishihara 1996, Idriss & Boulanger 2008, Tow-
hata 2014, Kokusho 2015, Towhata et al. 2016,
Hazarika et. al. 2016, Boulanger et al. 2017) and
Russian (Stavnitzer 2010) scientists to elicit trig-
gering for base soils liquefaction in case of an
earthquake.
Taking into account the loads acting on the
retaining wall, the expression (9) when check-
ing the stability of the base soil structure directly
under the retaining wall base, is converted to:
sion cH, and elasticity modulus EH of sandy and
clayey soils, depending on the porosity coefficient
e, were determined according to the tables of rec-
ommended values.
Taking into account the soil reliability coeffi-
cient γg, the calculated internal friction angle ϕ of
sandy backfill ranged from 32° to 35°, and that of
sandy base soil—from 26° to 28°, of clayey base
soils—from 14° to 23°, when adhesion c ranged
from 4.0 to 24.9 kPa. The elasticity modulus E of
sandy backfill ranged from 30 to 36 MPa, of sandy
and clayey base soils—from 9.2 to 24.8 MPa.
The value of the imposed load q on the base sur-
face (at the coping) varied in the range from 14 to
31 kPa depending on the calculation option.
The calculations were carried out when the
construction district seismicity varied from 7 to 9
points.
The typical diagrams of the soil lateral pressure,
constructed for the vertical plane of the retaining
wall drawn through the rear face under seismic
load are presented in Figures 1 and 2.

τ dyn Eca
∆κ = = , (10)
σ stat Noper

where Noper is the vertical force under the opera-

tional load from the own weight of the retaining
wall and backfill (taking into account the weigh-
ing effect of water for the parts located below the
water level in the water area) on base soils, kN.

Figure 1. The diagram of the active lateral pressure on

the retaining wall with a height of 8.3m on stiff loams
3 BASIC CALCULATION PARAMETERS with the internal friction angle ϕ = 19° and adhesion c =
AND MAIN RESULTS 19.07 kPa at the construction area seismicity of 8 points.

The studies were carried out for retaining walls

with a height of 6.6 to 9.7 m at a water depth hw
at the embankment ranging from 4.8 to 7.5 m and
a height of the wall elevation h0 above the water
level from 1.3 to 2.2 m. It was considered that
coarse and medium sands with a specific weight
of γsoil from 17.2 to 20.5 kN/m3 and humidity W
ranging from 6 to 17% were used as backfill. The
retaining wall base is composed of water-saturated
fine (or dust) sand or clayey (sandy or loamy) soils
with a specific weight γsoil from 18.8 to 20.7 kN/m3,
sandy soil humidity W from 21 to 28%, moisture Figure 2. The diagram of the soil lateral pressure on
content of clayey soils at liquid limit WL from 0.23 the retaining wall with a height of 7.0 m on soft sandy
to 0.35 and at plastic limit Wp from 0.16 to 0.20. loams with the internal friction angle ϕ = 25° and adhesion
The values of the internal friction angle ϕH, adhe- c = 6.53 kPa at the construction area seismicity of 8 points.

184
 The calculations clarified that in order to verify
the correctness of the calculations of the lateral
pressure of the soil on the retaining wall, it is nec-
essary that the resultant Ea of the lateral pressure
of the soil under operational load is applied at a
height of about 40% (± 0.5%) of the height of the
retaining wall from its base. The calculations also
revealed that the value of the resultant Easeism of the
lateral pressure of the soil under seismic impact
significantly exceeds the value of the resultant Ea
of the lateral pressure of the soil under operational
load. At the same time, the resultant Ea seism of the
lateral pressure of the soil under seismic load is
always applied lower than the resultant Ea of the
lateral pressure of the soil under operational load,
and the height of its application is not less than
40% (−5%) of the height of the retaining wall.
The results of calculations using formulas (1)
and (2) showed that the width b of the retaining
wall with the operational load for the smallest and
greatest height of the retaining wall is from 5.6 to
8.5 m, and with seismic load bseism, increases to 7.0–
10.6 m nearly equaling the height of the retaining
wall at the construction area seismicity of 7 and 8
points or exceeding it at 9 points.
The verification of the possibility of erecting a
reinforced corner retaining wall on natural base soils
for the erection and operational (under static and
seismic load) cases from the calculated base pressure
showed that the maximum stress values σmax under
the retaining wall base in all cases do not exceed the
design pressure limit Rp on the base soils, as well as
the average stress values 0.5(σmax + σmin) of 1.2 Rp.
A similar check of the possibility of erecting a
solid concrete wall on natural base soils by design
pressure on the base showed that the maximum
stress values σmax under the retaining wall base do
not exceed the design pressure limit Rp on the base
soils, as well as average stress values 0.5(σmax + σmin)
of 1.2 Rp in some cases. In particular, in case of a
solid concrete retaining wall with a height of 7.0
and 7.1 m at construction area seismicity of 8 and
7 points when it is built on sufficiently strong base
soils, sandy loams with a standard value of the inter-
nal friction angle ϕH = 28.2° and ϕH = 26.0°and adhe-
sion = 9.8 kPa and cH = 9.3 kPa, respectively. In most
other cases, this condition is not met. Consequently,
the design resistance check of the foundation soils
showed that erection of the reinforced concrete cor-
ner wall directly on natural base soils is almost always
possible, whereas of the solid concrete retaining wall,
as a rule, is not allowed by existing standards.
At the same time, the construction of the ϕ -
isolines diagram (Fig. 3) with the selection of
plastic deformation zones at the retaining wall
base using a personal computer and OSNOVA-2
software revealed their significant distribution to
depths from 4.1 to 7.1 m.
185
Figure 3. Diagrams of ϕ -isolines of plastic deformation
zones of base soils under a reinforced corner retaining
wall with a height of 9.5 m on soft plastic loams with an
internal friction angle of ϕ = 15° and adhesion c = 11.33
kPa in its base at construction area seismicity of 9 points.
Figure 4. Anthropogenic sand cushion at the base of
the retaining wall, built on the foundation: 1 – diagrams
of ϕ -isolines with the outline of shear areas, 2 – accord-
ing to the calculation for deep shear.
The presence of plastic deformation zones in
the retaining wall base required the replacement of
weak base soils with a backfill sand cushion (Fig. 4)
with its compaction using effective vibrodynamic
compaction methods (Minaev 2011, 2014).
At the same time, the check of the structural sta-
bility of base soils directly under the retaining wall
base showed that the cyclic stress ratio values are
from 0.26 to 0.46. In all calculated cases, the stabil-
ity of the sand cushion structure is ensured against
liquefaction from the loss of the bearing capacity
of the base under seismic impact.
In the concrete solid retaining wall calculations,
the option of the pile foundation at the retaining
wall base was considered as the main one. Wooden
piles with the diameter d from 24 to 30 cm with a
sinking depth equal to the width of the wall b.
The required number of piles is determined by
separate calculations for vertical and horizontal
loads. At the first stage of calculations, the larg-
est of the obtained values is taken for vertical and
inclined piles with an angle of pile installation
α = 0.6δ, where δ = arctg Ea/Noper (or δc = arctg
Eac/Noper) is the slope angle of the resultant to the
vertical for the operational (seismic) case under static
(or seismic) load, but not more than 19°, which cor-
responds to a pile slope of 3:1 (from conditions of
piling equipment capabilities). The final pile foun-
dation is chosen according to the least number of

Figure 5. Pile layout in the transverse row of the retain-
ing wall width.
piles after considering all design cases: vertical piles
or inclined ones (with an installation angle α for the
operational case with static or seismic load).
The calculations showed that the required
number of piles for the solid retaining wall varied
from 52 to 84 pieces per 10 linear meters of the
retaining wall in case of extreme retaining wall
sizes and soil characteristics at the base. In all
cases, the maximum number of piles is obtained
when calculating the horizontal seismic load.
When placing piles in the layout, the distance
between the axes of the piles should be at least
3d in order to maximally use the bearing capac-
ity of each pile in the group. Piles must be equally
loaded, for which purpose the contact diagram
under the retaining wall base is divided into equal
areas, placing the axes of longitudinal rows of piles
against the centers of gravity of each part (Fig. 5).
4 CONCLUSIONS
The principle of preventing soil liquefaction at its
base with a catastrophic loss of the bearing capac-
ity of the base is used as the basis for seismic load
calculating of the retaining wall.
Selection of the construction option of the
retaining wall base in case of seismic load on natu-
ral base soils with a sand cushion or pile foundation
should be made according to their technical and
economic comparison.
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burg: Polytechnic Publishing House.
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R.M. 2006. The Northern ports of Russia. St. Peters-
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during earthquakes. USA, California: EERI.
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explosions. International Conference on Compaction,
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compared with stress-based evaluation. Proceedings of
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Mechanics and Foundation Engineering 50(6): 251–254.
Seed, H.B. & Idriss, I.M. 1982. Ground motions and soil
liquefaction during earthquakes. Oakland, CA: Earth-
quake Engineering Research Institute.
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taku, Y. & Yamada, Y. 2016. On ageing of liquefac-
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Features of calculating stability of retaining wall with significant

horizontal load on base soil

O.P. Minaev
Netherlands Admiral Makarov State University of Maritime and Inland Shipping, Saint-Petersburg, Russia

ABSTRACT: The article outlines the most important aspects and presents the main calculation results
for the gravitational retaining wall with a significant horizontal load under dynamic (seismic) impact.
A comparative analysis of the calculations of the operational case showing seismic load on natural base
soils is presented, as well as measures to increase the bearing capacity of the base are proposed. The studies
were carried out for two types of retaining walls (a reinforced corner wall with the front console and a
solid concrete wall) in a wide range of sizes of retaining walls and characteristics of sandy backfill, as well
as soil conditions of the base.

1 INTRODUCTION measures can be used to increase the bearing capac-

The retaining wall is subject to a significant
horizontal load from the backfill weight and
the imposed load of the port area (Budin 2014,
Garibin & Belyaev 2014, Evtushenko et al. 2006),
as well as the dynamic load (Stavnitser 2008, 2010,
Hazarika 2016) that should be taken into account
when performing calculations for earthquake-
prone areas.
It is known that if a significant horizontal load
is acting on the base or foundation (Yakovlev
1986, Mangushev et al. 2016, Hazarika et al. 2016,
Ulitsky et al. 2017), then it is necessary to check
its stability against sliding along the base or weak
layer of base soil, as well as against the deep-seated
shear.
In case of shear calculations, the stability coeffi-
cient is determined by the ratio between the reten-
tion force of the base soil and the shear force of the
backfill weight and the external load. The stability
coefficient value is determined by the class of the
structure.
When calculating sliding of the retaining wall,
the value of the retention force of the base is deter-
mined by the friction force of the soil in the base
plane or by a weak layer of the base soil, and for
deep-seated shear—along the sliding surface lines
constructed according to the theory of maximum
equilibrium for the ultimate resistance of the foun-
dation according to the bearing capacity of base
soils. When calculating the deep-seated shear, the
eccentricity of the vertical force application shall
also be taken into account.
To increase the stability coefficient against sliding
or deep-seated shear, various design and technical
ity of the base for a given horizontal shear force
or by reducing the value of this force. Measures to
increase the bearing capacity of the base for the sta-
bility of pressure and non-pressure hydraulic facili-
ties are described in the works of the above authors.
In more detail, a specific case to increase the bear-
ing capacity of the base for the stability of pressure
hydraulic facilities, its calculations and constructing
water pressure diagrams are considered by Kolosov
(2017).
Among the measures to increase the bearing
capacity of the base for the stability of non-pres-
sure hydraulic facilities, technical solutions directly
aimed at increasing the stability of the retaining
wall, such as increasing the own weight of the
structure, replacing base soils with more durable
soil, base soil compaction, backfilling, anchoring
devices and pile foundations, backfill reinforce-
ment can be mentioned.
The purpose of this work is to develop a meth-
odology for calculating the stability of a gravity
retaining wall with a significant horizontal load
for various design options in a fairly wide range of
sizes, soil characteristics of sand backfill and soil
conditions at their base taking into account meas-
ures to increase the bearing capacity of base soils.
The author considers two measures to increase
the bearing capacity of the foundation: making a
sand cushion in the retaining wall base to replace
weak clayey soils of the base with their compaction
using dynamic methods until tightly compacted
(Minaev 2015; 2017) and construction of a piling
foundation at the retaining wall base.
As a result, the stability coefficient of the retaining
wall can be significantly increased, which is especially

187
important when performing the dynamic force (seis-
mic, explosive, etc.) analysis of the retaining wall.
Two types of retaining walls were considered
in the calculations: a reinforced corner wall with a
front console (type “a”) and a solid concrete mon-
olithic wall (type “b”).
2 CALCULATION METHOD AND BASIC
THEORETICAL DEPENDENCES
For carrying out calculations of the bearing capac-
ity and deformations of the retaining wall, width
b of its base must be assigned. The definition of
width b of the wall base in static load calculations
is usually carried out using Zarkhi’s formula, which
has the following form:
• for type “a” wall
Ea ya
b = 2, 2 (1)
( e 3 ) ( γ cm − γ w ) + h0γ 0
h + h 0, 75
• for type “b” wall
Ea ya
b = 2, 6 − 0, 5, (2)
he (0, 85 γ cm − γ w ) + h0γ 0
where Ea is the lateral pressure force on the retain-
ing wall, kN; ya is the height of the lateral pressure
force application relative to the wall base, m; γcm
is the specific weight of the wall material, kN/m3;
γ w is the specific weight of water, γ0 is the coeffi-
cient of influence of the wall elevation h0 above the
water area assumed to be 1 kN/m3.
In seismic load calculations, it is proposed to
apply the methodology and formulas used for
static load calculations, assuming that the dynamic
load is replaced by the corresponding static load
value, increased as compared with the initial static
load, and including it.
Taking into account this assumption in both
formulas (1) and (2), to determine width b of the
wall base, Ea and ya values shall be replaced by Eac
and yac, respectively.
From the obtained results, the largest size of
width b of the wall base is taken.
Force Ea is determined from the lateral pressure
diagram of the imposed load q and the soil on the
retaining wall. The soil lateral pressure diagram of
the operational load is constructed for a vertical plane
drawn through the rear face of the retaining wall. It
is allowed to use Coulomb dependences to determine
ordinate ea of the lateral pressure of the soil.
( )
ea = q + ∑ γ i yi λa , (3)
188
where γi and yi are the specific weight and power
of the ith backfill layer, respectively; λa = tg2(45–
ϕbackfill/2) is the active pressure (expansion) coef-
ficient; ϕbackfill is the internal friction angle of the
backfill.
When designing hydraulic structures erected in
seismic areas, it is necessary to consider separately
the seismic pressure of the soil and water (in the
case when soil is located under water) on the wall
under seismic impact.
In a general case when backfill is located above
the water level and under water, it is proposed to
use the dependence to determine the lateral pres-
sure ordinate of soil and water eac
( )
eac = q + γ w hw + ∑γ ic yi λac , (4)
where γic is the resultant of the specific weight
forces γi of the soil and the mass seismic force (per
unit volume); hw is water depth from the ground-
water level (GWL) of the backfill to the wall base;
yi is the power of the ith backfill layer; λac is the
active pressure coefficient (thrust) under seismic
impact.
The value is the ordinate of seismic pressure dia-
grams for soil and free water on the surface of the
wall. Values include both the soil pressure eac under
normal static conditions and additional soil and
water seismic pressure on it.
The coefficient of lateral active pressure λac under
seismic impact is determined by the dependence:
cos 2 (ϕ − ε )
λac = , (5)
(1 + z )2 cos ε
where
sin(ϕ − ε )sin ϕ
z= . (6)
cos ε
The most dangerous for hydraulic structures is
the horizontal direction of the soil seismic pres-
sure. Ad hoc:
γi
γ ic = , (7)
cos ε
where ε = arctg 1 is the deviation angle from the
vertical of the resulting specific weight γi of the
soil and seismic force γic 1; A is the coefficient,
the values of which should be taken equal to 0.1;
0.2; 0.4, respectively, for a calculated seismicity of
7, 8, and 9 points; K1 is the coefficient that takes
into account permissible damage to buildings and
structures. For hydraulic structures K1 is assumed
to be 0.25.
 When determining the lateral active pressure of
water-saturated soil on the retaining wall under
seismic impact, the weighted soil γweight should be
included in the formulas like under operational
load, and seismic force γsatur 1 should be deter-
mined from the saturated soil density γsatur. In this
case, the angle of the resultant deviation εsatur is
determined by the formula:
γ satur
ε satur = arctg AK1. (8)
γ weight
The stability check of the retaining wall against
sliding in the plane of the wall base under the seis-
mic load action is performed by the formula:
Noper tgϕ + bc
K sl = ≥ 1.15, (9)
Eac
where sl is the stability coefficient in case of slid-
ing; ϕ and c are, respectively, the calculated angle of
internal friction and the adhesion of the base soil.
The stability check of the wall against a deep-
seated shear is performed according to the method
recommended by Vedeneev Hydraulic Engineering
Research Institute. According to this method, the
sliding line, limiting the marginal state of the base
soil, is taken in the form of two straight segments
interconnected by a curvilinear insert described by
the equation of a logarithmic spiral.
A real eccentrically loaded foundation is replaced
by an equivalent centrally loaded foundation with
a reduced width bred equal to
bred = b – 2 ec, (10)
where ec is the eccentricity of the vertical force
application Noper from the weight of the wall and
backfill in the operational case under seismic load.
As a result, a graph of the bearing capacity of
the base τult = f(σ) is constructed, where τult is the
ultimate resistance of soils to shear.
With the help of strain σoper = Noper/bred in the
operational case with a seismic load, the corre-
sponding limit shear stress τultoper is determined.
The assurance coefficient for deep-seated shear
ds is finally calculated from the ratio
K ds = τ ult oper bred / Eac ≥ 1,15. (11)
3 INITIAL CALCULATION PARAMETERS
AND FUNDAMENTAL RESULTS
The studies were carried out for retaining walls
with a height of 6.6 to 9.7 m with a water depth hw
189
at the embankment ranging from 4.8 to 7.5 m and
a height of the wall elevation h0 above the water
level from 1.3 to 2.2 m. It was considered that
coarse and medium sands with a specific weight
of γsoil from 17.2 to 20.5 kN/m3 and humidity W
ranging from 6 to 17% were used as backfill. The
retaining wall base is composed of water-saturated
fine (or dust) sand or clayey (sandy or loamy) soils
with a specific weight γsoil from 18.8 to 20.7 kN/m3,
sandy soil humidity W from 21 to 28%, moisture
content of clayey soils at liquid limit WL from 0.23
to 0.35 and at plastic limit Wp from 0.16 to 0.20.
The values of the internal friction angle ϕH, adhe-
sion cH, and elasticity modulus EH of sandy and
clayey soils, depending on the porosity coefficient
e, were determined according to the tables and rec-
ommended values.
Taking into account the soil reliability coef-
ficient γg, the calculated internal friction angle ϕ
of sandy backfill ranged from 320 to 350, and that
of sandy base soil—from 26 to 280, of clayey base
soils—from 140 to 230, when adhesion E ranged
from 4.0 to 24.9 kPa. The elasticity modulus E of
sandy backfill ranged from 30 to 36 MPa, of sandy
and clayey base soils—from 9.2 to 24.8 MPa.
The value of the imposed load q on the base sur-
face (at the coping) varied in the range from 14 to
31 kPa depending on the calculation option.
The calculations were carried out when the
construction district seismicity varied from 7 to
9 points.
The calculation results according to formulas
(1) and (2) show that the width boper of the retain-
ing wall under operating load for the smallest and
biggest heights of the retaining wall is from 5.6 to
8.5 m, and with the seismic load bseism increases
to 7.0–10.6 m, almost equal to the height of the
retaining wall at the construction area with seis-
micity of 7 and 8 points or exceeding it in case of
9 points.
Checking the retaining wall stability against
sliding in the base plane under the seismic load
action showed that the values of the stability coef-
ficient sl in case of sliding in the construction area
with seismicity of 7 points and sufficiently strong
base soils ranges from 1.18 to 1.50.
When building a wall on weak soils in construc-
tion areas with seismicity of 8 and, in particular,
9 points, the values of the stability coefficient
decrease to 0.86 with a wall height of 9.5 m if
constructed on the base, composed of soft plas-
tic loams with an internal friction angle = 15° and
adhesion = 11.33 kPa.
In case of non-observance of the condition to
ensure the retaining wall stability against shear, it
is necessary to provide measures to increase the
bearing capacity of the base. Then, the calculation
of the retaining wall stability is carried out for the
case of making a sand cushion at the retaining wall
base instead of weak clayey soils of the base.
When constructing a sand cushion in the base,
retaining wall can slide along the weak soil base
layer, and the wall weight Noper as well as the backfill
weight should be added to surcharge weight Gsurch
of the sand cushion. Taking this into account, the
calculation results showed that with a thickness of
a sand cushion layer equal to 5.21 m, the stability
coefficient increases to 1.20.
The design scheme of the deep-seated shear cal-
culation for the retaining wall is shown in Figure 1.
As a result of the deep-seated shear calculations
for the retaining wall, an even greater decrease
in the stability coefficient ds was found, which
reached the values from 0.96 to 0.69 at the con-
struction area with seismicity of 8 and 9 points.
In deep-seated shear calculations in the case
with a sand cushion, the ultimate resistance R*ult
of the base soils should be determined by tak-
ing into account the surcharge q3bas + qsurchbas of
ground uplift zones by the base soil weight to the
wall base depth and sand cushion thickness, and
the ultimate shear resistance τultsurch is determined
by the graph τult = f(σ) taking into account the
increase in stresses under the retaining wall base
σopersurch = Noper + Gsurch /bred due to the surcharge by
the sand cushion layer. At the same time, the con-
struction of a sand cushion for the entire width of
the retaining wall with a layer thickness of 1.75
and 5.21 m made it possible to increase the sta-
bility coefficient from 0.96 to 1.30 and from 0.69
to 1.18, respectively, for the retaining wall with a
height of 7.1 and 9.5 m at the construction area
with seismicity of 8 and 9 points. The character-
istic graphs of the bearing capacity of the base
under the retaining wall base in the calculation
options without surcharge and with it are pre-
sented in Figure 2.
In the calculations of the retaining wall sta-
bility, the option of the pile foundation at the
Figure 1. Calculation scheme for checking stability of
the retaining wall with a height of 9.5 m for a deep-seated
shear at a sand cushion thickness of 5.21 m.
190
retaining wall base was also considered. Wooden
piles with the diameter d from 24 to 30 cm and
sinking depth equal to the width of the wall b
were considered.
The required number of piles is determined
by separate calculations for the vertical and hori-
zontal loads. At the first stage of calculation, the
largest of the obtained values is taken for vertical
and inclined piles with an angle of pile installa-
tion α = 0.6δ, where δ = arctg Ea/Noper (or δc = arctg
Eac/Noper) is the slope angle of the resultant to the
vertical for the operational (seismic) case under
static (or seismic) load, but not more than 190,
which corresponds to a pile slope of 3:1 (from con-
ditions of piling equipment capabilities). The final
pile foundation is chosen according to the least
number of piles after considering all design cases:
vertical piles or inclined ones (with an installation
angle α for the operational case with static or seis-
mic load).
The calculations showed that the required
number of piles for the solid retaining wall var-
ied from 34 to 84 pieces per 10 linear meters of
the retaining wall in case of the extreme retaining
Figure 2. Graphs of the bearing capacity of the solid
concrete retaining wall base with a height of 8.8 m with a
sand cushion thickness of 4.28 m: 1 – in case of a deep-
seated shear; 2 – in case of sliding; 3 – in case of a deep-
seated shear with base soil surcharge.
Figure 3. Scheme for determining the geometric dimen-
sions of the conventional foundation.
Figure 4. Comparative graphs of the bearing capacity of the base against the deep-seated shear: 1 – in case of a deep-
seated shear; 2 – in case of sliding; 3 and 4 – in case of a deep-seated shear with the sand cushion of thickness hc/ and hc;
5 – in case of a pile foundation with the dimensions of the conventional foundation hconvf = 9.97 m and bconvf = 11.77 m.
wall sizes and soil characteristics at the base. In all
cases, the maximum number of piles is obtained
when calculating the horizontal seismic load.
In deep-seated shear calculations for the retaining
wall with a pile foundation, the limiting resistance
R*ult of the base soils should be determined taking
into account the additional even-distributed sur-
charge (q3bas + qsurchbas) of the base soil uplift zones
to the soil thickness equal to the wall base depth and
pile length. At the same time, the maximum ground
resistance to the shear τultsurch should be determined
according to the graph τult = f(σ), taking into account
the increase in stresses under the retaining wall base
σopersurch = Noper + Gsurch/bconvf due to the surcharge
equal to the layer of base soil with the weight of a
standard foundation with a foundation size bconvf at
a depth of pile tips laying. The scheme for calculat-
ing the dimensions of the conventional foundation
and the bearing capacity of the pile foundation base
are shown in Figures 3 and 4.
The construction of the pile foundation at the
retaining wall base allowed significantly increas-
ing the values of the stability coefficient ds for a
deep-seated shear. In particular, the value of the ds
coefficient, equal to 0.87 on the natural base soils,
in case of the pile foundation at the base of the
reinforced concrete retaining wall with the front
console increased to 2.14.
4 CONCLUSION
When calculating the retaining wall to ensure the
stability against sliding along its base and a deep-
seated shear in the soil foundation with a signifi-
cant horizontal load, the stability coefficient, as a
rule, is significantly less than its permissible value.
In this case, it is necessary to anticipate measures
to increase the bearing capacity of the founda-
tion soils. Selection of the construction option of
the retaining wall base in case of seismic load on
191
natural base soils with a sand cushion or pile foun-
dation should be made according to their technical
and economic comparison.
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burg: Polytechnic Publishing House.
Evtushenko, G.N., Kolosov, M.A., Silin A.V., Narbut
R.M. 2006. The Northern ports of Russia. St. Peters-
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of earth dams with geosynthetic materials. Design,
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91–99.
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Luchkin, M.A., Ulitskii, V.M., Shashkin, A.G. &
Shashkin, K.G. 2007. Analysis of the settlement of
 buildings and structures erected on weak clayey soils
with allowance for shear deformations over time. Soil
Mechanics and Foundation Engineering 44(2): 56–61.
Mangushev, R.A., Osokin, A.I. & Garnyk, L.V. 2016.
Experience in preserving adjacent buildings during
excavation of large foundation pits under conditions
of dense development. Soil Mechanics and Foundation
Engineering 53(5): 291–297.
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Minaev, O.P. 2017. Significant development of explo-
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Stavnitser, L.R. & Nikitaev, G.A. 2008. Resonance
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Changes in physical and mechanical characteristics of soil under

triaxial loading

I.T. Mirsayapov & I.V. Koroleva

Kazan State University of Architecture and Engineering, Kazan, Russia

ABSTRACT: The article presents results of studies on changes in physical and mechanical characteris-
tics of clay soil in a triaxial stress state under mixed-mode loading, obtained at the Kazan State University
of Architecture and Engineering. It has been experimentally proved and theoretically justified that under
triaxial mixed-mode loading, zones of different density occur, with changes in physical and mechanical
characteristics of soil in such zones, and moisture migration within the sample volume between the zones
is observed, which contributes to the process of microcrack “healing” and restoration of coagulation
bonds between particles of clay soil.

1 INTRODUCTION However, the issue of moisture migration and

density variation in a sample during tests has not
Modern cities are growing and actively developing been sufficiently studied. In view of the above, the
underground space, utilizing up to 100 m below the Department of Bases, Foundations, Structural
day surface. Behavior of soil under deep founda- Dynamics and Engineering Geology of the Kazan
tions—an integral part of underground structures State University of Architecture and Engineer-
and high-rise buildings—was analyzed by various ing conducted experimental studies on changes
national and international researchers (Briaud & in physical and mechanical characteristics of clay
Rutherford 2010, Dong et al. 2017, Hsieh & Ou soils under triaxial loading.
2018, Katzenbach et al. 2013a,b, Petrukhin 2010,
Ter-Martirosyan & Ter-Martirosyan 2013, Ter-
Martirosyan et al. 2014, 2015, 2016a,b, Ulitskii et 2 EXPERIMENTAL STUDIES
al. 2010, Zolqadr et al. 2014). The above-mentioned
studies show that problems arising during construc- Triaxial compression devices of cubic shape and sta-
tion of such foundations and their bases are asso- bilometric type were used for test purposes. Samples
ciated with inadequate prediction of soil behavior. for the first device were made in the form of a cube
This fact poses new challenges for geotechnics in with face dimensions of 100 mm × 100 mm; cylin-
general and soil mechanics in particular, demand- drical samples had dimensions of 38 mm × 76 mm
ing new or advanced soil models (Mirsayapov & (Fig. 1). Soils of disturbed structure, made of paste
Koroleva 2014). Besides, the share of responsibility
for results of geotechnical surveys, issued for design,
and certain values of physical and mechanical char-
acteristics of foundation soil increases significantly.
Issues of changes in mechanical characteristics of
soils over time under load application come to the
fore. The authors (Mirsayapov & Koroleva 2016)
examined possible presence of zones of different
density in a soil sample after tests, as well as varying
values of internal friction angle and specific cohesion
of soil over time. They also assessed the influence of
loading conditions on samples’ deformations and
developed an analytical model of dilatant soil. Some
aspects of soils characteristics’ determination for
modern analytical models in laboratory conditions
are described in a paper by Ter-Martirosyan A.Z.,
Mirnyy A.Yu. & Sobolev E.S. (Ter-Martirosyan Figure 1. Sample loading pattern: a cubic sample (on
et al. 2016a). the left) and a cylindrical sample (on the right).

193
to avoid the influence of foreign inclusions in the
form of coarse aggregates and large pores, and soils
of natural composition were tested.
Four series of tests were performed. Samples
of the first and second series were kept under
omnidirectional pressure for 30 minutes, and then,
with short dwell time not exceeding 10 minutes,
deviatoric loading was performed. The tests of the
third and fourth series were carried out accord-
ing to similar loading patterns, but dwell time was
changed both at the stage of omnidirectional com-
pression and at the stages of deviatoric loading. In
the first and third series of the tests, the samples
were carried to failure under deviatoric loading
according to the “crushing” pattern, and the tests Figure 3. Data on density changes in the characteristic
of the second and fourth series were stopped at zones of the sample after destruction.
the stages of deviatoric loading in order to study
changes in soil characteristics in the sample during
the process of load application.
Upon completion of the tests, soil samples were
collected from the characteristic zones (Fig. 2),
and their density, moisture content, specific cohe-
sion, and internal friction angle were determined.
Data on changes in soil density in the character-
istic zones, obtained after “crushing” of the sam-
ples during short-term (series 1) and long-term
(series 3) loading are shown in Figure 3.
Results of density and moisture distribution in
the soil samples subjected to different intervals of
omnidirectional compression and not carried to
failure with the vertical static load (series 2 and 4)
are shown in Figures 4 and 5.
During the experimental studies on density Figure 4. Data on density changes in the characteristic
and moisture of the soil samples, the following zones of the sample at the first stage of deviatoric loading.
was found: after destruction of the sample in the
first test series, in zone 1, soil compaction by 5%
in relation to the value of the initial density, upon
the maximum possible increase in density in that
zone by 12% under long-term loading (series 3),
was observed (Fig. 3). Meanwhile, the soil in the
vertical pyramids compacted by 2.5% more at
the stage of omnidirectional compression applied

Figure 5. Data on moisture changes (in %) in the

characteristic zones of the sample at the first stage of
deviatoric loading.

Figure 2. A layout of local zones of different density in

a cubic sample (on the left) and in a cylindrical sample during 30 minutes, and in series 4 additional com-
(on the right) in triaxial tests: 1 – vertical compacted pyr- paction by 8% was registered (Fig. 4). The obtained
amids; 2 – compacted pyramids at the side faces; 3 – zone results show that, at the first stages of loading,
of homogeneous stress state; 4 – dilatancy zone. additional compaction of soil occurs and zones of

194
different density form, while the density increase
significantly depends on the rate of load applica-
tion. This fact confirms the theory of the sample
deformation and failure mechanism proposed by
the authors (Mirsayapov & Koroleva 2016).
Soil moisture is not a constant value as well
(Fig. 5). At the stage of omnidirectional compres-
sion, during short dwell time (series 2), moisture in
compacted zone 1 decreased by 0.86% compared
to the initial value, and in zone 4 it increased by
1.1%, after destruction of the sample with short-
term static loading (series 1), moisture in zone 1
was 96.2% and in zone 4–98% compared to the
initial value. The increase in duration of omni-
directional compression (series 4) led to changes
in moisture in the vertical compacted zone by
1.77%, and in the decompressed zone – by 2.6%.
The obtained results show that the decrease in the
loading rate contributes to movement of a larger
volume of water to the decompressed zone.
Soil samples were collected from characteristic
zones 1 and 4 of the samples destroyed with devia-
toric loading; their strength characteristics (inter-
nal friction angle ϕ and specific cohesion c) were
determined. In the compacted zone, an increase in
mechanical characteristics was registered in com-
parison with the initial values of ϕ and c – by 88 and
138%, respectively, and in local zone 4, a decrease of
ϕ to 45% and c – to 67% was registered (Figs. 6–7).
Figure 6. Data on changes in the internal friction angle
φ in the characteristic zones of a sample.
Figure 7. Data on changes in specific cohesion c in the
characteristic zones of a sample.
195
According to an analysis of the data obtained,
regardless of the sample loading mode (short-term
or long-term) and type of test equipment, a com-
plex stress state, which contributes to the formation
of zones of different density and moisture, forms
in a sample. Dimensions of the specified zones, as
well as density and moisture of soil within their
limits are not constant and vary during loading.
3 THEORETICAL STUDIES
During loading, two interrelated processes occur in
a soil sample simultaneously: formation and devel-
opment of zones of different density, and moisture
migration between those zones. Let us consider
each of the above processes individually.
The formation of compacted zones begins at
the stage of omnidirectional compression, and
their initial dimensions and density depend on the
value of average normal stresses and duration of
the load application stage (Fig. 4). The increase
in dimensions of the compacted zones depends
on the inclination angle of the limit equilibrium
area, in the plane of which microcracks start gen-
erating, depending on the prevailing process: either
coalescence of microcracks into a macrocrack and
formation of a shear area, and, as a consequence,
soil failure, or healing by restoring colloidal bonds
and collapse of microcracks, and, as a result, soil
strengthening in the plane considered and turn of
the limit equilibrium area upon subsequent load-
ing, growth of the compacted zone and its fur-
ther movement as a rigid body inside the sample
(Mirsayapov & Koroleva 2016).
Moisture migration from the compacted zone
to the decompressed zone with density decreasing
due to the microcracks’ formation (dilatancy zone)
occurs during the entire loading process. Mean-
while, moisture squeezes out the compacted zones
into the dilatancy zone (zone 4 in Fig. 2), where
microcracks form and, therefore, soil density of
the sample is minimum (Fig. 3); density of the soil
in the decompressed zone during long-term tests is
67.7% compared to the initial value, and moisture
content increases by 3%. Free water in microcracks
is involved in processes of soil self-healing, i.e. the
formation of colloidal bonds between particles.
Thus, a microcrack is filled with a colloidal solu-
tion, stress concentration at the crack tip decreases
and the failure process attenuates until a new stage
of sample loading causes an increase in stresses at
this point. It should be noted that, at the same time,
this water acts as a lubricant between soil particles
on the sliding surface, reduces friction and specific
cohesion between those, and facilitates slippage
of one part of soil in the sample in relation to the
other part.
 The conducted experimental studies allow con-
cluding that the duration of the loading stage
significantly affects the volume of liquid being
moved.
In short-term tests, not all free water is removed
from pores and the water movement speed is less
than that in long-term tests, i.e. moisture does not
have time to move completely to zone 4 (Fig. 2)
damaged by microcracks. In this case, failure proc-
esses prevail over self-healing processes due to the
lack of moisture to restore colloidal bonds. Besides,
the part of moisture that has moved to zone 4 acts as
a sliding layer between soil particles and accelerates
shear processes. This fact is confirmed by a signifi-
cant decrease in specific cohesion and the internal
friction angle in the dilatancy zone of a sample.
4 CONCLUSION
It has been established that regardless of the sam-
ple loading mode and type of test equipment, a
complex stress state, which contributes to the for-
mation of zones of different density and moisture,
forms in a sample. Dimensions of those zones,
as well as density and moisture of soil, and its
mechanical characteristics within their limits are
not constant and vary during loading.
REFERENCES
Briaud, J.-L. & Rutherford, C.J. 2010. Excavation sup-
port using deep mixing technology. Geotechnical chal-
lenges in megacities, 1: 29–54.
Dong, Y., Burd, H.J. & Houlsby, G.T. 2017. Finite ele-
ment study of deep excavation construction processes.
Soils and Foundations, 57 (6): 965–979.
Hsieh, P.-G. & Ou, C.-Y. 2018. Mechanism of buttress
walls in restraining the wall deflection caused by deep
excavation. Tunnelling and Underground Space Tech-
nology, 82: 542–553.
Katzenbach, R., Leppla, S., Ramm, H., Seip, M. &
Kuttig. H. 2013a. Design and construction of deep
foundation systems and retaining structures in urban
areas in difficult soil and groundwater conditions.
Procedia Engineering, 57: 540–548.
196
Katzenbach, R., Leppla S., Vogler, M., Seip, M. & Kurze,
S. 2013b. Soil-structure-interaction of tunnels and
superstructures during construction and service time.
Procedia Engineering, 57: 35–44.
Mirsayapov I.T. & Koroleva I.V. 2014. Bearing capac-
ity and deformation of the base of deep foundations’
ground bases. In: Yoo, C., Park, S.W., Kim, B. & Ban
H. (eds.) Geotechnical Aspects of Underground Con-
struction in Soft Ground, 401–404. Leiden: Balkema.
Mirsayapov I.T. & Koroleva I.V. 2016. Strength and
deformability of clay soil under different triaxial load
regimes that consider crack formation. Soil Mechanics
and Foundation Engineering, 53 (1): 5–11.
Petrukhin, V.P. 2010 Geotechnical Problems of Con-
struction in Moscow—the Largest Megacity of Rus-
sia. Geotechnical Challenges in Megacities, 1: 259–320.
Ter-Martirosyan, A.Z., Mirnyy, A.Yu. & Sobolev, E.S.
2016a. Peculiarities of determining parameters of
contemporary soil models by laboratory tests. Geo-
technics, 1: 66–72.
Ter-Martirosyan, Z.G., Mirnyy, A.Y., Ter-Martirosyan,
A.Z. & Chernyshev, S.N. 2016b. The mechanical
properties of soils with inhomogeneous Granulom-
etric composition. International Journal of Applied
Engineering Research, 11 (3): 1715–1718.
Ter-Martirosyan, Z.G. & Ter-Martirosyan, A.Z. 2013.
Rheological properties of soil subject to shear.
Soil Mechanics and Foundation Engineering, 49 (6):
219–226.
Ter-Martirosyan Z.G., Ter-Martirosyan A.Z. & Mirnyy
A.Yu. 2015. Selection of initial parameters and a
scheme of a test depending on a used soil model. Engi-
neering Survey, 8: 34–39.
Ter-Martirosyan, Z.G., Ter-Martirosyan, A.Z. & Sobolev
E.S. 2014. Creep and vibrocreep of soils. In: Proceed-
ings of the 14th International Symposium on Rheology
of Soils – Promising Directions for Development of
Theory and Practice in Rheology and Soil Mechanics,
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Ulitskii, V.M. et al. 2010. Patterns of weak soils work
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technical Aspects of Underground Construction in Soft
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Influence of a deep construction pit on a technical condition of

surrounding buildings

I.T. Mirsayapov & N.N. Aysin

Kazan State University of Architecture and Engineering, Kazan, Russia

ABSTRACT: The article presents the analysis of the technical condition of the building, in close prox-
imity to the foundation of which a construction pit was made with a depth of 13 m without proper fas-
tening of the walls. An emergency development forecast was made. For this purpose, a design model of
the footing was developed, taking into account the joint deformation of the system “above-ground and
underground parts of the building-foundation-footing”. The complex modeling of the stress-strain state
and the performed numerical studies made it possible to establish that the excavation of the deep pit led
to the simultaneous vertical and horizontal displacements of soils under the building foundations of 30.1
mm and 19.8 mm respectively. A number of soil mass shear lines appeared under the foundations, indicat-
ing the first limit state of the footing. The excavation of the deep pit led to the excessive and additional
deformation of the foundations, tilt of the foundations and the building as a whole, as well as to the con-
struction stresses above the maximum permissible.

1 INTRODUCTION Depending on the category of the technical con-

When constructing deep pits located in built-up
areas, there is a need to carry out a geotechnical
forecast (assessment) of the construction impact
on the change in the stress-strain state of the
surrounding soil mass, including footings of sur-
rounding buildings. The geotechnical forecast of
the influence must take into account the techno-
logical yield of foundations of surrounding build-
ings from constructing the “wall in the soil”. This
should take into account the horizontal displace-
ment of the enclosing structure of the pit and the
unloading of the footing as a result of the soil
excavation in the pit, loads from the newly erected
structures or additional loads from the recon-
structed structures, as well as other factors which
take into account the construction sequence of the
structure’s underground part, using analytical and
numerical calculation methods. The calculation of
footing deformations for surrounding buildings
located in the zone of influence of a new construc-
tion or building, in accordance with the regulatory
documents for the footing design, is carried out on
the basis of the condition:
sad ≤ sad,u (1)
where sad is additional yield of the nearby building;
sad,u is permissible additional yield of the nearby
building.
dition of existing buildings, the permissible addi-
tional yields of buildings are 20–50 mm.
In this regard, it is necessary to limit the verti-
cal and horizontal soils movements of the founda-
tions of the existing buildings. To limit the vertical
and horizontal displacements of the footing soil
outside the pit, various options for protecting pits
are arranged. These issues are discussed in the fol-
lowing papers: Ou, C.Y. et al. (2016); Konovalov,
P.A. et al. (2010); Ulitsky, V.M. et al. (2010); Bri-
aud, J.-L. & Rutherford, C.J. (2010); Petrukhin,
V.P. (2010); Nakai, T. et al. (2014); Zolqadr, E.
& Yasrobi, S.S. (2014); Zolqadr, E. et al. (2014);
Katzenbach, R. et al. (2013); Hsieh, P.-G. & Ou,
C.-Y. (2018); Dong, Y. et al. (2017). In this paper,
we consider the influence of the 13 m deep pit exca-
vated next to the existing building without safety
enclosure.
The investigated building (at the time of the
research) is a two-story building with an incom-
plete reinforced concrete frame made of precast
concrete, with a basement floor and with two out-
buildings. In the plan it has a rectangular shape, is
located in axes 9–15/A-G, and has dimensions of
36 × 36 m. The plan and the section of the building
are shown in Figures 1, 2.
The foundations of the building are columnar
in the inherent part with a size of 2.0 × 2.0 m. The
depth of the foundation is 4.15 m; there is a strip
foundation under the bearing walls.

197
 waterproof, non-saline, quickly and very
quickly soaked, calcareous, with interlay-
ers and pockets of sand, ranging from 1.3
to 4.5 m. It lies in the interval of depths
of 9.7–17.4 m.
EGE-4. Clay: Upper Permian, eluvial, hard,
reddish-brown, lumpy, cracked, light,
moderately deformable, medium-strength,
nonexpansive, waterproof, non-saline,
slowly and quickly soaked, marl, with thin
layers of aleurolite, layers of 3.4–7.2 m. It
lies in the depth interval of 17.0–25.0 m.
EGE-5. Sandstone: Upper Permian, eluvial, yel-
lowish-brown, low-strength, permeable,
highly weathered, softened, very porous,
water-saturated, with a capacity of 2.8–
4.5 m. It lies in the interval of depths of
14.0–20.9 m.

Figure 1. The plan of the building.

Figure 2. The section of the building.

2 ENGINEERING AND GEOLOGICAL

CONDITIONS OF THE CONSTRUCTION
SITE

According to the survey results, alluvial-deluvial qua-

ternary deposits and Upper Permian eluvial deposits,
covered from the surface with quaternary anthropo-
genic deposits, are a part of the geological structure Figure 3. Engineering geological section.
of the site (at the depth revealed by the wells).
From the surface to the studied depth of
25.0 m, the geological and lithological structure is Table 1. Physical and mechanical characteristics of
represented by the following engineering geologi- soils.
cal elements (EGE): Angle of
EGE-1. Bulk soil consisting of a mixture of black internal Specific
Density friction adhesion
earth, break-stone, sand and gravel. It lies at natural Modulus of at α = calculated
from the surface to a depth of 0.2–1.1 m. EGE humidity, Porosity deformation, 0.95, at α =
EGE-2. Loam: hard, brown, light, moderately No. t/m3 coefficient MPa degrees 0.95, kPa
deformable, low-strength, nonexpansive,
waterproof, non-saline, fast and very ρ e E ϕ C
quickly soaked, calcareous, ranging from
2 1.91 0.76 15.1 21 32
9.3 to 13.1 m. It lies in the depth interval 3 1.88 0.842 13.1 19 25
of 0.4–14.3 m. 4 1.88 0.857 25.2 21 46
EGE-3. Loam: stiff, brown, heavy, moderately 5 1.91 0.617 37.8 35 0
deformable, low-strength, nonexpansive,

198
 On the whole, the geological and lithological
structure of the site is characterized by the rela-
tive stability of soils in terms of area and depth,
the heterogeneity of their composition and state.
The engineering geological section is shown in
Figure 3; physical and mechanical characteristics
of the footing soils are given in Table 1.
3 THEORY
In accordance with the general concept of recon-
struction in the immediate vicinity of the building,
an underground parking was designed and built
in a 13–15 m deep dip without wall fastening at a
distance of 4 m of the longitudinal and transverse
walls of the building.
Prior to the excavation of a deep pit along
axes A, 9 and 15, external signs of excessive and
uneven yields of the foundation footings have not
been established. The technical condition of the
footings, foundations, bearing elements of the
frame and the building as a whole were assessed
as functional.
The excavation of a 13 m deep pit with vertical
walls without proper fastening in the immediate
vicinity of the building from the side of axes A,
9 and 15 (from axis A side the pit is close to the
wall of the building) caused horizontal movements
of the footing. Signs of deformations in the rein-
forced concrete frame of the building between axes
A—B appeared due to additional yield of the foot-
ing of the building frame columns due to the hori-
zontal displacement of the walls of the deep pit,
which led to simultaneous vertical and horizontal
movement of the soil beyond the deep pit, i.e. the
footing of the building. In the concrete floor of
the basement, a crack appeared in the wall along
axis A with an opening width of up to 6 mm at a
distance of 1 m from the inner surface of the wall
along axis A, while the vertical displacement of the
floor in the wall zone was about 20 mm. Besides,
cracks with opening of up to 1 mm in the inter-
plate joints of the basement ceiling and vertical
cracks with opening of up to 0.5 mm in the sup-
port zone of the basement ceiling joist (between
axes ) appeared. Then, these defects were fur-
ther developed and other defects appeared which
indicates the continuation of the soil deformations
development under the building foundations. The
technical condition of the foundations and the
building at the moment is difficult to predict and
requires research, taking into account the develop-
ment of additional soil deformations in the pit and
beyond it.
In this regard, a geotechnical prediction was
made of the behavior of the “footing-foundation-
building” system based on the results of numerical
199
studies of the stress-strain state of the footing soils
of the building under consideration, taking into
account the effect of a deep pit and underground
parking. Pasternak’s calculation model (Pasternak
1954) on the basis of the analytical soil model with
three-axial loading (Mirsayapov & Koroleva 2011)
was used.
The calculation of stresses and deformations of
the footing soil of the building was carried out using
LIRA-SAPR 2014 software, which implements the
method of finite elements in displacements. At the
same time, a spatial model of the entire building
was created in the program, which allowed auto-
matic transfer of loads from the upper floors to the
lower ones, in which the columns were modeled by
beam bar elements, floor slabs (cladding) by clad-
ding elements. This model was created to assess
the impact of the rigidity of the above-ground
part of the building on the soil deformations, i.e.
for the calculation of vertical displacements taking
into account the joint deformation of the system
“above-ground and underground parts of the
building-foundation-footing”.
Adjustable properties of the soil in the model
were taken into account using the foundation mod-
uli C1 and C2, calculated by the modified Pasternak
method, taking into account the spatial stress-
strain state of the soil and the loading conditions:
E1 (t,τ )
C1 = , (2)
HC (1 − 2 µ gr )
E1 (t,τ )
C2 = , (3)
σ (1 + µ gr )
The modulus of total soil deformation, taking
into account changes in the depth of the compress-
ible stratum and loading:
HC
E1 (t,τ ) = , (4)
n
hi
∑ u E (t,τ )
i =1 i 1i
The modulus of total soil deformations for each
ith layer, taking into account changes in loading
conditions, is calculated by the formula:
∆σ 1i (t,τ )
E1i (t,τ ) = , (5)
∆ε1i (t,τ )
where ∆σ 1i (t,τ ), ∆ε1i (t,τ ) are the increments of ver-
tical stresses and deformations under triaxial load in
accordance with (Mirsayapov & Koroleva 2011).
Comprehensive modeling of the stress-strain
state and performed numerical studies have estab-
lished that the excavation of a 13.0 m deep pit
with vertical walls without proper fastening in the
immediate vicinity of the building led to simulta-
neous vertical and horizontal displacements of the
footing soils of the building of 30.1 mm and 19.8
mm respectively. The foundation yield made up 22
mm. A set of shear lines of the soil mass under the
foundations (Fig. 4) appeared, indicating the first
limit state of the foundations in A-B axes. Thus,
the excavation of the deep pit led to excessive and
additional deformation of the foundations, tilt of
the foundations and the building as a whole. Rela-
tive difference of the footing yields are:
 ∆S 
−0.0021 >   = 0.001.
 L  ult
The construction of a three-story underground
parking in the deep pit led to further deterioration
of the geotechnical situation:
– vertical and horizontal soils displacements of
the footings increased to 42.5 mm and 23.7 mm
(Figs. 5, 6);
– the zone of the first limit state of the footings
spread in axes A-D, 9–15;
– stresses in the supporting elements of the frame
increased to 60%.
In Figures 4–6, the following designations are
used: 1 – the building, 2 – the deep pit, 3 – the
underground parking.
The results of the 4-months geotechnical moni-
toring of the frame supporting structures, soils,
Figure 4. Diagram of tangential stresses in the soil.
Figure 5. The diagram of the vertical soil displacements
of the building footing.
Figure 6. The diagram of horizontal soil displacements
of the building footing.
interstory floors confirmed the results of numeri-
(6) cal studies.
It was established that the defects existing at the
time of the beginning of the observations were fur-
ther developed. The width of the crack opening in
the concrete basement floor in the wall along axis A
increased to 9 mm, the cracks in the interplate joints
of the basement ceiling formed within the entire base-
ment floor and the crack opening width increased to
1.5 mm. Vertical cracks in the flooring joists in the
support zone on the cantilever column were formed
on all the joists of the basement floor, and the open-
ing width of these cracks increased to 1.0 mm.
In addition to the existing defects, new defects
and damages were formed and developed:
– in the concrete basement floor at a distance of
1.5 m from the existing crack, a new crack was
formed with a opening width of up to 5 mm,
then other cracks with an increment of 1.5–2.5
m along the letter axes and with an increment of
2.0–2.5 m along the numeric axes with an open-
ing of up to 3.0–4.5 mm appeared;
– horizontal cracks with an opening width of up
to 0.5–0.7 mm in the interface zone of embed-
ded parts of the column console and the base-
ment floor joist appeared;
– vertical cracks with an opening width of 1.0–1.5
mm in the walls along axes 9 and 15 of the base-
ment and first floors were formed, the crack
spacing made up 1.5–2.0 m.
The above indicates continuing excessive addi-
tional footing soil deformations and, as a conse-
quence, additional non-project deformations of
the building frame.
4 CONCLUSION
The excavation of a deep pit with a depth of 13
m with vertical walls without proper fastening in
the immediate vicinity of the building resulted in
excessive and additional deformation of the foun-
dations and the tilt of the building as a whole, to
the deformed framework operation, which differs
200
from the design one and, as a result, to the non-
design scheme of the building framework opera-
tion. The technical condition of the building is
assessed as unacceptable.
The design model of the building was developed
taking into account the joint deformations of the
above-ground and underground parts of the build-
ing, the foundation, and the footing. Completed
numerical studies based on a design model showed
that the excavation of a 13 m deep pit led to simul-
taneous vertical and horizontal displacements of
the footing soils under the foundation of the build-
ing. A lot of soil mass shear lines appeared. The
results of the 4-months geotechnical monitoring
confirmed the results of the numerical studies.
REFERENCES
Briaud, J.-L. & Rutherford, C.J. 2010. Excavation
support using deep mixing technology. Geotechnical
Challenges in Megacities 1: 29–54.
Dong, Y. et al. 2017. Finite element study of deep exca-
vation construction processes. Soils and Foundations
57 (6): 965–979.
Hsieh, P.-G. & Ou, C.-Y. 2018. Mechanism of buttress
walls in restraining the wall deflection caused by deep
excavation. Tunnelling and Underground Space Tech-
nology 82: 542–553.
Katzenbach, R. et al. 2013. Design and Construction of
Deep Foundation Systems and Retaining Structures
in Urban Areas in Difficult Soil and Groundwater
Conditions. Procedia Engineering 57: 540–548.
Katzenbach, R. et al. 2013. Soil-structure-interaction of
Tunnels and Superstructures during Construction and
Service Time. Procedia Engineering 57: 35–44.
Konovalov, P.A. et al. 2010. The experience of fixing pits
in dense built-up areas. Geotechnical Challenges in
Megacities 4: 1555–1560.
201
Mirsayapov I.T. & Koroleva I.V. 2011. Prediction of base
foundation deformations taking into account long-
term non-linear deformation of soils. Soil mechanics,
bases and foundations 4: 16–23.
Mirsayapov I.T. & Koroleva I.V. 2014. Bearing capac-
ity and deformation of the base of deep foundations’
ground bases. Geotechnical Aspects of Underground
Construction in Soft Ground: Proc. intern. symp.,
Seoul, Korea, 25–27 August 2014. Lieden: Balkema:
401–404.
Nakai, T. et al. 2014. Reinforcing mechanism of anchor
type retaining wall – model test and numerical analy-
sis. Geotechnical Aspects of Underground Construction
in Soft Ground – Yoo, Park, Kim & Ban (Eds) Korean
Geotechnical Society, Seoul, Korea: 73–78.
Ou, C.Y. et al. 2016. Numerical investigation of the
effect of cross walls in reducing ground settlement
induced by deep excavation. Geotechnical Aspects of
Underground Construction in Soft Ground – Yoo, Park,
Kim & Ban (Eds) Korean Geotechnical Society, Seoul,
Korea: 173–178.
Pasternak P.L. 1954. Fundamentals of a new method for
calculating on an elastic foundation using two founda-
tion moduli. Moscow: Gosstroyizdat.
Petrukhin, V.P. 2010. Geotechnical problems of con-
struction in Moscow – the largest megacity of Russia.
Geotechnical Challenges in Megacities 1: 259–320.
Ulitsky, V.M. et al. 2010. Regularities in the work of weak
soils when constructing deep pits. Geotechnical Chal-
lenges in Megacities 1: 321–354.
Zolqadr, E. & Yasrobi, S.S. 2014. Effect of wall batter
angle on soil nail walls performance. Geotechnical
Aspects of Underground Construction in Soft Ground –
Yoo, Park, Kim & Ban (Eds) Korean Geotechnical
Society, Seoul, Korea: 133–136.
Zolqadr, E. et al. 2014. Temporary support of excavation
walls-case study. Geotechnical Aspects of Underground
Construction in Soft Ground – Yoo, Park, Kim & Ban
(Eds) Korean Geotechnical Society, Seoul, Korea:
137–140.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Floor construction in basements during reconstruction of buildings in

peaty territories

A.V. Nikitin, A.L. Nevzorov & Yu.V. Saenko

Lomonosov Northern (Arctic) Federal University, Arkhangelsk, Russia

ABSTRACT: Basement deepening with floor construction represents a rational method of underground
space development for installation of basement floors. In the presence of peat in soil, floor construction
poses a difficult engineering problem. The article presents methods of floor construction for basement
floors during reconstruction of buildings in the peaty territory of Arkhangelsk. Bored, driven, and
jacked piles with a length up to 8 m are used in peat soils. Due to the long-term consolidation of peat, soil-
supported “floating” floors are not constructed. Results of numerical simulation of piles using the
PLAXIS 3D software allow obtaining “load/settlement” curves close to the data of full-scale static
load tests.

1 INTRODUCTION due to the lack of bearing capacity margin, as well

The fact that a peat layer with a thickness of sev-
eral meters is found almost everywhere in the terri-
tory of Arkhangelsk can be considered as a feature
of city geotechnical conditions. The peat is covered
with anthropogenic sediments that are usually rep-
resented by fine sand with inclusions of brick, con-
crete and wood fragments, etc. It is underlain with
glaciolacustrine deposits of small thickness, repre-
sented by weak clays. Glacial and marine loams,
which serve as a base layer for pile foundations of
buildings, lie below.
Due to the long-term consolidation of peat
lying at the base of buildings, floors in basements
are installed on floor slabs supported by founda-
tion frameworks of bearing walls, although until
the 1970s soil-supported “floating” floors were
constructed as well. In crawl spaces, there are no
floors, and the peat is usually covered by a sand
layer of small thickness.
In recent years, active underground space devel-
opment in existing buildings, including those in the
historical center built up with two- or three-storied
stone and wooden buildings, has been carried out.
Basements and crawl spaces are deepened and
adapted for business. Therefore, with account for
continuous deformations of peat in the base, tech-
nical solutions for floor construction are required.
According to our observations, even a few decades
after the building construction, peat settlement at
its base continues at a rate of 3–6 mm/year (Nev-
zorov et al. 2012).
As a rule, it is impossible to design a floor slab
suspended on driven piles of a building foundation
as due to particular structural and technological
limitations. Construction of “floating” floors usu-
ally does not suit the owner because of potential
settlement over the years and problems with water-
proofing of the movement joint between the floor
slab and the piles. Use of piles with a small cross-
section (up to 8 m) turned out to be the optimal
solution for construction of floors in basements of
reconstructed buildings.
Several types of piles were used.
1. Bored piles. Piles with a diameter of up to 220
mm were installed using a small-scale drilling rig
placed in the basement after its deepening and fill-
ing with a levelling layer of sand. Piles were buried
under the peat bottom at 4–6 m. Taking into account
low longitudinal stability of the shaft and aggressive-
ness of groundwater, they were usually installed with
an unrecoverable casing.
During construction of equipment floors and
foundations in an industrial building, piles with
a diameter of 350 mm installed using the drilling
mixing technology turned out to be very effec-
tive (Nevzorov et al. 2007). Holes were bored
with a screw through the layer of peat to the
top of loams and filled with sand (Fig. 1). After
that, with the help of the same drilling rig, sand
in holes and clay soils below their bottom (to a
depth of 6 m) were mixed with mortar pumped
through drill rods. Unfortunately, this method
of pile installation was unacceptable in deepen-
ing of basements in buildings due to insufficient
capacity of small-scale machines placed in such
basements.

202
2. Driven piles. Pile installation using a pneumatic
hammer proved to be successful. Tubular steel piles
with a diameter of 220 mm, assembled from sepa-
rate sections with a length of 1.5–2 m (Figs. 2–3)
were used. An SO-166 hammer with a weight of
400 kg was used. Installation of one pile, includ-
ing filling of the pipe with a concrete mixture, took
about 2 hours. To test such piles with a static load,
it was necessary to design special devices to trans-
fer the load from the jack to the basement floor-
ing joists or frameworks of the existing foundation
(Fig. 3). According to the assignment of the design
organization, the maximum load on the piles dur-
ing the tests was 300 kN
A dependence between the driven piles’ settle-
ment and the load was also determined by numeri-
cal simulation using the PLAXIS 3D software, with
account for the size of near-pile soil deformation
zones and assessment of changes in physical and
mechanical properties of soil in those zones. Deter-
mination of the driven piles’ bearing capacity by
numerical simulation included sequential solution
of two problems.
Figure 1. Soil-cement piles’ construction diagram:
1 – hole boring with a screw; 2 – hole filling with
sand; 3 – penetration of a rotating drilling assembly;
4 – lifting of the rotating drilling assembly with simulta-
neous soil mixing.
Figure 2. Structure of the underground part of the
building before reconstruction: 1 – reinforced concrete
pile, 2 – framework.
203
Figure 3. Diagram of basement reconstruction with
the use of piles installed with a pneumatic hammer:
1 – reinforced concrete pile, 2 – framework, 3 – tested
pile, 4 – buffer pipe, 5 – pipe hanger, 6 – beam, 7 – jack,
8 – SO-166 pneumatic hammer.
The first one was to determine effective hori-
zontal stresses along the lateral face of the pile and
effective vertical stresses under the pile toe after
driving. Stresses were determined using a three-
dimensional model (10 × 10 m in plan view) in the
corner of which the fourth part of the pile shaft was
placed. Horizontal stresses were obtained by “sepa-
ration” of planes of the lateral side by half the cross-
section of the shaft. Vertical stresses under the pile
toe were determined after elements’ displacement 1
m downwards. Values of displacements were chosen
to ensure satisfactory agreement of the results with
the experimental data obtained by various authors.
The second problem was to determine the bear-
ing capacity of the piles. The dimensions of the
3D model and properties of the pile were similar
to those in the previous problem. Soil properties
were determined with the use of a Mohr–Coulomb
model. The undrained condition was set for clay
soils. The oedometric deformation modulus Eoed
was considered variable with distance from the
pile, based on the radii of stress-state zones. The
“slab/soil” interaction coefficient Rinter was taken to
be equal to 0.67. Figure 5 shows results of testing
three driven piles using a static load and results of
numerical simulation in the PLAXIS 3D software.
It can be seen from the figure that the results of
numerical simulation in the PLAXIS 3D software
with the use of the developed algorithm closely
agree with the experimental data.
It follows that numerical simulation can be used
to assess the bearing capacity of driven piles with
sufficient accuracy.
3. Jacked piles. Jacked piles are represented with
classic Mega piles with a diameter of 200–250 mm
and a length of 5–10 m. Provision of a buffer for
a hydraulic jack poses a problem for their instal-
lation, as well as for static load testing of bored

Figure 4. Static load testing of driven piles.
Figure 5. Dependence between the pile settlement and
the load: 1, 2, 3 – according to the results of static load
tests, 4 – according to the results of numerical simulation.
and driven piles. Several tested piles can be placed
under the joists or frameworks of the existing
foundation, but when several dozen piles are sub-
merged, there is no support. Basement floor slabs
are reinforced with account for the load acting
from above, not from below. Besides, to prevent
vertical deflection of piles, as a rule, it is required
to drill pilot holes in the peat.
A method with the advanced installation of a
reinforced concrete floor slab (Fig. 6) proved to be
effective.
204
Figure 6. Diagram of a reconstructed basement with
jacked piles: 1 – reinforced concrete pile, 2 – tubular pile,
3 – monolithic slab, 4 – stop frame, 5 – hydraulic cylinder.
The works are performed in the following order:
basement deepening, filling-in of a sand layer,
installation of concrete bedding, waterproofing,
manufacturing of a monolithic reinforced concrete
slab. At the points of pile location, sleeves are laid
in a slab, and after the development of strength in
concrete, a guide frame and a hydraulic cylinder
are set in sequence. The frame is attached to the
slab with anchors. Advantages of the method are
the controlled value of the bearing capacity in each
pile and pile pre-stressing. The latter is achieved by
fixing the pile to the slab under load, i.e. without
pressure relief in the hydraulic cylinder.
In design, the bearing capacity of such piles can
be determined by numerical simulation, the algo-
rithm of which is described above.
2 CONCLUSION
In case of a peat layer in the foundations of recon-
structed buildings, bored, driven, and jacked
tubular piles can be used for floor construction
in the basements; their bearing capacity should
be determined by static load tests or by numerical
simulation.
REFERENCES
Nevzorov, A.L., Aksenov, S.E. & Kozmin, D.D. 2007.
Experience of soil-cement piles structure in Arkhan-
gelsk. International Symposium on Sustainability in
Cement and Concrete Industry. Lillehammer, Norway,
16–17 September, 2007, 375–380.
Nevzorov, A.L., Nikitin, A.V. & Zaruchevnykh, A.V.
2012. A city on a swamp. Arkhangelsk: Northern (Arc-
tic) Federal University.
Regulations SP 24.13330.2011. Pile foundations.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Prediction of settlement of buildings surrounding deep

excavations in Viet Nam

N.S. Nikiforova
Moscow State University of Civil Engineering, Moscow, Russia

Nguyen Van-Hoa
Moscow State University of Civil Engineering, Moscow, Russia
Department of Civil Engineering, Vinh University, Vinh, Vietnam

ABSTRACT: This paper numerically calculates the correction coefficients for formula suggested by
(Ilyichev V.A et al, 2007) determining the settlement of buildings surrounding deep excavations and lateral
displacement of diaphragm walls. Three construction methods of diaphragm walls, five typical geological
conditions in big cities of Vietnam are considered in the numerical analyses. Two depth levels of the walls,
which are 8 m and 10 m, are selected for a typical range of basements. The influence of seismic loading is
also evaluated in this study. The results demonstrate that the calculated coefficients (Kr) is higher for weak
water-saturated soil conditions than that for medium strength soils. Also, the influence of seismic loading on
the settlement of buildings and lateral displacement of diaphragm walls shows to be significant for all cases.

1 INTRODUCTION on strip footings along its length near an excava-

tion is expressed by
In major cities of Vietnam such as Hanoi and
Ho Chi Minh city, a lot of buildings with multi- S ( x ) = kr [δφ ( x ) + q / k ] (1)
ple basements and underground structures were
constructed in the last decades. Due to the high where
density of buildings and narrow spaces of the con-
struction sites, the construction process potentially A1 f1H k5 k α
affects the adjacent structures. Many studies have δ= ;A = ;b= ;
α 4 + A1H k4 1 EJ Hk
calculated the settlement in the affected area sur-
  b  
rounding deep excavations (Peck, 1969), (Clough φ ( x ) =  ψ  − 1 ηII ( ξ ) + ηIV ( ξ ) + e− b ( x+ L )  ;
G.W. and O’Rourke T.D. 1990), (Ilyichev V.A.   λ  
et al, 2007), (Nikiforova N.S. 2008). However, and the b 2 e− bL
ψ= ;ηII ( ξ ) = e cos ξ ;
−ξ
effects of local soil conditions and seismic loading 2λ 2
were not considered. Particularly, a thorough study k
on this issue in Vietnam was not also performed. In ηIV ( ξ ) = e− ξ sin ξ ;ξ = λ x; λ = 4 ;
4 EJ
history, earthquakes with a magnitude 7.0 had ever
occurred in Hanoi. This paper presents a method to where k is the subgrade reaction coefficient, (unit:
determine the correction coefficients for calculat- kN/m3); EJ is the linear flexure stiffness of building
ing the settlement of buildings surrounding deep (depends on the number of storeys), (kN.m2/m); q
excavations constructed in Vietnam considering the is the contact pressure under the strip footing; kr is
influence of various soil conditions, construction the coefficient depending on the type of strutting
methods of diaphragm, and seismic loading. of the excavation and it can be obtained from the
experimental monitoring; Hk is the depth of the
excavation; x is the coordinate of a point along the
2 CALCULATION OF THE SURFACE building length (i.e. x = 0 if the building located
SETTLEMENT OF SOIL AROUND closest to the pit); f1 is the empirical coefficient,
THE EXCAVATION which describes the maximum surface subsidence,
for deep excavations f1 = (0.1–10.1)%*Hk, medium
2.1 Theorical background f1 while 1.1%* Hk (Peck, 1969), (Moormann, 2002).
The formula, suggested by (Ilyichev V.A et al, EJ values versus the number of stories of
2007) for determining the settlements of a building building were recommended by (Franzius, J.N. &

205
Addenbrooke, T.I. 2002) for determining the
impact of the building weight and stiffness on
the settlements of surface above a tunnel. Table 1
shows the value of EI with different buildings. It
is assumed that n-storey building has n + 1 floors
The subgrade reaction coefficient can be be cal-
culated using M.I. Gorbunov-Posadov formula,
expressed by
E0
k = 1.14 , (2)
(1− υ 2 )α ′
where E0 is the soil modulus; υ is Poisson’s ratio
(υ = 0.3 for sand, υ = 0.35 for sand and clay loam,
and υ = 0.4 for clay); α ′ is the width of the footing.
For narrow long beams, the coefficient k can be
determined by a formula given by (Sorochan E.A.
and Trofimenkov Yu.G. 1985):
π E0 (3)
k=
2 (1− υ 2 )B ln( 4α )
where B is the length of the beam, α is the ratio of
the length over with
Table 1. EJ value of the building.
Building EJ, (kN.m2/m)
The subgrade reaction coefficient k can be
also assigned according to recommendations
of (Ukhov S.B, 1994): (0.3–1)*104 kN/m3 if E0
< 10 MPa; (1–3)*104 kN/m3 if E0 = 10–20 MPa;
(3–8)*104 kN/m3 if E0 = 20–35 MPa.
The correction coefficient: kr = 1 for using steel
pipe strutting; kr = 0.6 for using concrete floor
strutting (top-down construction method); kr = 2.5
for using anchors.
The values of the coefficient kr are obtained
from observations of horizontal displacement
of diaphragm wall for three types of the geologi-
cal conditions of Moscow: Type I—bulk soils are
covered with sand from small to gravelly, medium
density and dense (ϕ = 25°–39°, c = 0–4 kPa,
E = 23–47 MPa); Type II—bulk soils are under-
lain by loams and clays with a consistency of not
less than semi-solid (ϕ = 14°−25°, c = 10–40 kPa,
E = 18–40 MPa); Type III—bulk soils are under-
lain by loose fine and dusty Sands (ϕ = 18°–20°,
c = 10–40 kPa, E = 11–12 MPa), as well as loam
and clay from soft plastic to fluid consistency
(ϕ = 6°–19°, c = 11–30 kPa, E = 2–12 MPa) (Ily-
ichev V.A. et al, 2007).
Taking into account the presence of a large
thickness of weak water-saturated soils and seismic
effects in Vietnam, the formula for determining the
settlement of buildings surrounding the deep exca-
vations is proposed in the following form:

Spread footing 6.47 * 103 S ( x ) = kr kS  δφ ( x ) + q / k  (4)

1 floor 2.00 * 107
3 floors 6.00 * 108 where ks is the coefficient taking into account seis-
5 floors 6.98 * 108 mic effect. To determine the coefficients kr and ks,
the authors performed numerical studies using the

Table 2. Typical soil types in cities of Vietnam.

Soil type Main characteristics of soils City

Type I:
(0–20 ) clays and loams, soft plastic
( 20 ) clay with a consistency from
semi-solid to refractory
Type II:
(0–20 ) clays and loams, soft plastic
20 sandy loam (sometimes with gravel)
Type III:
sandy loam (sometimes with gravel)
Type IV:
(0–10 ) sandy loam plastic and soft plastic
loam (10–20 ) Sands of medium density,
silty and medium size
more than 20m soft plastic loam
Type V:
(0–10 ) sandy loam plastic and soft plastic
loam (10–40 ) silty Sands from medium
density to dense gravelly
(ϕ = 4–6°, c = 5–6 kPa, E = 1.1 MPa); Ho Chi
(ϕ = 12–16°, c =24–28 kPa, E = 4 MPa, Minh city
SPT = 12–30)
(ϕ = 4–6°, c = 5–6 kPa, E = 1.1 MPa); Ho Chi
(ϕ = 25–26°, c = 5.4–8.0 kPa, E = 5 MPa ) Minh city
(ϕ = 23–26°, c = 5.4–7.5 kPa, Ho Chi
E = 7–9 MPa, SPT = 12–30) Minh city
– (ϕ = 7–14°, c = 14–21 kPa, E = 7–12 MPa); Ha Noi
– (ϕ = 32–34°, E = 15–28 MPa, SPT = 14–22);
– (ϕ = 7–11°, c = 14–18 kPa,
E = 15–28 MPa, SPT = 7–11)
– (ϕ = 7–14°, c = 14–21 kPa, E = 7–12 MPa); Ha Noi
– (ϕ = 32–34°, E = 15–50 MPa, SPT =14–50)

206
program PLAXIS 2D ver. 2016 applying the Hard-
ening Soil and undrained A calculation model. The
procedure for calculating kr and ks is presented
hereafter.
2.2 Types of geological conditions investigated
This study investigated following typical types of
geological conditions in Hanoi and Ho Chi Minh
city (Nguyen V.H & Nikiforova N.S, 2017). Details
of the soil types are presented in Table 2.
2.3 Determination of the coefficient Kr
In numerical calculations, excavations with a depth
of 8m and 10 m resisted by a diaphragm with a
thickness of 0.8 m and a height of 23 m were con-
sidered. Design schemes and input parameters are
given in the study of (Nguyen V.H et al., 2018)
(Nikiforova N.S et al., 2018). The loadings of sur-
rounding buildings are calculated as a pressure q =
20 kN/m on the ground surface. This load is located
at distances to the excavation, L = fL .Hk (fL =
0.5–1.5). The calculation results of displacements
of the diaphragms are summarized in Table 3. In
this table the parameters fh are described by
no − earthquake
u Calculations of horizontal displacements of the
fhno − earthquake = h
(5)
Hk
uearthquake
fhearthquake = h
(6)
Hk
where: uhno − earthquake , uhearthquake maximum horizontal
displacement of the diaphragm walls in two cases:
with and without earthquakes.
Figure 1. Horizontal displacements of the diaphragm walls Uh, with Hk = 8.0 , fL = 0.5 constructed using (a) anchors,
(b) steel pipes struts, and (c) reinforced concrete floors (top-down method).
207
According to (Clough G.W and O’Rourke T.D,
1990), for clays and sands the results of generaliza-
tion of numerous experimental observations in dif-
ferent countries is in the range of 0.2–0.5%, while
the updated data of (Moormann, 2002), the value
is ranged from 0.5–1.0%., i.e. fh = 0.2–1.0% (Niki-
forova N.S, 2008).
Finally, the coefficient, Kr can be calculated for
three types of construction methods (anchors – A,
struts of steel pipes – P, and reinforced concrete
floors – ), expressed by
K rP = 1 (7)
U A
K rA = h
(8)
U P
h
U hΠ
K rΠ = (9)
U hP
where U hA , U hP , U hΠ are the maximum horizontal
displacement of the diaphragm walls
Average values of Kr at Hk = 8 10 and fL =
0.5–1.5 are presented in Table 4.
2.4 Determination of the coefficient Ks
diaphragm walls were carried out for three types
construction methods, two depth levels of exca-
vation, and five geological conditions in Vietnam
with and without earthquake. Figure 2 shows the
horizontal displacements of the diaphragm walls
for the excavation with a depth of 8 m in soil
conditions of type II. It can be observed that the
horizontal movement of the diaphragm walls in
Table 3. Relative values of the maximum horizontal displacements of the diaphragm walls.

fhno − earthquake (%) fhearthquake (%)

Type of support structure Soil type Deep excavation ( ) fL = 0.5 fL = 1.0 fL = 1.5 fL = 0.5 fL = 1.0 fL = 1.5

Anchors (A) I 8 * * * * * *
10 * * * * * *
II 8 1.19 1.09 1.03 2.80 2.81 2.70
10 1.70 1.64 1.52 * * *
III 8 0.25 0.24 0.24 0.63 0.62 0.61
10 0.26 0.26 0.25 0.75 0.69 0.69
IV 8 0.41 0.38 0.36 1.00 0.98 0.96
10 0.51 0.47 0.45 0.91 0.87 0.84
V 8 0.58 0.56 0.55 1.46 1.36 1.44
10 0.75 0.72 0.69 2.09 2.06 2.00
Struts of steel pipes (P) I 8 0.49 0.48 0.36 2.09 2.10 1.71
10 0.79 0.74 0.70 1.04 0.99 0.95
II 8 0.46 0.45 0.44 0.90 0.92 *
10 0.43 0.41 0.40 0.70 0.68 0.67
III 8 0.19 0.19 0.18 0.47 0.48 0.47
10 0.23 0.23 0.23 0.39 0.39 0.39
IV 8 0.17 0.16 0.16 0.44 0.43 0.43
10 0.22 0.20 0.19 0.47 0.48 0.48
V 8 0.36 0.36 0.35 0.62 0.62 0.61
10 0.51 0.49 0.48 0.84 0.82 0.81
Reinforced concrete floors (Π) I 8 0.71 0.70 0.67 * * *
10 0.81 0.76 * 1.90 1.82 *
II 8 0.38 0.37 0.36 0.68 0.68 0.66
10 0.38 0.36 0.36 0.61 0.59 0.58
III 8 0.17 0.17 0.17 0.36 0.36 0.36
10 0.17 0.17 0.17 0.31 0.30 0.31
IV 8 0.15 0.15 0.14 0.35 0.35 0.34
10 0.13 0.13 0.12 0.28 0.28 0.28
V 8 0.33 0.32 0.31 0.50 0.52 0.52
10 0.29 0.28 0.28 0.53 0.53 0.52

Note: *– Stability of the diaphragm walls is not provided.

Table 4. Values coefficient r . the case of considering earthquake is significantly

larger than that without earthquake loading. The
Soil type I II III IV V same trend is also observed for the other cases.
The coefficient Ks can be calculated based on
Type of support –* 3.2 1.2 2.3 1.5
structure 1.00 1.00 1.00 1.00 1.00
the following equation
0.7 0.9 0.8 0.8 0.7
fhearthquake
Ks = (10)
Note: *For soil type I-with anchors, the stability of the fhno − earthquake
diaphragm walls is not ensured.
The results of calculated Ks are given in Table 5.
Table 5. Values of the coefficient .
s

Soil type I II III IV V 3 SUMMARY

Type of support * 2.5 2.7 2.6 2.7
structure 2.9 1.8 2.1 2.5 1.7 A series of numerical simulations were performed
2.4 1.7 1.9 2.3 1.7 to calculate the correction coefficients for deter-
mining settlement of buildings located being adja-
Note: *For soil type I-with anchors, the stability of the cent deep excavations. Three construction methods,
diaphragm walls is not ensured. five soil conditions in cities of Vietnam, two depth

208
Figure 2. Graphs of horizontal movements of the diaphragm walls for pits with a depth of 8 m in soil conditions of
type II when the spacer structures in the form of: a) struts of steel pipes; b) reinforced concrete floors.
levels of diaphragm walls were considered in the
analyses. Also, the influence of seismic loading was
evaluated in this study. Based on the results, fol-
lowing conclusions are drawn.
• Two sets of correction coefficients r and Ks,
were calculated for typical soil conditions in cit-
ies of Vietnam considering three construction
methods of diaphragm wall and seismic loading
effect.
• For weak water-saturated soils in cities of Viet-
nam, the coefficient r with respect to top-down
construction method is 33% higher than that for
soils with medium strength.
• The maximum horizontal displacements of
the walls considering seismic loading is 1.7–2.9
times larger than those without an earthquake
for all types of geological conditions and three
types of construction methods for excavations
with a depth from 8–10 m.
REFERENCES
Clough G.W. and O’Rourke T.D., 1990. Construction-
induced movements of in situ walls. Design and
Performance of Earth Retaining Strucures, pp. ASCE
Special Publication, No. 25, pp. 439–470.
Franzius, J.N. & Addenbrooke, T.I., 2002. The influence
of building weight on the relative stiffness method of
predicting tunnelling-induced building deformation.
Toulouse, France, 23–25 October 2002, pp. 53–57.
209
Ilyichev V.A. et al, 2007. Computing the evaluation of
deformations of the buildings located near deep founda-
tion tranches. Madrid, Spain 24–27th September 2007
“Geotechnical Engineering in urban Environments”.,
Volume 2, pp. 581–585.
Moormann, C. &. M.H.R., 2002. study of wall and ground
movements due to deep excavations in soft soil based
on worldwide experiences. 4th Session Deep Excava-
tion: Design and analysis. – Toulouse, France, 23–25
October, s.n., pp. 477–482.
Nguyen V.H. & Nikiforova N.S., 2017. Consideration of the
features geological conditions when developing the under-
ground space of Vietnam. Saint Pt, p. 277–281, Confer-
ences Geotechnical engineering surveys, design and
construction of foundations and underground structures.
Nguyen V.H. et al., 2018. Semic displacement prediction of
retaining walls upon deep exavations in Ha Noi. Journal
of Transportation Science and Technology, ISSN 1859–
4263,, Volume Vol 27+28, pp. May, c192–197.
Nikiforova N.S. et al., 2018. Weak soils deformations dur-
ing excavation of deep pits in seismic regions and adja-
cent buildings protection.
, Volume 6/2018, pp. c62–64.
Nikiforova N.S., 2008. Deformation of the buildings near
deep excavations and underground construction and
protection measures. Moscow: Doctor Diss, 324 p.
Peck, R.B., 1969. Deep excavation and tunnelling in
soft ground. State of the art report. Mexico City,
pp. 147–150., s.n.
Sorochan E.A. and Trofimenkov Yu. G., 1985. Designer
Reference Book “Soil Bases, Footings and Underground
Strucures”. Moscow: Stroyizdat, 480 p.
Ukhov S.B., S.V.Z.V.T.-M.Z.C.S., 1994. Soil mechanics,
soil bases and footing. Moscow: ACB, 527 p.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

On criterion for considering dynamic soil-structure interaction effects

L.V. Nuzhdin
Novosibirsk State University of Architecture and Civil Engineering, Novosibirsk, Russia
Perm National Research Polytechnic University, Perm, Russia

V.S. Mikhailov
Novosibirsk State University of Architecture and Civil Engineering, Novosibirsk, Russia
SCAD Office Scientific and Technical Support Center, Novosibirsk, Russia

I.D. Yankovskaya
Novosibirsk State University of Architecture and Civil Engineering, Novosibirsk, Russia
Siberian Structural Design and Research Institute, Irkutsk, Russia

ABSTRACT: This paper discusses the possibility of neglecting the soil-structure interaction in founda-
tion designs for seismic loads. According to American standard ASCE 4-98 approach, yield strength is a
criterion obligatory to consider. The authors have conducted a study into the possibility of practicing this
approach with regard to the domestically used experimental methods and building codes, and FEM-based
3D modelling with SCAD Office.

1 INTRODUCTION ASCE4-98, Building Code 26.13330.2012

“Machine Foundations Under Dynamic Loads;
It is stated in Building Code 14.13330.2018 that and Savinov method”.
all civil engineering projects must be analyzed The initial parameters of soil are assumed
for dynamic loads from industrial activity, trans- conventionally in accordance with wave velocity
port, and seismic loads. Particularly, section 5.10 for four seismic categories. These parameters are
stipulates that dynamic calculation models must, shown in Table 1. The structural parameters are
in all cases, consider dynamic soil-structure shown in Table 2.
interaction effect. This stipulation needs to be
clarified.
Earlier (Nuzhdin et al. 2018) the authors made Table 1. Soil parameters for the homogeneous half-space.
a survey of two methods applied in the USA and
Japan for nuclear power plant design calculations, E G
Young ν Shear
that are intended to validate or invalidate the Foundation Vs, ρ, modulus, Poisson’s modulus,
necessity to consider SSI effects (Soil-Structure soil m/s Vp/Vs t/m3 kPa ratio kPa
Interaction) when calculating cast-in-situ ferro-
concrete structures with different number of floors Soil 1 700 1.7 2 2 421 482 0.24 980000
(5 to 25) and foundations in four different soils. In Soil 2 400 2.2 2 876 667 0.37 320000
the twenty cases analyzed, the necessity to consider Soil 3 200 5.3 2 237 047 0.48 80000
the inverse effect of structural vibration on the Soil 4 100 11 2 59 833 0.496 20000
dynamic behavior of foundation soil, i.e. dynamic
interaction, was validated by both the methods for
65% of calculation tasks. Table 2. Characteristics of the structural models analyzed.

Number Length of Width of

2 FOUNDATION SOIL CHARACTERISTICS of floors Weight, t slab, m slab, m

5 3620 27.9 16.2

At this stage of our survey, the structural models
10 7250
are platform ones with homogenous foundation
15 10880
soils, the reaction parameters of which have the 20 14510
form of damper and stiffener (spring) systems with 25 18140
properties determined using three approaches—

210
2.1 Foundation soil parameters according to
ASCE 4-98
The reason for our analysis to include American
standard ASCE 4-98 is that it applies to all nuclear
power facility designs that are accepted into service
by International Atomic Energy Agency (IAEA),
including those by AtomEnergoProject (JSC).
Table 3 shows soil characteristics depending of the
dimensions of a foundation rectangular in plan as
given in ASCE 4-98.
Figure 1. Coefficient curves: βx, βz, βψ.
2.2 Foundation soil parameters according to
Table 4. Building Code 26.13330.2012 parameters
Building Code 26.13330 for calculating soil-structure interaction for shallow
For the convenience of comparative analysis, the foundations.
parameters of foundations according to Build-
Ground base Stiffness Damping
ing Code 26.13330.2012 have been translated into motions parameters k parameters c
ASCE 4-98 formulas and are shown in Table 4. For
Vertical, Z kz Cz ⋅ A cz c cr ⋅ ξ z =
Table 3. ASCE 4-98 parameters for calculating soil-struc-
ture interaction for shallow rectangular foundations. c cr ⋅ 6 ⋅ E / (C z ⋅ p ) =

Ground base Stiffness Damping ( 2 ⋅ kz ⋅ m ) ⋅

motions parameters k parameters c ⋅ (6 ⋅ E / (C z ⋅ p ) )

Vertical, Z Horizontal, k x/y C x/y ⋅ A c x/y 0.6 ⋅ cz

G cz kz X (Y)
kz = k
1− ν ⋅R ρ /G Rotary, kψ x/x/ψ y Cψ x/ψ y cψ x/x/ψ y 0.5 ⋅ cz
⋅ β z ⋅ B L2 R B⋅ L / π vertical
plane ⋅ Iψ x/x/ψ y
cz kz
⋅R ρ /G Torsional, kt Ct ⋅ It ct 0.3 ⋅ cz
vertical
Horizontal, plane
kx / y = 2 R B⋅ L / π
X (Y) (around Z)
⋅ ( 1+ ν )
⋅ G ⋅ βx where C z =b b0 ( / ) = coefficient of elas-
10
⋅ B L tic uniform compression, kN/m3, where b0 = coefficient
assumed equaling 1 for sandy soil, 1.2 for clayey sand
Rotary,
G 0.30 and loam soil, and 1.5 for clay and macrofragmen-
vertical kψ x = cψ x = ⋅ kψ x tal soil; E = modulus of deformation of the soil under
plane ψy
1− ν ψy
1 + Bψ ψy
foundation base (where foundation base is nonhomoge-
⋅ βψ ⋅ B L 2
⋅R ρ /G neous, E will be the average modulus within compress-
R 4 B ⋅ L3 / 3 ⋅ π ible mass); A10 = 10 m2; A = area of foundation base;
Bψ 3(1 ν )I 0 / 8 Cψx/ψy = 2⋅Cz = coefficients of elastic non-uniform com-
pression (rotation); Cx/y = 0.7⋅Cz = coefficients of elastic
ρ R5 uniform shear; Ct = Cz = coefficient of elastic non-uni-
Torsional, form shear (torsion); Iψx/ψy, It = respectively, moments of
kt G kt I t inertia in the area of the foundation base relative to the
vertical ct =
plane ⋅ R3 / 3 1 + 2 ⋅ It / ρ R5 horizontal axis which is perpendicular to the vibration
(around Z) R= plane, and to the vertical axis of the foundation which
4 B L ⋅ ( B 2 + L2 ) / 6 ⋅ π both pass through the foundation base center of gravity;
ccr kz ⋅ m = critical coefficient of viscous damping
at which soil-structure behavior starts to lose its oscilla-
where ν = Poisson’s ratio for soil; G = soil shear modu- tory response and which enables a transition from rela-
lus; R = reduced radius of foundation; ρ = soil mass density; tive damping in fractions of critical damping ξz = cz/ccr
I0 = full moment of inertia in structural weight and founda- according to Building Code 26.13330 to equivalent one
tion slab under rotation in vertical plane; It = polar moment by analogy with ASCE 4-98; p = mean static pressure
of inertia in structure and foundation under torsion in verti- under the foundation base.
cal plane; B = foundation breadth (in direction perpendicular
to horizontal impact); L = foundation length (in the direction
of horizontal impact); βx, βψ, βz = constants that are func- the functions and relationships to take general form,
tions of nondimensional ratio L/B for rectangular founda- the values of relative damping in fractions of critical
tions and are determined from Figure 1. one have been translated into relative damping.

211
2.3 Foundation soil parameters according to based on known soil types and conventional geoen-
Savinov method gineering surveys. Some of Savinov’s propositions
served the basis for Building Code 26.13330.2012.
Based on Pavliuk-Raush model (Savinov O. 1979),
For the convenience of comparative analysis,
O.A. Savinov’s method is still commonly used in
the empirical formulas developed by O.A. Savinov
engineering practice as it offers a great quantity of
for determining of foundation parameters have
experimental data, fine precision, and a relatively
been reduced to ASCE 4-98 functions and are
simple procedure for calculating the parameters
shown in Table 5.
Table 5. Savinov parameters for calculating soil-struc- Table 6 shows the values of vertical elastic uni-
ture interaction for shallow rectangular foundations. form compression coefficient used in the relation-
ships of Table 4.
Ground base Stiffness Damping The decay moduli shown in Tables 7 and 8
motions parameters k parameters c depend on the static pressure under the slab in
water-saturated and aerated foundation soils and
Vertical, kz = Cz ⋅ A are intended for calculating the parameters shown
c z = c cr ⋅ ξ z =
Z in Table 5.
= ( 2 ⋅ kz ⋅ m ) ⋅
⋅ ( 0, 5 ⋅ kz ⋅ m ⋅ Φ z )
Horizontal, k x/y = C x/y ⋅ A c x/y = c cr ⋅ ξ z = 3 COMPARATIVE ANALYSIS OF METHODS
X (Y)
= (2 ⋅ kx / y ⋅ m ) ⋅
3.1 Foundation soil stiffness parameters
⋅ ( 0, 5 ⋅ kx / y / m
The results of stiffness analyses of foundation soil,
⋅ [ 0.6 ⋅ Dz ] )
performed in accordance with the three methods,
Rotary, kψ x/ψ y = cψ x/ψ y = are shown in Table 2.
vertical In dealing with dynamic analyses of founda-
plane = Cψ x/ψ y ( 2 ⋅ kψ x /ψ y ⋅ m ) ⋅ tions, Savinov’s (Savinov 1979, Il’ichev & Man-
⋅ Iψ x/ψ y
⋅ ( 0.5 ⋅ kx / y / m gushev 2016) and the method offered in the later
⋅ [ 0.5 ⋅ Dz ] ) version of Building Code 26.13330, which is of
general service, represent approved methods. As
Torsional, kt = Ct ⋅ I t for ASCE 4-98, the resultant graphs show that it
vertical c t = ( 2 ⋅ kt ⋅ m ) ⋅
allows to obtain some intermediate values of the
plane ⋅ ( 0, 5 ⋅ kt / m
foundation stiffness parameters for rotational
(around Z) ⋅ [ 0.3 ⋅ Dz ] ) oscillatory motion in vertical plane around the
center of the slab, and some stiffness parameters
where: C z =C 0 ⋅ (1 + 2( B + L ) / ∆1A) p / p0 ) – coefficient for hard and medium hard soils of seismic cate-
of vertical elastic uniform compression, where C0 = trial gory I and II, which are underestimated. Category
coefficient assumed based on Table 5; B = breadth III and IV soils have similar stiffness parameters.
of foundation (in direction perpendicular to hori-
Most discrepant, in all directions of the degree
zontal impact); L = length of foundation (in direc-
tion of horizontal impact); ∆1 = 1 m−1 = constant of freedom, are the stiffness parameters obtained
dimensional coefficient; A = area of foundation base; for Soil Conditions 1 which approximate bedrock.
Cx/y = 0.7⋅Cz = coefficients of elastic uniform shear; This is due to the lack of experimental data on them
Cψx/ψy = 2⋅Cz = coefficients of elastic nonuniform compres- in O.A. Savinov’s papers and the conditionality of
sion under rotation; Ct = Cz = coefficients of elastic nonu- the empirical relationships of this kind present in
niform shear (torsion); Iψx/ψy, It = respectively, moments each of the methods analyzed. It will be shown that
of inertia in the area of the foundation base relative to the in the majority of Soil 1 cases the SSI effects can be
horizontal axis which is perpendicular to the vibration neglected and the findings are very similar.
plane, and to the vertical axis of the foundation which
both pass through the foundation base center of gravity;
p = pressure transferred to soil by foundation; p0 = pres- 3.2 Foundation soil damping properties
sure under test tool applied for determining of coeffi-
cient C0; ccr = 2 ⋅ kz ⋅ m = critical coefficient of viscous The graphs of foundation soil damping param-
damping which enables a transition to equivalent damp- eters, obtained with three methods, are shown in
ing cz from relative one in fractions of critical damping Figure 3.
ξ z,x,t,ψ = cz,x,t,ψ / ccr = 0.5 ⋅ λ z,x,t,ψ ⋅ Φ z,x,t,ψ ; λ z,x,t,ψ = kz ,x ,t ,ψ / m Most discrepant in the American and Russian
= circular frequency of natural oscillation over 2π sec- standards are the foundation damping parameters
onds; Φz = decay modulus of vertical oscillations assumed for seismic category I and II hard and medium
according to the experimental studies presented in Tables hard soils. In ASCE 4-98, they are 50%–60%
6 and 7; Φx = 0,6⋅Φz, Φψ = 0,5⋅Φz, Φt = 0,6⋅Φz = according higher. This may be due to the extra damping that
to para. 6.1.5. of Building Code 26.13330.2012. occurs as a result of “energy drain” in the infinite

212
Table 6. Elastic uniform compression coefficient C0 obtained with Savinov method.

C0, MN/m3 Soil type

Seismic Soil at p0 = 20 used in
category condition Soil (Voids ratio e; consistency index IL) kPa calculations

I Hard Firm clay and loam soil (IL < 0) 3.0

Macrofragmental soil 2.6 Soil 1
Firm sandy loam (IL < 0) 2.2
II Medium Stiff clay and loam soil (0.25 < IL ≤ 0.5) 2.0
hard Softer sandy loam (0 < IL ≤ 0.5) 1.6
Firm and moderately firm sandy silt (e ≤ 0.8) 1.4
Fine, medium coarse and coarse sands regardless 1.8 Soil 2
of density and water content
III Soft Loose, water-saturated sandy silt (e ≤ 0.8) 1.2
Soft sandy loam (0.5 < I L ≤ 1) 1.0 Soil 3
High-plastic clay and sandy loam (0.5 < IL ≤ 0.75) 0.8
IV Very Very soft clay and loam (IL > 0.75) 0.6
soft Fluid sandy loam (IL > 0.75) 0.6 Soil 4

Table 7. Decay modulus Φz for water-saturated soils

depending on the static pressure under foundation base.

Φz, c

Soil at p0 = 150 at p = 40 Soil type used

(Voids ratio e) kPa kPa in calculations

Wet clayey soils 0.005 0.005

Water-saturated 0.005 0.005
sandy soils

Table 8. Decay modulus Φz for aerated soils depending on

the static pressure under foundation base.

Φz, c, c
Soil type
at p0 = at p = used in
Soil (Voids ratio e) 150 kPa 40 kPa calculations

Compact clayey soil 0.004 0.006 Soil 1

Firm moraine sandy 0.005 0.006
loam and loam soil
Backfilled and naturally 0.006 0.008 Soil 3
occurring loose sandy Figure 2. Comparative analysis of equivalent stiffness
loam (e > 0,6) in the middle of a completely rigid slab, obtained with
Naturally occurring sand 0.005 0.007 ASCE 4-98, Building Code 26.13330.2012 and Savinov
Backfilled coarse and 0.005 0.007 Soil 2 method.
medium coarse sand
Fine, loose sandy silt 0.007 0.010
(e > 0,6)
Backfilled and naturally 0.011 0.011 Soil 4
occurring loose clay for seismic category IV soil appear overestimated,
and loam soil (e > 0,6) which may be due to the empirical nature of data,
not analytical as in ASCE 4-98 and Building Code
26.13330.2012.
half-space under seismic loads and associated mac- Table 9 shows the results of the comparative anal-
roseismic oscillations. The damping parameters of ysis of equivalent damping coefficients obtained
seismic category III and IV softer soils are iden- with ASCE 4-98, Building Code 26.13330.2012
tical. The results obtained with Savinov method and Savinov method.

213
 The criterion contains a simple condition: If “the
first frequency”, which is the lowest significant fre-
quency of self-induced vibrations of a structure in
fully restrained foundation soil, is more than two
times higher than “the second frequency” of the
structure assumed to be an absolutely rigid body
on yielding, homogeneous foundation soil, then
the soil stiffness may be neglected (Tyapin 2013).
The calculation data and “the first frequencies”
are given in Table 3 of our previous publication
(Nuzhdin et al. 2018). The dominant “second” fre-
quencies of a rigid structure in a yielding, homoge-
neous foundation soil (half-space) were calculated
using four methods:
− formulas of Table 3 with stiffness values accord-
ing to ASCE 4-98;
− formulas of Table 4 with stiffness values accord-
ing to Building Code 26.13330.2012;

Table 11. Comparative analysis of methods for consid-

Figure 3. Comparative analysis of equivalent damp-
eration of SSI effects in determining the foundation soil
ing coefficients obtained with ASCE 4-98, Building
parameters.
Code 26.13330.2012 and Savinov method.
Osawa, Kitagawa, Iri

Osawa, Kitagawa, Iri

Table 9. Relative damping coefficients ξz in fractions of critical
Number of floors

damping, calculated with Building Code 26.13330.2012 and O.A.

SCAD 3D model

SCAD 3D model

SCAD 3D model
Savinov’s data.
Code 26.13330

Code 26.13330

Code 26.13330
O.A. Savinov

O.A. Savinov

O.A. Savinov
ASCE 4-98

ASCE 4-98

ASCE 4-98
Building Code 26.13330.2012 Savinov method

ξz unsteady ξz steady Decay

Soil oscillations, oscillations, ξz, unit modulus
conditions unit fraction unit fraction fraction Φ, s
X Y Z
Soil 1 0.50 0.23 0.60 0.004
Soil 2 0.56 0.23 0.58 0.005
Soil 1
Soil 3 0.56 0.23 0.52 0.006
5 + + – + – + + + + + + + + +
Soil 4 0.61 0.23 0.74 0.011
10 + – – + – + – – + – + + + +
15 – – – – – – – – – – + + + +
Table 10. Soil dominant frequencies under the rigid 20 – – – – – – – – – – + + + +
structure. 25 – – – – – – – – – – + + + +
Ground base motions Frequency, Hz Soil 2
5 + + + + + + + + + + + + + +
Horizontal X 10 + + + + + + + + + – + + + +
1 kx 15 + – – – – + – – – – + + + +
fx = ⋅
2⋅ π m 20 – – – – – – – – – + + + +
Horizontal Y 25 – – – – – – – – – + + + +
1 ky
fy = ⋅ Soil 3
2⋅ π m 5 + + + + + + + + + + + + + +
Vertical Z 10 + + + + + + + + + + + + + +
1 kz 15 + + + + + + + + + + + + + +
fz = ⋅
2⋅ π m 20 + + + + + + + + – – + + + +
25 + + + – – + – – – – + + + +
Soil 4
4 CRITERION FOR CONSIDERING 5 + + + + + + + + + + + + + +
SSI EFFECTS 10 + + + + + + + + + + + + + +
15 + + + + + + + + + + + + + +
Since domestic literature and regulatory standards 20 + + + + + + + + + + + + + +
do not offer methods for determining this crite-
25 + + + + + + + + – + + + + +
rion, the authors made use of ASCE 4-98.

214
− formulas of Table 5 with stiffness values accord-
ing to O.A. Savinov;
− SCAD Office numerical modelling that involved
a modal analysis of the structural design with
soil modelled with 3D finite elements and weight
falling on the center of gravity of the slab; and
− Japanese method (Osava et al. 1993).
The calculated relations between “the first fre-
quenclies” and the obtained “second frequen-
cies” are shown in Table 11. ‘+’ means that the SSI
effects (soil-structure interaction) are significant
and should be considered in seismic calculations.
‘–’ means that the structural design can be consid-
ered restrained on a moving support.
As can be seen from Table 11, SSI effects should
be considered in case of seismic category I and II
soils with allowance only for horizontal dynamic
loads; and in all of the cases where vertical oscil-
lations are considered. The rigid soil-structure
interaction scheme may not be used on category
III and IV soils, in whose case the yielding of the
foundation soil with damping properties should be
considered.
5 CONCLUSION
In should be noted that the domestic methods for
determining the foundation soil parameters are
intended mainly for design analysis of bulky, rigid
foundations of the facilities with relatively small
dimensions in plan and low-amplitude industrial
vibration. Unlike the Russian standards, Ameri-
can ones are suitable for calculating nuclear reac-
tor designs with rigid, sizable foundations and
macroseismic vibration. However, when applied to
the design analyses where the dynamic rigidity of
soils varies only slightly, ASCE 4-98 produces the
results that are very approximate to those obtained
with Building Code 26.13330.2012 for seismic
category III and IV soils and quite acceptable for
category II ones. This makes ASCE 4-98 suitable
for any design situation that deals with structural
response to oscillations in the foundation soil.
The findings of our comparative analysis of
damping parameters indicate that when damping
parameters are calculated according to Building
Code 26.13330.2012, as compared with the Ameri-
can approach, their values are overestimated. For
hard and medium hard soils of seismic category
I and II, the damping value obtained with Build-
ing Code will be 50%–60% lower for safety mar-
gin. For seismic category III and IV soils, for which
215
SSI effects should be considered in the majority of
cases, all the methods produced almost identical
damping values.
REFERENCES
Birbrayer, A. 1998. Seismic Analysis of Structures (St.
Petersburg: Nauka Press).
Ilyichev, V.A. 1981. Dynamic Soil-Structure Interaction
and Ground-Borne Vibration // Dynamic Structural
Analysis for Special Impacts. Designer’s Guidebook.
M: Stroyizdat. P. 114–128.
Il’ichev, V. and Mangushev R 2016. Handbook of Geo-
technical Engineering. Ground bases, Foundations and
Underground Structures (Moscow: ASV Press).
Nuzhdin, L., Mikhailov, V., Yankovskaya, I. 2018. Numer-
ical analysis of the Soil-Structure Interaction in terms
of seismic effects in SCAD Office // Current challenges
of computational simulation in civil engineering: Proc.
of VII Intern. Symp. – IoP Conference Series: Material
Science and Engineering. P. 516–521.
Osava Y., Kitagava Y. & Irie Y. 1984. Evaluation of Vari-
ous Parameters on Response Analysis of Earthquake
Motions Including Soil Building System // Proceedings
of the 4th International Seismic Resistant Engineering
Conference M.: Stroyizdat Press. P. 116.
Savinov, O. 1979. Modern foundations structure for
machines and their calculation (Leningrad: Stroyizdat
Press).
Tyapin, A. 2013. Analysis of Structures with Regard for
Subgrade Interaction (Moscow: ASV Press).
Tyapin A. G. 1984. Calculation of Rigid Cylindrical
Foundation-Soil Interaction Under Seismic Load //
Collected Papers 26. M.: MEI. P. 89–96.
Tyapin A. G. 1999. The Influence of Foundation Lateral
Walls Tear Off on the Results of Influence // Seismic
Resistant Engineering., 5. P. 34–36.
Tyapin A. G. 1999. The Influence of Foundation Non-Lin-
earity and Phase Spread Modelling on the Results of
Influence // Seismic Resistant Engineering. 5, P. 6–9.
Tyapin A. G. 2010. Homogeneous half-space as a founda-
tion model: Approach Comparison // Seismic Resistant
Engineering. Structural Safety. 3. P. 16–22.
Tyapin A. G. 2011. Direct Calculation of Founda-
tion-Structure Interaction: Relation with Platform
Approach and Lower Boundary Conditions // Struc-
tural Mechanics and Analysis. 1, P. 51–57.
Tyapin A. G. 2011. Horizontally Stratified Half-Space as
a Foundation Model: Approach Comparison // Seismic
Resistant Engineering. Structural Safety. 1. P. 20–26
Uzdin, A.M. & Titov, V.Y. 1989. FEM-Based Analysis of
Perpetuity Foundation as Part of Calculating the Seis-
mic Resistance of Energy Structures // The Journal of
B.E. Vedeneev VNIIG. Vol. 212. P. 97–102.
Uzdin, A.M. 1986. On Dispersion of Energy When Ana-
lysing the Seismic Resistance of Transport Works //
Seismic Resistance of Transport and Utility Works. M:
Nauka. P. 35–44.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Specifics of engineering support for installation of bored piles

in cluttered urban settings

A.I. Osokin
Saint Petersburg State University of Architecture and Civil Engineering, Geostroy CJSC,
Saint Petersburg, Russia

V.A. Ermolaev
GeoSfera LLC, Saint Petersburg, Russia

A.I. Kuzhelev
Saint Petersburg Mining University, Saint Petersburg, Russia

ABSTRACT: Heavy duty of drilling equipment places high demands on modes of operation, loads,
fuel and lubricants. Physical-chemical properties of oils change significantly faster than equipment failure
occurs. With the development of pre-failure condition in equipment, the content of wear products in oil
of the reduction gear unit and oil temperature increase dramatically. Downtime of drilling machines due
to failures and faults of main assemblies (reduction gear unit) amount to 26.05% of the total downtime.
Temperature behavior of the reduction gear unit is related to its technical conditions ranging from func-
tional to limiting or critical. The article presents data on an analysis of operation of construction drilling
machinery for pile installation in geotechnical conditions of Saint Petersburg in cluttered urban settings.
It is suggested to improve the technology of well drilling by monitoring uninterrupted operation of the
drilling machine reduction gear unit using a system of thermal sensors.

1 INTRODUCTION construction complex (DCC) in terms of imple-

Supply of construction sites with drilling machinery
is determined by design preferences and availability
of equipment to the contractor. Virtually all special-
ized construction organizations include equipment
for installation of bored piles using casing into their
range of products. For instance, various drilling
machines of the following European manufacturers
currently operate at Saint Petersburg construction
sites: Bauer, Beretta, Casagrande, Comacchio, Del-
Mag, EGT, IHCFundex, SoilMec, Junttann.
As drilling depth increases due to complex and
unstable mining and geological conditions, drill-
ing machinery load continuously increases as well.
Therefore, demand is generated for retrofitting and
upgrading, modernization and engineering solu-
tions improving reliability of machinery operation.
2 GEOTECHNICAL FUNCTIONS OF
DRILLING EQUIPMENT USED IN
PILE INSTALLATION IN CONDITIONS
CONSTRAINED BY THE SURROUNDING
DEVELOPMENT
Large BAUER drilling machines are one the most
important elements in establishing a drilling and
216
menting the construction drilling technology.
Currently, premium-class drilling machines
BAUER BG 28, BAUER BG 30, BAUER BG 40
are the most popular.
Pile-driving works in a cluttered urban environ-
ment require strict adherence to the schedule, since,
with an increase in drilling time and, therefore,
interaction of drilling tools with a soil mass, soil
strength and deformation characteristics change,
resulting in additional settlements in the surround-
ing development. Smooth step-by-step pile instal-
lation processes and full elimination of accident
risks related to operation of drilling machines dur-
ing the cycle are of particular importance.
Figure 1 presents a diagram of drilling machin-
ery efficiency for the period from 2008 to 2017.
According to the diagram, in 10 years, the effi-
ciency of pile installation improved by almost 2.5
times. This demonstrates the significance of devel-
oping construction drilling in Russia. The DCC can
be improved only through close cooperation with
geotechnical engineers, which means that mechani-
cal engineering and geotechnics in construction are
indispensable elements of the same chain.
Despite relatively close proximity of construc-
tion sites, machines of the same standard size
face a range of geotechnical issues. The geological

Figure 1. A diagram of machinery efficiency.
profile of Saint Petersburg and nearby districts
can vary every 200–300 meters, which leads to sig-
nificant loads and stresses in drilling machines and
tools due to non-compliance of the installed drilling
equipment with design values of the actual engineer-
ing and geological profile. A whole range of tasks
arises that should be solved at the manufacturing
site since each day of downtime affects the econom-
ics of the enterprise using such drilling machines.
An incorrect plan or inaccurate geological surveys
can serve as a key factor to failures of drilling equip-
ment due to unforeseen circumstances generating
critical loads and resulting in various faults related
to wrong operating modes. In this regard, strict
requirements are imposed on drilling machines as
well as fuel and lubricants used in their operation.
Physical and chemical properties of oils change
significantly faster than equipment failure occurs.
With the development of pre-failure condition in
equipment, the content of wear products (foreign
substances) in oil of the planetary reduction gear
unit of the rotary head and oil temperature increase
drastically. Downtime of drilling machines due to
failures and faults of reduction gear units amounted
in average to 36% of the total downtime.
Temperature behavior of the planetary reduc-
tion gear unit is related to parameters of its techni-
cal condition ranging from functional to limiting
or critical. Changes in the technical condition of
the reduction gear unit depend on operating modes
and operating conditions. In terms of the accident
risk, overheating of the components and oil in the
reduction gear unit body is the most important
and dangerous factor.
The reduction gear unit is a complete mechanism
connected with the engine and operating mecha-
nism, exposed mechanical gears and coupling
mechanisms. Worm or tooth gears are located in
the gear case. They are rigidly fixed on the shafts.
Bearings supporting the shafts are located in their
seats in the gear case. Use of such assemblies has
demonstrated weaknesses and deficiencies of
manufacturing.
217
3 METHODS TO INCREASE RELIABILITY
OF DRILLING EQUIPMENT AT PILE
INSTALLATION IN SOFT SOILS
Based on results of the studies, it was decided to
make the reduction gear unit an item subject to
modernization. Using the data of the table below,
we can conclude that failure of the planetary reduc-
tion gear unit ranks first among the most severe
losses caused by downtime of drilling machinery.
Those data confirm the importance of measures
to improve performance of such assemblies, and
subsequent modernization.
Nowadays, in capital construction projects, the
technical condition of the reduction gear unit and
machinery in general during their operation is
checked through visual inspection, auditory inspec-
tion (noise evaluation) and vibration inspection, as
well as evaluation of equipment casing heating.
By visual inspection for lubrication fluid leaks,
it is possible to identify damage or wear of lin-
ers and gaskets, as well as cracks and pores in the
reduction gear unit body. Temperature conditions
are of great importance for normal operation of
the reduction gear unit. As temperature increases,
transmission gear oil loses its lubricating proper-
ties, which results in critical wear of gear wheels,
friction couplings and other parts responsible for
rotation.
In practice, heating of the reduction gear unit
in BAUER machines is identified by touch, since
the manufacturer does not provide a system for
oil temperature monitoring and control where it is
required, i.e. in the reduction gear unit body. The
“tactile and visual” inspection method is imperfect
as it features high uncertainty. The human factor
plays the key role in transferring from this method
to a comprehensive approach to diagnostics and
monitoring of thermal processes in the reduc-
tion gear unit. Each person has their own heat
exchange peculiarities, pain threshold, as well as
tactile and visual perception. For a human body,
temperature exceeding 50–60°C is characterized as
“hot” while operating temperature of oil reaches
90°C, and critical one (when the machine oper-
ates to the maximum but has no signs of critical
condition) reaches 160°C. Photos of components
of various wear degree (after human monitoring)
are presented below. Figure 2 shows a friction cou-
pling with signs of wear.
Figure 3 shows deformation of teeth due to
overheating and metal inclusions in the lubricating
fluid.
There is always a person behind an accident. In
our work (construction drilling), we cannot make
any mistakes (Table 1).
The data confirms the importance of the issue,
and, as a method of monitoring and diagnostics,

Figure 2. a) A teeth with signs of wear, the teeth size
is reduced, b) a contact surface of the friction coupling
without coating, c) traces of needle roller punctures.
Figure 3. a) Teeth deformation due to impact from
bearing parts, b) metal inclusions in the lubricant, rough-
ness of the internal surface of the reduction gear unit.
it is reasonable to use continuous monitoring of
temperature as an indicator of the “friction pair/
lubricant” system condition.
A thermoelectric thermometer (thermocouple)
can be used as a device to measure temperature.
The principle of their operation is based on the
property of metals and alloys to generate thermal
electromotive force (thermal EMF) upon heating
of the junction of two heterogeneous conductors
forming the thermocouple.
The embedded sensor (thermal sensor) con-
sists of two thermal elements (isolated from each
other), a protection cover and connectors for
electrical contacts (bus). An electrical measuring
instrument acts as a secondary device measuring
thermal EMF developed by the thermocouple.
Indicating and recording moving-coil millivolt-
meters and potentiometers are used for feedback.
Based on the data of the TEMF dependence on
the junction temperature, the computer transforms
the obtained information into a graduated scale,
and it becomes possible to monitor temperature.
A wide range of measurements, high accuracy,
high sensitivity, possibility of remote data transfer,
and resistance to vibrations can be considered as
advantages of the system.
This is one of the solutions to mechanical issues.
But the most important is to prevent an accident,
which will be possible only when a correct mode of
operation, proper equipment and tools for a spe-
cific section are selected.
Reliability and the availability factor can be
increased only through coordinated work of the

Table 1. Causes and unit weight of failures in operation of drilling machines at enterprises in Russia and Germany.

Saint Petersburg Moscow Germany

Causes Machine hours % Machine hours % Machine hours %

ICE 19,265 24.9 1,623 12.6 7,986 11.3

Electrical
equipment 10,032.4 14.2 0 0 13,998 18.1
Control
system 856.1 1.22 356.6 2.7 2,489 3.22
Brake
system 2,165 3.08 523.1 4.07 2,389 3.09
Under-
carriage 15,798 22.51 1,165 9.08 8,698 11.24
Welding 7,234 10.3 800 6.24 4,111 5.31
Reduction
gear unit
of the
rotary
head 18,286 26.05 5,855 45.6 23,100 29.86
Other 7,837 11.1 2,509 19.5 3,300 4.27
Total 70,196 100 12,833 100 77,352 100

218
geotechnical team. They specify the direction and
warn us against errors related to incorrectly chosen
equipment loads.
4 CONCLUSION
The article represents a research paper providing
a solution to an important scientific task deter-
mining the impact of operating conditions on the
temperature behavior of the reduction gear unit
in a drilling machine and significantly affecting
improvement of DCC operation reliability and
efficiency. The theoretical and practical results of
the studies described in the article allow making
the following conclusions:
1. It has been established that downtime of drill-
ing equipment during one shift and correspond-
ing losses upon drilling in a cluttered setting are
caused by failures and faults of various systems
of drilling equipment. The majority of down-
time cases of organizational and technical nature
are due to failures of parts, assemblies and units
of drilling equipment. According to the stud-
ies, the reduction gear unit of the rotary head
is the most vulnerable assembly. In settings of
the Geostroy CJSC branch at capital facilities in
Moscow, downtime of drilling equipment due to
failures of the reduction gear unit of the rotary
head amounted to 45.6% of the total downtime.
2. It has been established that the closest rela-
tionship is observed between temperature
of oil in the reduction gear unit and ambient
temperature.
3. The most favorable operating conditions and
operating modes of drilling equipment in clut-
tered urban settings have been identified.
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Berdik, B.G. 2005. Lubricating oil as an element of a
structure, non-destructive testing and diagnostics
of equipment upon condition-based maintenance.
Testing. Diagnostics 5: 23–26.
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Cheskidov, V.V., Lipina, A.V. & Melnichenko, I.A. 2018.
Integrated monitoring of engineering structures in
mining. Eurasian mining 2.
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Korneyev, V.A. 2018. Experimental designs of a com-
bined tool using superhard composite materials for
effective destruction of mine rocks. Eurasian mining 1.
Egorov, A.N. & Voytov, V.T. 2003. Main directions of
improving primary dump truck installations. Gornyi
Zhurnal 4–5.
Galchenko, Yu.P., Eremenko, V.A., Myaskov, A.V. &
Kosyreva, M.A. 2018. Solution of geoecological prob-
lems in underground mining of deep iron ore deposits.
Eurasian mining 1.
Kolikov, K.S., Manevich, A.I. & Mazina, I.E. 2018.
Stress-strain analysis in coal and rock mass under
traditional mining with full caving and in technology
with backfilling. Eurasian mining 2.
Kuleshov, A.A. & Kozyaruk, A.E. 2003. Ways to improve
electric drives of dump trucks. Gornyi Zhurnal 3.
Mangushev, R.A. & Nikiforova, N.S. 2017. Technologi-
cal settlements of buildings and structures near under-
ground construction sites. Moscow: ASV.
Mariev, P.L., Kuleshov, A.A., Egorov, A.N. & Zyryanov,
I.V. 2006. Quarry vehicles in CIS countries in the 21st
century. Saint Petersburg: Nauka.
Melnikov, N.N., Kalashnik, A.I. & Kalashnik, N.A. 2018.
Integrated multi-level geofluid mechanics monitoring
system for mine waterworks. Eurasian mining 2.
Sidorenko, A.A., Sirenko, Yu.G. & Sidorenko. S.A 2018.
Influence of face advance rate on geomechanical and
gas-dynamic processes in longwalls in gassy mines.
Eurasian mining 1.
Sklyanov, V.I., Eremenko, V.A., Kondratenko, A.S. &
Timonin, V.V. 2018. Analysis of gearing-up devices for
high-speed diamond bit drilling of long exploration
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Smirnov, V.P. & Lel, Yu.I. 2002. Heavy quarry trucks.
Theory. Yekaterinburg: Ural Branch of the Russian
Academy of Sciences.
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oils. Specifications (with Amendments Nos. 1–9).
Moscow: Standartinform.
Vasyuchkov, Yu. F. & Melnik, V.V. 2018. Heating coal
massif from the channel of underground gasification.
Eurasian mining 2.
Voytenko, V.S., Smychnik, A.D., Tukhto, A.A. & Shemet,
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Specifics of engineering design of piled raft foundations in soft soils

A.I. Osokin, V.O. Efimov & L.N. Kondratieva

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: A method to determine distribution of the load on the raft and piles in a piled raft foun-
dation is developed in the article. A new equation to calculate the factor to determine the share of the
load transferred to the piles in case of medium compressible soils is derived. Graphs for dependencies
between the ratio of settlements in a piled raft foundation to settlements in a raft foundation and the share
of the load on piles are plotted. The dependencies obtained better correlate with the experimental data
and make it possible to distribute loads between the raft and the piles optimally. This will allow designing
foundations, efficiently using monolithic behavior of the raft and piles, which will improve the reliability
and operational integrity of buildings, reduce settlements and decrease the number of piles, reducing, in
its turn, the cost and material consumption of the foundation.

1 INTRODUCTION an increase in the maximum load on a pile, while

Development of large cities forces us to utilize
underground space and construct high-rise build-
ings (Il’ichev et al. 2012). This, in turn, necessitates
development of analytical and numerical methods
for design of building structures and elements of
underground parts of buildings and structures.
“...Design of foundations is always associated
with risk that sometimes cannot be assessed. At
the same time, mistakes in design can result in loss
of stability or in development of unacceptable
deformations of the building foundation”, says
Chapter 3 of the reference book edited by Il’ichev &
Mangushev (2016).
Katzenbach et al. (2014), Mangushev et al. (2008)
provide recommendations for efficient and safe
design of underground parts of buildings in prob-
lematic soil conditions. Gotman & Safiullin (2017),
Brovko et al. (2014) present results of numerical
studies on the interaction between a raft foundation
and piles and provide recommendations for design.
A piled raft foundation (PRF) is a structure
consisting of a reinforced-concrete raft and piles.
Badelow & Poulos (2016) and Katzenbach &
Schmitt (2004) describe combined piled raft
foundations with rafts and piles of various sizes.
Methods to erect PRFs and structural connec-
tions between the piles and the raft can also differ
(Penkovsky et al. 2008, Samorodov 2018).
The piles and the raft, joined by the founda-
tion soil, are characterized by monolithic behav-
ior. Partial transfer of the building weight at the
upper level (under the raft bottom) allows increas-
ing friction forces in the upper part of the piles
(El-Mossallamy 2013), which, in its turn, leads to
the raft allows the foundation to remain reliable
even after the “failure” of a pile.
Katzenbach & Schmitt (2004), Fadeev et al. (2007)
consider the PRF as an intermediate design between
pile and raft foundations judging by the strength
and stiffness characteristics, as well as by the cost.
Russian regulatory documents defining basic rules
for bases and foundations’ design (Regulations SP
24.13330.2011, Regional Construction Regulations
TSN 50-304-2001, Regulations SP 22.13330.2016,
Regulations SP 50-102-2003) do not provide for the
use of a pile after its “failure”, therefore, transfer of
15% maximum of the total weight of the building to
the foundation (through the raft) is allowed (Regula-
tions SP 22.13330.2016, Regulations SP 50-102-2003),
which better agrees with the classical pile foundation
according to the classification suggested by Poulos &
Van Impe (2001) where actual deformability of fric-
tion piles, as well as the fact that the raft in this case
can also take some of the load, are taken into account
correctly. The EU regulatory document on geotech-
nical design (EN 1997-1-2004) classifies combined
piled raft foundations as foundations of Category 3.
This means that standard provisions of the Euro-
code are not applicable to such foundations, and the
design procedure shall include other special alterna-
tive rules, therefore, that research topic is of immedi-
ate interest.
2 METHODS
The article describes a method of determining the
shares of vertical load received by the raft and piles
in a PRF. Knowing the law of forces distribution,

220
we can design the raft and piles most efficiently so
that strength, reliability, stability and stiffness are
ensured. A foundation ensuring a settlement value
equal to the ultimate settlement value will be the
most efficient, while also safe.
Three foundation models are considered
(Fig. 1): pile, raft and piled raft foundations in
similar soft soils and under the similar static verti-
cal load N.
The following assumptions are made (according
to Fadeev et al. (2007)):
1. Bending and torque moments, as well as trans-
verse forces acting on foundation structures are
considered negligible.
2. Pile settlement under load has a bilinear nature:
i.e. the settlement is linearly proportional to the
load until the value reaches the designed load-
bearing capacity; further deformations develop
without changes in forces in the pile.
3. The raft does not resist unless some maximum
load is achieved; the total load from the struc-
ture on the foundation is distributed among the
piles. Developing settlement involves overlying
soil layers (including the near-pile soil body and
the structure as a whole).
4. When the ultimate load-bearing capacity of the
piles is achieved, the piles slip along the shaft in
relation to soil, and the raft begins to resist. It
also takes up subsequent additional loads.
5. Deformability of the pile shaft is considered
negligible.
Vertical load from the building or structure
transferred to the PRF is redistributed to the piles
and raft:

N = N p + Nr (1)

where N is the total load from the building; Np

is the load transferred to the piles; Nr is the load
transferred to the raft.
According to Katzenbach & Schmitt (2004), the
load transferred to the piles is as follows:

Np = α N (2)

where α is a non-dimensional factor indicating the

share of the load transferred to the piles of the
total load on the building.
Then, the load transferred to the raft can be
determined by the following equation:
Figure 1. Design models of foundations: a – raft foun-
dation; b – pile foundation; c – piled raft foundation
(Fadeev et al. 2007).

Nr = (1− α )N
The foundation settlements are distributed ac-
cording to similar dependencies. The following
equation was suggested by Fadeev et al. (2007):
(3)
S pr = S1 + S2 = α × S p + (1− α ) × Sr (4)
where Spr is the piled raft foundation settlement; Sp,
Sr are the pile and raft foundations’ settlements in a

221
PRF, respectively; S1, S2 are the shares of the pile and
raft foundations’ settlements in a PRF, respectively.
Equation (3) determines a linear increase in the
PRF settlement Spr from the minimum value Sp to
the maximum value Sr at a decrease in the α factor
from 1.00 (pile foundation) to 0.00 (raft foundation).
Let us assume that the vertical normal stresses
transferred along the raft bottom disappear at the
piles’ bottom. This assumption is possible if the
pile length is significantly greater than the raft size.
Assuming that Spr ≠ 0, we derive the following from
equation (3):
Sr − S pr δr − 1
α= = (5)
Sr − S p δr − δ p
where δp, δr are the relative settlements of the pile
and raft foundations, respectively.
Foundation stiffnesses are taken according to
Fadeev et al. (2007):
N tlements are situated in the ABC shaded region.
kp = (6)
Sp
where kp is the stiffness of the pile foundation.
Spr/Su = 1. Let us introduce a new notation for the
factor α and assign it with the index αp for such
limiting case. Then we will derive the following
expression for αp from equation (9):
Sr + S p − Su Su − S p 1− δ p
αp = = 1− = 1− (11)
Sr Sr δr
Equation (10) allows determining the factor αc
showing the share of the load transferred to the
piles of the total load on the building, assuming
that the PRF settlement is equal to the ultimate
settlement Spr = Su ≠ 0.
2.1 Comparison with actual observations
For verification purposes, we compared the derived
data with the results of actual observations.
Following the results of observations over high-
rise buildings, graphs (Fig. 2) were plotted by
Katzenbach & Schmitt (2004). Here, the PRF set-
For pile foundations, without regard for the piles,
factor α = 0, while for individual piles, without
regard for the raft, factor α = 1.

N
kr = (7)
Sr

where kr is the stiffness of the raft foundation.

If the additional vertical pressure from the load
at the toe level of the piles does not decrease due
to the pressure transmitted along the raft bottom,
then the soil under the piles is loaded with the sum
of forces Np and Nr. Thus, the pile component of
the settlement S1 (due to soil shrinkage below the
toe level of the piles) can be determined as follows:
Figure 2. A dependency of Spr/Sr on the factor α
N p + Nr according to the results of actual observations described
S1 = = Sp (8) by Katzenbach & Schmitt (2004).
kp

The second component of the settlement (due

to soil shrinkage under the raft, following the “fail-
ure” of the piles) can be determined as follows:

(1− α )N
S2 = = (1− α )Sr (9)
kr

The PRF settlement is equal to the sum of the

components:

S pr = S p + (1− α )Sr (10)

If we assume that the PRF settlement is equal Figure 3. A dependency of Spr/Sr on the factor α calcu-
to the ultimate settlement Spr = Su, then δpr = lated as per equation (3) (Fadeev et al. 2007).

222
 Actual relative settlements of PRF raft foun-
dations had intermediate values 0.18 < Sp/Sr < δp/
δr < 0.47 since the results of monitoring in real con-
ditions took into account influence of the interac-
tion between the bases and foundations, as well as
soil conditions and other factors.
Figure 3 shows dependencies of relative settle-
ments on the α value, derived as per equation (3)
by Fadeev et al. (2007). Figure 4 shows graphs of
both theoretical and experimental researches. The
area of relative settlements obtained theoretically
falls into the shaded area obtained as a result of
actual researches, which confirms the reasoning
and computations. The results derived as per equa-
tion (10) are shown in Figure 5.
It can be seen in Figures 4 and 5 that two extreme
hypotheses provide for distributions close to the
limits of actual measurements of relative settle-
ments, which is consistent with the assumption that
Figure 4. A dependency of Spr/Sr on the factor α
according to the results of actual observations described
by Katzenbach & Schmitt (2004) and calculated as per
equation (3).
Figure 5. A dependency of Spr/Sr on the factor α calcu-
lated as per equations (3) and (10).
223
the actual foundation behavior lies between two
assumptions: the vertical stresses from the raft dis-
sipate completely or do not dissipate at all between
the raft bottom levels and the toe level of the piles.
3 RESULTS
In order to account for a certain actual value of
decrease in the vertical stress at the section from the
raft bottom to the toe level of the piles, it is suggested
to introduce value αp representing the ratio of the
additional vertical stress in the soil body, occurred
due to pressure below the raft at the toe level of the
piles, to the vertical stress directly below the raft.
Thus, αp is the share of not dissipated stress, the value
of which can be determined using Table 5.8 (Regula-
tions SP 22.13330.2016). For the option under con-
sideration, equation (7) can be expressed as follows:
α p N + α (1− α P )N
S1 = = α pS p + α (1− α p )S p (12)
kp
With account for the residual stress at various α
(0 < α < 1), the following equation can be obtained
for αp:
δ r + αδ p − 1
αp = (13)
δ r − δ p (1− α )
It should be noted that at limit values α = 0 and
α = 1, equation (12) turns into equations (4) and
(10), respectively, confirming once again that the
computations are correct.
Figure 6 shows dependencies of relative settle-
ments on αp at the value α = 0.50 (solid straight
lines), as well as α = 0 and α = 1 (dashed lines).
Analyzing the results obtained, we can conclude
that equation (11) represents a more general
Figure 6. A dependency of Spr/Sr on the factor α calcu-
lated as per equation (11) at α = 0.50.

Figure 7. A dependency of Spr/Sr on the factor α cal-
culated as per equation (11) at various values 0 < α < 1.
expression, where almost the entire area coincides
with the area of distribution constructed on the
basis of observations and monitoring by Katzen-
bach & Schmitt (2004).
If we change the value α from 0 to 1 randomly,
then the area of all possible points of relative set-
tlements will be situated between the straight lines
(Fig. 7). In the middle zone of the experimental
distribution, a significant deviation towards the
lesser actual PRF settlements is observed.
This can be explained by the fact that internal
interaction in the pile–raft–soil system, behavior
of which has been studied to a lesser degree than
behavior of its separate components (raft and
piles), is the most pronounced in the middle zone
at 0.30 < αp < 0.70.
The analysis of the graphs (Fig. 7) allows con-
cluding that the suggested method to determine
relative settlements can only lead to underestimates
of the projected settlement, which agrees with the
reliability principles. This result also shows an insuf-
ficient knowledge of properties of piled raft foun-
dations as a system characterized by monolithic
behavior of its individual elements.
Fadeev et al. (2007) provides an algorithm to de-
sign a PRF.
4 CONCLUSION
The method to determine relative settlements with
account for load redistribution between the PRF
raft and piles has been suggested.
The new equation for determination of αp – the
share of total load N on the piles – has been obtained.
Proposed equation (12) is more general in compari-
son with equations (3) and (10), and excludes the
assumption that the stresses arising under the raft
dissipate completely at the toe level of piles.
224
The new non-dimensional factor αp showing the
share of the load transferred to piles and taking into
account the residual stress has been introduced, and
the equation to determine it has been derived.
The results of the research will allow avoiding mis-
takes in predicting settlement of a piled raft founda-
tion, despite the approximate engineering calculation.
REFERENCES
Badelow F. & Poulos H.G. 2016 Geotechnical founda-
tion design for some of the world’s tallest buildings.
The 15th Asian Regional Conference on Soil Mechan-
ics and Geotechnical Engineering, 96–108, accessed
December 20, 2016, https://www.researchgate.net/
publication/292211606_Geotechnical_foundation_
design_for_some_of_the_world’s_tallest_buildings.
Brovko E.I., Brovko I.S., Baybolov K.S. & Enkebaev K.S.
2009. Adjustment of the results in calculating deforma-
tions of foundations, obtained using the finite element
method when designing combined piled raft founda-
tions for high-rise buildings. Vestnik MGSU (Scientific
and Engineering Journal for Construction and Architec-
ture), 1: 105–107.
El-Mossallamy Y.M. 2013. Behavior of piled raft founda-
tions. Geotekhnika, 2: 56–64.
Fadeev A.B., Mangushev R.A. & Lukin V.A. 2007. Calcu-
lation of piled raft foundation. Bulletin of Civil Engi-
neers (Vestnik grazhdanskikh ingenerov), 2 (11): 64–67.
Gotman N.Z. & Safiullin M.N. Calculation peculiarities
of raft foundations reinforced with piles. Geotekhnika,
1/2017: 4–10.
Il’ichev, V.A., Mangushev, R.A. & Nikiforova, N.S. 2012
Development of underground space in large Russian
cities. Soil Mechanics and Foundation Engineering. 49
(2): 63–67.
Il’ichev V.A. & Mangushev R.A. (eds.) 2016. Geotechnical
engineer’s reference book. Bases, foundations and under-
ground structures. Moscow: ASV.
Katzenbach, R., Leppla, S. & Seip, M. 2014 Economic
and safe design and the execution standards for the
construction phase of deep foundation systems in diffi-
cult soil conditions. Proceedings of the DFI/EFFC 11th
International Conference on Piling and Deep Founda-
tions, 21–23 May, Stockholm, Sweden.
Katzenbach R. & Schmitt A. 2004. High-rise buildings in
Germany soil-structure interaction of deep foundations.
Fifth International Conference on Case Histories in Geo-
technical Engineering, 1–8.
Mangushev R.A., Igoshin A.V., Oshurkov N.V. & Fadeev,
A.B. 2008. Slab-pile foundation for a high-rise building.
Soil Mechanics and Foundation Engineering, 45 (1): 17–22.
Penkovsky G.F., Sakharov I.I. & Ershov A.V. 2008.
Method for slab-and-pile foundation erection. Patent
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of piled raft foundations. International Society of Soil
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Pile_raft_foundation.pdf.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Comprehensive bearing capacity analysis of permafrost railroad leading

to Tank-Car filling rack

V.V. Pendin, I.K. Fomenko, D.N. Gorobtsov & M.E. Nikulina

S. Ordzhonikidze Russian State Geological Prospecting University, Moscow, Russia

ABSTRACT: The article presents the peculiarities of geotechnical and geophysical survey conducted in
one of the High North areas. Based on the obtained site-specific geotechnical and geophysical data, the
quantitative assessment was performed of slope stability. Soil slips occur on the site under analysis mainly
due to significant terrain energy; low strength properties of soil due to moisture and thawing; and man-
induced load. The high probability of landslide developments makes it necessary to cover the site with
engineering protection. A simulation model was developed of the stressed-deformed state of the soil body
using the finite-element technique. The calculations enable a conclusion that there are two stress distribu-
tion patterns and, consequently, two deformation patterns on the site under analysis. The mathematical
modeling conducted for the pressure distribution region is indicative of the likelihood for landslide defor-
mations and profound soil subsidence to occur due to thawing (and, consequently, reduced modulus of
deformation) in lenses and interstratified layers composed of icy grounds.

1 INTRODUCTION undulating plain with the average absolute eleva-

When surveying permafrost areas, special attention
is paid to their thermal regime and the factors cru-
cial to it; extent of frost heaving; depth of seasonal
frost retreat; and types of freeze-and-thaw action
and their spread (Fundamentals of Geocryology
2008). Our geotechnical survey aimed to provide
comprehensive descriptions of the natural and
man-made conditions necessary and sufficient to
enable water removal (as core factor shaping the
local soil temperature regime) and to reinforce the
bearing capacity of the rail lines leading to tank-
car filling rack. Based on the engineering survey
conducted, the bearing capacity of permafrost was
estimated, which involved:
1. quantitative assessment of slope stability;
2. simulation of stressed-deformed state of the
soil under analysis;
3. identification of measures to reinforce and/or
preserve the bearing capacity;
4. identification of water removal measures; and
5. elaboration of safety recommendations for the
site under analysis and the areas adjacent to it.
tion of around 120–130 m, maximum altitudes of
up to 215 m, varied and composite topography,
and commonly occurring cryosolic forms. The oil
tank farm is situated on the outskirts of one of the
towns in Krasnoyarsk Area (Fig. 1) (Fundament
Project Report 1991).
The climate of the study area is Arctic, marked
by wild daily and yearly temperature swings, long
cold winters, and short chilly summers. The period
of frosty weather lasts for 214 days, the average air
temperature in the coldest month being –28.0°C
(Fundament Project Report 1991). Strong winds
occur all year around, their duration equaling the
average of seven days per month. Nocturnal frosts
and snowfall are not uncommon in the summer

2 GENERAL DESCRIPTION OF THE

STUDY AREA

The study area represents the interface between

West Siberian Lowland and Central Siberian Pla-
teau. Geomorphologically, it represents a vast, Figure 1. The study area.

225
time. Despite the low precipitation (approximately
380 mm per year), the presence of the permafrost
and water evaporation cause heavy swampiness.
The frost-free period lasts for the average of 67
days.
The study area represents a confluent perma-
frost soil as thick as 100 m.
Geologically, the layer down to 40 m is composed
of man-induced and quaternary (lacustrine-
alluvial, marine and glacial) deposits. The quater-
nary deposits are plastic frozen clay loams with
high or low ice content, and frozen, medium coarse
sands with high ice content.
Most commonly occurring within the study area
are frost mounds, frost scars, and thermokarst sub-
sidence (Fundament Project Report 1991).
The data on permafrost temperature was
obtained from observation wells. Measurements
were taken with the use of 0.01°C accurate ther-
mistor chain along the entire length of the well—
four times in different days and time of the day.
The thermistor chain had the sensor spacing of
1 m. The measured geothermal gradient is pre-
sented in Figure 2.
The analysis has shown that at depths between
0 m and 5 m the ground temperature is positive
(7.08°C to 0.01°C). At depths down to 10 m, the
ground temperature varies between −0.02°C and
−0.26°C, and at 10 m to 20 m between −0.37°C and
−0.93°C.
The seasonally thawing stratum is made up
of fill-up soil. At the time of the measurements,
the depth of the seasonally thawing and freezing
ground varied between 2.2 m and 8 m.
The results of the refraction survey show one
boundary which is expressly prominent according
to the velocity properties in all the profiles and is
very likely to mark the bottom of the fill-up layer
Figure 2. Geothermal gradient (Well 1).
226
Figure 3. Seismic line: Refraction boundary with layer
and boundary velocities.
Figure 4. Radio-locating profile. Red colour marks
crushed stone picks.
(Fig. 3). In the fill-up layer, the longitudinal wave
velocity varies between 450 m/s and 700 m/s, with
exception of particular sections where it reaches
900–1000 m/s, indicating higher consolidation of
soil.
The drilling record indicates that the overly-
ing bed of the lower stratum is composed mainly
of frozen clay loams, which is confirmed by the
obtained seismic data. The prevailing boundary
velocity (1900 m/s to 2200 m/s) are typical of fro-
zen clays and clay loams.
At the same time, common are also sections
with lower velocity (1200 m/s to 1700 m/s), indicat-
ing thawed or partially thawed clay loams.
We did not manage to locate the overlying bed
of the lower stratum using the ground penetrating
radar (Fig. 4). The representations on the radar-
grams could well be various interlayers of crushed
stone that differ from one another in terms of die-
lectric permeability and, probably, composition.
In the area under analysis, the permafrost soil is
likely to be degrading. The permafrost is thawing
here due to leaking technogenic water, the degra-
dation process manifesting itself in the increasing
number of unfrozen thaw bulb; intense freeze-thaw
action, primarily in thermokarst; thermoerosion;
rheological processes; increased depth of season-
ally thawing soils; increased temperature in fro-
zen zone; decreased bearing capacity of soils; and
more intense cryogenic weathering (Fundament-
Project Report 1991). In general, the natural sur-
roundings are described by:
• high vulnerability to anthropogenic impact;
• presence of permanently frozen ground; and
• spreading freeze-thaw action.
3 BEARING CAPACITY MODELLING
Estimating the stressed-deformed state (SDS) in
permafrost soils is a challenging task (Yershov
et al. 1990).
To model the SDS (Kalinin 2003), we made use
of the finite-element method (FEM) (Ginzburg
1986, Pande 1990, Segerlind 1984, Zienkiewicz &
Taylor 1989, Brinkgreve 2008), one of the basic
numerical techniques for solving problems of con-
tinuum mechanics. The approximate approach
FEM relies on first appeared in the late 19th–early
20th century, largely due to Galerkin, Ritz, and
Bubnov.
The development of the numerical methods,
in its turn, relied on linear algebra and computer
engineering. The finite-element method received
stricter definition in the 1950s, the era of early
computing machines, in the works by Courant,
Hilbert, J. Argyris, M. Turner, Ray W. Clough, to
gain wider popularity among engineering experts
in the 1970s—largely due to works by Zinkevich,
Gallaher, Oden, Lion, Raviart, Silvester, Chari,
Touzot, G. Strang, J. Fix, J.S. Yerzhanov, L. Seg-
erlind, among others (Gallaher 1984, Zienkiewicz
1975, Segerlind 1979, Ciarlet 1980, Ukhov 1973,
Fadeev 1989, Yerzhanov & Kirimbayev 1975, Sab-
onnadiere & Coulomb 1989).
Based on matrix techniques, the finite-element
method is seen today as a method for solving prob-
lems that are described in partial derivatives of
mathematical physics equations.
Compared to other mathematical methods,
FEM set itself by the following advantages:
1. The materials of adjacent elements may vary in
their properties, which allows FEM to be used
for modeling stress-deformed states in inhomo-
geneous media.
2. FEM is applicable to regions with any form of
internal and external boundaries.
3. The size of elements can be varying, which
allows for increasing or reducing of the domain
to be divided into elements.
4. FEM allows for an easy analysis of boundary
conditions with discontinuous surface load, as
well as of mixed boundary conditions.
We selected the geotechnical section running
transversally to the site (slope) as our reference
section.
The mathematical modelling of SDS in the soil
body was three-stage (Fomenko et al. 2016, Pendin &
Fomenko 2015):
1. At stage one, the initial stress field was
determined.
2. At stage two, the surface of the soil body was
exposed to a 100 kPa load as simulation of
227
external industrial load, and absolute vertical
deformations were determined.
3. At stage three, threshold loads were determined,
under which plastic deformation zones form in
the soil. Based on soil strength ratio, the site was
zoned according to variations in the bearing
capacity of soil. The strength ratio is defined as
a ration between soil strength and actual stress
Smax/S (Rocscience Inc. 2008.).
Smax and S are found as follows:
I1 = σ xx + σ yy + σ zz (1)
J 2 = 1 / 6[(σ xx − σ yy )2 + (σ yy − σ zz )2
+ (σ zz − σ xx )2 + τ xy
2
+ τ yz
2
+ τ zx
2
(2)
J3 = (σ xx − I 1/3) (σ yy − I 1/3) (σ zz − I 1/3)
+ 2 τ xyτ yzτ zx− (σ xx − I 1/3) τ 2 yz− (σ yy − I 1/3)
τ 2 zx(σ zz − I 1/3) τ 2 xy (3)
Θ = 1/ 3arcsin[ − 3√ 3 J3 /2 J 2 3/2 ],
− π /6 < Θ < π /6 (4)
S = √ J2 (5)
Smax = (I1 / 3sinϕ + ccosϕ ) /
(cos Θ + (sin Θ sinϕ ) / √ 3) (6)
where the strength ratio is more than 1, the
strength of the material is higher than the
induced stress. Where the strength ratio is less
than 1, the stress is higher than the strength of
the material.
The stage-specific results of our mathematical
modeling are presented in Figures 5–10.
The main conclusion made upon completion
of the mathematical modeling of SDS in the slope
and the areas near the slope, is that there is a risk of
ground distortion due to possible landslides. Given
this risk, the study area was analyzed for slope sta-
bility (Duncan 2000), (Duncan et al. 2014).
Figure 5. Geomechanical scheme.
Figure 6. Initial primary stress Sigma1 distribution field
(kPa). Initial primary stresses Sigma1 increase, consist-
ently, with depth; in the upper part of the isocurve, the
stress fields follow the contour of the slope and become
flattened as the depth increases.
Figure 7. Primary stress Sigma 3 distribution field
(kPa). Initial primary stresses Sigma 3 increases consist-
ently, with depth; in the upper part of the isocurve, the
stress fields follow the contour of the slope and become
flattened as the depth increases.
Figure 8. The field of absolute vertical displacement
under 100 kPa load. Exposed to the load of 100 kPa, the
absolute vertical displacements are maximum in the zone
of reference section load application (appr. 8.5 cm); in
the central part of the slope and at the depth of 10 m,
they equal 0.
Figure 9. Plasticity zones under the load of 100 kPa.
Zones of plastic deformations form within the fill-up
soils of the slope.
228
Figure 10. Zoning of the site according to the fluc-
tuations in the bearing capacity of soils. Strength factor
under 100 kPa load. Within the zones of the slope that
are composed of fill-up soil, the strength factor approxi-
mates 1.
Figure 11. FEM-based estimation of slope stability:
Option 1 (coloured are maximum shear deformations),
Cstability−1.32.
Figure 12. FEM-based estimation of slope stability:
Option 2 (coloured are maximum shear deformations),
Cstability−1.16.
The slope stability was estimated using the
finite-element method (Duncan 1996), (Griffiths
1999). Applied to slope stability, FEM relies of the
idea of shear strength reduction (SSR), which, in
turn, consists in determining such critical strength
of soil at which the slope would enter the state of
limit equilibrium (Dawson, E.M., 1999), (Hammah
et al. 2006, Matsui & San 1992). There are three
options for calculations:
1. Estimation of natural slope stability. This option
determines the strength of Soil Unit 3 based on
soil-on-soil shear strength test (Fig. 11).
2. Estimation of projected slope stability (Soil
Unit 3 is assumed to be wet). This option deter-
mines the strength of Soil Unit 3 based on soil-
on-wet soil shear strength test (Fig. 12).

Figure 13. FEM-based estimation of slope stability:
Option 3 (coloured are maximum shear deformations),
Cstability–0.91.
3. Estimation of projected slope stability (Soil
Unit 3 is assumed to be thawed). This option
determines the strength of Soil Unit 3 based on
thawed soil shear strength test (Fig. 13).
4 CONCLUSIONS
The study area represents a confluent permafrost
soil as thick as 100 m. At the time of our study,
the depth of seasonally thawing and freezing soils
varied between 2.2 m and 8 m. The permafrost soil
in the study area is likely to be degrading.
The results of the refraction survey show one
boundary which is expressly prominent, according to
the velocity properties, in all the profiles and is very
likely to mark the bottom of the fill-up layer. The drill-
ing record indicates that the overlying bed of the lower
stratum is composed mainly of frozen clay loams,
which is confirmed by the obtained seismic data. We
did not manage to locate the overlying bed of the
lower stratum using the ground penetrating radar.
The main factors contributing to landslide
developments in the study area include significant
terrain energy; low strength properties of soil due
to moisture and thawing; and induced interactions.
The analysis of the results enables the following
conclusions:
1. The initial primary stresses increase, consist-
ently, with depth.
2. In the upper part of the isocurve, the stress
fields follow the contour of the slope and
become flattened as the depth increases. At the
depth of 40 m, they approximate 800 kPa.
3. Exposed to the load of 100 kPa, the absolute
vertical displacements are maximum in the zone
of reference section load application (appr.
8.5 cm); in the central part of the slope and at
the depth of 10 m, they equal 0.
4. Within the zones of the slope that are composed
of fill-up soils, the strength factor at 100 kPa
load is less than 1.
5. Zones of plastic deformations tend to form
within the fill-up soils of the slope.
229
The main conclusion made upon completion
of the mathematical modeling of SDS in the slope
and the areas near the slope, is that there is a risk
of ground distortion due to possible landslides.
The calculated slop stability enables a conclu-
sion that there are two mechanisms for soil slips to
occur on the slope.
One mechanism corresponds to Option 1 of our
calculations and is based on the assumption that
the body of the embankment experiences slip ero-
sion. In this case, as was shown by the calculations,
the slope is stable (κy−1.32).
The other mechanism corresponds to Options
2 and 3 of our calculations. It is based on the
assumption that the landslide dislocations occur in
the entire embankment and that it displaces along
the frozen, wet clay loams (the main deformation
horizon (MDH)) that underlie its fill-up soils (cal-
culation option 2), or that it displaces as a result
of thawing of the clay loams under the influence
of warmer surface waters that penetrate through
highly filtrating crushed stone in the warmer sea-
son (calculation option 3). The calculations under
Option 2 indicate that the slope is in the state of
limit equilibrium (Cstability < 1.16) and under Option
3 that it is unstable (Cstability < 0.91).
On the study area, the soil slips occur mainly due
to significant terrain energy; low strength proper-
ties of soil due to moisture and thawing; and man-
induced load.
The high probability of landslide developments
makes it necessary to cover the site with engineer-
ing protection.
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Duncan J.M., Wright S.G., Brandon T.L. 2014. Soil
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Geotechnical and geoecological fundamentals of sustainable life cycle

of unique long-operated underground structures of water disposal
systems in difficult soil conditions (the experience of St. Petersburg)

N. Perminov
Emperor Alexander I Saint Petersburg State Transport University, St. Petersburg, Russia

A. Perminov
NPF Transspetstroy, St. Petersburg, Russia

ABSTRACT: Intensive development of megacities causes the need for sustainable operation of under-
ground urban infrastructure facilities. Unique long-operated underground structures of water disposal
systems, which are the facilities of an increased responsibility and danger, are needed for special protec-
tion against man-made impact. The paper presents the experience of studying the underground wastewa-
ter facilities operation in conditions of weak soils and intensive external static and dynamic impacts, as
well as new methods for diagnosing their technical condition, modeling and monitoring the joint work of
the “underground structures—soil bulk” system, forecasting and shaping the sustainable life cycle condi-
tions. Single and linear wastewater objects of St. Petersburg are developed and implemented according
to the unique geotechnology (at a depth of 70 m), providing simultaneous increase of bearing capacity,
operational reliability and ecological safety of long-operated underground wastewater facilities in difficult
soil conditions with increasing man-caused impacts.

1 GENERAL INFORMATION Table 1. Length of sewerage networks and tunnel col-

ABOUT DEEP ENGINEERING lectors in large cities of the Russian Federation.
INFRASTRUCTURE OBJECT IN
MEGACITIES Sewerage network Tunnel collectors
City length, km length, km
With long-term operation and intensive develop- Moscow 8354 550
ment of engineering infrastructure in megacities, St. Petersburg 8245 290
requirements to environmental protection and Volgograd 1054 52
efficient usage of land resources increase. During Yekaterinburg 1220 230
engineering development of underground spaces Novosibirsk 1150 145
in megacities, design of integrated measures for Samara 1200 215
protection of the city environment against nega- Ufa 900 180
tive anthropogenic impact is of special relevance.
Therefore, special safety requirements for sewage
and water treatment facilities shall be introduced. Diameters of tunnel sewage collectors vary from
Sewage (transportation) of waste water is per- 1.2 to 5.6 m; they are buried at a depth from 3 to
formed through the city sewerage system and 60 m. For example, in St. Petersburg the sewage
tunnel collectors. Totally, these facilities account network is divided into three basins that are served
for up to 60% of the sewerage system in megaci- by three main pumping plants, which are up to
ties and up to 70% of them are located in difficult 66 m in diameter and are located up to 70 m deep,
hydrogeological conditions in terms of construc- with productivity of 1.5 mln m3 of sewage per day.
tion volumes and costs. In such conditions, the main constructive solution
The data concerning sewerage system objects in for the tunnels is the use of ferroconcrete tubings
Russian cities with the population of over 1 million with inner ferroconcrete jackets.
people is presented in Table 1. Waste water transportation volumes in some tun-
By now, around 88% of all sewage collectors are nel sections reach 20 m3/s. Decrease of their opera-
made of ferroconcrete, around 7% – of metal (steel, tional reliability or failure will inevitably lead to an
cast iron), around 3% – of bricks, plastic, ceramics. anthropogenic catastrophe. “Lengiproinzhproekt”

231
Table 2. The list of defects typical of the long-term operated (more than 30–45 years) deep pumping plants and tun-
nel collectors.

Location of
the defect Description of the defect

Sunk well Up to −25÷30 m marks.
walls Leakage through knots in
some sections of sunk well
walls. Concrete corrosion
leakage in the knots.
Repetitive defects.
Sewage tunnels Tubing lining leakage.
lining Underground waters enter the
collector through cracks and
knots in solid ferroconcrete
inside lining. Leakage of
concrete corrosion and salts.
−30 to −40÷45 m marks. Marks Marks of more than −45 m.
of intense leakage through the
cracks on the surface of the
walls. Widespread defects.
Concrete corrosion leakage
in the knots.
Water-filled space in the form
of a thin gap between the
tubing lining and the collector
jacket. Defects are hidden, can
be detected with geological
radar probing.
Marks of intense leakage
through the cracks on the
surface of the wall. Concrete
corrosion leakage in the
knots. Widespread defects.
Solid ferroconcrete inner
lining (jacket) is destroyed,
intense leakage in welded
seams.

Institute together with St. Petersburg State Trans-

port University has been providing scientific and
engineering maintenance, design, construction and
rehabilitation of St. Petersburg sewerage system
objects for more than 30 years: more than 70 pump-
ing plants, including those with depths of 45 m,
59 m and 71 m and with diameters of 47 m, 59 m
and 66 m; more than 15 km of tunnel sewage collec-
tors with diameters of 1.85, 2.5 and 3.4 m and with
depths of 16 m, 24 and 37 m (Perminov et al. 2013).
Table 2 shows the most typical defects of long-
term operated pumping plants and deep tunnels.
Analysis of the research materials shows that
at the moment 60% of gravity sewage tunnels and
80% of pressure sewage tunnels require repairs and
sanitation. Instrumental probing (with geological
radar) shows that 70–75% of the inner surface of
the pumping plant wells and sewage tunnels have
violations and cracks requiring strengthening of
the structure and renewal of waterproof shells.
2 ANALYSIS OF FACTORS INFLUENCING
SAFETY OF DEEP ENGINEERING
STRUCTURES AND MEASURES FOR
THEIR ELIMINATION
2.1 Analysis of construction data of sunk large
pumping plants and inspection results after
long-term operation
The slotted soil column for the construction of
sunk wells of the main pumping plants in the con-
ditions of St. Petersburg is characterized as fol-
lows: top part is presented by quaternary beddings
to the depth of 14.0–25.0 meters (middle-density
water-saturated silty sand E = 11 MPa, C = 0 MPa,
ϕ = 30°; laminar silt sandy loam E = 4 MPa,
C = 0.01 MPa, ϕ = 15°; very soft laminar silt loam
E = 9 MPa, C = 0.025 MPa, ϕ = 16°; semisolid
Figure 1. Monitoring results of the large sunk well
immersion: a) motiongramm of immersion; b) engineer-
ing and geological conditions; c) monitoring data: 1 –
diagram of vertical misalignment (careen); 2 – diagram
of immersion; 3 – weigh of the well shell; 4 – ditch bot-
tom; 5,6,7 – correspondingly, calculated, averaged and
peak values of lateral soil pressure.
silt loam with gravel and pebbles E = 14 MPa,
C = 0.028 MPa, ϕ = 28°), lower part is repre-
sented by top of positioned Proterozoic bluestone
(E = 19 MPa, C = 0.04 ÷ 0.06 MPa, ϕ = 18–21°).
Figure 1 shows the results of the large sunk
well construction monitoring using PSTU method
(Perminov & Lombas 2004).
The stresses in reinforcement and concrete were
measured using primary string devices of PSAS
and PLDS types. To determine the soil pressure,
membrane load cells with a range of 0 to 12 MPa
and measurement error of 5–7% were used. The
measurement was performed both in the dis-
crete and continuous mode using local electronic
switches (LEC) and data storages (DS).
Analysis of monitoring data of large sunk wells
with diameters from 50 to 66 m and a depth of
immersion from 55 to 71 m shows (Fig. 1) that
in the process of immersion in the soils with dif-
ferent strengths and asymmetric structures devia-
tion from the vertical axis (careen) is observed,
with a shift of the centerline up to 1.5–1.8 m. In

232
this case, according to the automated continuous 2.2 Geotechnical analysis of technical
monitoring, as a result of abrupt lowering (fall- condition of sewage tunnels under intensive
ing), stresses in the reinforcement, concrete and anthropogenic impact and long-term
soil pressure may 12–15 times exceed the calcu- operation
lated and average values (according to the discrete
Geotechnical analysis of the sewage tunnels was
measurements).
carried out for the most typical section located in a
Numerical modeling was conducted to estimate
zone of intense dynamic impact of transport and
the stress-strain state of the well shell in case of
new construction.
an abrupt lowering (falling). The finite element
Figure 3 shows the diagram of the tunnel com-
method (FEM) and the software package Robot
pressions for more than 35 years of service life.
Professional 2010 were used in the calculations.
Uneven tunnel compressions, modified on the
The calculation was carried out for the spatial shell
arch axis, range from 5 to 276 mm. Comparative
with a diameter of 66 m and a height of 71 m (with
analysis of the engineering and geological section
the number of three-dimensional finite elements
on the tunnel route and its placement on the traf-
equal to 50828), falling under its own weight at an
fic plan showed that the greatest compressions of
angle of 15° from a height of 140 cm on the com-
up to 276 mm are located in the area of the tunnel
pliant soil (average coefficient of elasticity for mul-
under intense dynamic effects of the traffic, pass-
tilayer soil is K = 16500 kN/m3). During modeling
ing the layer of thixotropic quaternary deposits.
due to the inclination angle, friction forces on the
Evaluation of the dynamic impact of traffic was
lateral side of the well were applied in the upper
carried out by studying the oscillatory process with
part of the shell on one side and in the bottom part
a set of CM TSP manifold gauges installed in the
on the opposite side (Barabash 2014).
arch and recording equipment blocks (Perminov
The numerical modeling results have shown
2011).
(Fig. 2) that in case of a dynamic blow (if the
The frequency of the collector oscillations
well is dropped from a height of 140 cm) equiva-
under various traffic loads was from 15 to 35 Hz;
lent von Mises stresses in the construct equal-
the vibration amplitude of 35–70 microns was
ing to Sdin = 256 MPa at the top of the shell and
recorded. According to Goldshtein et al. (1973),
Sdin = 1538 MPa at the bottom, which respectively
for this type of soil deposits and the appropri-
exceeds the limiting strength of B30 class concrete
ate level of the dynamic effects, the decrease in
(Slim) 14 or more times, the changes in the geometry
strength characteristics C and ϕ is up to 35% and
of the shell are observed.
17%, respectively. To ensure the operational reli-
Thus, already in the process of the well immer-
ability, protection measures against tunnel vibra-
sion, the well structure is damaged and the con-
tion, such as the use of spiral-wound technology
crete is disintegrated due to falling. Later, during
for internal lining of the tunnel, are suggested.
operation, micro cracks lead to leakage, seepage
Numerical modeling was carried out for this
and corrosion of concrete. To further ensure the
section of the collector to determine the maximum
safety of operation of facilities of this type it is
allowable axis displacement of the tunnel lining.
necessary to strengthen and waterproof the con-
The criterion for the safety of the construct is the
struct by high-pressure injection of polymer resins
maximum allowable tensile stress of concrete in
(Ameratunga 2009).
the typical points of lining. Maximum allowable

Figure 3. The diagram comparing the compressions on

Figure 2. The results of numerical modeling of the sunk
well with a diameter of 66 m and a height of 71 m for
abrupt lowering (falling) conditions: a) the original posi-
tion, b) position after the fall from the height of 1.4 m at
an angle of 15°.
the arch axis of the collector: a) engineering and geologi-
cal section, typical for laying-out sewage tunnels in St.
Petersburg, b) the diagram of compressions: 1 – survey
results of 2010, 2 – executive survey data of 1975,
3 – the area of the collector, protected from the construc-
tion influence by the screen of low modular material.

233

Figure 4. a) Calculated model of the tunnel; b) the dia-
gram of maximum allowable tunnel lining deformations:
1 – safe displacement values after the strengthening of
the lining; 2 – reference value of allowed displacement.
deformation and displacement values are pre-
sented in Figure 4.
3 CONCLUSION
The data received from long-term field observa-
tions for long-operated embedded structures being
a part of the megacity water discharge system, as
well as the results of calculations and modeling
allowed to conduct geotechnical analysis of the
residual bearing capacity and to develop measures
to ensure safe operation of such facilities in the
conditions of intensive external influences.
Experience shows that the presence of geotech-
nical tracking of such environmentally hazardous
facilities for the entire period of their life cycle,
including design, construction and long-term
operation (even under intensive man-induced
impact) ensures safety and stable functioning of
the utility infrastructure in megacities.
234
The carried out research is the basis for geotech-
nical maintenance ensuring proper functioning
and ecological safety of underground water dis-
posal structures at all stages of their life cycle.
REFERENCES
Ameratunga, J., Brown, D., Ramachadran, R. & Denny,
R. 2009. Ground improvement for a large above-
ground storage tank using cutter soil mixing columns.
Proceedings of the 17th ICSMGE: 2280–2283.
Barabash, M.S. 2014. Computer simulation of the life cycle
of construction projects. “Steel” Publishing House.
Goldshtein, M.N., Lapidus, L.S., Reznikov, O.M., Storo-
zhenko, V.I. & Sinaevsky, N.I. 1973. Particularities of
dynamic properties of soils with pulsating load on the
surface. Proceedings of the International Congress on
Mechanics of Soils and Foundation Engineering. Mos-
cow: Stroiizdat: 329–331.
Perminov, N.A. 2011. Experience of tunnel collectors
monitoring at engineering development of under-
ground face of megapolis. Geotechics jf Had Soils-
Weak Rocks Part 3: 1705–1712.
Perminov, N.A. & Lombas, S.V. 2004. Complete geotech-
nical and monitoring services for the construction of
the underground structures in a megacity. Geotech-
nical problems on construction of large-scale and
unique projects. Proceedings of the International Geo-
technical Conference dedicated to the Year of Russia in
Kazakhstan, Almaty: 344–351.
Perminov, N.A., Zencov, V.N. & Perminov, A.N. 2013.
A comprehensive geotechnical support system for
underground space development projects. Proceedings
of the 13th ACUUS World Conference: Advances in
Underground Space Development: 276–286.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Soil base reinforcement with rigid elements represented by built-in-place

piles in rolled-out wells (practical experience)

V.P. Perov & S.V. Perov

Fundamentstroyproyekt LLC, Orenburg, Russia

ABSTRACT: The article describes a method to decrease compressibility of collapsing soil under the
bottom of a raft foundation in a multi-storied residential building through soil reinforcement with rigid
elements represented by built-in-place concrete piles in rolled-out wells. The method is considered efficient
as it allows eliminating collapsing soil properties and significantly increasing the deformation modulus,
resulting in a decrease of the foundation settlement in a designed facility. A case of using the method for
a multi-storied residential building and results of field plate load tests on consolidated soil are presented.

1 INTRODUCTION − internal friction angle – 23°;

The article provides a case of base stabilization with
rigid elements of built-in-place piles in rolled-out
wells upon base stabilization in a 17-storied resi-
dential building in Orenburg. The panel apartment
block consists of 5 block sections with foundations
in the form of a monolithic reinforced-concrete slab
with dimensions of 14 × 28 m in plan view. The depth
of the foundation slab bottom is 3.0 m. According
to a survey conducted by OrenburgTISIZ CJSC in
2016, engineering and geological conditions at the
site are represented by the following layers:
EGE-1 (engineering geological element) –
collapsing loam, brown, very stiff and hard, macro-
porous, carbonatized (boils vigorously in 10%
HCl), with sand interlayers (layer thickness – up to
0.5 cm), nonsaline, low-heaving, non-swelling.
The loam top was penetrated at a depth of 0.2–
0.3 m from the soil surface; the bottom is at a depth
of 7.0–8.0 m, the thickness varies from 6.7 to 7.8 m.
Physical and mechanical characteristics have the
following standard values:
− soil density – 1.75 g/cm3;
− density of solid particles – 2.70 g/cm3;
− natural moisture – 0.18 u.f.;
− density of dry soil – 1.49 g/cm3;
− porosity factor – 0.83 u.f.;
− saturation ratio – 0.59 u.f.;
− moisture at the rolling borderline – 0.21;
− liquid limit moisture – 0.32;
− plasticity index – 0.11;
− liquidity index – < 0;
− deformation modulus in the natural state
– 21 MPa;
− deformation modulus at water saturation
– 15 MPa;
− specific cohesion – 25 kPa.
According to soil conditions, the site belongs to
type I collapsibility, i.e. settlement manifests itself
under the influence of an external load. No settle-
ment under the self-weight is observed. According
to the value of relative collapsibility deformation
at loads of 0.40–0.50 MPa (0.014–0.022), soil is
considered to have low collapsibility.
EGE-2 – non-collapsing loam, brown, very stiff
and hard, with individual macropores, carbona-
tized, with sand interlayers (layer thickness—up to
0.5 cm), with inclusions of land waste, sandstone
up to 5% in the lower part, nonsaline, non-swelling.
The top of non-collapsible loam was penetrated
at a depth of 7.0–8.0 m from the soil surface; the
bottom is at a depth of 10.6–15.5 m, the thickness
varies from 3.3 to 8.4 m.
Physical and mechanical characteristics of
EGE-2 have the following standard values:
soil density – 1.91 g/cm3;
natural moisture – 0.19 u.f.;
density of dry soil – 1.60 g/cm3;
density of solid particles – 2.70 g/cm3;
porosity factor – 0.68 u.f.;
saturation ratio – 0.76 u.f.;
moisture at the rolling borderline – 0.21 u.f.;
liquid limit moisture – 0.34;
plasticity index – 0.11 u.f.;
liquidity index – < 0;
deformation modulus in the natural state
– 21 MPa;
deformation modulus at water saturation
– 17 MPa;
internal friction angle – 23°;
specific cohesion – 27 kPa.

235
 Ver weak sandstone, which is underlain by weak
sandstone, lies below EGE-2.
No sources of groundwater in the survey area
were penetrated by wells up to a depth of 23.0 m.
During recalculations for deformation of the
facility bases and foundations, a necessity to
decrease the value of absolute settlement was
identified.
Settlement can be decreased by increasing the
deformation modulus of the collapsing soil, i.e.
decreasing its compressibility. Moreover, the value
of the required decrease in compressibility or
increase in the deformation modulus is determined
by calculations with account for the permissible
settlement value for the designed building, accord-
ing to Table D.1 in Appendix D of Regulations SP
22.13330.2016.
The design company requested development of
a project for consolidation of the base under the
monolithic foundation slab, taking into account
the following conditions: eliminating the EGE-1 Figure 1. A general view of a unit for construction of
collapsing properties up to a depth of 5 m and rolled piles – NIS 55.
increasing the deformation modulus in the wet
state up to 20 MPa.
− no need to remove soil during well construction,
After consideration of all possible options for
as the roller presses it into the well walls, signifi-
the engineering and geological conditions at the
cantly compacting those;
construction site, described above, an option of
− no dynamic impact on adjacent buildings and
base soil consolidation with installation of rigid
structures.
reinforcing elements in the form of piles in rolled-
out wells filled with “lean” concrete was adopted. To speed up construction of rolled-out wells, as
NovTekhStroy LLC together with OKB NIS collapsing soils are almost always in a solid state,
LLC developed and released for manufacture a pilot holes of various diameter are drilled.
number of universal mobile units for construction A distinctive feature of the technology for con-
of rolled-out wells with the use of rollers of various struction of built-in-place piles in rolled-out wells
design, each having its own field of application. is that piles are manufactured in wells where soil
Among those are units mounted on wheeled is not extracted to the surface as in drilling, but
loader-excavators, swing excavators, wheeled tractors pressed into the surrounding soil mass. In other
with two semi-frames, as well as a portable unit for words, well rolling is a continuous process of creat-
operations in confined spaces, including basements. ing a conical-cylindrical cavity in soil by its com-
Those units have several advantages over drill- pacting into the well walls. The process is carried
ing rigs mounted on vehicle chassis: a high torque out using a special attachment—a roller of various
and a large single stroke (up to 9 m) of the attach- design. The most common types of spiral rollers to
ment, fast and accurate access to the location of roll out wells for built-in-place piles are presented
a design well and increased penetrability. A gen- and described in the book titled “Modern pile
eral view of a unit with the attachment is shown technologies” by Mangushev R.A. et al. (2010).
in Figure 1. The method of well construction using spiral
Availability of such equipment and high effi- attachments was proposed in the Soviet Union by
ciency (per shift, a single unit constructs up to 50 V.I. Feklin (Feklin 1985, Feklin et al. 1984a, 1984b,
rolled-out wells with a depth of 5 m) resulted in Mazo & Feklin 1985). Later, similar projects were
widespread implementation of the rolling (soil dis- developed and released for manufacture by inter-
placement) method during construction of foun- national companies (Blum 2000, Mangushev &
dations in our region. Osokin 2010, Van Impe & Cortvrindt 1998). Some
The technology for installation of built-in- of those inventions, such as Bauer, Omega, De
place piles in rolled-out wells has the following Waal, Atlas, Olivier, and Fundex, are used at Rus-
advantages: sian construction sites.
Due to this technology, physical and mechanical
− sufficiently high efficiency coefficient regarding properties of soil in the compacted zone around
well construction; the well improve significantly, and collapsing

236
properties are eliminated in collapsing soils. The
use of piles in rolled-out wells allows increasing
friction on the side surface by 30% as compared
to bored piles. Experience of using such piles is
described in a number of publications (Lomov
2014, Perov 2012, Saurin et al. 2000).
During well rolling-out in hard collapsing soils,
the roller and, especially, the auger are heated up
to 500°C and more, therefore, the material of the
roller shall have high abrasion and heat resistance.
To decrease the temperature of the auger, it is
required to use water as:
− it cools the roller auger and auger tip;
− it reduces friction between the side surface of
the roller and the ground;
− it increases the ability of soils to form a stable
shaft of a rolled-out well of the required depth
and diameter;
− it creates optimal conditions for formation of a
compacted area around the well.
The time between rolling-out and concreting in
collapsing soils shall not exceed three days.
After determining the required value of com-
pressibility (deformation modulus), the necessary
distance between the rigid elements (piles in rolled-
out wells), with account for stiffness of the material
filling the formed well and physical characteristics
of the surrounding collapsing soil, is calculated
(Regulations for installation and acceptance of
built-in-place piles in rolled-out wells (supplement
to SNiP 3.01.01.85)).
It is also necessary to consider results of static
penetration tests at the site as they allow:
− clarifying the nature and degree of variability in
soil conditions at the site;
− determining causes of inconsistencies between
the rolling mode and the design mode;
− obtaining preliminary data on the bearing capac-
ity of piles in rolled-out wells.
For preliminary calculations, V.P. Perov (2012)
recommends to determine the diameter of the
compacted zone which can be obtained after roll-
ing, by the following equation:
wells” it is indicated that, in collapsing soils of type
I collapsibility, during well rolling-out, it is neces-
sary to provide for overlaying of compacted zones
of neighboring wells to eliminate collapsing prop-
erties of soil in the area between the piles and in
the area adjacent to the foundations. This clarifica-
tion points to the fact that the soil work coefficient
equal to 0.95 as in equation 166 (Guide for design
of bases for buildings and structures (supplement
to SNiP 2.02.01.83)) is applied.
The technology for the installation of rigid ele-
ments is as follows:
According to the calculations, wells for instal-
lation of built-in-place piles are located at some
distance from each other in a row (with account
for some distance between the rows), constructed
at a given depth using a 250 mm diameter roller
and filled with lean concrete of B7.5 grade. A lay-
out of piles for soil conditions of the facility under
consideration is shown in Figure 2.
The height of concrete filling is 30 cm below
the ground surface of the pit bottom. Those
30 cm of a well are filled with medium-size sand
or large sand with layer-by-layer compaction in
12 hours after pile concreting (Fig. 3). The use of
compacted sand allows composing a buffer layer
between the foundation bottom and the body of
the rigid element, which ensures redistribution of
the load from the foundation bottom in the stabi-
lized soil mass.
− after filling with sand, the surface of the pit bot-
tom is levelled and excess soil is cut off up to
5 cm above the bottom of concrete bedding;
− the levelled surface of the pit bottom is addition-
ally compacted using a vibratory roller as dur-
ing well construction soil becomes loose up to
a depth of 30–50 cm, as evidenced by soil heave
at the well collar, which can be explained by for-

dy = γ c i pds / ( pds − pd ) (1)

where γc is a coefficient of soil work conditions,

taken as > 1, which is specified experimentally for
particular soil conditions;
d is a roller diameter, m;
Pds is density of compacted dry soil, t/m3; equal
to 1.65 t/m3 for collapsing soil;
Pd is density of undisturbed dry soil, t/m3.
However, in the “Recommendations for design Figure 2. A fragment of a pile layout in rolled-out
and installation of built-in-place piles in rolled-out wells.

237

Figure 3. Log 1–1.
mation of a compacted zone with upward soil
displacement;
− upon concrete heating in wells using heating
cable, in 4–6 days it is possible to conduct plate
load tests to determine the deformation modu-
lus of the soil mass reinforced with rigid ele-
ments (in our case, built-in-place concrete piles
in rolled-out wells).
The design equivalent (reduced) deformation
modulus Ee, with account for the distance between
the piles and filling material for the rolled-out wells,
can be determined using an approximate equation
specified in the “Design and construction of bases
and structures of reinforced soil. Supplement
guide to construction standards of the Republic of
Belarus”:
Ee = α (1 − α A )Eq + α A ⋅ Ec
where α is an empirical coefficient depending on
the type of filler in a well, equal to 1.10 at well
rolling-out;
Eq is the deformation modulus of the surround-
ing soil, MPa, determined by results of engineer-
ing and geological surveys;
Ew is the deformation modulus of the filling
material for a well;
αA is a coefficient determined by equation:
Aw
αA =
As
where Aw is the filled well area, m2;
As is the area of soil around piles with account
for the distance between them, m2.
Using equation (2) for the previously listed
characteristics of collapsing soil and filling of
rolled-out wells, located at a distance of 1 m from
each other, with lean concrete of B7.5 grade, we
will obtain the value of the design equivalent
deformation modulus – 27.0 MPa.
To determine the actual deformation modulus
of consolidated soil after installation of piles in the
rolled-out wells, plate load tests were conducted
with the use of a plate with an area of 5000 cm2,
in accordance with State Standard GOST 20276-
2012 “Soils. Field methods for determining the
strength and strain characteristics”.
A distinctive feature of those plate load tests is
that the plate (after soil cutting and construction
of sand bedding with a thickness of 1–3 cm) is set
in such a way that its center would coincide with
the axis of the pile placed in the rolled-out well.
With such plate position, the presence of both the
rigid pile body and the compacted soil around the
pile affects compressibility of the consolidated
base.
The plate load tests (repeated two times)
allowed determining the values of the deforma-
tion modulus – 22.8 MPa and 20.4 MPa. Thus,
the requirement of the designers was fulfilled.
The discrepancy in the values of the deformation
modulus calculated according to the approximate
equation and obtained during the plate load tests
can be explained by different soil areas upon deter-
mination of the αA coefficient. For instance, at the
distance between the piles of 100 cm, it turns out
that under the plate with an area of 5000 cm, the
diameter of which is 79.8 cm, the body of the built-
in-place pile and a part of collapsing soil com-
pacted during well construction are located. This
fact should be taken into account by introducing a
correction factor, which can be obtained by accu-
mulation of calculation results and field plate load
(2) tests’ data, in equation (2).
2 CONCLUSION
1. Reinforcement of collapsing soils with rigid ele-
ments, using piles in rolled-out wells, confirmed
efficiency of this option.
2. To determine the deformation modulus of con-
solidated soil, it is possible to use equation (1).
3. Quality control of performed works should
be carried out by conducting plate load tests
according to State Standard GOST 20276-2012.
(3)
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Blum, K.J. 2000. Pile forming apparatus. Patent
US6033152 A.
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Feklin, V.I., Mironenko, A.N., Shatov, S.V., Shvets, N.S. &
Kirichek, J.A. 1984a. Tool for forming a hole in macro-
porous compressible soil. Patent US4458765 A.
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formation of holes in macroporous compressible soils.
Patent US4484640 A.
Lomov, P.O. 2014. Application of a method for soil rein-
forcement with built-in-place piles in rolled-out wells.
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Perov, V.P. 2012. Construction of a reinforced foundation
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technics and foundation engineering. Proceedings of the
Scientific and Technical Conference. Novocherkassk.
Saurin, A.N., Bagdasarov, Yu.A. & Zhadanovsky, B.V.
2000. Built-in-place piles in rolled-out wells—a promis-
ing basis for installation of foundations in complex soil
conditions. International seminar, Perm.
Van Impe, W.F. & Cortvrindt, G.A.A. 1998. Soil displace-
ment auger head for installing piles in the soil. Patent
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Simulation of strain-stress behavior of tunnel collectors in conditions

of combined anthropogenic effects

N. Perminov
Emperor Alexander I Saint Petersburg State Transport University, St. Petersburg, Russia

A. Perminov
NPF Transspetstroy, St. Petersburg, Russia

ABSTRACT: In the conditions of intensive development of urban engineering and transport infrastruc-
ture, long-operating sewage tunnel collectors face the action of a combination of unfavorable anthropo-
genic effects. The external anthropogenic effects include additional static and vibro-dynamic loads caused
by ground and underground transport, changes in urban planning and geotechnical conditions, as a rule,
during joint underground and high-rise construction. The internal effects include sign-alternating (pres-
sure and non-pressure) influence of aggressive sewage waters and, consequently, structural corrosion and
beyond-limit decrease of the bearing capacity during long-term exploitation. The paper gives real practical
examples and shows that simulation of pre-limit strain-stress behavior of tunnel collectors under the con-
ditions of combined anthropogenic effects and calculative substantiation of protective measures ensure
the bearing capacity and service reliability during the lifecycle at the stages of reconstruction and use.

1 ANALYSIS OF EXPLOITATION depth from 16 m to 37 m (Perminov 1997). The

FEATURES AND RESULTS OF
TUNNEL COLLECTORS MONITORING
IN ANTHROPOGENIC EFFECTS
CONDITIONS
Long-term operation and intensive development
of engineering infrastructure of megalopolises
increase the requirements to ecology and efficient
use of land resources. During engineering devel-
opment of underground space of such a megalo-
polis, the design of integrated protection measures
of town-planning environment against negative
anthropogenic impact is relevant. Therefore, spe-
cial safety requirements for sewage and water treat-
ment facilities shall be introduced (The Federal
Law 2009).
So far, around 88% of all sewage collectors are
made of reinforced concrete, about 7% – of metal
(steel, cast iron), about 3% – of bricks, plastic,
ceramics. Tunnel sewage collector diameters range
from 1.2 to 5.6 m, they are embedded at the depth
from 3 to 60 m.
At St. Petersburg State Transport University,
the authors of the paper analyzed monitoring
observations data of dynamic changes of defects
and strain-stress behavior of tunnel collectors in
St. Peterburg during the past 30 years. The volume
of observations was more than 25 km of tunnels
with the diameters from 1.85 m to 3.4 m and the
results of the analysis showed that difficult condi-
tions of tunnel embedment and a combination of
static and dynamic effects lead to displacements
and deformations of tunnels, which cause force
cracks and violation of integrity of lining struc-
tures. The analysis identified such defects almost at
all areas of dynamic impact; such defects amount
to 83% of the total amount of observations with
the development dynamics of up to 1.5–2.0% per
year.
Figure 1 shows the dynamics of tunnel com-
pression increasing in unstable soils in the area of
influence of dynamic transport load from 1975 to
2010.
The geotechnical analysis of the sewage tunnel
was carried out for the most typical section located
in the zone of intense dynamic impact of transport
and new construction.
Figure 1 shows the diagram of the tunnel com-
pressions for more than 35 years of service.
Uneven tunnel compressions, modified along
the arch axis, range from 5 to 276 mm. The com-
parative analysis of geotechnical profiles along the
tunnel route and its placement on the plan rela-
tive to the traffic junction showed that the greatest
compressions up to 276 mm are located in the area
of the tunnel under intense dynamic traffic effects.
The compressions pass the layer of thixotropic
quaternary deposits.

240

Figure 1. The diagram of comparison of compressions
along the arch axis of the collector: a) the geotechnical
profile, typical for laying sewage tunnels in St. Peters-
burg, b) the diagram of compressions: 1 – survey results
of 2010, 2 – executive survey data of 1975, 3 – the area
of the collector protected from the influence of the con-
struction with a screen of low modular material.
Evaluation of the dynamic impact of transport
was carried out by studying the oscillatory process
with a set of manifold gauges CM TSP installed
in the tunnel arch and recording equipment blocks
(Vasiliev et al. 2013).
The frequency of oscillations of the collec-
tor during various traffic loads ranged from
15 to 35 Hz, and the vibration amplitude of
35–70 microns was recorded. According to the
research (Wells & Melchers 2015, Perminov 2014),
as for this type of soil deposits and the appropriate
level of dynamic effects, the decrease of strength
characteristics C and ϕ was up to 35% and 17%,
respectively. To provide operational reliability,
vibration protection measures for tunnels such as
the geotechnical analysis of technical conditions
for long-operating sewage tunnels under intensive
241
anthropogenic impact and the use of spiral-wound
technology for internal lining of the tunnel were
suggested.
In the framework of this research the task
of geotechnical support simulation for flawless
level of external effects on the tunnel taking into
account its residual bearing capacity and strain-
stress behavior was set (Perminov 2014, Hobbs
1999, Porowal & Dey 2010, Kovari & Tisa 1998).
2 SIMULATION OF EXTERNAL EFFECTS
ON THE TUNNEL COLLECTOR AND
CALCULATIVE SUBSTANTIATION OF
PROTECTIVE MEASURES
As for the site of Business Center buildings, moni-
toring and geotechnical substantiation of protec-
tive measures for the tunnel collector of 2250 mm
in diameter located at the depth of 14–15 m in a
very soft thixotropic loam was carried out. The
collector has been in operation for more than 30
years and its condition, according to the technical
inspection materials, was considered as restrictedly
serviceable.
The collector is located close to the designed
Business Center, within the area of its influence at
the stage of construction and operation. To pro-
vide geotechnical safety and monitoring of the
collector, the influence of Business Center was
evaluated and methods of its geotechnical protec-
tion were developed. To solving this task the finite
element method was used: geotechnical packages
“Plaxis 3D Foundation”, “Plaxis 3D Tunnel” and
design package “Robot 3D” (Rao 2008, Attewell &
Selby 1989).
Construction activities and arrangement of pro-
tective measures were simulated in the form of cal-
culation steps which are given in Table 1.
The following steps were simulated as protec-
tive measures (Fig. 2): complete soil substitution –
a; partial soil substitution – b; application of a
geotechnical barrier in the form of the protective
Table 1. Numerical modeling steps.
No. Description of calculation steps
1 Original stress and strain state of the system
2 Arrangement of protective measures
3 Construction of walls in soil
4 Construction of piers and barrettes
5 Tier-wise development of soil with concrete casting
of flooring and pit bottom
6 Application of load from the building and founda-
tion loading (700 kPa for the tower and 200 kPa
for the stylobate)
 Figure 3. Geometry of the 3D model of the complex
(the plan and general views): 1 – the protected collector;
Figure 2. Protective measures to decrease influence on 2 – the wall in the soil; 3 – the stylobate part of the build-
the collector: 1 – reinforcement of the tunnel structure ing; 4 – the high-rise part of the building.
using the spiral-wound technology; 2 – brace sheet walls
L-5 to the length of the protected section; 3 – stabilized
soil E = 200 MPa; 4 – existing soils; 5 – the metal binding
belt; 6 – the geotechnical barrier (thixotropic paste with a
weighting agent – barium); 7 – the wall in the soil.

trench made of thixotropic paste with a weighting

agent (E = 2÷3 MPa; γ = 2.15 ÷ 2.20 t/m3; ϕ = 50;
c = 0.003 MPa; ν = 0.48) – c.
The task of numerical modeling in Plaxis3D
Foundation objective allocation means evaluation
of polydimensional deformations and a strain level
in longitudinal cross-sections of the collector lin-
ing. Selection of this model was conditioned by the
fact that the collector has curved alignment in the
plan view and the high-rise complex of buildings is
represented in the uneven form (see Figure 3).
The 3D model is represented as a block with
the plan view dimensions 800 × 800 m. The lower
boundary of the model is located at the actual ele-
vation of 170 m, which is conditioned by the depth
of mass contractibility, according to the geology
data and loads (Fig. 4).
At the stage of operating loads application
from the high-rise building complex, the collector
deformations in the area of the maximum proxim-
ity were 62 mm and the settlements – 134 mm; the
axial forces ranged from +0.2 MN (tension) to –
0.5 MN (compression), the bending moments—up Figure 4. a – the geological profile; b – the material
to 2 NMm. parameters.
A flat model (2D) served for analysis of the
protective measures against the influence on the
collector, and it represented the schematic cross- deformations and values of allowable displace-
sections of the high-rise buildings complex and the ments depending on the length of a deformed sec-
adjacent collector. The calculation model is rep- tion of the tunnel collector were calculated using
resented as a block with dimensions 160 × 125 m Robot Structural Analysis Professional program
(Fig. 5). for different sections of the collector (Fig. 6).
The modeling results are given in Table 2 Monitoring was aimed at provision of the values
and show that the trench protection provides a of the collector lining displacements not to exceed
decrease of both vertical and horizontal deforma- the design values shown in the diagram (Fig. 7).
tions. The total decrease of deformations is more Reinforcement of the collector lining using the
than 3 times. spiral-wound technology (SATURN) makes it
A structure preservation criterion implies maxi- possible to increase the maximum allowable tun-
mum deformation and maximum oscillation of nel displacement up to 3–5 times depending on the
the collector, which ensure chatter stability of the length of a deformed section (Vasiliev et al. 2013,
soil bulk, which contains the collector. Maximum Bathe et al. 1995, The Main Directions 2013).

242
 Figure 6. a – a fragment of the design diagram;
b – modeling of maximum deformations of the collec-
tor: 1 – the collector tubing; 2 – the reinforced concrete
jacket; 3 – the reinforcement layer of the tunnel.

Figure 5. Simulation of the protective measures.

Table 2. Collector displacement during construction.

Displacements, mm
Protective
Construction stage measure* X Y Total

Development of Trench – −3.99 +2.10 4.46 Figure 7. The values of the allowable displacements
the first tier with no GTB of the collector lining depending on the length of the
concrete casting −5.38 +1.39 5.45 deformed section: I – monitoring of the “safety cor-
of the flooring ridor” of the collector displacements with lining rein-
slab forcement; II – the initial state of the collector without
Development of the Trench – −2.89 +7.04 7.43 reinforcement.
second tier with no GTB
concrete casting −12.97 +15.34 20.07
of the flooring in the area of geotechnical influence of Business
slab and with Center construction can be recommended for
account of piers other large-scale unique objects under construc-
Development of the Trench – −7.59 +23.87 24.77 tion in the area of location of tunnel collectors
pit with no GTB (Tsatsanifos et al. 2000, Ameratunga et al. 2009).
simultaneous −11.17 +35.95 37.57
concrete casting
of the bottom
Loading of the Trench – −6.66 –20.08 23.39 3 CONCLUSIONS
building model no GTB
−30 –60.26 67.22 The concept of simulation and monitoring of
strain-stress behavior of tunnel collectors during
*GTB – Geotechnical barrier. anthropogenic effects provides sustainable service
of underground linear structures.
The results of the numerical modeling and moni- The results of simulation of strain-stress behavior
toring of the geotechnical system “tunnel collector— of the tunnel with its displacement in the soil bulk due
city planning object—protective measures” used to anthropogenic effects show that the use of the geo-

243
technical barrier made of low-modulus material and
reinforcement of the internal surface of the tunnel
with a carbon-plastic lining material results in more
than threefold increase of an area of limit admissible
deformations. It also enhances resistance of the rein-
forced structure against vibro-dynamic effects.
REFERENCES
Ameratunga, J., Brown, D., Ramachadran, R. & Denny,
R. 2009. Ground improvement for a large above-
ground storage tank using cutter soil mixing columns.
Proceedings of the 17th ICSMGE: 2280–2283.
Attewell, P.B. & Selby, A.R. 1989. Tunnelling in com-
pressible soils: large ground movements and structural
implications. Tunnelling and Underground Space Tech-
nology. Vol. 4: 481–487.
Bathe, K.J., Zhang, H. & Wang, M.H. 1995. Finite ele-
ment analysis of incompressible and compressible
fluid flows with free surfaces and structural interac-
tions. Computers & Structures. Vol. 56: 193–213.
Hobbs, D.W. 1999. Expansion and cracking attributed to
delayed ettringite formation. Proceedings of a Tech-
nical Session Ettringite. ACI. Seattle, Washington.
SP-177: 151–181.
Kovari, K. & Tisa, A. 1998. Computational model and
charts for cut and cover tunnels. International Association
for Bridge and Structural Engineering Colloquium Tun-
nel Structures. Stockholm, Sweden. Vol. 78: 71–86.
Perminov, N.A. 1997. Comprehensive geotechnical sup-
port for the construction of large edifices as a part of
244
St. Petersburg. Geotechnical Engineering for the Pres-
ervation of Monuments and Historic Sites. Viggiani
(ed.). Rotterdam: Balkema. ISBN 9054108711: 12.
Perminov, N.A. 2014. Geotechnical aspect of safety
assurance for long-used engineering infrastructure
facilities in large cities in complicated ground condi-
tions. Geotechnics of Roads and Railways: 1195–1201.
Porowal, S.S. & Dey, A.K. 2010. Tunneling through a
highly slide prone area at Meghalaya. Geotechnical
Challenges in Megacities 3: 1099–1106.
Rao, K.S. 2008. Interim report on site specific studies of
Sonapur landslide, Jaintia hill, District Meghalaya.
T.S. No.83 C/8: 8.
The Federal Law 2009 (updated 2016). The Techni-
cal Regulations for safety of buildings and structures
12.10.2009, 384-FL.
The Main Directions of Providing Reliability of Exploi-
tation of Railway Engineering Structures at the Con-
temporary Technical and Technological Level 2013
(Resolution of 14.08.2013 # 275).
Tsatsanifos, C.P, Mantziaras, P.M. & Georgiou, D. 2000.
Squeezing rock response to NATM tunneling: a case
study. Proceedings of the International Symposium on
Geotechnical Aspects of Underground Construction in
Soft Ground. Japan, Kusakabe. Fujita and Miyazaki
(eds). Rotterdam: Balkema: 167–172.
Vasiliev, V.M., Pankova, G.A. & Stolbikhin, Yu.V. 2013.
Destruction of a sewage tunnel and above structures
due to the impact of microbiological corrosion. Water
Supply and Sanitary Equipment 9: 55–61.
Wells, T. & Melchers, R.E. 2015. Modelling concrete
deterioration in sewers using theory and field observa-
tions. Cement and Concrete Research 77: 82–96.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Simulation of unsteady interaction of large RC shell with heterogeneous

soil milieu for gradually increasing caisson structure

N. Perminov
Emperor Alexander I Saint Petersburg State Transport University, St. Petersburg, Russia

ABSTRACT: Prediction and simulation of construction parameters of large shells in heterogeneous

soil milieu provided considerable expansion of the area of rational use of underground areas of megaci-
ties for deep transport facilities and engineering infrastructure. Mega sizes of an RC shell allow creating
open underground areas, unique in volumes and deepness. The analysis of behavior of a massive gravita-
tional fencing shell at its gradual increasing and driving into heterogeneous soil milieu allowed identify-
ing the nature of their non-linear and unsteady behavior. Unsteadiness of the processes of interaction
of a massive structure and soil milieu causes the necessity to create methods for adaptive control of
strain-stress behavior of the “gravitational large body—heterogeneous host medium” system for decreas-
ing aggravating influence of the effect of unsteadiness on the lowering process. Due to joint step-by-step
implementation of geotechnical and structural calculations a history of the processes of shell-soil milieu
interaction is modeled and the parameters of adaptive control of strain-stress behavior are predicted, thus
providing conditions of controlled lowering. The paper demonstrates results of implementation of the
given concept during design and construction of unique underground structures of the sewage system of
St. Petersburg.

1 GENERAL FEATURES OF THE
PROBLEM UNDER CONSIDERATION
AND INTERACTION OF A LARGE
SHELL WITH HETEROGENEOUS SOIL
MILIEU AT THE LOWERING STAGE
In order to provide stable and safe operation of
large caisson structures there is a need to ensure
internal integrity of fencing structures with high
degree of waterproofing at all stages of their life
cycle.
The existing standards (Ilichev & Mangushev
2016) and Regulations (2012) envisage checking
the calculations of underground structures to be
lowered for construction and operation stages.
However, the experience shows that in case of large
caisson structures it is not enough due to specific
conditions of their interaction with a soil bulk and
inclusion of the large-scale effect (factor): hyper
sizes of the lateral surface area of the shell, which
interacts with heterogeneous soil, and its super large
weight, which creates a powerful kinetic impulse
during instant and often sudden lowering, causes
beyond-design conditions for a caisson structure.
Joint actions of these factors stipulate specific
non-linear behavior of the structure at lowering
as well as the host soil bulk. Due to strength and
deformability of the large massive structure and its
geometric changeability, it is necessary to calculate
not only the final construction stage but also the
whole lowering process, taking into account the
history of the process of shell-soil bulk interac-
tion during lowering and, consequently, the effect
of gradual inheritance of stress-strain behavior.
These problems could only be solved by tackling
non-linear problems, non-linear models and com-
puter non-linear simulation (Perminov et al. 2013,
Barabash 2012, Ilichev 2008).
The analysis of the results of in situ and cal-
culation-experimental works and the data of the
comprehensive geotechnical monitoring system
(Fig. 1) of lowering large shells showed the features
Figure 1. The change in radius R and displacement of
the center of circle O during its lowering to a depth H: a,
b – respectively I – for H = 17 m; II – for H = 29 m; III
– for H = 25 m; IV – for H = 29 m; O (I–II) = 0.108 m;
O (III–IV) = 0.234 m.

245
of their interaction with heterogeneous soil milieu
(Perelmuter & Kazantsev 2015). The geotechnical
profile for the monitored facilities is characterized
as follows: the upper layer is represented by Qua-
ternary strata down to the depth of 14.0–25.0 m
(water-saturated silty sands of medium density,
E = 11 MPa, C = 0 MPa, ϕ = 30°; plastic silty clay
sands, E = 4 MPa, C = 0.01 MPa, ϕ = 15°; liquid-
plastic silty sandy clays, E = 9 MPa, C = 0.025 MPa,
ϕ = 16°; semi-solid silty sandy clays with gravel and
pebbles, E = 14 MPa, C = 0.028 MPa, ϕ = 28°), the
lower level is represented by the bed of dislocated
solid Proterozoic clays (E = 19 MPa, C = 0.04–0.06
MPa, ϕ = 18–21°).
The monitoring identified a very important phe-
nomenon: the peak values of horizontal stresses
exceed the calculation values by 2.3–2.5 times, and
it is proved by the deviation of the shell from the
vertical axis and changes of its geometry (Figs. 1,
2). It can be the reason of suspension of the proc-
ess of massive shell lowering with a subsequent
sudden, conditionally instant drop (falling). Based
on the analysis of the lowering graph (Fig. 2a) it
can be seen that the drop value reaches 1.5 m and
more. The shell structure takes impact beyond
Figure 2. Graphs of shell lowering: a) D = 51 m,
H = 53 m (1 – tilt graph; 2 – an elevation of the lower
plane; 3 – soil elevation; 4 – increase of shell weight); b)
the diagram of deviation of the shell from the vertical axis.
246
design loads by creating a powerful kinetic impulse
as a result of its drop to the soil bulk of a pit bot-
tom (Perminov 1997), that can cause occurrence
of micro cracks in concrete of the structure and
inevitably leads to violation of the structural hydro
insulation. This phenomenon has been identified
after 10–15-year-long operation of the gas and
pumping station complex of the water treatment
facilities of St. Petersburg (Perminov & Perminov
2014).
Geomonitoring showed unsteadiness of the
processes of interaction of the external contour of
the massive structure (Perelmuter & Slivker 2011).
Complex and, as a rule, uncontrolled character of
the processes during conditionally instant embed-
ment of the shell into the host heterogeneous
milieu as well as the environment itself, that has
physical and genetic non-linearity (Regulations
2016) demonstrate that the study of the stain-stress
behavior of the shell and soil bulk can be carried
out only on the basis of computer modeling of this
process using geotechnical and structural software
complexes.
2 SIMULATION OF CONDITIONALLY
INSTANT DROPS OF THE MASSIVE
SHELL DURING ITS LOWERING INTO
HETEROGENEOUS SOIL MILIEU
The analysis of behavior of the caisson structure
during its sudden uncontrolled sliding (drop) to
the bottom of an open soil cavern from the height
1.3–1.5 m with the angles of deviation from the
vertical axis of 0.5°–5°C was conducted with a help
of the software complex Autodesk Robot Struc-
tural Analysis Professional (Carmody & Sterling
1993).
While developing the calculation model (Fig. 3),
it was considered that the shell structure consists
of two cylinders, one standing on the other. The
upper cylinder has the following dimensions: exter-
nal radius R = 36 m, internal radius R = 30.5 m,
height H1 = 46 m. The lower cylinder has the fol-
lowing dimensions: external radius R = 36 m, inter-
nal radius R = 30 m, height H2 = 25 m. Therefore,
the external diameter of the shell was D = 72 m,
the height of the shell was H = 71 m. Concrete of
B30 grade was used.
In order to simulate the value of impact force
at dropping the shell, in the model the cylinder fell
from the height H = 150 – 250 cm under the action
of its own weight with the tilt angle of 0.5°–5° to
a flexible soil (green-gray clay: ϕ = 21°, C = 0.04
MPa, E = 19 MPa). A spatial calculation scheme of
the shell was modeled: weight G = 210000 tons; the
amount of nodes – 16944; the amount of volumet-
ric finite elements – 12496; the amount of static
Figure 3. The schemes of calculation models of the lowered shell at different angles of its deviation from the vertical
axis: a) static support at tilt; b), c) drop and sliding at tilt (deviation from the vertical axis).

Table 1. The simulation results.

n0 = 0.21 n2 = 0.56 n4 = 0.97

∆0 max = 0.0 cm ∆2 max = 3.1 cm ∆4 max = 26.1cm

Initial position a = 0.5°; Shape 2. Pre-limit strain-stress Shape 4. Limit strain-stress behavior
∆H = 0 m behavior a = 0.5°; ∆H = 1.25 m a = 1°; ∆H = 1.25 m
n11 = 1.94 n17 = 3.68 n22 = 8.47
∆11 max = 43.5 cm ∆17 max = 62.3 cm ∆22 max = 183.4 cm

Shape 11. Post-limit strain-stress Shape 17. Post-limit strain-stress Shape 22. Post-limit strain-stress
behavior a = 2.5°; ∆H = 1.25 m behavior a = 2.5°; ∆H = 2.5 m behavior a = 3.5°; ∆H = 2.5 m

degrees of freedom – 50828; the amount of load-

ings – 27; the acceleration of gravity g = 9.81 m/
kVs; the time of drop t = (2 * H/g); ∆t = 0.30–
0.54 s. Due to the tilt angle, friction forces were
applied in the upper part of the caisson from one
side and in the lower part—from the opposite side.
As the simulation of the processes of drop at
different angles of shell deviation from the axis a
and falling heights ∆H was made in quite a large
range, Table 1 gives only the most typical results,
which were taken for the analysis. The total calcu-
lation table of the results of integration of motion
equations for the shell during the drop (falling) at
speeds VZ, VX, VY (cm/s), acceleration AZ, AX,
AY (cm/s2) and displacements UZ, UX, UY (cm) Figure 4. The area of limit admissible values of condi-
included 186385 lines. tionally instant drops ∆H of the shell, D = 61 m, height
Based on the simulation results (Fig. 4), admis- H = 71 m, weight G = 210000 tons, at different angles of
sible parameters of spatial location of the shell and deviation of the structure from the vertical axis a° (B30
the ranges of its conditionally instant drops were concrete; ϕ = 21°, C = 0.04 MPa, E = 19 MPa).

247
set, which provide pre-limit strain-stress behavior
of the shell.
The simulation results show that for large shells
the regulatory documents recommendations (Pon-
omaryov 2015) have limited application and are
needed to be confirmed via calculative modeling.

3 SIMULATION OF CONTROLLED
REGIMES OF MASSIVE SHELL
LOWERING INTO SOIL OF
DIFFERENT STRENGTHS USING
GEOTECHNOLOGY METHODS
Taking into account the results of the previous
modeling steps, at this stage the problem of geo-
technical simulation of the process of lowering the
shell into the soil bulk in a controlled mode was
solved. The geotechnical methods served as exter-
nal impacts on the “shell—soil bulk” system.
An incremental model of deformation type was
used as the calculation soil bulk model for solving
the non-linear problem. A stress-strain connection
in the model was taken separately for volumetric
and shear components of a stress tensor.
dSij = 2G ⋅ deij 
T
(1)
dδ cp = 3K T ⋅ dξcp 
where dSij and deij are the increments of devia-
toric components of stress and strain tensors,
respectively; dδ cp and dξcp are the increments of
average stress and strain; GT and KT are tangent
moduli of shape and volume deformation.
Tangent moduli of deformation GT and KT were
approximated according to linear polynomial of
the second degree with one variable:
( )
G T = G Sij ;δ cp = A0 + A1δ cp + ASij 
 (2)
( )
K T = K δ cp = B0 + B1δ cp + B2δ cp2 
Approximating dependences (2) are experimen-
tally substantiated by the example of stabilometer
triaxial tests (STT) (Ilichev & Mangushev 2016,
Regulations 2012).
The model considers the conditions of loading
and unloading according to the following criteria:
loading − dSij > ∅ ; dδ cp > ∅ 
(3)
unloading − dSij > ∅ ; dδ cp < ∅ 
In order to fulfill the condition of “loading”,
tangent moduli K HT and GHT were calculated
according to formulae (2) in compliance with
the current stress-strain behavior. For fulfilling
Figure 5. Displacement of the shell contour in continu-
ous milieu: a) at tilt correction under the action of lateral
additional load Q = 0.3–0.9 MPa; b) influence of the shell
contour displacement value Ux on settlements of the soil
surface at tilt correction.
the condition of “unloading”, K PT and GPT were
defined according to other dependences (4).
K PT = const; G TP = A0 + A1δ cp (4)
The parameters of the calculation model A0;
A1; A2; Kp; B0; B1; B2 were defined based on the
STT data. The medium-grained sandy soil with
the density Pd = 1.65 g/cm3 and water content
W = 10% was used as the tested soil. All calcula-
tions were made using the numerical method of
finite elements with a help of RSK geotechnical
software. The procedure of solving the non-linear
problem was reduced to the well-known method of
variable rigidity (Ponomaryov et al. 2015), accord-
ing to which the matrix of rigidity was transformed
at each step of the solution in accordance with the
current level of stress-strain behavior and orienta-
tion of the additional loading vector.
Figure 5a shows a characteristic graph of the
shell contour displacement to the design position
with inclusion into the calculation of a geotech-
nical impact on strain-stress behavior of the sur-
rounding soil bulk. The results of simulation show
(Fig. 5b) that rectification of the shell contour
displacement almost to the design position (from
32.8 cm to 9.01 cm) allows decreasing the area
of distribution and the soil bulk settlement value
around the shell several times (the area of distribu-
tion reduces from 45 m to 9 m; the value of settle-
ment, respectively, from 150 cm to 8 cm).
4 CONCLUSIONS
The analysis of behavior of the massive gravita-
tional fencing shell during its gradual increasing
and lowering into the heterogeneous soil milieu

248
allowed identifying a number of factors, which
characterize its non-linear behavior in the condi-
tions of joint interaction.
Physical non-linearity is caused by behavior
in the elasto-plastic area of the soil bulk, which
contacts with the lateral surface during deviation
of the structure from the vertical axis. Geometric
non-linearity manifests itself when its geometry
changes asymmetrically during instant-stepwise
drops of the massive shell.
Unsteadiness of the processes of interaction of
the massive structure with the soil milieu as well
as itself causes the necessity of creating adaptive
control methods of the stress-strain behavior of
the “gravitational large body—heterogeneous host
milieu” system.
Due to joint step-by-step geotechnical and struc-
tural calculations, a history of the shell-soil milieu
interaction processes is simulated, the parameters
of the adaptive control of the strain-stress behav-
ior system, which are implemented with the help of
external geotechnical impacts at the stage of con-
struction of the structure, are predicted.
The results of the considered concept are
applied at geotechnical support of a lifecycle of
the unique underground sewage system structures
of St. Petersburg at the stage of large caisson shells
construction during simultaneous lowering and
buildup of the structure.
REFERENCES
Barabash, M. 2012. Simulation of beyond-design impacts
at studying the lifecycle of buildings and structures.
International Journal for Computational Civil and
Structural Engineering 12(3): 15–25.
Carmody, Y. & Sterling, R.L. 1993. Underground space
design. A guide to subsurface utilization and design for
people in underground spaces. New York: VNR.
249
Ilichev, V.A. 2008. A flat problem of a plate on elastic
subsoil with account of the technology of its construc-
tion. Soils, Foundations and Soil Mechanics 3: 12–16.
Ilichev, V.A. & Mangushev, R. 2016. The reference book
of a geotechnical engineer. Soils, foundations and
underground structures. The publishing house of the
Association of Construction Universities.
Perelmuter, A.V. & Kazantsev, O.V. 2015. The analysis
of structures with a changing calculation scheme. Mos-
cow: AS Publishing House.
Perelmuter, A.V. & Slivker, V.I. 2011. Calculation models
of structures and a possibility of their analysis. Mos-
cow: Publishing House of SKAD SOFT.
Perminov, N.A. 1997. Comprehensive geotechnical sup-
port for the construction of large edifices as a part
of St. Petersburg. Geotechnical Engineering for the
Preservation of Monuments and Historic Sites (Vig-
giani (ed.) Balkema, Rotterdam, ISBN 9054108711:
1074–1081.
Perminov, N.A. & Perminov, A.N. 2014. Geothermal
aspects of providing safety of long-operating facilities
of engineering infrastructure of large cities in difficult
soil conditions. The Journal of Perm Research Univer-
sity 4: 111–128.
Perminov, N.A., Zencov, V.N. & Perminov, A.N. 2013.
A comprehensive geotechnical support system for
underground space development projects. Proceedings
of the 13th ACUUS World Conference: Advances in
Underground Space Development: 276–286.
Ponomaryov, A.B., Kaloshina, S.V., Zakharov, A.V., Bez-
godov, M.A., Shenkman, R.I. & Zolotozubov, D.G.
2015. Results of geotechnical modelling of the influ-
ence of construction of the large foundation ditch on
the existing historical building. Japanese Geotechnical
Society Special Publication: the 15th Asian Regional
Conference on Soil Mechanics and Geotechnical Engi-
neering: Geotechnical Heritage. Part 2 (TC 301/ATC
19 Session) Vol. 78: 2676–2679.
The set of regulations, 2012. Structures of industrial enter-
prises CR 43.13330.2012. An updated version. Con-
struction Code 2.09.03–85. Moscow.
The set of regulations, 2016. Foundations of buildings
and structures CR 22.13330.2016. An updated version.
Construction Code 2.02.01–83. Moscow.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Geotechnical problems of transport construction and their solutions

T.M. Petrova & E.Yu. Chistyakov

Emperor Alexander I Saint Petersburg State Transport University, Saint Petersburg, Russia

ABSTRACT: For structures exposed to dynamic effects during operation, the ability of the material,
from which they are made, to resist them is important. Such structures include underground metro facili-
ties, road and airfield pavements, foundations of bridges and racks, etc. The article discusses the features
of high-strength cement-free alkali-activated slag concretes that allow them to be used for the manu-
facture of transport structures operating under difficult service conditions. High endurance of alkali-
activated slag concretes under dynamic impact is shown, due to the presence in its structure of a large
volume of low-base calcium hydrosilicates, which have an increased relaxation ability, higher than that
of concrete from Portland cement, greater strength in the contact area of alkali-activated slag stone and
filler, the increased number of gel and closed spherical pores that play the role of dampers in the structure
of concrete.

1 APPLIED RESEARCH MATERIALS of Emperor Alexander I Saint Petersburg State

For the manufacture of concrete, the following
materials were used: granulated blast-furnace slag
(Table 1), soluble sodium silicate with MS = 2.8
(GOST 13078), technical caustic soda (GOST
2263), Portland cement PC-D0 M500 (GOST
10178).
2 ISSUE FOLLOW-UP AND RESEARCH
RESULTS
Alkali-activated slag cement-free and unburned
binding concretes are relatively young compared
to Portland cement. The first period of their use
belongs to the 1960–70s and is associated with the
name of Professor Glukhovskoy and his school of
scientists (Glukhovskoy 1992, Krivenko 1992).
In the 21st century, these binders, which are an
alternative to Portland cement and are far supe-
rior to it in a number of indicators, are recognized
in many countries around the world (Puertas
et al. 2000, Neupane et al. 2018, Tulaganov 2015,
Bakharev et al. 2000, Bilim et al. 2013, Hossain
et al. 2006).
Since the beginning of the 1980s, the Depart-
ment of Building Materials and Technologies
Table 1. Chemical composition of blast-furnace slag.
SiO2 Al2O3 CaO MgO FeO MnO S Mo Ma
39.2 9.7 39.6 11.3 0.36 0.2 0.66 1.04 0.247
Transport University has been studying the struc-
ture and properties of alkali-activated slag con-
cretes for various objects of transport construction
(Petrova 1995).
This article presents the results of the studies
conducted in relation to metro facilities. However,
they can also be used for other structures operating
under dynamic action.
In concrete, as in any solid body, if a load is
applied to it, two different and interrelated proc-
esses are developed: deformation and destruction.
Structural heterogeneity of concrete at various
scale levels introduces complexity and ambiguity
into external macroscopic manifestations of these
processes. The ultimate destruction of concrete is
primarily a function of the load type. At the end of
the 19th and the beginning of the 20th centuries,
attention was paid to the phenomenon of concrete
strength reducing under the dynamic nature of
loading.
Further work on the study of endurance under
the dynamic effect developed and supplemented
the initial research. A great contribution to the
study of concrete endurance issues was made by
domestic and foreign scientists. Their research
expanded the field of knowledge about the quali-
tative picture of the behavior of concrete under the
cyclical effect of the load.
To date, there are several hypotheses of concrete
fatigue failure, which are conventionally divided
into three groups.
The first group of hypotheses is based on the
assumption that under the action of repeated loads
a gradual process of disintegration, “loosening” of

250
the structure occurs, resulting in the destruction
of concrete at lower stresses than in case of static
destruction.
The second group of hypotheses is based on
the assumption that the most stressed fibers of
the material become stronger under the impact of
repeated load, becoming more rigid, as a result
of which the stress concentration in these places
increases to values corresponding to the ultimate
strength. Therefore, microcracks occur in places
of stress concentration and, expanding, lead to the
destruction of the material.
The third group of hypotheses is intermediate and
allows both the “loosening” of the material structure
and its destruction due to an increase in stress con-
centration at fiber strengthening sites. Besides, the
nature of the phenomena depends on the material
properties, stress level and type of stress state.
It is known that in concrete, which is a mul-
ticomponent material, with different elasticity
moduli of the filler and cement stone, as well as
the presence of a large contact zone, after a certain
stress state is created, the applied load is redistrib-
uted. Regardless of the nature of the stress state in
concrete, a non-uniform field of true stresses and
deformations occurs with numerous foci of con-
centration. As a result, microvolumes of concrete
with a broken structure appear which contribute
to the formation and development of cracks. The
nature and speed of microcracks development
largely depend on the characteristics of the con-
crete structure. Concrete of optimal structure
should have the greatest endurance. In a number
of papers it is concluded that fatigue cracks can
develop much faster in a homogeneous material
than in a heterogeneous one. This pattern is also
valid for the static strength of concrete, but in the
latter case it is less pronounced. One of the rea-
sons for premature destruction of concrete under
dynamic impact is also microdeformation of the
material and the possibility of the “vibro-liquefac-
tion” effect of hardened concrete caused by desyn-
chronization of contacts on the dry friction surface
between the elements of its structure (Broek 1980).
Berg showed that it is microcracks, not plastic
deformations that cause changes in the strength
and stress-strain characteristics of concrete under
dynamic loads and a decrease in Young’s modulus.
The researcher supposes that the observed increase
in concrete strength can be explained by the for-
mation of microcracks, their interaction with each
other during dynamic impact, which reduces the
concentration of stresses in dangerous places.
Other scientists also make similar conclusions
regarding fragile materials (Berg at al. 1966, Hsu
et al. 1963, Wallah et al. 2004).
The endurance limit of the material under
dynamic impact is associated with the value of the
251
critical stress intensity factor KIc and the critical
crack length in the sample LK, which is expressed
in the formula:
Κ Ic
Ry = K v (1)
π LK
where Kv is the coefficient reflecting the influence
of the viscoplastic properties of concrete on the
physical fatigue limit.
The critical size of the microcrack zone is deter-
mined from the expression:
2
 Κ 
r = α ( m )  Ic  (2)
 δ 
where α(m) = (−ln0.5)−2/3; m is the distribution
parameter.
The critical size of the plastic deformation area
is:
2
1  Κ Ic 
r=   (3)
3π  δ 
The main works devoted to the study of the
issue of concrete fatigue under dynamic effects,
relate mostly to its behavior under the influence of
repeatedly applied compressive forces. There are
fewer works dedicated to the study of endurance
in case of bending and stretching, but it is known
that the rate of concrete destruction processes
under tension is higher than during compression
(Sakulich & Bentz 2013, Petrova et al. 2017).
The analysis of the data obtained by various
authors led to the following conclusions regard-
ing the test methodology. The concrete fatigue is
greatly influenced by the magnitude of tension
and loading cycle characteristics. With a decrease
in the loading rate, the concrete fatigue limit falls,
while the most noticeable drop in the fatigue limit
is observed in the load frequency range from 0
to 100 cycles/min and the least significant in the
frequency range from 100 to 450 cycles/min. Con-
crete fatigue limit increases with optimal concrete
structure. A break in the work of concrete (rest)
for up to three days does not significantly affect
the endurance limit. Concrete deformation modu-
lus under the influence of multiple repeated load
decreases; most of the deformations that occur
during the fatigue test are observed during the ini-
tial loading period.
The bend endurance tests of alkali-activated
slag concretes were carried out with a CDM-10PU
pulsator on samples of 10 × 10 × 40 cm in size, the
distance between the supports was 30 cm. The load-
ing rate equaled 750 cycles/min. The characteristic
of the cycle was ρ = 0.1. The number of test cycles
equaled 2 × 106 loading cycles.
The purpose of the test was to build regression
lines of endurance of alkali-activated slag con-
crete. Tests of samples of all series were carried
out sequentially at 5 levels of loading from 0.9 to
0.5 from Rdestr. The loading to the specified levels
was carried out continuously with a constant rate
of increase of stresses of 0.05 ± 0.02 MPa/s. After
this, a multiple repeated load of corresponding
intensity was created. At each level of loading, at
least six samples were tested, mixed with soluble
sodium silicate with alkaline component density
of 1200–1300 kg/m3. For comparison, samples of
concrete from Portland cement with the addition
of C-3 superplasticizer were tested. The results
of the strength tests of the samples are given in
Table 2, endurance tests – in Figures 1 and 2.
The analysis of the results showed that the rela- Figure 2. Relative endurance in case of bending of
tive endurance limit for alkali-activated slag con- alkali-activated slag concrete and concrete from Portland
cement.

Table 2. The results of the strength tests of the samples crete with this type of grouting fluid based on
of 10 × 10 ( 40 cm. 2 × 106 cycles is within 0.54–0.61. The decrease
in the relative limit of the bearing capacity with
Type and% Alkaline Strength, MPa
the decrease in the density of the alkaline compo-
of the additive component
Binder compared to density, With Stretching nent is noted, and its values for the composition,
type binder kg/m3 bending at cracking mixed with the alkaline component with the den-
sity of 1200 kg/m3, closely coincide with the rela-
AASC – 1300 6.7 4.6 tive endurance limit of the concrete from Portland
– 1250 7.05 4.02 cement.
– 1200 5.4 3.6 Comparison of the regression lines led to the
PC 0.6% C-3 – 6.9 4 conclusion that for structures operating under
low-cyclic loads—from 101 to 103 cycles (struc-
tures exposed to seismic loads), preference should
be given to concrete compositions mixed with
the alkaline component with density of 1200
kg/m3. For structures exposed to multicyclical and
super-multicyclical loads, i.e. loads in the range of
103–107 cycles (metro objects, airfield pavements,
bridge foundations, etc.) and in case of loads in the
range of 107–109, it is preferable to use the alkaline
component with density of 1250–1300 kg/m3.
The results obtained during testing samples
under dynamic exposure were confirmed by test-
ing of prestressed reinforced concrete structures.
They were tested at the age of 1 month and 3 years
with a CDM-200 pulsator with a loading rate of
324 cycles per minute. The results are presented in
Figure 3.
Our comparison of the criteria for the crack
resistance of high-strength alkali-activated slag
concretes and concretes from Portland cement
showed that the former have 1.3–1.7 times higher
value and allow a larger, not less than 1.8 times,
crack size at the same level of loading. This is due
to the increase in the zone of microplastic defor-
Figure 1. Regression lines as a result of endurance tests. mations at the mouth of a developing microcrack

252

1 – alkali-activated slag concrete (1 month)
2 – alkali-activated slag concrete (3 years)
3 – concrete from Portland cement, C-3 (1 month)
4 – concrete from Portland cement, C-3 (3 years)
Figure 3. Endurance of reinforced concrete structures.
due to the large amount of low-base calcium
hydrosilicates, which have an increased relaxation
capacity, higher strength in the contact area of
alkali-activated slag stone and filler, the presence
of the increased amount of gel and closed spheri-
cal pores, playing the role of dampers, absorbing
internal local stresses of high-strength structures
and enhancing the stress-strain properties of the
material.
The relaxation ability of low-base calcium
hydrosilicates becomes apparent when comparing
the elasticity moduli of cement stone formations:
for low-base C-S-H, the modulus of elasticity is
(5... 6) ⋅ 104 MPa, highly basic (8... 9) ⋅ 104 MPa,
and for Portlandite – 15 ⋅ 104 MPa. Thus, the
phases of new formations, which have 1.5–2.5
times greater elasticity modulus compared to
alkali-activated slag concrete, relax local stresses in
concrete from Portland cement. Interlayer water,
being in the C-S-H gel in a special oriented state,
has mobility, which creates the possibility of slid-
ing in it under the action of shear stresses. Gel-like
phases provide a mobile connection of crystallites
into an elastic spatial structure and allow for the
relaxation of internal stresses. The dissipation of
energy during the propagation of a crack in an
alkali-activated slag stone occurs by its redistribu-
tion along the boundaries of the junction of layers
of low-base hydrosilicates with an increase in the
microcrack zone.
3 CONCLUSIONS
1. The prospects of using alkali-activated slag
concretes, as alternatives to traditional concrets
from Portland cement, for the manufacture of
253
structures that are in use under dynamic impact,
such as metro facilities, are shown.
2. The results of endurance tests of alkali-
activated slag concrete using samples and pre-
stressed structures of factory-made sleepers are
presented.
3. The features of the structure of alkali-activated
slag concrete, giving it enhanced relaxation
properties, are noted.
REFERENCES
Bakharev, T., Sanjayan, J.G. & Cheng, Y.B. 2000. Effect of
admixtures on properties of alkali-activated slag con-
crete. Cement and Concrete Research 30(9): 1367–1374.
Berg, O.Ya., Pisanko, G.N. & Khromets, Yu.N. 1966.
The study of the physical process of concrete destruc-
tion under the action of static and repetitive load. The
Works of ZNIIS 60. Moscow.
Bilim, C., Karahan, O., Atis, C.D. & Ilkentapar, S. 2013.
Influence of admixtures on the properties of alkali-
activated slag mortars subjected to different curing con-
ditions. Materials & Design 44: 540–547.
Broek, D. 1980. Fundamentals of Fracture Mechanics.
Moscow: High School.
Glukhovsky, V.D. 1992. Selected Works. Kiev: Budivelnik.
Hossain, A.B. & Weiss, J. 2006. The role of specimen
geometry and boundary conditions on stress develop-
ment and cracking in the restrained ring test. Cement
and Concrete Research 36: 189–199.
Hsu, T.T.C., Slate, F.O., Sturman, G.M. & Winter, G.
1963. Microcracking of plain concrete and the shape
of the stress strain curve. J. Amer. Concr. Inst. 2, Proc.
60: 209–224.
Krivenko, P.V. 1992. Special alkali-activated slag cements.
Kiev: Budivelnik.
Neupane, K., Chalmers, D. & Kidd, P. 2018. High-strength
geopolymer concrete: properties, advantages and chal-
lenges. Advances in Materials Science PG 7: 15–25.
Petrova, T.M. 1995. Alkali-activated slag concretes. Rus-
sian Architectural and Construction Encyclopedia. Min-
stroy of Russia. Moscow: VNIINTPI, Vol.1: 203–206.
Petrova, T., Chistyakov, E. & Sorvacheva, Yu. 2017.
Assessment of the operational safety of roads and
transport structure with use of the fraction mechanics
methods. Transportation Research Procedia. Vol. 20:
505–510.
Puertas, F. et al. 2000. Alkali-activated fly ash/slag cement:
strength behavior and hydration products. Cement and
Concrete Research 30(10): 1625–1632.
Sakulich, A.R. & Bentz, D.P. 2013. Mitigation of autoge-
nous shrinkage in alkali-activated slag mortars by inter-
nal curing. Materials and Structures 46: 1355–1367.
Tulaganov, A.A. 2015. Fundamentals of unburned alka-
line binders and concretes. Tashkent: Navruz.
Wallah, S.E., Hardjito, D., Sumajouw, D.M.J. & Rangan,
B.V. 2004. Geopolymer concrete: a key for better long-
term performance and durability. Paper presented at
the ICFRC International Conference on Fibre Compos-
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Chennai, India.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Operating peculiarities of reinforced concrete structures in intense cold

and freeze-thaw temperature

M.G. Plyusnin
State Academy of Agricultural Sciences in Kostroma, Kostroma, Russia

V.I. Morozov & V.M. Popov

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: The article deals with the performance of a two-storey, rigid-joined double frame exposed
to different operational conditions. The performance calculation made use of LORA-SAPR software,
taking into account the geometrical and physical nonlinearity. Changes were analyzed in distribution of
forces in the elements of the double frame during exposure to single freezing and alternate freezing and
thawing. Evidence is presented of the effect the single freezing and the alternate freezing and thawing have
on the distribution of forces in a statically redundant frame, causing its elements to displace.

1 INTRODUCTION Reinforcement of beams: span As = 3500 mm2,

A/s = 400 mm2; supports As = 3000 mm2,
The climate of the High North areas is described A/s = 2000 mm2.
by low temperatures in winter season, lengthy peri- Figure 1 shows four load cases. For the purpose
ods of intense cold, wide diurnal temperature vari- of step-by-step analysis, load was applied to the
ation between low temperatures and temperatures frame sequentially in each of the four load cases.
above 0°C, and permafrost. In winter season, the The strength, initial modulus of elasticity and
air temperature may do down to as low as –50°C, ultimate stains εb0 and εb2 were determined for
even –60°C. The temperature range may be as wide B30 grade concrete according to (Building Code
as 100°C throughout the year. Frozen for the first 63.13330.2012). The same parameters were meas-
time, concrete receives higher strength and initial ured in conditions of initial freezing and alternate
modulus of elasticity (Pinus 1982, Lee et al. 1988,
Huang 1989, Popov & Chernykh 2003, Krstulovic-
Opara 2007, Building Code 52-105-2009, Popov
et al 2014). However, the cycles of freezing and
thawing cause them to decrease, largely raising the
ultimate strain εb0 and εb2 in concrete (Pinus 1982,
Popov et al. 2003, Building Code 52-105-2009, Slu-
sare & Miera 2008, Popov et al 2014, Popov 2014).
Our analysis targeted the effect the strength and
deformation properties have on the attachment
joints and distribution of forces in concrete, stati-
cally redundant structures.

2 THEORETICAL BASIS AND

EXPERIMENTAL METHODS

The structure under analysis is a two-storey,

rigid double frame with center-to-center distance
between columns of 6 m, storey height of 5 m, col-
umn section of 400 × 400 mm, and bean section
of 250 × 600 mm. The grade of concrete was B30.
Reinforcement of columns: As = A/s = 500 mm2.
Figure 1. Frame load cases: load case 1 imitates own
weight of frame; load case 2 imitates the weight of over-
lying structures; load case 3 imitates temporary load; and
load case 4 imitates load from wind pressure.

254
freezing and thawing—according to (Building 3 RESULTS AND DISCUSSION
Code 52-105-2009). The performance of the con-
crete is given in Table 1. Column 2 shows the per- The diagrams of bending moment, longitudinal
formance in standard environment (SE), i.e. under forces, and displacement along Z and X are shown
regular temperature and humidity at positive tem- in Figures 3…6. During the initial freezing (IF), the
perature. Column 2 shows the performance in ini- change in σ – ε diagram lowers the ceiling values of
tial freezing condition (IF). Column 2 shows the displacement, bending moment, and longitudinal
performance after exposure to alternate freezing forces, whereas under AFT these ceiling values
and thawing (AFT).
The deformation curve of concrete was assumed
nonrectilinear, from Sarzhin formula (Sargin
1968).
Figure 2 shows how the deformation curve
transforms under various operational conditions.
The strength analysis of the plane reinforced-
concrete frame—under standard environment
(SE), initial freezing (IF), and alternate freezing
and thawing (AFT) – made use of LIRA SAPR
software. Allowances were made during the mod-
elling process for physical and geometrical nonlin-
earity. A total of three deformation curves were
plotted (Fig. 1). The first curve is the initial state
of concrete prior to exposure to cycles of freezing
and thawing (SE); the second curve is the concrete
exposed to the initial freezing (IF); and the third
curve is the state of concrete after exposure to
alternate freezing and thawing (AFT). No allow-
ance was made for tensioning of concrete, as it
does not cause any significant effect on its bearing
capacity.

Table 1. Performance of B30 grade.

Operational
conditions SE IF AFT

1 2 3 4
Rb, MPa 17.0 32.3 11.9
Eb, MPa 32500 48750 8553
εb0 × 103 2.0 2.8 4.0
εb2 × 103 3.5 4.7 6.0

Figure 3. Bending moment diagrams (My) under SE –

Figure 2. Concrete deformation curve. top figure, IF – middle figure, and AFT – bottom figure.

255

Figure 4. Longitudinal forces diagrams (N) under SE –
top figure, IF – middle figure, and AFT – bottom figure.
tend to increase. Most critical effect is produced by
the change in σ – ε diagram, under alternate freez-
ing and thawing conditions, on structural displace-
ment (24% along axis Z, and 57% along axis X),
while the longitudinal force changes only slightly.
The forces are maximum at beam-column joints
and in the bearing member of the middle column.
It should be noted, however, that exposed to a
different distribution of load, the effect of alter-
256
Figure 5. Displacements along axis Z under SE – top
figure, IF – middle figure, and AFT – bottom figure.
nate freezing and thawing on the stressed-deformed
state will be different from the one obtained as a
result of the present modelling. But, in any event,
it will be the structural displacement that will be
affected by the change in σ – ε diagram, under
alternate freezing and thawing conditions, most
critically. The resultant model does not account
of the fact that in real-life conditions the alternate
freezing and thawing conditions affect a structure
which is already loaded.
 Figure 7. Stress and deformation experienced by nor-
mal section of the bearing member of the middle column
under SE – top figure, IF – middle figure, and AFT –
bottom figure.

Table 2. Results of analysis of the forces experienced by

Figure 6. Displacements along axis X under SE – top the bearing member of the middle column.
figure, IF – middle figure, and AFT – bottom figure.
Operational conditions SE IF AFT

Figure 7 is the diagrams of stress and deforma- Section of the bearing member of the middle column
tion in the normal section of the bearing member M, kH.m 136.63 150.26 120.27
of the middle column. In frozen state, the com- 100% 110.0% 88.0%
pression area diminishes in height as compared to N, kH –926.95 922.87 –935.22
normal conditions (SE), the maximum forces in 100% 99.6% 100.9%
concrete amounting to 75% of the design strength Q, kH –30.25 –30.41 –27.8
(see middle diagram in Figure 7). Exposed to alter- 100% 100.5% 91.9%
nate freezing and thawing (AFT), the height of the Displacement along 65.90 49.23 101.45
compression area increases in concrete by 23% as X in the top right- 100% 74.7 153.9%
compared to normal conditions (SE). In conditions hand joint of
frame, mm
of temporary freezing and thawing, any transfor-

257
Table 3. Forces experienced by the most heavily loaded
beam.
Operational conditions SE IF AFT
Most heavily loaded beam (central right-hand beam)
M, kN.m 212.46 208.51 213.53
100% 98.1% 100.5%
N, kN 1.77 0.33 3.08
100% 18.6% 174.0%
Q, kN 13.6 14.89 12.77
100% 109.5% 93.9
Displacement along –38.10 –34.66 –47.10
axis Z, mm 100% 91.0% 123.6%
mation in the concrete deformation diagram causes
an increase in the effect of reinforcement on the
carrying capacity of ferroconcrete structure.
Table 2 shows the results of our analysis of the
forces experienced by the bearing member of the
middle column. The forces experienced by the
most heavily loaded beam are presented in Table 3.
4 CONCLUSIONS
Depending of the operational conditions, the stati-
cally redundant, plane, ferroconcrete frame may
experience different patterns of force distribution
in its elements.
Least effect from operational conditions is
experienced by the longitudinal forces in columns
(a 0.4% decrease under initial freezing and a 0.9%
increase under alternate freezing and thawing) and
by the bending moment in beams (a 1.9% decrease
under IF and a 0.5% increase under AFT).
In the section of the bearing member of the
middle column, the bending moment increased
10% under IF and decreased 12% under AFT.
The transverse force in beam had increased 9.5%
under IF and decreased 6.1% under AFT.
In the section of the bearing member of the
middle column, the transverse force had decreased
8.1% under AFT.
Under IF, a 90% increase in concrete strength
compensates the 10% increase in the longitudinal
force in the column and the 9.5% increase in the
transverse force in the beam.
Most manifest is the effect of AFT on the dis-
placement in structural components: the increase
in the deflection of the most heavily beam is meas-
ured 23.6%, and the displacement along x in the
top right-hand joint of the frame – 53.9%.
Thus, any change in strength and deformation
performance of concrete, which is induced by
258
operational conditions, affects displacement rather
than forces occurring in the elements of the stati-
cally redundant, plane, ferroconcrete frame.
REFERENCES
Building Code 52-105-2009. Ferroconcrete Structures in
Cold Climate and Permafrost Soils. M., 2009. P.32.
Building Code 63.13330.2012. Concrete and Ferrocon-
crete Structures. General. Updated Code 52-01-2003.
M., 2015. P.163.
Huang, X.P., Chang, K.C., Shih, T.S., Lee, G.C. 1989.
Analytical Models of Local Concrete – Steel Bond at
Low Temperature. Journal of Cold Regions Engineer-
ing/Volume 3 Issue 4 – December 1989.
Jan Slusarec, Patrycja Miera. 2008. The analysis of frost
resistance of selected modified concretes. Architecture
civil engineering environment. The Silesian University
of Technology. No. 3. pp. 87–92.
Krstulovic-Opara N. 2007. Liquefied natural gas storage:
Material behavior of concrete at cryogenic tempera-
tures. ACI Mater J 2007;104(3): 297–306.
Lee, G.C., Shih, T.S., Chang, K.C. 1988. Mechanical
Properties of Concrete at Low Temperature. Journal of
Cold Regions Engineering/Volume 2 Issue 1 – March
1988.
Pinus, B.I. & Semenov, V.V. 1982. The Strength Proper-
ties of Concrete Exposed to Freeze-Thawing Cycles/
Concrete and Ferroconcrete: The Challenges of Con-
struction Engineering in the Far East. Khabarovsk. pp.
101–106.
Popov, V.M. & Chernykh, I.V. 2003. Modification of
Behavior of Deeply Frozen Concrete/Design and
Engineering of Transport Works in Republic of Sakha
(Yakutia): Proceedings of Research-to-Practice Con-
ference, Yakutsk, 2–5 April 2003.
Popov, V.M., Chernykh, I.V. & Pinus, B.I. 2003. The influ-
ence of freezing on the bearing capacity of bending
ferroconcrete members. Current Research Challenges.
Engineering Sciences. Parts 18–20. Architecture. Con-
struction. Transport. Proceedings of the 4th Interna-
tional Conference of Beginner Researchers. Samara. pp.
56–58.
Popov, V.N. & Plyusnin, M.G. 2014. The Analysis of
Bearing Capacity of Ferroconcrete Structures in Natu-
rally Cold Environments // Journal of Civil Engineers.
Iss 2 (43). P. 42–47.
Popov, V.N., Gerfanova, O.A. & Morozov, V.I. 2014.
Durability of Ferroconcrete Structures/Concrete and
Ferroconcrete: Perspectives. In: Proceedings of the
3rd All-Russian (2nd International) Concrete and Fer-
roconcrete Conference. Vol.3. Reinforcement Systems.
Fiber-Reinforced Concrete and Ferrocement. Durability.
Moscow: MGSU. pp. 356–366.
Sargin, M. 1968. Stress-Strain Relationship for Concrete
and the Analysis of Structural Concrete Sections. Uni-
versity of Waterloo, Ontario, Canada, PhD thesis,
March 1968, p. 334.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Analytical method for calculating the bearing capacity of injection piles

in clayey soil

A.I. Polishchuk & A.A. Petukhov

I.T. Trubilin State Agrarian University in Kuban, Krasnodar, Russia

R.V. Shalginov
Tomsk State University of Architecture and Civil Engineering, Tomsk, Russia

ABSTRACT: The paper presents the results of the study into the analytical method for calculating
the bearing capacity of injection piles Fd in clayey grounds. The method considers the physical processes
occurring underneath the bottom end of the injector whilst pressing-in, as well as around the pile shaft
as it becomes expanded under the pressure of the concrete mixture. The method applies to injection and
Raymond regulated injection piles installed in clayey soils of various structure. It has been found that for
clayey soils of high plasticity, the discrepancy between the calculations of the bearing capacity of injec-
tion piles Fd obtained experimentally and using the suggested method, does not exceed 20%–30%.

1 CONCEPTUAL BASIS

Currently, more and more reconstruction projects

are using 3–5 m long and 0.3–0.4 m diameter injec-
tion piles as underpinning. Injection piles are defined
as the piles which are formed in pre-built wells by
injecting pressurized, flowing concrete, followed
by pressure testing of the “pile-to-ground founda-
tion”. Developed by Tomsk State University of
Architecture and Civil Engineering, the technology
for driving injection piles into clayey soils had been
tested during 2003–2009 (Polishchuk & Petukhov,
Bogomolov 2002). According to this technology,
the first to be pressed into the ground to the tar-
get depth is the injector (perforated pile) (Fig. 1a).
The resulting shaft receives the pile by pressuriz-
ing (via the injector) of flowing concrete, during
which the well gets filled to expand in radial direc-
tion (Fig. 1b). The shaft of the pile is formed with
the use of the so-called “devices for high-pressure
injection”, developed by the R&D institute of JSC
“UralNIIAS” (V.V. Lushnikov, V.A. Bogomolov,
Yekaterinburg 2000). These devices allow for inject- Figure 1. Injection piling scheme: a – pressing in
ing the cement (cement-sand) grout into poorly per- of injector; b – formation of pile shaft by injecting of
meable clays under the pressure of 1–2 MPa without pressurized, flowing concrete: R = design strength of
causing hydraulic fracturing of the pile shaft walls. soil underneath the bottom end of the injection pile;
The injection does not spread indiscriminately within f = design strength of soil along the lateral side of the
injection pile at depth i.
the soil body. Instead, it settles in the area injected,
in the form of a cylindrical body (Polishchuk 2018).
During the period from 2003 to 2015, the authors Lapshin 1979). Promising is the method that con-
of this article came up with a series of methods siders the physical processes occurring underneath
to calculate the bearing capacity of injection piles the bottom end of the injector whilst pressing-in, as
Fd, that rely on experimental and theoretical data well as around the pile shaft as it becomes expanded
(Bakholdin 1985, Bakholdin 1986, Lapidus 1972, under the pressure of the concrete mixture (Lapidus

259
1972). The method is introduced with the depend-
ence between the shaft expansion (a ratio between
shaft radius r0 and pile radius rpile, i.e. r0/rpile) and the
bearing capacity of injection pile Fd. The method for
calculating Fd is rather labour-consuming. Yet, the
use of certain assumptions when introducing inter-
mediate formulas makes this method convenient for
engineering analysis.
The suggested method relies on the commonly
recognized principle of splitting the bearing
capacity of injection pile Fd into two components
(Fig. 1b) – the bearing capacity due to the resist-
Figure 2. Design scheme for calculating R.
ance of soil under bottom end R, and the bearing
capacity due to the resistance of soil along the lat-
eral side of shaft f:

Fd = Fbe + Flat = RA + ∑u ⋅ f ⋅ h ,
i i i (1)

where F = bearing capacity of pile due to the

resistance of soil under bottom end; Flat = bearing
capacity of pile due to the resistance of soil along
the lateral side of shaft; R is design resistance of
soil underneath the bottom end of the injection
pile; A = cross-section area of the bottom end of
the injection pile; ui = outer diameter of the cross-
section area of the injection pile at depth i; fi = design
resistance of soil along the lateral side of the injec-
tion pile at depth i; and hi = height of section i of the
lateral side of the injection pile at depth i.

Figure 3. Design scheme: Limit equilibrium zones

2 CALCULATION OF PARAMETER R under the bottom end of the injection pile.

To determine parameter R, let us use the Bakhol-
din (Gibson 1961, Palmer 1972) and Lapidus-
Lapshin (Randolth & Carter 1979, Carter &
Yeung 1985) methods for calculating the final
settlement of driven piles. According to these
methods, the final settlement of driven piles is cal-
culated according to:
S = Sc + Sdist + Sbe ,
where Sc = compressive deformation of pile shaft;
Sdist = distortion settlement at which the resistance of
soil along the lateral side of pile exhausts completely;
and Sbe = s settlement of the bottom end of pile.
Since our focus is the dependence between pile
settlement S and external load N, for the pur-
pose of further research exclude from formula (2)
Sc and Sdist.
At its bottom end, the injection pile has radius
rpile = rbe (Fig. 2). Let us indicate the depth of bot-
tom end of pile as Lbe (length of the pile shaft that
contacts the soil). The pile is driven by vertical
indenting load N. At Lbe, the pile will communi-
cate to the soil, through its bottom end, the evenly
distributed pressure pbe (pressure at the bottom
end of pile). Exposed to pbe, the bottom end of
pile displaces vertically by Sbe = S. Let us correlate
the cylindrical coordinate system and the axis of
symmetry of pile, axis z of the coordinate system
directed vertically downwards.
Let us assume that as the pile becomes loaded,
zones of limit equilibrium are formed in the soil
(2) underneath its bottom end. Let us assume that the
zones of limit equilibrium have linear contours
and assign them letters A, B and C (Fig. 3). Zones
A and B represent two bodies formed as a result
of the rotation around axis z of two isoscales tri-
angles. The hypotenuse of one triangle coincides
with the side of the other one. The slip line angle
in zones A and B is assumed, according to B.V.
Bakholdin (Gibson 1961, Palmer 1972), to equal
π/4 + ϕ/2. The upper border of zone A is limited by
the horizontal plane that coincides with the surface
of the flat disk on the injector tip. The mechanism
of displacing the soil from underneath the bottom
end of the injection pile—from zone B into zone
C, when loaded—is assumed to occur on analogy
with axially symmetrical expansion in the cylindri-

260
cal cavity of initial radius rbe, as is stated by L.S. By introducing (4) into formula (3) and following
Lapidus and F.K. Lapshin (Randolth & Carter a set of uncomplicated re-expressions, we obtain:
1979, Carter & Yeung 1985).
The radial expansion of the cylindrical cavity pbe  π ϕ c  π ϕ
occurs under axially symmetrical, horizontal pres- phor = ⋅ tg 2  −  − ⋅ tg  −  . (5)
4  4 2 2  4 2
sure phor, which is found based on the interaction
among limit equilibrium zones A and B (Fig. 4).
From (5), we find pbe
After projecting all of acting forces onto hori-
zontal and vertical axes, and joint solving of B.V.
4 phor 2A
Bakholdin equations, we arrived at the following pbe = + (6)
equation (Gibson 1961, Palmer 1972):  π ϕ   π ϕ
tg 2  −  tg  − 
 4 2  4 2
π rbe2  π ϕ 
phor = ⋅  pbe ⋅ tg  −  − 2c  (3) Let us assume that the estimated resistance of
z0 ⋅ 2π rbe   4 2   soil under the bottom end of injection pile R corre-
sponds to pressure pbe, at which horizontal pressure
where rbe is radius of pile shaft near the bottom end phor equals lateral reaction pressure p0 in zone C.
of pile, m; pbe is pressure at the level of bottom end Then, for homogenious clayey ground with Pois-
of pile, kPa; ϕ is angle of internal friction of soil, son’s ratio ν and specific weight γ:
degree; c is specific cohesion of soil, kPa; and z0 is
determined for reasons of geometry according to ν
formula: p0 = γ s ⋅ Lbe ⋅ , (7)
1−ν
2rbe  π ϕ
z0 = . (4) 4 p0 + 2c ⋅ tg  − 
π ϕ  4 2
tg  −  R = pbe = . (8)
 4 2  π ϕ
tg 2  − 
 4 2

3 DETERMINATION OF F

Parameter f is determined on the basis of Mohr-

Coulomb’s strength condition and the specific
cohesion of compacted soil ccomp that occurs within
the area where the wall of the injection pile con-
tacts the layer abutting its lateral surface. We will
refer to this layer as “the wall-adjacent layer”.
Its thickness is found experimentally and equals
(0.3…0.4) d (where d is diameter of pile shaft). We
propose the following expression to be used for
determining parameter f:

f = psq ⋅ tg ϕ + ccomp , (9)

where psq is radial squeezing pressure on pile from

Figure 4. Scheme representing the application of inter-
nal forces to limit equilibrium zones A and B: T1, T2 – total
back pressure of soil; Φ1, Φ2 – total soil cohesion forces.
soil, kPa; ϕ is angle of internal friction in the wall-
adjacent layer, degrees.
The experimental analyses conducted by A.A.
Petukhov in 2003–2005 found that after the injec-
tion piles are installed, the angle of internal fric-
tion ϕ in the wall-adjacent layer increases only
insignificantly, while the specific cohesion ccomp
in the wall-adjacent layer increases 21%–38%
(Bakholdin 1986). So, the assumption was
made that in the wall-adjacent layer ϕ remains
unchanged, and that ccomp increases 30% relative to
soils of natural arrangement. The relative squeez-

261
ing pressure on pile shaft from soil psq is deter-
mined based on the following (Fig. 5):
1. Applied to the shaft of the injection pile whilst
forming the shaft itself, the axially symmetri-
cal, horizontal pressure of injection pinj causes
the wall to expand radially horizontally. As the
wall expands, the wall-adjacent layer sustains
stress—radial σr and tangental σθ, and the injec-
tion pressure pinj reaches its critical level called
critical pressure pcr.
The critical pressure p on the wall of the
expanding shaft is what causes elastic strain to
enter the stage of plastic deformation (Yu &
Houlsby 1991).
2. The occurrence of the squeezing pressure psq
results from two pressures, one being the injec-
tion pressure pinj occurring at elastic deformation
stage, and the other horizontal, gravity-induced
pressure of soil p0.
3. Assuming that the radius of the expandable
shaft equals one (rpile = 1), the following condi-
tions on the surface of the pile wall will be true:
psq = σ r = pcr + p0 . (10)
Pcr results from the analytical solution of the
problem of expansion received by cylindrical shaft
in elastoplastic soil medium, first proposed by V.G.
Fedorovsky in 1972 [13] and later improved by V.V.
Lushnikov over (1987–1991) (Yu & Houlsby 1991)
as part of his elastoplastic model of differentially
moduled, hardening soil medium. This soil model
is non-linear and is a helpful tool for producing
analytical descriptions of elastoplastic, physically
anisotropic deformation of soil. It allows also to
consider the increase in strength properties when
loaded. The model has been tested and is used by
Figure 5. Design scheme for calculating squeezing pres-
sure psq.
262
the authors and other experts when solving prob-
lems on soil mechanics, performing pressuremeter
tests on soils, and evaluating the performance of
injection piles and anchors. (Polishchuk 2018).
Generally, the model uses seven independent
parameters. Five of them (c, ϕ, E, γ, ν) are stand-
ard, commonly recognized mechanical-and-phys-
ical properties of soil. The remaining two (ϕ0, λ)
are auxiliary and should be calculated using special
methods (Yu & Houlsby 1991). At ϕ0 = ϕ and λ = 1,
the model corresponds to that of normal elasto-
plastic, non-hardening, isotropic soil medium.
In the solution by V.V. Lushnikov, pcr was calcu-
lated according to formula [12]:
−2 ⋅ ( p0 ⋅ sinϕ + c ⋅ cosϕ )
pcr = , (11)
( w + 2 ) ⋅ sinϕ + w
where w is parameter varying between −1.65 and
−2 and depending on ν and λ. For isotropic soil
medium, w = −2 (Yu & Houlsby 1991).
Then:
−2 ⋅ ( p0 ⋅ sinϕ + c ⋅ cosϕ )
psq = pcr + p0 = + p0 . (12)
( w + 2 ) ⋅ sinϕ + w
The advantage of formula (12) is that it builds
on both of the above described approaches to
calculating the radial squeezing pressure on pile from
soil, which occurs as a result of pile shaft expansion
(first term in formula (12) for calculating pcr) and
active soil pressure (addend in formula (12) for cal-
culating p0). Also, formula (12) considers the increase
in critical pressure pcr due to the increase in specific
cohesion ccomp as the soil becomes compacted.
After substitution of expressions (10)–(12) in
equation (9), the formula for calculating f takes the
form of:
 −2 ⋅ ( p0 ⋅ sinϕ + c ⋅ cosϕ ) 
f =  + p0  tg ϕ + Ccomp (13)
 ( w + 2 ) ⋅ sinϕ + w 
Thus, as a result of our studies, we arrived at the
analytical method for calculating the bearing capac-
ity Fd of 3.0–5.0 m long and 0.3–0.4 m diameter
injection piles installed in clayey soils to support
the foundations of buildings under reconstruction.
4 EXAMPLE OF CALCULATING THE
BEATING CAPACITY OF PILE
It is required to calculate the bearing capacity Fd of
injection pile to be installed in clayey soil as reinform-
cent of a shallow foundation of the building under
reconstruction; and to benchmark the outcomes of
calculation against those obtained experimentally.
 Background data. The site investigation took 1. Let us split the length of the pile shaft into sec-
place and the mechanical-and-physical properties tions of equal mean diameter of the cross sec-
of soil were obtained (Table 1). The foundation is tion and the foundation soil so that their length
going to be reinforced by injection pile of grade does not exceed 2.0 m. In our case, we obtain
-5 (IP-5) (Bakholdin 1985). The geometrical four sections (see Fig. 6).
parameters and the settlement of the pile into the 2. Let us calculate the Poisson’s ratios for each of
geological section are given in Figure 6. The pile the soils based on their texture [10, 14].
to be installed will penetrate three layers of soil—
plastic clay loam (ESE-2); highly plastic clay loam ν ESE − 2 = 0.1⋅ ( 1 + 3 ⋅ I L ) = 0.1⋅ ( 1 + 3 ⋅ 0.73 ) = 0.32.
(ESE-2a); and flowing clay loam (ESE-2b). The ν ESE − 2 a = 0.1⋅ ( 1 + 3 ⋅ I L ) = 0.1⋅ ( 1 + 3 ⋅ 1) = 0.4.
experimentally obtained [5] bearing capacity of ν ESE − 2 b = 0.1⋅ ( 1 + 3 ⋅ I L ) = 0.1⋅ ( 1 + 3 ⋅ 1.09 ) = 0.427.
-5 (IP-5) injection pile Fd equals, for the con-
struction site in question, Fd = 280 kN.
3. Let us use formula (7) to calculate gravity-
Solution. It is proposed that the calculation of
induced, horizontal pressure of soil p0.
the bearing capacity of injection pile Fd follows the
For depth between 0 m and 1.5 m, h1 = 1.5 m
sequence below:
ν ESE − 2
p0( 1) = γ ESE − 2 ⋅ h1 ⋅ =
Table 1. Mechanical-and-physical properties of soil. 1− ν ESE − 2
0.32
Standard values = 17 ⋅ 1.5 ⋅ = 12 kPa.
Engineering-
1− 0.32
stratigraphic e, Il,
element ρ, g/ unit unit c, ϕ, E, In similar manner, let us calculate values for
(ESE) cm3 fraction fraction kPa degree MPa depth of 2.7 m, 3.7 m and 5.0 m: p0(2) = 21.6
kPa; p0(3) = 33.1 kPa; p0(4) = 45.8 kPa.
ESE-2: 1.7 1.08 0.73 13.3 15 3 4. Let us calculate specific cohesion ccomp in wall-
plastic adjacent layer of soil. Considering the 30%
clay loam increase in ccomp in wall-adjacent layer [6], we
ESE-2a: 1.72 1.11 1.0 15.0 14 3.3 obtain:
highly For ESE-2
plastic
clay loam
ccomp = 1.3⋅ cESE − 2 = 1.3⋅ 13.3 = 17.3 kPa;
ESE-2b: 1.71 1.13 1.09 13.3 14 3.3
flowing For ESE-2a
clay loam
ESE-3: 1.96 0.75 0.2 32 20 14 ccomp = 1.3⋅ cESE − 2 a = 1.3⋅ 15 = 19.5 kPa;
semi-solid
clay loam For ESE-2b

ccomp = 1.3⋅ cESE − 2 b = 1.3⋅ 13.3 = 17.3 kPa.

5. Let us use formula (11) to calculate critical

pressure pcr, assuming that for the (isotropic)
medium in question [13] λ = 1 and w = −2.
For depth between 0 m and 1.5 m:

−2 ⋅ ( p0 ⋅ sin ϕ + c ⋅ cos ϕ )
pcr( 1) = =
( w + 2 ) ⋅ sinϕ + w
−2 ⋅ ( 12 ⋅ sin150 + 13, 3⋅ cos 150 )
= =
( −2 + 2 ) ⋅ sin150 − 2
= 15, 95 kPa.

In similar manner, let us obtain values for

depths of 2.7 m, 3.7 m and 5.0 m: pcr(2) = 18.45
kPa; pcr(3) = 22.6 kPa; pcr(4) = 24 kPa.
6. Let us use formula (10) to calculate radial
Figure 6. The geometrical parameters and the settle- squeezing pressure on pile from soil psq
ment of the pile into the geological section. .

263
 For depth between 0 m and 1.5 m:
psq( 1) = p0( 1) + pcr( 1) = 12 + 15.95 = 28 kPa.
In similar manner. let us obtain values for depths of
2.7 m. 3.7 m and 5.0 m: psq(2) = 40.1 kPa; psq(3) =
55.7 kPa; psq(4) = 70 kPa.
7. Let us use formula (9) to calculate soil resistance
along lateral wall f.
For depth between 0 m and 1.5 m:
f1 = σ rsq ⋅ tg ϕ + ccomp = 28 ⋅ tg 150 + 17.3 = 24.8 kPa
In similar manner, let us calculate the values for
depth of 2.7 m, 3.7 m and 5.0 m: f2 = 28 kPa;
f3 = 33,4 kPa; f4 = 34,8 kPa.
8. Let us calculate the bearing capacity of pile
Flat conditional on soil resistance along lateral
surface:
4
Flat = ∑ f ⋅ h ⋅ u = 24.8⋅ 1.5⋅ 0.59 + 28⋅ 1.2 ⋅ 0.53 +
i=1
i i i Carter, J.P. & Yeung, S.K. 1985. Analysis of cylindrical
+ 33.4 ⋅ 1.0 ⋅ 1.68 + 34.8⋅ 1.3⋅ 2.04 = 21.95 +
+ 17.8 + 56.1 + 92.3 = 188.2 kN
9. Let us use formula (8) to calculate the soil resist-
ance underneath the bottom end of pile:
4 p0( 4 ) 2c 4 ⋅ 45, 8
R= + =
 π ϕ  π ϕ  180 0 14 0 
tg 2  −  tg  −  tg 2 
 4 2  4 2  4
2 ⋅ 13, 3
+ = 300.3 + 34.1 = 334.4 kPa
 180 0 14 0 
tg  − 
 4 2 
10. Let us use formula (1) to calculate the bearing
capacity of pile
Fd = Flat + RA = 188.2 + 334.4 ⋅ 0.33 = 299 kN
11. The comparison of data obtained experimen-
tally and by calculating shows that the calcu-
lated value of the bearing capacity of −5
(IP-5) grade, i.e. Fd = 299 kN, exceeds the exper-
imentally obtained value (Fd = 280 kN) by 7%.
5 CONCLUSIONS
1. The analytical method is developed for calcu-
lating the bearing capacity of injection piles
Fd, that considers the physical processes occur-
ring underneath the bottom end of the injector
whilst pressing-in, as well as around the pile
shaft as it becomes expanded under the pressure
of the concrete mixture. The method applies to
injection and Raymond regulated injection piles
installed in clayey soils of various structure.
2. It has been found that for clayey soils of high
plasticity, the discrepancy between the calcula-
tions of the bearing capacity of injection piles
Fd obtained experimentally and using the sug-
gested method, does not exceed 20%–30%.
REFERENCES
Bakholdin, B.V. 1985. Pile settlement calculation with
account of limit equilibrium zones. Numerical meth-
ods for soil mechanics problems and foundation engi-
neering in geologically complex conditions. NIIOSP
Proceedings. 84. Moscow. pp. 3–11.
Bakholdin, B.V. 1986. Theoretical and experimental sur-
veys of soil-pile interaction as the basis for practical cal-
culation methods. DSc (Eng.) dissertation: 05.23.02.
Moscow, NIIOSP.
Bogomolov, V.A. 2002. High-Pressure Injection of Cohe-
sive Material as a Method of Foundation Reinforce-
ment. DSc (Eng.) dissertation: 05.23.02. Perm: PSTU.
cavity expansion in a strain weakening material. Com-
puters and Geotechnics, 1. P. 161–180.
Fedorovsky, B.G. 1972. On Expansion of Cylindrical
Wells in Elastoplastic Environments. Foundations and
Soil Mechanics. 2. pp. 28–30.
Gibson, R.E. & Anderson, W.F. 1961. In-situ measure-
ment of soil properties with the pressuremeter. Civ.
Engng Pub. Wks Rev., 56. P. 615–618.
Lapidus, L.S & Lapshin, F.K. 1972. Deformation-Based
Single Pile Design Calculation. Construction and
− 
2  Architecture. 11. Novosibirsk. pp. 51–54.
Lapshin, F.K. 1979. Limit state-based calculations of pile
designs. Saratov: Saratov University Publishing.
Lushnikov, V.V. 1991. Advancing the Pressure Meter Test
of Earth Soils: DCs (Eng.) diss. abstract: 05.23.02.
Leningrad: LISI.
Palmer, A.C. 1972. Undrained plane strain expansion of a
cylindrical cavity in clays. Geotechnique, 22. P. 451–457.
Polishchuk, A.I. & Petukhov, A.A. 2007. Injection
Piles as Reinforcement of Reconstruction Projects
in Tomsk. Proceedings of Theoretical and Practical
Issues of Geoengineering. Saint Petersburg: SPbGASU
Publishing. pp. 162–171.
Polishchuk, A.I., Petukhov, A.A., Shalginov, R.V. &
Tarasov, A.A. 2018. Injection Pile Bearing Capacity
Calculation Methods for Reconstruction Projects on
Clayey Soils. P.A. Lyashenko 70th anniversary proceed-
ings. Krasnodar: KubGAU Publishing. pp. 94–104.
Randolph, M.F., Carter, J.P. & Wroth, C.P. 1979. Driven
piles in clay—the effects of installation and subse-
quent consolidation. Geotechnique, 29. P. 361–393.
Yu, H.S. & Houlsby, G.T. 1991. Finite cavity expansion
in dilatant soils: loading analysis. Geotechnique, 41.
P. 173–183.
Yurik, J.V. & Rozenfeld, Y.V. Considering the Texture of
Clayey Soils in Calculations of Deformation Modulus
Based on Compression Test Data. Foundations. Pro-
ceedings Vol.8. Kiev: .
264
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Influence of stiffness of separating wall between foundations

of closely-spaced buildings on their settlements

A.I. Polishchuk & A.S. Mezhakov

Kuban State Agrarian University, Krasnodar, Russia

ABSTRACT: The article describes numerical studies on the influence of stiffness of a separating wall
between closely-spaced buildings on their settlements. Finite element calculations are performed in the
Plaxis 2D software package for various designs of the separating wall. An assessment of the obtained results
is made.

1 INTRODUCTION 2 INITIAL DATA

To reduce additional settlements of founda- To determine additional settlements of the foun-

tions in operated buildings, caused by new
adjacent construction, several methods were
developed that are currently widely used in erec-
tion of buildings and structures. Those methods
include: installation of separating walls with
piles of various design, construction of mono-
lithic reinforced concrete walls of “slurry wall”
type, cantilevering of newly erected adjacent
buildings, preventive strengthening of founda-
tions in buildings being reconstructed, operated,
etc.
Behavior of separating walls between the
foundations of closely-spaced buildings was
addressed by numerous authors (Fellenius
2019, Il’ichev & Mangushev 2016, Petrukhin et al.
2008, Shashkin & Bogov 2012, Simagin et al. 2010,
Ulitskii et al. 2010 and others). Those studies indi-
cate that additional settlements of the foundations
in buildings operated are affected by properties of
base soil, pressure from new adjacent construc-
tion, distance between buildings considered and
other parameters. However, the influence of stiff-
ness EI of a separating wall between closely-spaced
buildings on additional settlements of the founda-
tions in a building operated for a long time has
not been studied sufficiently (Razvodovsky et al.
2008, Vinnikov & Vedenisov 2015). Therefore, the
purpose of the study is to estimate the influence
of bending stiffness EI in the embedded separat-
ing wall of various design between closely-spaced
buildings on settlements of the foundations in a
building operated for a long time in homogeneous
clay soils.
dations in an operated building, affected by new
adjacent construction, numerical studies of their
behavior were performed using the PLAXIS 2D
software package. The PLAXIS 2D software pack-
age is designed for calculation of the stress-strain
state of base soils and stability of geotechnical
facilities of various purpose using the finite ele-
ment method in conditions of a plane problem in
silty clay and other dispersive soils.
The software package takes into account vari-
ous aspects of building structures’ operation and
processes (stages) of constructing buildings and
structures, using theoretically-based computational
. methods. It includes various tools to visualize
results of calculating and designing operation of
foundations and separating walls (contact pressure
diagrams, isofields of stresses and displacements in
foundations, curves of building settlements, etc.).
Soil conditions of a construction site are rep-
resented by homogeneous clay soils. High-plastic
loam with layer thickness of 30 m serves as a bear-
ing layer of the foundation base under closely
spaced buildings.
The article addresses operation of raft foun-
dations in two adjacent buildings located at the
distance of 6.0 m from each other. One of the
buildings (the existing one) with the bottom
width b1 = 10 m has been in operation for more
than 15 years. Another building (the new one)
with the bottom width b2 = 10 m is planned to
be erected in the near future. The bottom pres-
sure p1 of the operated (existing) building and
the bottom pressure p2 of the new building are

265
equal: p1 = p2 = 150 kPa. The depth d of the raft
foundations in both buildings is 1.2 m. A separat-
ing wall to the depth of 16.2 m from the surface
will be installed between the buildings (Fig. 1).
The design of the separating wall will be cho-
sen according to the conditions of its efficient
operation in soil (Paramonov 2012, Polischuk &
Mezhakov 2016, 2017).
To model behavior of the foundations in the build-
ing operated for a long time and the new adjacent
building in clay soil, the Hardening Soil model was
used, characteristics of which are given in Table 1.

3 MODELING BEHAVIOR OF A
SEPARATING WALL

To assess behavior of a separating wall in homoge-

neous clay soil, six options were considered:
1 – without installation of a separating wall
(option 1);
Figure 1. An analytical model to estimate the influence 2 – a separating wall of CFA piles with the distance
of the separating wall on settlements of the foundations of 0.9 m between them (option 2);
in the operated building: 1 – foundation of the operated 3 – a monolithic concrete separating wall with
building; 2 – foundation of the new (adjacent) building; the thickness of 0.3 m, constructed using the
3 – separating wall; b1, b2 – bottom widths of the founda- “slurry wall” method (option 3);
tions in the buildings under consideration, d – depth of 4 – a separating wall of Larssen-5 sheet piles
the foundations in the buildings under consideration; p1,
p2 – foundation bottom pressures, N1, N2 – loads on the
(option 4);
foundations). 5 – a separating wall of two rows of CFA piles (dis-
tance between rows – 0.9 m, distance between
piles – 0.9 m) (option 5);
6 – a separating wall of two rows of CFA piles (dis-
Table 1. Characteristics of Hardening Soil model tance between rows – 1.5 m, distance between
(for clay soils) for numerical studies of foundations’
operation.
piles – 0.9 m) (option 6).
In those options, the following length and diam-
Soil characteristics Designation Value Units eter of CFA piles were chosen: the length L = 15 m
from the foundations’ bottom, the diameter of the
Unit weight of γunsat 17.1 kN/m3
undisturbed soil pile shaft dpile = 0.3 m.
Unit weight of γsat 18.2 kN/m3 The bending stiffness EI of the separating wall of
water-saturated various forms in plan view was determined as fol-
soil lows (Mangushev & Sapin 2015, Vlasov et al. 2014):
Porosity factor e 0.64 – 1. First, the averaged deformation modulus for
Dependency ratio m 0.8 – soil and piles shall be determined:
between the
foundation
stiffness and the
E pile × Apile + E soil × Asoil
Ew = (1)
effective stresses A
in soil
Secant modulus of E50 10,000 kPa where Ew – averaged deformation modulus for
deformation the separating wall, MPa;
(50% limit stress) Epile, Apile – deformation modulus for the CFA
Modulus of elasticity Eur 30,000 kPa pile and its area, MPa and m2, respectively;
(unloading/
Esoil, Asoil – deformation modulus of soil around
reloading ratio)
of soil the pile and its area, MPa and m2, respectively;
Poisson’s ratio υur 0.2 – A – total area limited by the grillage of the
(unloading/ separating wall, m2.
reloading) 2. Second, the moment of inertia for the wall (per
Specific cohesion c 12.0 kPa linear meter) as a composite section shall be
of soil determined:
Internal friction ϕ 18 degrees
angle of soil J = J pile + J soil (2)

266
 J pile = J y + Apile × a 2 (3)

where J – moment of inertia for the separating

wall, m4;
Jpile, Apile – moment of inertia and area of the
CFA pile, m4 and m2, respectively;
Jsoil – moment of inertia for soil limited by the
area of the grillage with account for the area of
the CFA piles deducted, m4;
Jy – moment of inertia relative to the center
of gravity of the pile cross section, m4
A – distance from the center of the pile section
to the axis of symmetry of the separating wall, m. Figure 2. Additional vertical displacements of soil in
the base of the foundation slab with no separating wall
Numerical models for the considered designs of
(option 1).
the separating wall were formed using the PLAXIS
2D software package. Settlements of the founda-
tions in the operated building were calculated in
several stages (Sabzi & Fakher 2012, Sun et al.
2008):
Stage 1. Calculation of stresses at the base of the
foundations, caused by the self-weight of
soil to a depth of 30 m.
Stage 2. Reduction of permanent deformations
in the base, caused by stresses from the
action of the self-weight of soil, to zero.
Stage 3. Modeling behavior of the foundation in
the operated building without account for
the influence of adjacent construction.
Stage 4. Modeling construction of the separating Figure 3. Additional vertical displacements of soil in
wall (without account for deformations the base of the foundation slab, with the separating wall
from its self-weight). of CFA piles in two rows (option 6).
Stage 5. Modeling behavior of the foundation in
the new adjacent building at the stage-
by-stage (step-by-step) application of the According to an analysis of the obtained results
bottom pressure p = 50 kPa. (Table 2, Fig. 4), increments of settlements ∆S
Stage 6. Modeling behavior of the foundation in decrease with an increase of bending stiffness EI.
the operated building, affected by new For instance, the separating wall of Larssen-5 sheet
(adjacent) construction. piles has such bending stiffness (152.9 MN*m), at
According to results of the numerical studies, which additional settlements reduce by 30–40%
data on distribution of stresses and displacements compared to option 1 when the separating wall is
(settlements) at the base of the raft foundations absent.
in the buildings, with and without account for Thus, it can be concluded that bending stiffness
the installation of the separating wall of various EI affects the development of additional settle-
design, were obtained (Figs. 2–3). ments ∆S of the foundations in a building oper-
Data on settlement increments were summa- ated in homogeneous clay soils. In this case, the
rized for each option under consideration. Aver- most rational way to reduce additional settlements
age calculated values of additional foundation ∆S of the foundations in a building operated is the
settlements in the building operated for a long use of a reinforced concrete separating wall of two
time were recorded at different bending stiffnesses rows of CFA piles.
of the separating wall, as well as in its absence For reinforced concrete separating walls, the
(Table 2). most rational option is option 6 with the two-row
According to results of the numerical studies, a arrangement of CFA piles, at which the greatest
dependence between additional settlements ∆S of bending stiffness EI = 804 Mn*m is achieved, and
the foundations in the operated building and bend- increments of settlements ∆S reduce by 50–55%
ing stiffness EI of the separating wall was obtained compared to option 1 when the separating wall is
(Fig. 4). absent.

267
Table 2. Data on additional settlements of the foundations in the operated building, affected by adjacent construction.

Average additional settlements of the raft

foundation (mm) in the operated (existing)
building at the bottom pressure p (kPa)
from the adjacent foundation
Wall bending
50 100 150 stiffness EI, per
linear meter
Options under consideration kPa kPa kPa MN*m

No separating wall (option 1) 22 31.2 50.1 0

Separating wall of CFA piles 18.5 28.5 39.5 39.7
with the distance of 0.9 m
between them (option 2)
Monolithic concrete separating 14.6 24 36 67.5
wall with the thickness of 0.3 m
(option 3)
Separating wall of Larssen-5 sheet 13 23.5 33.5 152.9
piles (option 4)
Separating wall of two rows of 13 22 30.2 560
CFA piles (distance between
rows – 0.9 m, distance between
piles – 0.9 m) (option 5)
Separating wall of two rows of 12.5 21.4 28.6 804
CFA piles (distance between
rows – 0.9 m, distance between
piles – 0.9 m) (option 6)

2. It was revealed that the most rational design

3. It was found that stiffness EI of the separating
Figure 4. Dependence between bending stiffness EI and
additional settlements ∆S of the foundations in closely-
spaced buildings.
of the separating wall between the raft founda-
tions of closely-spaced buildings with the bot-
tom pressure p equal to 150 kPa was installation
of two rows of CFA piles (length – about 15 m,
diameter – 0.3–0.35 m, distance between piles –
0.9 m, distance between rows – 0.9–1.5 m).
wall between the foundations of closely-spaced
buildings could be used to select its design and
perform a preliminary assessment of additional
settlements of the foundations in closely-spaced
buildings.

4 CONCLUSION
1. According to the results of the numerical studies
in the Plaxis 2D software package, the depend-
ence between bending stiffness EI of the sepa-
rating wall between closely-spaced buildings
and development of additional settlements ∆S
of the foundations in a building operated for a
long time was obtained. It was established that
the additional settlement of the foundation in
a building operated for a long time, affected by
new (adjacent) construction, in homogeneous
clay soils, with no separating wall could reach
50 mm and more, and that installation of a sep-
arating wall would reduce it by about 50%.
REFERENCES
Fellenius, B.H. 2019. Basics of foundation design. Fel-
lenius.net, http://www.fellenius.net/papers/391%20
Red%20Book.pdf.
Il’ichev, V.A. & Mangushev, R.A. (eds.) 2016. Geotech-
nical engineer’s reference book. Bases, foundations and
underground structures. Moscow: ASV.
Mangushev, R.A. & Sapin, D.A. 2015. Accounting
of influence of “slurry wall” rigidity on settlement
of neighboring buildings. Zhilishchnoe Stroitel’stvo
9: 3–7.
Paramonov, V.N. 2012. Finite element method in solution
of nonlinear geotechnical problems. Saint Petersburg:
Georekonstruktsiya.
Petrukhin, V.P., Shulyatyev, O.A. & Mozgacheva, O.A.
2008. The device is an underground structure for the

268
 construction of buildings dense urban areas. Patent
RU79302U1.
Polischuk, A.I. & Mezhakov, A.S. 2016. Geotechnical
barrier and its impact on foundation settlement of
adjacent buildings. PNRPU Construction and Archi-
tecture Bulletin 7 (4): 133–142.
Polischuk, A.I. & Mezhakov, A.S. 2017. Modeling of
geotechnical barrier in weak clay soils arranged to
protect existing buildings from impact of new con-
struction. Polythematic Online Scientific Journal of
Kuban State Agrarian University 131 (07): 1556–1570.
Razvodovsky, D.E., Shulyatyev, O.A. & Nikiforova, N.S.
2008. Assessment of the influence of new construc-
tion and measures to protect existing buildings and
structures. In: Basin, E.V. (ed.), Russian Encyclope-
dia of Architecture and Civil Engineering. Volume 12.
Construction of Underground Structures, 230–239.
Moscow: VNIINTPI.
Sabzi, Z., Fakher, A. 2012. The effect of confining stress
on the analysis of excavations with adjacent existing
building. 2nd International Conference on Geotechnique,
Construction Materials and Environment, Malaysia,
Kuala-Lumpur, November 14–16, 2012, 162–166.
Shashkin, A.G. & Bogov, S.G. 2012. Approbation of dia-
phragm wall technology under geological engineering
269
conditions of St. Petersburg. Industrial and Civil Engi-
neering 11: 20–22.
Simagin, V.G. 2010. Engineering and construction of foun-
dations near existing structures and under conditions of
dense development. Moscow: ASV.
Sun, K.G., Li, S., Li, S., Zhang, Q., Liu, X., Zhang, X.
2008. Simulation and prediction research of enclosure
structure deformation for an open-cut metro station.
Chinese Journal of Rock Mechanics and Engineering
27 (S1): 3210–3215.
Ulitskii, V.M., Shashkin, A.G. & Shashkin, K.G.
2010. Geotechnical support of urban redevelopment.
Saint Petersburg: Stroyizdat Severo-Zapad,
Georekonstruktsiya.
Vinnikov, Yu.L. & Vedenisov, A.V. 2015. Model research
of the soil-cement separating shields efficiently for
protection existing constructions from new building.
PNRPU Construction and Architecture Bulletin 1:
51–63.
Vlasov, A.N., Volkov-Bogorodsky, D.B., Znamenskij,
V.V. & Mnushkin, M.G. 2014. Numerical simulation
of construction of buildings with deep foundations in
dense urban. PNRPU Construction and Architecture
Bulletin 2: 170–179.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Parameters determining differences between geometric and

mechanical properties of spiral elements in rope, affecting
development of emergency situations

S.V. Polyakov & A.E. Pushkarev

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: During the proposed rope design, expressions to calculate the acceptable values for changes
in geometric parameters and mechanical properties of spiral elements and the waviness angle of a steel rope,
depending on its torsion, bending, and ultimate strength of the wire material, affecting development of emer-
gency situations, are determined. The obtained expressions allow determining the acceptable value of the wavi-
ness radius, allowing further safe use of a rope, as well as parameters of trouble-free operation of a construction.
Recommendations made on the basis of the expressions determining the acceptable values of the rope waviness
radius will improve safety of construction involving a strand anchor system. The obtained expressions to deter-
mine the acceptable values of the waviness radius upon deformation nonlinearity are more efficient than calcula-
tions performed using the linear theory of rope design, which will allow for more accurate design of ropes in a
strand anchor system, affecting, in its turn, operational reliability of a strand anchor construction. The obtained
expressions will also have an impact on prevention of emergency situations involving such constructions.

1 INTRODUCTION where ρ0 – initial curvature of the rope axis; θ –

total value of rope torsion caused by operational
Strand anchors represent one of the types of soil factors; Rw0 – waviness radius, occurring during
anchors. The major advantage of strand anchors rope manufacturing; Px – external load, β – lay
is their increased load-bearing capacity. Plain steel angle of the rope; Rr – rope radius.
ropes are used as a reinforcing element. Several
(3–5) ropes form a strand: in the embedded end
of the anchor, ropes are laid in such a way so that 1 − μ1A2
A12 23 14 − 1A3
A14 34
expansion would form in increments of 1.5–2 m. Δ1 = ( A2233 )2 A34 A
Expansion is achieved by splicing each rope in a A222 − μ1 A224 − μ1 3 223
A113 A113
special element—spacer, and perforation in an
injection tube, using which repeated grout injec- A111 − μ1A13 A14 μ1A223
tion (grout batch feeding) is carried out. Δ2 = A
The basic dependences of the linear theory for A12
1 μ1A23 A24 μ1 223
A113
rope design, obtained with account for changes
in geometric parameters and mechanical proper- A11
1 μ A
1 13 A 12 μ 1A223
ties of spiral elements, are geometric equilibrium Δ3 = ( A223 )2
equations for internal force factors arising in a spi- 1 − μ1A2
A12 3 A2
23 22 − μ1
A113
ral element of a rope under external loading, and (2)
equations describing physical properties of rope m⎛ A3 A223 ⎞
m
( A224 − μ1 34
elements (Aleksandrov 1979). 1 − 1 334 ) 2 ⎜
14 ⎝ A113 ⎟⎠
It is known that the equation determining rope 2
waviness parameters is as follows in linear formu- Δ = A111 − μ1A113 A121 μ1A223
lation (Ksyunin et al. 1986): A12 − μ A ( A )2
1 1 223
A222 − 223
1 Δ3 A113
+ PR
ρ0 Δ x w 0 m⎛ ( A )2 ⎞
Rw = (1) A444 − μ1 334 ⎟
⎛ 1 Δ3 ⎞
2 ⎜
2⎝ A113 ⎠
⎜⎝ ρ + Δ Px Rw 0 ⎟⎠ + A14 μ1A334
0 1

⎛ sin β β Δ2 ⎞
2
A3 A223
±θ+ Px Rw 0 ⎟ A224 − μ1 34
⎜⎝ Rr Δ ⎠ A113

270
where m – the number of spiral elements in each The obtained expressions (Polyakov 2006) allow
layer of the rope; μ1 – rope contraction coef- determining the acceptable values for changes in
ficient; A11, A12, A14, A22, A23, A24, A34, A44 – geometric parameters and mechanical proper-
aggregate stiffness coefficients. ties of spiral elements and the waviness angle of
Let us accept εr = 0. Then, after mathematical the steel rope, depending on its torsion, bending,
transformations, we will receive an equation deter- and ultimate strength of the wire material. Those
mining changes in geometrical parameters and parameters are the main ones affecting develop-
mechanical properties of spiral elements in a rope ment of emergency situations.
in nonlinear formulation: During use of steel ropes, changes in geometric
parameters and mechanical properties of strands
⎛ (wires) are detected; while the rope axis takes the
1 ⎞
⎜ A14 ε A24 Δθ + ( A mg ) + ⎟ form of a spiral (Abdullah et al. 2016).
⎜ ρ ⎟ Let us write down rope strength conditions with
1⎜
A411 ε 2 A412 ΔεΔθ + A422 Δθ 2 + ⎟ account for changes in geometric parameters and
2⎜ ⎟ mechanical properties of spiral elements under
⎜ 1 1 ⎛ 1⎞ ⎟
2 (3)
load (Terebov et al. 2016):
1 Δε
⎜ + A414 4 Δθ + A4444 ⎜ ⎟ ⎟
⎝ ρ 424
ρ ⎝ ρ⎠ ⎠
Rwn = (7)
Aε Cθ + A111ε + A12εθ A22θ 2
2

where σt.l – tensile stress in the wire, caused by ten-

where εr – transverse deformation; Δε, Δθ, 1/p – sion and torsion due to the action of the tensile
additional longitudinal, torsional, and bending force, determined by equations by Khalfin (1988);
deformation of the rope; g0 – bending stiffness Δσt.l – additional tensile stress in the wire of the steel
of the strand; A411, A412, A422, A414, A424, A444 – rope showing changes in geometric parameters and
aggregate stiffness coefficients of the double-lay mechanical properties of spiral elements, obtained
rope, obtained by the authors. using the linear theory of rope design (Khalfin 2005);
The bending moment can be written as follows: σ – ultimate strength of the wire; z – strength factor.
The strength factor and the acceptable waviness
radius for the double-lay rope, according to studies
. σ T δ 2 Δδ )2 + (
( .5 )2 performed by Khalfin (2005), are determined by
∑
n T
Mz = (4)
( )
2
i=1
+ TR
Rr the following equation:
σ
z=
B

where Δδ – wire diameter tolerance; ΔT – range of ⎛ ⎞

⎜ ⎡ ⎟
) + ⎤⎥
wire technological tension. Δ1
⎜ ⎢
( − ⎟
It is known that the waviness angle, according ⎜ Δ
E cos α 2
β⎢ ⎥ +⎟
to Khalfin et al. (1993), is equal to the following: ⎜ ⎢ rk sin 3 β cos β ⎥ ⎟
⎜ tggα ( + ) ⎟
⎢⎣ ⎥⎦
2π Rw σ + P
⎜ Rr R r
⎟
γ = (5) t l
⎜ ⎡ sin β β+ ⎤ ⎟
Hr ⎜ Δ2 ⎢ ⎥ ⎟
⎜ + Rr
⎢ rk ⎛ sin 3 β β ⎞ ⎥ + ⎟
Δ tgα 4
β− ⎟⎠ ⎥
where Hr – lay pitch of the outer layer of the rope. ⎜ ⎢⎣ Rr ⎝ Rr ⎦ ⎟
⎜ ⎟
Taking into account changes in geometric ⎜ Δ3 ⎟
Rr cos 2 β
parameters and mechanical properties of spiral ⎝ Δ ⎠
elements, and substituting equation (3) in equation
(8)
(5), we will obtain an expression for the waviness
angle in a nonlinear form: R ≤
w

σ
−σ
γ =
B

n t.l

z
⎛ ⎛ ⎞ ⎞ ⎧ ⎡ )+ ⎤ ⎫
Δ
(
24 θ + ( )ρ+ ⎟
1 −
ε
1

⎜ ⎜ A14 1 − ⎟ ⎪ ⎢ Δ ⎥ ⎪
⎜ ⎜ ⎟ ⎟ ⎪ E cos α 2
β⎢ ⎥ + ⎪
⎜ 1 ⎜ A ε 2 + A ΔεΔθ ⎟ β co
c sβ
⎟ ⎪ ⎢ ⎥ ⎪
3
r sin
422 θ +
2 tgα ( 1 + μ )
⎪ ⎪
k

2π ⎜ 2 ⎜ ⎟ ⎟ ⎢⎣ ⎥⎦
4
411 412
px ⎨ R R
⎬
⎜ ⎜ ⎛ 1⎞ ⎟
2
⎟
r r

⎜ ⎜ + A4414 Δε
1 1
⎟ ⎪ ⎡ ⎤ ⎪
4 Δθ + A4444 ⎜ ⎟ ⎟ sin β cos β +
⎜ ⎝ ρ 424
ρ ⎝ ρ⎠ ⎠ ⎟ ⎪ Δ ⎢ ⎥ Δ ⎪
⎪+ ⎛ β cos β ⎞ + β⎪
2 3 2
R r sin 3
R cos
⎜ ⎟ r
⎢ tgα cos β − ⎥ r

⎪⎩ Δ Δ
k

⎪⎭
4

⎝ Aε θ + A111ε + A12εθ + A22θ 2

2
⎠ ⎣ R r
⎝ R r
⎠ ⎦
Hr (6) (9)
271
 Due to the fact that changes in the lay angles of
spiral elements of the rope during its deformation
are taken into account, the rope strength condi-
tions, with account for changes in geometric param-
eters and mechanical properties of spiral elements,
through the use of nonlinear equations will take the
following form:
(10)
where σt.n – tensile stress in the wire, caused by ten-
sion and torsion due to the action of the tensile
force, determined by equations by Khalfin (2005);
∆σt.n – additional tensile stress in the wire of the steel
rope showing changes in geometric parameters and
mechanical properties of spiral elements, obtained
using nonlinear equations (Polyakov 2006).
The strength factor for the double-lay rope, in
general terms, is determined as follows:
Figure 1. Flow chart of subprogram to study the influ-
ence of the strength factor of the most loaded strand
on changes in geometric parameters and mechanical
properties of strands, using the nonlinear theory of rope
design.
272
(11)
To study the influence of the strength factor of the
most loaded strand on geometrical parameters and
mechanical properties of strands, a double-lay rope
(according to State Standard GOST 7669-80) with a
diameter of 42 mm was selected (Gaedicke et al. 2016).
The theoretical study was carried out using
nonlinear equations with the aid of an IBM PC
computer and MathCAD software, according to
an algorithm developed and presented in Figure 1.
According to Figures 2–3, the linear theory of
design for small strength factors (2–3) and identi-
cal rope characteristics shows excessive values of
the waviness radius, taking into account changes in
geometric parameters and mechanical properties
of strands, compared to the nonlinear theory of
design, and this is mainly true for the outer layer of
the rope strands (Costello 1997). Due to unequal
loading of the double-lay rope layers at the same
strength factor, the smallest change in geomet-
ric parameters and mechanical properties of the
strands is observed in the central strand of the core
and the maximum change is observed in the rope
strand, which corresponds to theoretical and exper-
imental studies conducted earlier (Aleksandrov
1979, 13. Glushko 1966, 14. Khalfin 1990,
Ksyunin et al. 1986, Malinovsky & Sharina 1977,
16. Khalfin & Polyakov 2006).
It was established that the main factor affecting
development of changes in geometric parameters
and mechanical properties of spiral elements in
a rope was unevenness of technological tension.
Figure 2. Influence of the strength factor of the metal
core central strand on changes in its geometric param-
eters and mechanical properties of strands.

Figure 3. Influence of the strength factor of the metal
core strand on changes in its geometric parameters and
mechanical properties of strands.
Figure 4. Influence of the strength factor of the rope
strand on changes in its geometric parameters and
mechanical properties of strands.
The influence of wire loading upon rope tension
was studied with account for changes in geometri-
cal parameters and mechanical properties of spiral
elements.
It was found that core wires were the most
loaded upon rope tension (Khalaf & Huang 2016,
Shakya & Kodur 2016).
273
REFERENCES
Abdullah, A.B.M., Rice, J.A., Brenkus, N.R., Hamilton,
H.R. & Bhatia, R. 2016. A thermal analysis of flexible
filler injection for unbonded post-tensioning tendons.
Construction and Building Materials 126: 599–608.
Aleksandrov, M.P. 1979. Carrying and lifting machines.
Moscow: Vysshaya Shkola.
Costello, G.A. 1997. Theory of wire rope. Second edition.
New York: Springer-Verlag.
Gaedicke, C., Huynh, K.C.T., Torres, A. & Marines, A.
2016. A method to correlate splitting tensile strength
and compressive strength of pervious concrete cylin-
ders and cores. Construction and Building Materials
125: 271–278.
Glushko, M.F. 1966. Steel hoisting ropes. Kiev: Tekhnika.
Khalaf, J. & Huang, Z. 2016. Analysis of the bond behav-
iour between prestressed strands and concrete in fire.
Construction and Building Materials 128: 12–23.
Khalfin, M.N. 1988. Design of a mine hoisting rope with
account for differences in physical and mechanical
properties of its spiral elements. In: Krapivin, M.G.
(ed.), Cleaning and tunneling machines and tools, 122–
126. Novocherkassk: Novocherkassk Polytechnical
Institute.
Khalfin, M.N. 1990. Concerning calculation of the
strength factor for mine hoisting ropes with a metal
core having a corkscrew defect. News of the Higher
Institutions. Mining Journal 10: 52–60.
Khalfin, M.N. 2005. Design of steel ropes with a view
to distinguish between geometric parameters and
mechanical properties of wires. University News.
North-Caucasian Region. Technical Sciences Series.
Special Issue: 5–13.
Khalfin, M.N. & Polyakov, S.V. 2006. Equation of stat-
ics for a double-lay rope with account for differences
in geometric parameters and mechanical properties
of wires. News of Tula State University. Lifting and
Transport Machinery and Equipment 7: 60–71.
Khalfin, M.N., Ivanov, B.F. & Korotky, A.A. 1993.
Design and operation of crane ropes. Novocherkassk:
Novocherkassk State Technical University.
Ksyunin, G.P., Ryzhikov, V.A. & Khalfin, M.N. 1986.
Determination of parameters for laying of rope ele-
ments with uneven technological tension. Novocher-
kassk: Novocherkassk Polytechnical Institute.
Malinovsky, V.A. & Sharina, L.I. 1977. Design of a
long-lay rope with account for deformation non-
linearity. In: Strength and durability of steel ropes,
31–37. Odessa: Odessa Higher Engineering Sea
School.
Polyakov, S.V. 2006. Equation of nonlinear statics for a
double-lay rope with account for waviness. In: New
motion control technologies for technical objects. Pro-
ceedings of the 8th International Scientific and Tech-
nical Conference, December 14, 2005, Novocherkassk,
6: 83–88. Rostov on Don: North-Caucasian Scientific
Centre of Higher School.
Shakya, A.M. & Kodur, V.K.R. 2016. Effect of tem-
perature on the mechanical properties of low relaxa-
tion seven-wire prestressing strand. Construction and
Building Materials 124: 74–84.
Terebov, D.N., Mysov, D.S. & Zorin, D.V. 2016. Ropes of
lifting devices and machines. Innovatsionnaya Nauka
4: 167–170.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Rationale for method of settlement calculation for multiple blade helical

piles in clayey ground

A.I. Polishchuk & F.A. Maximov

I.T. Trubilin State Agrarian University in Kuban, Krasnodar, Russia

N.S. Nikitina
National Research University of Civil Engineering in Moscow, Moscow, Russia

ABSTRACT: Based on the results of the experimental and theoretical studies, an engineering method
is developed for calculating the final settlement of single, multiple blade helical pile in clayey ground. It
has been found that once the pile is screwed into the ground, the sections between its blades assume the
form of a “ground cylinder” that joins together with the shaft to interact with the surrounding ground.
In our method for calculating the pile settlement, the action of the lateral surface of the pile (the first
phase of loading) and of the bottom tip (the second phase of loading) is analyzed separately. At the first
phase of loading, the shear deformation around the “ground cylinder” causes the settlement to be of
linear dependence, and the settlement is determined based on the results of lab analysis of clayey ground
in direct shear apparatus. At the second phase of loading, the pile settlement, influenced by the action of
the bottom blade in clayey ground, is of non-linear dependence and determined using Malyshev-Nikitina
method (1982). Benchmarked against the results of numerical modeling of multiple blade helical piles’
performance in the clayey grounds of semisolid to semifluid texture, the results of calculation have shown
that the proposed method has the accuracy high enough for it to be used for engineering calculations of
settlement.

1 INTRODUCTION conditions) and to enhance their performance

Authors of previous theoretical and experimental
studies have found that the recommended spac-
ing between blades on the pile shaft should be not
more than 2.0–2.5 diameters of the blade (Polish-
chuk & Maximov 2017, Rao 1991, Zhang 1999,
Hoyt 1989). Once the pile is driven, this spacing
allows the clayey ground between the blades to take
the form of a “ground cylinder” that joins together
with the shaft to form a single piece. Based on the
obtained data, we developed a method for calculat-
ing the final settlement of single, two-blade pile S,
which relies on patented pile structural design (Pat.
139824 Russian Federation 02 D 5/56)
and the non-linear relation between pile settlement
and external load N. The proposed method applies
to two-blade metal piles with maximum length of
3 m, blade diameter of 0.3–0.4 m, and maximum
shaft diameter of 0.108 m for supporting the foun-
dations of quickly erectable structures or tempo-
rary buildings on clayey grounds. (Polishchuk &
Maximov 2017).
To increase the application range of the two-
blade piles in question (with regard to length,
load on foundations, types of buildings, ground
in clayey grounds, the authors suggest that they
receive not two, but three or four blades to work
as multiple blade, helical piles. Such piles have
recently come into wide use in overseas countries
(Almita Piling Inc., A.B. Chance Company, Man-
gushev 2010). In Russia, multiple blade helical
piles have proved efficient in petroleum industry
and, particularly, construction of sites with verti-
cal compressive load (racks, gas pipeline supports,
storage facilities, etc.) (Mangushev 2010). Used
as supports for foundations of quickly erectable
structures, multiple blade helical piles allow to
achieve required bearing capacity and higher speed
of site preparation. However, the settlement of the
multiple blade helical piles supporting the foun-
dations of quickly erectable structures remains
underexplored. This fact highlights the relevance
of our study.
Using the length between blades L ≤ 2,0⋅D (D –
diameter of blade), obtained experimentally for
two-blade screw piles (Pat. 139824 Russian Fed-
eration 02 D 5/56), let us assume that
the interaction pattern between the three-blade
(multiple blade) helical pile and the clayey founda-
tion soil is the one shown in Figure 1. For better

274
performance of the multiple blade helical pile, analysis does not differ greatly from the one for
let us note that height h between the upper blade two-blade pile and clayey foundation soil, which
and the land surface is h ≥ 4D. The pattern under allows for using the assumptions made for calcula-
tion of the settlement of two-blade pile.

2 PROBLEM-SOLVING APPROACH

According to (Polishchuk & Maximov 2017),

when external load N is applied to a three-blade
helical pile, its settlement curve S shows two dis-
tinct sections (Fig. 2). One section (the first phase
of loading) is described by evenly spread (linear)
increase in settlement S, which terminates at set-
tlement S1 when a “shear” occurs along the lateral
surface of the “ground cylinder”. S1 forms mainly
due to shear deformation along the lateral side
of the “ground cylinder” and is called the distor-
tion settlement. When S1 is reached, i.e. when the
resistance of soil along the lateral surface of the
“ground cylinder” is fully used, the second phase
of loading starts, during which the bottom blade
of the three-blade pile fully releases its potential
and S = f(N) is nonlinear.
Under the design load N (N1 < N < N2), the final
settlement of three-blade pile S (Fig. 2) equals the
sum total of S1 and ∆S [1]:

S = S1 + ∆S = S1 + S1 ⋅ ξ (1)

Figure 1. Interaction pattern between three-blade

helical pile and clayey ground: 1 – clayey ground; 2,3,6 –
upper, lower, and middle blades, respectively; 4 – lateral
surface of the “ground cylinder” (external outline); Figure 2. Loading diagram for a three-blade helical pile
5 – helical pile shaft; L – length between blades; N – external in clayey ground: N1 – external load at termination of the
embedding load on pile, kN; f – soil resistance force (fric- linear relation in the pile settlement graph, kN; N2 - exter-
tion) along the lateral surface of the “ground cylinder”, nal load when the foundation of the three-blade helical
kPa; R – soil resistance under the lower blade, ; pile has fully used its bearing capacity and when collapse
D – diameter of blade, m; and h – height between the settlement is reached, kN; ∆ N – load increment on three-
upper blade and the land surface, m. blade helical pile between N1 and N2, kN.

275
where S1 = the pile settlement formed during the Instead of parameter G, the authors of this
first phase of loading (distortion settlement) due paper suggest shear deformation γ be determined,
to the displacement of soil (soil shear) around the which is required for calculating settlement S1. The
lateral surface of the “ground cylinder”, cm; ∆S = shear deformation γ is determined directly by test-
the settlement (settlement increment) of pile at the ing of the clayey soils in direct shear apparatus.
second phase of loading, cm; and ξ = the param- The direct shear apparatus must follow the pre-set
eter defining the nonlinear dependence between (pre-selected) shear plane and match the external
stresses and distortions in the soil, which is calcu- outline of the “ground cylinder”. The results of
lated according to formula: shear strength tests are presented in the form of
“τ–γ” graphs, where τ is tangential pressure, kPa;
∆N ( N n − NR ) − ( ∆N − NR ) ⋅ NR and γ is shearing deformation (Fig. 3).
ξ= (1a) The studies conducted by V.A. Barvashov (1968)
NR ( N n − ∆N ) conclude that the vertical displacements occur-
ring in the soil surrounding the pile shaft vary
where NR = the portion of external load commu- only insignificantly as the depth increases (within
nicated to the foundation soil by the bottom blade the extent of pile), the variation being 2%–5%
of the three-blade pile at the final stage of linear (Barvashov 1968). Similar conclusion is made in
dependence in S = f(N), kN; ∆ N = the increment the paper written by Randolph, M.F and Wroth,
in loading experienced by the three-blade pile upon C.P. (1978) [14]. They arrived at the following rela-
completion of the linear dependence in S = f(N) (the tion with regard to shear deformation along the
section between N1 and N2,), kN; and Nn = the exter- lateral side of piles (Randolph & Wroth 1978):
nal load when the foundation of the bottom blade of
the pile has fully used its bearing capacity, kN. ∂u ∂w ∂w
Parameter ξ is obtained based on the studies
γ = + ≈ (2)
∂z ∂r ∂r
by M.V. Malyshev and N.S. Nikitina (1982) who
developed the method for calculating the settle- where γ = shearing deformation; ∂∂uz = partial deriv-
ment of specific foundations under nonlinear ative of horizontal displacements along the depth
dependence between soil stresses and distortions of foundation; ∂∂wr = partial derivative of vertical
(Mangushev 2010). displacements in radial direction.
Our analysis of formulas (1) and (1 ) shows that
the accuracy of calculation of final settlement S
of a three-blade (multiple blade) helical pile will
largely depend on the accuracy of determining dis-
tortion settlement S1, at which the soil resistance
force f along the lateral surface of the “ground cyl-
inder” has been fully used [1]. Piles with increased
length and number of blades have a larger lateral
surface to be engaged, as compared to two-blade
piles. To calculate distortion settlement S1 of the
three-blade pile in equation (1), parameter G –
initial shear modulus (kPa) – is used (calculated
with the use of structural deformation modulus
E and Poisson’s ratio µ). This approach to deter-
mining settlement S1 may lead to calculating error,
especially with regard to soils of semisolid, stiff
and semifluid texture.
One of the ways to determine pile settlement
S1 is the use of nonlinear relations, where shear
modulus G depends on shear deformation γ. There
has been conducted a whole series of studies
offering the relations for shear modulus G, led by
A.I. Botkin, L.A. Strokova, R.L. Kondner and J.S.
Zelasko, J.M. Duncan, among others (Strokova
2008, Brinkgreve 2005). Yet, the wide use of
their outcomes (relations) can be challenging in
engineering practice as they operate empirically Figure 3. The graphs of soil (clay) resistance versus
determined coefficients and require special soil test shear in semisolid (1) and semifluid (2) textures, based on
methods. testing in direct shear apparatus.

276
 To determine settlement S1, let us assume the Radius of influence rm is such distance from ver-
design scheme that considers all the required tical axis z of the pile towards its radius, where soil
parameters (Fig. 4). Vertical displacement w is cal- tangential stresses τ = 0. The authors of the present
culated according to formula: article suggest the following empirically obtained
formula for rm in clayey grounds of semisolid to
w= γ ⋅∫
rm
dr (3) semifluid texture:
r0
rm = k ⋅ r0 (4)
where γ = shearing deformation in (2); and rm =
radius of influence, m; and r0 is radius of “ground where k is the dimensionless coefficient equaling
cylinder”, m. k = 2.5, 3.0 and 3.5 for clayey soils of semifluid,
stiff, and semisolid textures, respectively.
The k in formula (4) is determined by the authors
based on the results of the laboratory, experimen-
tal study of the deformations experienced by clayey
soil near the modelled foundations of two-blade
piles; these results were assumed for the method of
settlement calculation for three-blade helical pile.
By substituting (4) into equation (3) and assum-
ing w = S1, we obtain:
S1 = γ ⋅ ( k ⋅ r0 − r0 ) = γ ⋅ r0 ⋅ ( k − 1) (5)

where γ, r0, k are as defined in (2), (3) and (4).

What puts the proposed approach to determin-
ing S1 at advantage is that it uses the shearing
deformation γ determined during testing of the
clayey soil in direct shear apparatus. At the same
time, the characteristic of γ which corresponds to
settlement S1, should be determined at maximum
tangential stress τmax. The direct shear apparatus
must follow the pre-set shear plane and match the
external outline of the “ground cylinder”.
The external load N1 upon occurrence of dis-
tortion settlement S1 (Fig. 2), will be determined
according to formula [1]:
N1 = N f + NR (6)

where Nf = the portion of external load when the

state along the lateral side of the “ground cylin-
der” reaches its limit, kN; and NR = the portion of
external load communicated to the foundation soil
by the bottom blade of the three-blade pile at the
final stage of linear dependence in S = f(N), kN;
N f = 4π ⋅ r0 ⋅ L ⋅ τ max (7)

where L = the length between the blades of three-

blade pile, m; and r0 = as defined in formula (3), m.
Load NR will be calculated according to (Polish-
chuk & Maximov 2017):
NR = 2 E ⋅ r0 ⋅ S1 / ( 1− µ 2 ) (8)

Figure 4. Design scheme for determining settle- where E = structural deformation modulus in the
ment S1 at the first phase of loading of multiple blade foundation of the bottom blade, MPa; and µ =
helical pile. Poisson’s ratio for clayey soil.

277
 Thus, the proposed approach allows for cal-
culating the final settlement S of multiple blade,
metal pile in clayey soil, exposed to vertical com-
pressive force.
3 RESULTS
The proposed method was used for calculating the
final settlement S of multiple blade helical pile in
clayey soils of semisolid to semifluid texture. In
parallel, numerical investigation (numerical model-
ling) was performed of the interaction between the
three-blade piles and the same clayey grounds using
the method described in [15]. The obtained results
were compared and analyzed. The soil characteris-
tics used in calculations and numerical modelling
are presented in Table 1. The following geometri-
cal parameters of the multiple blade helical pile
were assumed: shaft diameter d = 0.133 m; number
of blades n = 3; blade diameter D = 0.4 m; length
between blades (blade spacing) L = 0.8 m; and
three-blade pile driving depth z = 3.6 m.
To determine the characteristics of the shearing
deformation γ in clayey ground, required for calcu-
lation of pile settlement S1 (the first phase of load-
ing), samples were taken from exploratory shaft
at the depth of 2.0 m for lab testing. The testing
allowed to determine the horizontal displacement
of carriage at shear δ, mm, and shearing load T.
Shearing deformation γ was determined from:
γ = tgϕ = δ/H (9)
where, δ = horizontal displacement of carriage,
mm; H is height of circle, mm.
Tangential stresses τ were determined from:
τ = T/A (10)
where A = the area of circle, cm2
Based on the plotted relations “τ – γ” (Fig. 3),
shearing deformation γ was determined at maxi-
mum tangential stress τmax.
Table 1. Physical and mechanical characteristics of
clayey soils.
Soil characteristics
γs, γ, c, E,
Soil kN/m3 kN/m3 e MPa ϕ° MPa
Semisolid clay 2.72 1.92 0.71 0.041 16 16
(Il = 0,11)
Semifluid clay 2.7 1.85 0.84 0.023 9 9
(Il = 0,62)
278
The final settlement S of multiple blade (three-
blade) helical pile was calculated according to for-
mula (1) with allowance for data in (1a) and (5),
and parameters Nf and NR, determined from for-
mulas 7 and 8.
Figure 5 shows the graphs obtained from cal-
culation and numerical investigation (numerical
modelling) of multiple blade (three-blade) piles in
clayey soils. In terms of linear dependence (prior
to occurrence of distortion settlement S1), the
“settlement-loading” graphs plotted according to
the proposed method for the two textures of clayey
soils, were found to show satisfactory convergence.
For the first phase of loading, the calculated pile
settlements S1 were found to deviate from those
obtained by numerical modelling by 12–17% (to
the higher side). For the second (nonlinear) phase
of loading, the calculated settlements of multiple
blade piles in semifluid and semisolid clays were
found to significantly deviate from those obtained
by numerical modelling. At the same time, the cal-
culated final settlement S of multiple blade helical
piles (obtained by using the proposed method and
from numerical modelling) does coincide with the
results of similar calculations for two-blade helical
piles in clayey soils (Polishchuk & Maximov 2017).
rm – horizontal distance between vertical axis
z of pile and the region were tangential stresses τ
can be neglected (τ = 0), m; r0– radius of pile blade
(“ground cylinder”), m; τmax – maximum tangential
stress, kPa; S1 – two-blade pile settlement versus
load N1, mm.
Figure 5. Relations between multiple blade pile settle-
ment S and external load N in clayey ground of semi-
solid and semifluid texture: 1,2 – results for semisolid
clay obtained from calculations and numerical model-
ling, respectively; 3, 4 – results for semifluid clay obtained
from calculations and numerical modelling, respectively.
4 CONCLUSIONS
1. Based on the results of theoretical and numeri-
cal modelling, a method is developed for calcu-
lating the final settlement S of multiple blade
helical pile driven into clayey soil. This method
relies on patented structural design of two-blade
helical pile and takes into account the linear and
the non-linear relation between pile settlement
and external load.
2. Benchmarked against the results of numerical
modeling, the results of calculation have shown
that the proposed method has the accuracy high
enough for it to be used for calculating settle-
ments of multiple blade helical piles driven
into clayey soils to support the foundations of
quickly erectable structures.
3. The proposed method applies to multiple blade,
helical, metal piles with maximum length of
3 m, blade diameter of 0.3–0.4 m, and maxi-
mum shaft diameter of 0.108–0.200 m. At the
same time, the recommended length between
the bottom blade of pile and the land surface
equals the minimum of four blade diameters.
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A.B. Chance Company official web-page [electronic].
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drawings/.
Almita Piling Inc. official web-page [electronic]. Access:
http://www.almita.com/installation.
Barvashov, V.A. 1968. A method for calculating stiff
pile grill design taking into account the reciprocal
influence of piles. Foundation Engineering and Soil
Mechanics. Iss. 3: 35–37.
Brinkgreve, R.B.J. 2005. Selection of soil models and
parameters for geotechnical engineering application.
Soil Constitutive Models: Evaluation, Selection, and
Calibration./R.B.J. Brinkgreve; ed. J.A. Yamamuro,
V.N. Kaliakin//American Society of Civil Engineers. –
V. 128. – pp. 69–98.
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Hoyt, R.M. 1989. Uplift Capacity of Helical Anchors
in Soil/R.M. Hoyt, S.P. Clemence//Proceedings of the
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Mangushev, R.A. 2010. The Geoengineering of Saint
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Use of marl as ground base for embankments

A.B. Ponomaryov, E.N. Sychkina & V.I. Kleveko

Perm National Research Polytechnic University, Perm, Russia

ABSTRACT: The article presents a case study of using marl as the ground base of embankments for
construction of roads and sites for oil derricks when developing oil fields in the north of Russia. Based on
results of additional engineering and geological surveys at construction sites, as well as clarifying calcula-
tions using modern software, it is shown that with account for marl softening in the period of abundant
precipitation and groundwater rising, a sharp decrease in deformation characteristics of the base occurs.
Ignoring this fact results in inoperability of artificial structures and significantly complicates development
of oil fields. Based on studies conducted by the authors in design of ground bases, it is recommended
to take marl characteristics according to results of its tests in a softened state. Besides, it is proposed to
reinforce the lower part of embankments on weak bases, composed of biogenic soils, with wrapped geo-
textile. At the top of an embankment over marl, it is recommended to construct an additional base made
of a sand and gravel mix with the gravel content not less than 25%, with the obligatory construction of a
separating layer of nonwoven geotextile of Dornit type between the embankment soil and the base made
of the sand and gravel mix.

1 INTRODUCTION problem arises which is related to the possibility of

using local materials extracted from natural quar-
1.1 Relevance of the problem ries, and this problem needs to be solved by builders
engaged in the oil industry. In this study, features
At the present time, the oil and gas industry is one
of marl used as the ground base of embankments
of the most powerful sectors in the Russian Federa-
are considered. The lack of published informa-
tion, largely contributing to the budget and balance
tion on mechanical characteristics and behavior
of payments, ensuring foreign exchange earnings
of marl under conditions of atmospheric weather-
and maintaining the exchange rate of the national
ing and water saturation leads to problems during
currency. Carbon energy resources extracted in the
construction and operation of marl bases. Earlier
territory of the Russian Federation allow satisfying
in some papers (Khaliullina 2010, Lyubimova &
domestic demand for fuel, provide energy security
Ovchinnikov 2011, Oshchepkova & Sychkina 2012,
of the country, and make a substantial contribu-
Ponomaryov & Sychkina 2015), it was proved that
tion to the global energy resource economy. Russia
changes in moisture of eluvial clay soils of the Per-
ranks second in the world in terms of liquid hydro-
mian age led to a significant deterioration in con-
carbon reserves with a share of about 10%. Explo-
struction properties of these soils. The possibility
ration and production of oil reserves are carried
of using marl as embankments for highways was
out in 35 regions of the Russian Federation.
considered (Cardoso & Maranha das Neves 2012).
It also should be noted that, as a rule, explora-
Protection of marls against weather impacts, air,
tion and production of oil and gas resources are
and water is obligatory. In some works (Lamas
carried out in hard-to-reach areas with complex
et al. 2002, 2005, 2014, Aiban 1995), a direct rela-
engineering and geological as well as severe cli-
tionship was found between geotechnical proper-
matic conditions. Therefore, the issue of construct-
ties of marls and the degree of their compaction.
ing engineering and transport facilities of the oil
Content of carbonates turned out to be the main
industry on structurally unstable soils represents
factor determining behavior of marls. To improve
an important task. This problem gets complicated
construction properties of marl and increase its
by the fact that delivery of construction materi-
resistance to temperature and moisture fluctua-
als for development of areas for drilling rigs and
tions, injections of calcium chloride (Khoshbakht
construction of access roads to such areas is quite
et al. 2019), lime treatment (Cardoso & Maranha
expensive because of a significant distance to
das Neves 2012, Elert et al. 2017), cementa-
warehouses, and in some cases, it is impossible due
tion (Aiban et al. 1998, Al-Amoudi et al. 2010),
to their inaccessibility. In this case, an additional

280
strengthening with stabilizers (Seco et al. 2011),
geosynthetic materials can be applied.
1.2 Copying old text onto new file
The purpose of the study is to improve designs of
bases for oil production facilities, roads, and sites
on weak and structurally unstable soils.
The following tasks were solved to achieve the
purpose:
1. performance field studies at sites, on roads, and
in a local quarry;
2. performance of laboratory studies, including a
full range of studies to determine physical and
mechanical properties of soils;
3. implementation of numerical simulation for
embankment structures.
2 METHODOLOGY
The works were carried out at one of the oil fields
in the north of the Russian Federation.
The geological structure of the studied area
includes Quaternary anthropogenic, biogenic, and
alluvial deposits. Fill-up soils are represented by:
– sand: brown, fine, homogeneous; medium den-
sity, low degree of water saturation;
– macrofragmental grus and crushed rock soils
composed of marl fragments of brown, yellow-
red, and grey colors (Fig. 1).
Biogenic soils are represented by black peat,
with a layer thickness of 0.2–1.6. Quaternary allu-
vial deposits are represented by medium and soft
loams of brown color.
Groundwater was found at depths of 0.0–0.3 m
below the ground surface, in the top soil, peats,
sands, medium and soft loams.
In order to establish the geological section,
study soils conditions to determine their compo-
sition, state and properties, as well as determine
the groundwater level, soil sampling was carried
out. Soil sampling, packaging, delivery to the
laboratory and storage were performed accord-
ing to State Standard GOST 12071-2014. Labo-
ratory tests to determine physical and mechanical
properties of soils were carried out according to
State Standards GOST 12248-2010, GOST 20522-
2012, GOST 5180-2015. The classification is given
according to State Standard GOST 25100-2011.
The ultimate strength in uniaxial compres-
sion was determined both for the marl in soil
extracted from a natural quarry and for the marl
collected from the surface of a road. The uniaxial
compression tests were carried out according to
State Standard GOST 12248-2010. The ultimate
281
Figure 1. Crushed rock soil with marl fragments.
strength in uniaxial compression was determined
as the ratio between the vertical load applied to the
sample, at which the sample was destroyed, and the
area of its initial cross-section. For tests, samples
of marl of undisturbed structure in the form of a
rectangular parallelepiped with a side not less than
40 mm and the ratio between height and diameter
of 1.8–2.0 were used. Loading of the samples was
performed using a small-sized PGM-500MG4 A
hydraulic press with the preset speed of deforma-
tion so that the test time would not exceed 15 min.
The tests were carried out up to destruction of the
soil samples.
2.1 Results of marl tests and their analysis
According to the field description and laboratory
data, with account for the classification of soils
according to State Standard GOST 25100-2011,
fill-up soil can be attributed to macrofragmental
grus and crushed rock soils composed of marl
fragments (medium and stiff, softenable).
According to results of plate load tests in the
pressure range of 0.6–1 MPa, the deformation
modulus of macrofragmental fill-up soil, marl
consisting of grus and crushed rock, varied from
15.97 to 18.85 MPa.
According to measurements using a DPG-1.2
dynamic densimeter, the static modulus of elas-
ticity varies from 40.5 to 268.0 MPa, the dynamic
modulus of elasticity varies from 23.1 to 89.0 MPa.
According to results of shear tests involving pillars
of macrofragmental fill-up soil, the angle of inter-
nal friction varies from 33 to 36°, the specific cohe-
sion varies from 22.67 to 27.29 kPa.
Indicators of physical and mechanical proper-
ties of macrofragmental grus and crushed rock
soils consisting of marl fragments (medium and
stiff, softenable) are presented in Table 1.
According to the laboratory tests involving marl
composing fill-up soil at natural moisture (in an
Table 1. Indicators of physical and mechanical properties
of fill-up soil.

Soil Number of Range of Standard

characteristics Unit measurements values value

Natural u.f. 6 0.03–0.06 0.05

moisture
Density g/cm3 6 2.28–2.57 2.38 Figure 2. Cross profile of the access road bed structure.
Air-dry
ultimate
strength
in uniaxial
compression
– stiff MPa 1 58.5 58.5
– medium 1 35.7 35.7
Water
saturated
ultimate
strength
in uniaxial
compression:
– medium MPa 2 21.2–24.4 22.8
Softening 2 0.4; 0.6 0.5
factor (in
water)
Deformation MPa 4 18.85; 17.8
modulus Figure 3. Marl embankment destruction.
(plate load
test)
15.97; According to State Standard GOST 32960-
17.69; 2014, A10 loading class was taken for the load
18.54 from transport on embankment structures (as for
Internal degrees 2 36; 33 34.5 roads with light-weight road pavements and road
friction pavements of transitional type).
angle According to an analysis of numerical simula-
Specific MPa 2 0.027; 0.025 tion using the PLAXIS 2D software, under engi-
cohesion
neering and geological conditions set within the
0.023
study, design structures of the embankments in
most cases led to calculation termination with the
“Soil body collapses” message, which means loss
air-dry state) and in a water-saturated state, a sig- of bearing capacity in base soil.
nificant decrease in the ultimate strength in uniax- In case of using macrofragmental fill-up soil,
ial compression occurs at water saturation. The from marl softened after its contact with water and
average values of the ultimate strength in uniaxial at a freeze-thaw temperature, it develops into very
compression decrease 2 times: from 47.1 MPa in soft loam with marl grus. In this case, maximum
an air-dry state to 22.8 MPa in a water-saturated deformations of the embankment increase up to
state. 15–60% (Fig. 3).
Thus, in most cases, stability of the designed road
embankments is not ensured, and it is necessary to
2.2 Assessment of decisions made based on the
provide for measures to ensure their stability.
results of numerical simulation
At the next stage of studies, structural re-calcula-
tions for road embankments and embankments of 3 CONCLUSIONS AND
drilling rig sites were performed. RECOMMENDATIONS
The structure of the road embankment was
formed using the MEASET-SD/20 geogrid over According to the results of the studies performed,
peat, covered with draining soil (medium sand). marl used for construction of road embankments
The embankment mass was made of marl extracted and process areas refers to softenable soils (accord-
from a local quarry. The slope ratio is 1:1.5, width ing to State Standard GOST 25100), with the
at the top of the embankment is 7.5 m (Fig. 2). determined softening factor equal to 0.5.

282
 According to the laboratory tests involving
marl composing fill-up soil at natural moisture (in
an air-dry state) and in a water-saturated state, a
decrease in the ultimate strength in uniaxial com-
pression occurs at water saturation. The average
values of the ultimate strength in uniaxial com-
pression decrease 2 times: from 47.1 MPa in an air-
dry state to 22.8 MPa in a water-saturated state.
Thus, bases of cluster sites and roadbeds of
access roads consist of soil with reduced strength
and deformation values.
In case of precipitation and watering during
groundwater rising under the wheel load from vehi-
cles, the road surface of driveways and the upper
part of process areas’ embankments, made of sof-
tenable marl, becomes inoperable, comprising a
mud pulp made of very soft cohesive soil, in which
the equipment and vehicles of the drilling contrac-
tor drown. The upper part of the embankment soil
cover is constantly destroying, which requires re-
filling of the cluster site to the design level after
completion of drilling and well construction.
Due to the high softening values of marl used
for construction of embankments for roads and
sites, its mechanical characteristics at the con-
tact area with water-flooded and swampy areas
reduce significantly. In the current situation, it is
recommended to reinforce the lower part of the
embankment with wrapped geotextile having char-
acteristics corresponding to the design, using an
additional separating layer of geotextile between
the base soil and the roadbed soil. It is also recom-
mended to reinforce the top layer of marl embank-
ment (up to 500 mm thick).
It is prohibited to use embankments made of
unprotected marl. It is recommended to take marl
characteristics according to result of its tests in a
softened state.
It is unreasonable to apply the MEASET-
SD/20 geogrid for a standard solution. Materials
which are classified as geogrids as per the inter-
national classification are usually used for drain-
age cores according to ISO 10318-1. Due to low
connection strength between geogrid elements, it
is unreasonable to use those for reinforcement of
soil embankments. Based on the calculations per-
formed, it is recommended to use geosynthetic
materials like woven geotextile, a flat geogrid
(uniaxial or biaxial) or a volumetric geogrid for soil
reinforcement (Kleveko 2014).
REFERENCES
Aiban, S.A. 1995. Strength and compressibility of
Abqaiq marl, Saudi Arabia. Engineering Geology 39
(3–4): 203–215.
283
Aiban, S.A., Wahhab, H.Al-A., Al-Amoudi, O.S.B. &
Ahmed, H.R. 1998. Performance of a stabilized marl
base: a case study. Construction and building materials
12: 329–340.
Al-Amoudi, O.S.B., Khan, K. & Al-Kahtani, N.S. 2010.
Stabilization of a Saudi calcareous marl soil. Con-
struction and Building Materials 24 (10): 1848–1854.
Cardoso, R. & Maranha, das Neves E. 2012. Hydro-
mechanical characterization of lime-treated and
untreated marls used in a motorway embankment.
Engineering Geology 133–134: 76–84.
Elert, K., Nieto, F. & Azanon, J.M. 2017. Effects of
lime treatments on marls. Applied Clay Science 135:
611–619.
Khaliullina, Yu.V. 2010. Geotechnical engineering fea-
tures of the estimation of stability of heavy construc-
tions of designed cement works in Novorossiysk.
Journal of Mining Institute 186: 41–45.
Khoshbakht, E.B., Vakili, A.H., Farhadi, M.S. & Salimi,
M. 2019. Reducing the negative impact of freezing and
thawing cycles on marl by means of the electrokineti-
cal injection of calcium chloride. Cold Regions Science
and Technology 157: 196–205.
Kleveko, V.I. 2014. Research of the work of reinforced
clay soils. PNRPU Construction and Architecture Bul-
letin 4: 101–110.
Lamas, F., Irigaray, C. & Chacon, J. 2002. Geotechnical
characterization of carbonate marls for the construc-
tion of impermeable dam cores. Engineering Geology
66 (3–4): 283–294.
Lamas, F., Irigaray, C., Oteo, C. & Chacon, J. 2005.
Selection of the most appropriate method to deter-
mine the carbonate content for engineering purposes
with particular regard to marls. Engineering Geology
81 (1): 32–41.
Lamas, F., Lamas-Lopez F. & Bravo R. 2014. Influence
of carbonate content of marls used in dams: geo-
technical and statistical characterization. Engineering
Geology 177: 32–39.
Lyubimova, T.V. & Ovchinnikov, A.V. 2011. Changes in
physical and mechanical properties of carbonate fly-
sch marls during weathering. Geology, Geography and
Global Energy 2 (41): 13–15.
Oshchepkova, I.A. & Sychkina, E.N. 2012. Analysis of
the influence of the water saturation degree on defor-
mation characteristics of semi-rocky soils. Bulletin
of Perm National Research Polytechnic University.
Applied Ecology. Urban Development 2: 8–16.
Ponomaryov, A. & Sychkina, E. 2015. Analysis of strain
anisotropy and hydroscopic property of clay and clay-
stone. Applied Clay Science 114: 161–169.
Seco, A., Ramirez, F., Miqueleiz, L., Garcia, B. & Pri-
eto, E. 2011. The use of non-conventional additives
in Marls stabilization. Applied Clay Science 51 (4):
419–423.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Calculation and geotechnical monitoring of buildings on

strip-membrane foundations

O.S. Poroshin, Ya.A. Pronozin, L.R. Epifantseva & Yu.V. Naumkina

Tyumen Industrial University, Tyumen, Russia

ABSTRACT: At construction sites consisting of medium and strongly deformable soils, traditional
foundations are not always effective, and to reduce the zero cycle cost, under certain conditions, Strip-
Membrane Foundations (hereinafter—SMF) can be used. SMF consists of a reinforced concrete support
contour (strip foundation) and a power membrane made of composite materials, fixed in strip foundations
and laid on a natural or artificial base planned along a given curve. To establish the actual interaction
patterns of the base and a low-rise building on SMF and compare them with the estimated forecast, it
is necessary to conduct geotechnical monitoring during construction and at the beginning of operation.
The object of geotechnical monitoring is a three-storey residential building in the town of Novy Urengoy.
The article describes the program of geotechnical monitoring of the building constructed on SMF, which
is an alternative type in relation to traditional types of shallow foundations. Design modeling of the inter-
action of the building with the base soil, taking into account permafrost conditions, is presented. The
computational modeling data showed the rationality of using foundations with a curved upwardly convex
contact surface. The increase in the rigidity of the base soil is due to the additional lateral compression of
the soil due to the peculiarities of the shape of the contact surface. The effectiveness of SMF construc-
tion concerning consumption of materials and cost in comparison with the slab and pile foundations is
presented. The results of comparison of geotechnical monitoring with calculated indicators are given.

1 INTRODUCTION

Currently, geotechnics tend to use systems with

adjustable properties (Krutov et al. 2009, Goncharov
et al. 2010, Goncharov et al. 2011, Patent 2012,
Rinaldi 2012, Naumkina 2013, Orzhekhovsky
et al. 2013, Petrukhin et al. 2014, Ikonin 2015,
Kolesnikov 2015, Pronozin et al. 2016, Poroshin
2016, Samokhvalov et al. 2016, Stepanov et al.
2017). Strip-membrane foundations (Pronozin
et al. 2014) (hereinafter—SMF) are one of them,
the use of which allows preliminary, at the design
stage, to form a given stress state in the foundation
soil under the strip and membrane parts, and to
improve the performance of the soil under load.
The curvilinear shape of the load surface in the
SMF affects the deformability characteristics of
the soil due to the additional horizontal compres-
sion of the soil in the upper zone of the foundation,
which leads to an increase in its rigidity (Pronozin
et al. 2014).
SMF consists of elements of different stiffness
and nature of operation (Fig. 1). The first ele-
ment, a strip foundation, is a supporting structure
for load-bearing walls or columns and has certain
stiffness in the longitudinal direction, perceiving
random eccentricities of load transfer, which forms
Figure 1. Strip-membrane foundation.
the required cantilever broadening along the outer
contour of the building. The second one is a flexi-
ble element in the span, which unites the neighbor-
ing supporting strips into a solid foundation. Its
function is to transfer a certain (given) part of the
load from the structure onto the foundation soil in
the span. The upwardly convex shell, working in
tension, should be considered as the most rational
flexible connection between the strip foundations.
The 3-section 3-storey residential building
is frameless with transverse load-bearing walls.
The dimensions of the building in the layout are
67.66 × 12.9 m (Fig. 2). The project provides for
external and internal walls of lightweight claydite
concrete blocks. In geocryological terms, the site
is characterized by the presence of thawed and

284
 shear and volume deformations of the soil were
calculated separately. Poisson’s coefficients for
soils within the depth of the compressible strata,
due to the lack of basic data, were taken accord-
ing to the CR 22.13330. Depth limits of the com-
pressible strata were also adopted according to the
norms. Full regulatory load is 75 kPa.
The algorithm (Industrial Standard 2016) to cal-
Figure 2. Scheme of the foundations of the residential culate the interaction of the studied foundations
building in the town of Novy Urengoy.
with the soil is presented below.
1. The depth of the foundations adopted in accord-
Table 1. Geotechnical conditions of the site. ance with architectural solutions, taking into
account the requirements of the CR 22.13330,
Layer γI, R0, Ath, δ, E, equals to 1.75 m from the rough grade level.
Soil depth, m kN/m3 kPa wc units cm2/kg MPa 2. A preliminary determination of overall SMF
dimensions (with cantilevers) is performed. The
1 0–1.75 14.6 200 – – – 15
2 1.75–4.65 19.3 300 0.18 – – 15
outline of the shell corresponds to a square
3 4.65–5.75 18.3 200 0.41 – – 2.5
parabola and the flatness criterion (Figure 1). As
4 5.75–15.75 18.6 200 0.27 0.012 0.032 2.5 a result of the design, the following SMF active
parameters were obtained: f = 0.25 m, EA =
2 × 107 N/m.
3. The depth of the compressible strata Hcom is
permafrost soils of non-confluent type. Geotech- determined. At full load − H75com = 2.25 m.
nical elements are presented in Table 1. According For each load increment, the initial coefficient
to the field research data, the soils on the construc- of the foundation bed ki is determined accord-
tion site have several layers: 1. bulk soil-medium ing to the formula (1):
size sand; 2. thawed fine sand; 3. very soft loam;
4. frozen very soft loam. ki = pav /sav, (1)

where pav is the average pressure under the SMF

2 DESIGN MODELING bed, kPa; sav is the average settlement of the
SMF base, m, determined in accordance with
2.1 Carrying out numerical simulation the Industrial Standard (2016).
Thus, k75i = 1,315 MN/m3.
The calculation was performed in SCAD soft-
4. In the spatial formulation, the foundation and
ware using the contact model based on Winkler’s
the above-ground frame of the building are
hypothesis in the spatial formulation, taking
modeled. Then the static calculation of the
into account all the basic elements of the under-
base – foundation – above-ground part of the sys-
ground and above-ground parts of the building.
tem is performed at each load increment, with
The calculation was performed according to the
the appropriate number of floors, to adequately
algorithm presented in the Industrial Standard of
take into account the stiffness of the above-
Self-Regulatory Organizations (IS SRO) 002–2016
foundation part. The settlements si, m, and
“Requirements for the design and construction of
contact pressure pi, kPa, under individual SMF
strip-membrane foundations” (Industrial Stand-
elements at full load are determined. The dia-
ard, 2016).
gram of reactive pressures at full load is shown
Also, the average SMF settlement was calcu-
in Figure 3.
lated according to the Industrial Standard (2016)
5. The magnitude of contact pressures under the
and CR 22.13330 using the total deformation
strip parts of the SMF in accordance with con-
modulus.
dition (2) at the last load increment is checked:
The calculated deformation modulus Ej*, neces-
sary for finding kd (Industrial Standard 2016), was
psf = (0,5 ÷ 0,9)R, (2)
determined on the basis of the numerical imple-
mentation of the problem of the membrane and
foundation soil interaction, modeled by an elastic
half-space, with the help of the geotechnical soft-
ware PLAXIS 2D AE in a flat formulation.
To determine k1 (Industrial Standard 2016),
a layer-by-layer summation method was used; Figure 3. Diagram of reactive pressures at full load.

285
 where R is the design resistance of the soil under
the strip foundation, kPa, determined taking
into account the surcharge from the pressure of
adjacent membranes for medium strip founda-
tions and the surcharge from the membranes
and backfill for outer strip foundations.
If the condition (2) is not fulfilled, the geomet-
rical dimensions in layouts of strip foundations
and shells are corrected, as well as the design
parameters: rise f, membrane tensile stiffness
EA, and the system is recalculated.
Thus, at the last load increment, Pavsf = 0,3Ravsf,
Pextsf = 0,28Rextsf .
The geometry of the system is not changed.
6. The iterative process of static calculation is per-
formed in load increments and the corrected
values of the foundation modulus coefficients,
MN/m3, are determined under the individual
SMF elements using the formula:
ki + 1 = pi /si, (3)
where pi is the pressure under separate load
zones – first approximation SMF elements, kPa;
si is the average settlement under separate load
zones – first approximation SMF elements, m.
When the difference between ki and ki + 1 is more
than 10%, the system is recalculated with cor-
rected foundation modulus coefficients – the
second approximation, etc. n times to match the
correspondence of pressures pn arising at given
foundation modulus coefficients kn, settlements
sn under separate SMF load zones.
7. A static calculation, taking into account the
peculiarities of the foundation soil deforma-
tion, loaded on a curved convex surface at each
load increment, is performed.
The calculated values of the foundation modu-
lus coefficients, kn*, MN/m3, are determined
using numerical modeling and the formula:
kn*= kn ⋅ kf, (4)
where kn are the foundation modulus coefficients
determined by the iterative approach in the last
approximation, under separate SMF elements,
MN/m3; kf is the coefficient taking into account
the increase of the base stiffness under the SMF
membrane parts due to the curvilinear form of
loading, determined by the formula:
kf = 1 + 0,8Agen /A ⋅ k1, (5)
where k1 is the ratio of the settlement of foun-
dation soil layers from the additional vertical
stresses σz as a result of loading the base with
the entire SMF area and a separate membrane
within the jth layer of soil;
286
k1 = s1 / s2, (6)
where s1 is the foundation settlement with L1
width; s2 is the foundation settlement with B
width.
Thus, the shape coefficients for the adopted
load increments are listed below: K25f = 1,32;
k50f = 1,2; k75f = 1,06; k100f = 1;
8. The conditions are checked:
sn < [s], (7)
∆sn /L < [∆s/L], (8)
where sn is the average settlement under the
particular load zones – SMF elements in the
last approximation, m; [s] is the maximum per-
missible settlement, m, according to; ∆sn is the
difference in settlements of adjacent strip foun-
dations, m; L is the distance between the axes of
the main strip foundations, m.
According to the calculation based on the
geomechanical model using Ej*, the settlement
made up 48.8 mm, according to the contact
model using kn*, the settlement was 45.4 mm,
which does not exceed the maximum permissi-
ble value [s] = 100 mm.
The settlement unevenness is almost 3 times
less than the normative one 0.0009 < [∆s/L] =
0.003, L is the distance between the axes of the
main strip foundations, m.
Layer-by-layer summation used to calcu-
late the settlement (CR 22.13330 2011), taking
into account the general calculated deforma-
tion modulus E, predicts the settlement within
8.8 cm, which excludes the possibility of con-
structing a shallow foundation in permafrost
conditions, since this settlement is the result of
the external load without taking into account
the operation of the building and its influence
on the thermophysical properties of the soil.
9. It is required to carry out a calibration calcula-
tion of the base under the strip foundations to
prove the legitimacy of using the theory of linear
deformability of soils according to (9) at the last
loading stage, taking into account the last itera-
tion, and the increase in the stiffness of the base
under the membrane part of the foundation.
psf ≤ R, (9)
where psf is the average pressure under the SMF
strip foundations, kPa, after the recalculation;
R is the same as in the formula (2).
In connection with a slight decrease of pres-
sure under the strip foundations, the calculation
can be omitted and take the data presented in
section 5 as final.
10. Let us carry out the calculation of the extreme Table 2. Thawing and freezing depths for soil types.
uncompensated strip foundations for pos-
sible torsion. The calculation is made for the Type Depth of Depth of Average annual
resulting load vector offset from the center of of soil STS thawing SMS freezing soil temperature
gravity of the cross section to exclude torque, Sand 2.67 m 3.3 m −5.16ºC
taking into account all the forces acting on the Loam 2.43 m 3.1 m −5.66ºC
strip foundation. Lateral repulse of the natural
base at the contact with the lateral surface of
the strip foundation is presented in Figure 4:
The friction force of the soil along the strip
foundation base:
Qrp 84
τ= ⋅ tgϕ + c = ⋅ tg30° + 0 = 69, 3 kPa
b 0, 7
where the linear reactive resistance of the soil
under the strip foundation is:
Qsoil = p1 ⋅ b = 120 ⋅ 0, 7 = 84 kN / m.

Longitudinal force in the membrane: Figure 5. Diagram of thawing during building operation.

P1 − Qrp 126 − 84 its operation for 25 years in accordance with

NM = = = 105, 25 kN / m CR 25.13330 (2012) is:
sinβ sin20 0
Hc,max = ksξc,maxB = 10,4 m.
Active pressure resultant:
He,max = ksξe,maxB = 8,8 m
E a = 3, 017 kN/ m αR = λthR0/B = 0,44
When the eccentricity value is e1 = 0.2 m, hE = β =−
(
λ f T0 − Tbf )
= 0, 033
0.191 m, the torsional load is ∑Mo ≈ 0. The max- (
λth Tin − Tbf )
imum deflection of the extreme strip foundation
with the maximum transverse ribs spacing l = ψ = λth Tin t/Lν B2 = 0,83
3.3 m made up 0.02 cm, which is significantly
less than the limit value [1/150l] = 2.2 cm. The calculation of the deformations of
11. The calculation of the foundations in perma- the bases without consideration of the joint
frost conditions are carried out according to operation of the thawing base and founda-
the second principle. tions is carried out in accordance with the CR
According to the CR 25.13330 (2012) let 25.13330.
us determine the standard depth of seasonal
freezing and the depth of soil thawing in the s = s p + sth ≤ s u ,
summer months (Table 2). n σ zp h
The thawing depth of soils under the middle s p = β ∑ i =1 i i
and the edges of the building (Fig. 5) during Ei

sp is the component of base settlement of the

strip foundation, due to the additional pressure
on the soil from the action of the weight of the
structure, determined by the method of layer-by-
layer summation according to the CR 22.13330.
The base settlement component for the membrane
foundation was determined using the Industrial
Standard (2016).
sth is the component of the base settlement due
to the action of the own weight of the thawing soil;
su is the maximum permissible value of joint
Figure 4. The design scheme of the extreme strip deformations of the base and structure, established
foundation. according to the CR 22.13330, su = 10 cm.

287
Table 3. Comparison of results.
Center/edge
Type of foundation sp, cm sth, cm s, cm
Strip foundation 7.8/6.3 3.5/2.9 11.3/9.2
b = 1000 mm
without 8.8/5.9 3.5/2.9 12.3/8.8 10
membrane
b = 600 mm with 4.8/4.5 3.5/3.1 8.3/ 7.6
membrane
The calculation results for the strip foundation
with a base width of 1000 mm and 600 mm and
the membrane foundation are presented in Table 3.
2.2 Findings
According to the data presented in Table 3, the
membrane foundation settlement with 600 mm
strip width does not exceed the maximum permis-
sible value, while the width of the strip foundation
without the membrane is not enough to meet the
requirements of the CR 25.13330. A decrease in
the strip foundation settlement can be achieved
only by increasing its width and, accordingly,
increasing the material intensity.
3 CONSTRUCTION TECHNOLOGY
SMF are arranged on the location of the bear-
ing walls, columns and perceive the load from the
building.
The membrane part of the foundation is formed
on the natural curvilinear surface in the span between
the load areas, with the convexity facing up (Fig-
ures 6, 7). The membrane is presented in the form
of two layers of the ARMDOR GSK-120 geogrid
(cell 25 × 25), with a calculated tensile force of up to
120 kN/lm. The geogrid is laid in 2 layers on a planned
curvilinear base. The extreme strip foundations are
wrapped with a geogrid for better anchoring.
For strip foundations, the main working rein-
forcement is A400 with a diameter of 18 mm,
transverse reinforcement is A400 with a diameter
of 10 mm. For concreting, heavy concrete B25,
F200, W8 are adopted.
Floors are arranged on the soil, thermal resist-
ance is 4.19 m2.0C/W, the calculated air temperature
in the basement is tbuild = 10ºC. The temperature
of the soil outside the contour of the building is
T0 = 2.0ºC. Heat of thawing soil Lv = 24,440 Wh/m3.
The costs of materials and the estimated cost of
the residential house according to the preliminary
version of the pile-slab foundation on driven piles
300 × 300 mm, 6 m long, foundation slab 0.5 m
thick and SMF are shown in Figure 8.
[su],
cm
Figure 6. Installation of Figure 7. Concrete work.
assembled panel formwork.
Figure 8. Cost-effectiveness: a – estimated cost, thou-
sand rubles; b – cost of 1 sq.m., thousand rubles; c –
labor intensity, manhours.
4 RESULTS OF GEOTECHNICAL
MONITORING
Settlement points (Figure 9) were installed in the
pedestal of the building along the perimeter. Set-
tlement points have a stationary part rigidly fixed
in the pedestal, and an inventory part with a trun-
cated spherical head, which makes it possible to
install the rail by the middle of its base when re-
leveling strictly at the same point. The observation
was carried out with the help of a high-precision
level N-0.3 using a barcode rail, which made it pos-
sible to ensure the accuracy of measurements of
0.5 mm at this object.
Observation was conducted from the begin-
ning of construction. Foundation was concreted in
November 2015. In March 2016 the building was
built. The calculated final settlement, according
to the developed algorithm (Industrial Stand-
ard 2016), for the object in question is within
4.5–4.8 cm, with a maximum permissible value of
15 cm according to the CR 22.13330.
As of June 2016, the average settlement was
4.2 cm, the maximum settlement – 4.7 cm, and
the minimum one made up 3.7 cm. The maximum
irregularity of the settlement was ∆s/L = 0.00037.
The settlement graph is shown in Figure 10.
288

Figure 9. Building erected on SMF.
Figure 10. Graph of average settlement over time.
The maximum settlement refers to the junction
zone of the two sections of the house, the mini-
mum one to the external side walls, which corre-
sponds to the calculated data and the general idea
of the soil foundation deformation.
As of June 2017, the final settlement made up
5 cm, which, with an accuracy of 10–15%, corre-
sponds to the calculated data.
5 CONCLUSION
The computational modeling data showed the
rationality of using foundations with a curved
upwardly convex contact surface. The increase in
the stiffness of the foundation soil is due to the
additional lateral compression of the soil due to the
peculiarities of the shape of the contact surface.
Reasonable use of effective types of shallow
foundations allows reducing settlement, which is
the main specified parameter during the design, up
to several tens of percent, to increase the bearing
capacity of the foundation soil, while simultane-
ously reducing material consumption, namely steel
and concrete, by 20–50%, compared to traditional,
for example slab or pile-slab, foundations.
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ing 2(14): 143–148.
Ikonin, S.V. & Sukhoterin, A.V. 2015. Design of the
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Changes in soil properties at unloading of base of deep foundation pit

Ya.A. Pronozin & E.P. Bragar

Tyumen Industrial University, Tyumen, Russia

ABSTRACT: The paper addresses the need of studying properties of Silty Clay Soils (SCSs) at their
unloading during excavation of a deep foundation pit as a result of exposure to negative climatic and
technological factors. The present quantitative research is conducted using a case study of a construction
facility in Tyumen. The paper analyzes causes behind significant differential settlements in the soil base.
A need for further theoretical and experimental research with the view to obtain a more accurate value of
building settlement when constructing deep foundation pits is identified.

1 INTRODUCTION changes in its characteristics, including E that can

In modern construction, a need to design buildings
with a developed underground part often arises,
which implies construction of foundations in open
deep foundation pits. According to Regulations SP
22.13330.2016, those are foundation pits with an
excavation depth of more than 5 m.
When natural pressure is released during founda-
tion pit excavation, the bottom rises due to elastic
forces (Ulitsky et al. 2010). Such behavior of base
soils is also observed at cyclic loads (reservoirs,
grain elevators, silo constructions, etc.) or when
soils are unloaded during building reconstruction.
In terms of design according to the second group
of limit states, determination of settlement in this
case is covered by the second term in equation 5.16
of Regulations SP 22.13330.2016:
n
(σ zp,i − σ zγ ,i )hi n
σ zγ ,i hi
s = β∑ + β∑
i =1 Ei i =1 Ee ,i
where β is a non-dimensional coefficient; σzp,i
is vertical stress caused by external load in the
i-th layer of soil; hi is thickness of the i-th layer
of soil; Ei is modulus of deformation in the i-th
layer of soil across the branch of primary load-
ing; σzγ,i is vertical stress in the i-th layer of soil
caused by the self-weight of soil removed during
excavation of a foundation pit; Ee,i is modulus of
deformation in the i-th layer of soil across the
branch of secondary loading; n is the number of
layers.
2 PROBLEM STATEMENT
Excavation of a deep foundation pit, especially
in clay soils, often causes soil destructuring and
significantly differ from Ee in the upper layer of the
active soil column.
That is why in construction of foundation pits,
where it is preferable to use the principle of pre-
serving the natural structure of soil, it is necessary
to take into account the following risk factors:
1. Drastic changes in static conditions of base
behavior during soil excavation and unloading.
2. Hydrostatic and hydrodynamic water pressure.
3. Local freezing and thawing of the upper part of
the soil base.
4. Vibrational impact from operating equipment,
dynamic impact from transport at installation
of excavation shoring and soil excavation, etc.
Experimental and theoretical studies on defor-
mations of the foundation pit bottom were con-
ducted by N.A. Tsytovich, Z.G. Ter-Martirosyan,
G.G. Boldyrev (Boldyrev 2008), A.G. Shashkin,
(1) K.G. Shashkin, V.M. Ulitsky, as well as other sci-
entists (Golli 2003, Sorochan 1985, Terzaghi &
Peck 1958).
Besides, this topic was researched by N.Ya.
Denisov, V.G. Bulychev, N.M. Gersevanov and
P.A. Konovalov (Konovalov 2000).
Studies on changes in characteristics of soils due
to release of natural pressure at foundation pit exca-
vation were conducted by B.I. Dalmatov (Dalmatov
& Chikishev 1984, Dalmatov & Yagdanova 1973),
F.G. Gabdrakhmanov (Gabdrakhmanov 1981),
N.I. Kalmykova and F. Krzysztof (Krzysztof
1983).
According to the studies conducted by N.I.
Kalmykova, as a result of base soil deconsolida-
tion, its structural strength decreases and com-
pressibility increases. Compression tests showed
3–8 times reduction in structural strength of sam-
ples and 1.5–3 times increase in deformations.

290
Figure 1. Mohr–Coulomb law for the process of base
unloading.
In the south of the Tyumen Region, where
silty clay soils, that are often weak and highly
compressible, represent the dominant type of soil
bases, issues related to construction of buildings
and structures with a developed underground part
often arise. That is why it is necessary to consider
changes in strength and deformation characteris-
tics of soils after unloading.
In sandy soils having no adhesion or structural
bonds, at decrease of σ1 = γh, fast decrease of σ3
occurs, and the condition of soil remains rela-
tively stable. However, in clay soils, the process of
decrease of σ3 at decrease of σ1 can be slow and to
a significant degree depends on speed of works and
properties of soil. Subsequently, σ3 become maxi-
mum principal stresses that, at dramatic decrease
of σ1, can result in soil failure. In normally consoli-
dated soils under hydrostatic conditions σ3 = ξσ1
(where ξ = 1 is a coefficient of lateral pressure; σ3
are horizontal stresses; σ1 are vertical stresses), the
unloading process can be presented in a graphic
form in the limit when σ3 has not yet decreased,
based on the Mohr–Coulomb law (Fig. 1).
Thus, if, in case of reduction of the vertical stress
due to structural bonds, the horizontal stresses fail
to reduce in time, then not only reduction in struc-
tural strength but also plastic shear deformations,
and, therefore, soil failure can occur:
σ 3 − σ1
sin ϕ < (2)
σ 3 + σ 1 + 2c ⋅ ctgϕ
where σ3 are horizontal stresses; σ1 are vertical
stresses.
3 STUDY OBJECT
Let us consider deformations in the foundation
slab of Parking Area No. 1 (a part of the “Apart-
ment block with non-residential rooms on the first
291
Figure 2. Layout of sections.
floor and an underground parking lot in Tyumen”
project) as a case study.
The facility under study represents a two-sto-
ried underground parking area adjacent to a nine-
storied four-section residential house (Fig. 2).
Expansion joints are made between the founda-
tions of all sections.
The building has a monolithic reinforced-
concrete braced framing. Foundations—a solid
monolithic reinforced-concrete slab (thickness
– 0.6 m) on a modified soil base. Walls (retain-
ing walls)—reinforced concrete (height – 6.6 m,
thickness – 0.3 m), located along the perimeter
of the foundation slab. Walls (shear walls)—rein-
forced concrete (height – 3.0 m, thickness – 0.2 m).
Columns—reinforced concrete (cross section of
0.4 × 0.4 m, 0.4 × 0.5 m).
The soil base is made of the following elements
(Fig. 3):
− fill-up soil, layer thickness – 0.4–0.7 m;
− EGE-1 (engineering geological element) – stiff
clay with interlayers of very stiff clay (layer
thickness – 2.3–3.7 m);
− EGE-2 – medium clay loam with interlayers of
soft clay (layer thickness – 8.0–11.0 m). Soft soil
(base layer for the foundation slab).
− EGE-3 – stiff clay with interlayers of very stiff
clay, loam and sand (layer thickness – 2.6–4.4 m)
(underlayer).
− EGE-4 – fine sand of medium density, water-
saturated (layer thickness – 2.6–2.9 m).
Standing groundwater level – 3.2–4.0 m from the
ground level.
In 2015, according to the design, before excava-
tion of the foundation pit, in the base of the Park-
ing Areas, soil was stabilized using ground-cement
elements (GCEs) (diameter – 1.2 m, length – 3 m)
creating an effect of reinforcement (Fig. 3) with a
mesh of 3 × 3.1 m. Under multistoried residential
sections, a layout of ground-cement elements over
Table 1. Standard characteristics of base soils. of the foundation pit, at a depth of 5 m, a water-
bearing bed was penetrated. To drain the founda-
Internal Modulus tion pit, at 400 mm below the design level of the
friction Specific of total foundation slab, a bypass channel (drainage) was
Density, Porosity angle, cohesion, deformation,
EGE t/m3 factor degrees kPa MPa
installed with subsequent filling of crushed stone
No. γs e ϕs cs E up to the level of the foundation bed bottom;
− installation of a crushed-stone bed (thickness –
EGE-1 1.89 0.829 13.0 34.4 15.28 300 mm) (March 17–20, 2016);
EGE-2 1.89 0.938 16.5 28.6 5.62 − waterproofing, reinforcement works, etc. (March
EGE-3 1.86 0.891 13.0 34.1 10.34 20–25, 2016);
EGE-4 1.98 0.651 30.8 7.1 11.65 − concrete pouring for the foundation slab, B30,
F150, W12 concrete (March 25, 2016).
From the start of construction, geodesic moni-
toring of building settlements was conducted.
The monitoring revealed the following:
1. Despite the same levels of the foundation pit
bottom under the residential sections and
parking areas, settlements under the residential
sections and parking areas before erection of
the aboveground part, i.e. at approximately
equal loads, differed by a factor of 1.5–2.
2. The higher values of settlements in the
foundation slabs of the residential sections and
parking areas corresponded to the zones of the
construction footprint outline (Fig. 4).
Following the results of the geodesic monitoring,
the maximum settlement value was 191 mm, which
Figure 3. Engineering-geological section along the line exceeded the maximum allowable deformations
2–2. (according to Regulations SP 22.13330.2016) equal
to 150 mm. During the inspection, the following
defects and variations in the structure of the foun-
Table 2. Settlement values for Parking Area No. 1, mm.
dation slab of Parking Area No. 1 were detected:
Months, 2016 1. Differential settlement of the foundation slab
Mark towards the A axis (by 12.5 cm).
No. 03 04 05 06 07 08 09 10 11 12 2. A longitudinal crack within the A–B axes: open-
1 18 104 107 119 131 137 132 127 127 127 ing width – up to 2 mm, depth – 240–280 mm,
2 16 43 43 49 61 66 68 64 68 68 length – 40 linear meters.
3 18 83 85 104 108 113 121 119 124 124 3. A longitudinal crack within the A–B axes: open-
4 24 114 143 185 180 185 191 189 189 189 ing width – up to 1.5 mm, depth – 220–260 mm,
Sav 19 86 95 114 120 125 128 125 127 127 length – 7 linear meters;
Smax 24 114 143 185 180 185 191 189 189 189

a square mesh of 2.8 × 2.9 m was adopted (GCE

length – 6 m).
The works were performed in the following
order:
− soil base stabilization with GCEs (November
11–27, 2015) from the ground level (before pit
excavation);
− excavation of the foundation pit for the parking
area, 40 cm off the design level (January 10–25,
2016);
− manual excavation of the pit bottom up to the Figure 4. Curves of settlements for marks of Parking
design level (March 12–17, 2016). At excavation Area No. 1.

292
4. Settlements under the residential sections and
parking areas before erection of the above-
ground part,
i.e. at approximately equal loads, differed by a
factor of 1.5–2. Moreover, the higher values of
settlements corresponded to the zones of the con-
struction footprint outline.
Significant settlements (1.5 times more than
the design values) in an unloaded condition, that
resulted in a sharp bend of the foundation slab,
were caused by significant non-uniform deforma-
tions in the base that occurred as a result of several
simultaneous causes:
1. The significant difference between settlements in
the foundation slabs of the residential sections
and parking areas is primarily due to different
depths of the GCEs that, as of the moment of
excavating the bottom of the deep foundation
pit, acted as anchor elements stabilizing it and
preventing elastic unloading as well as raising
of the surface after release of significant pres- Figure 5. Mohr–Coulomb law for the process of base
sure from the self-weight of the excavated soil. unloading.
2. Fast release of pressure from the self-weight of
the excavated soil resulted in soil destructuring,
as well as significant reduction in strength and is not met (2), using the successive approximation
deformation modulus E in the upper layer. Thus, method (Fig. 5).
the GCEs located under the foundation slabs of According to the results obtained, this value is
the parking areas, were completely within the equal to 1.9 m, i.e. the deformation parameters
active unloading area of the foundation pit and decrease by 1.5–3 times at this depth.
moved together with the weak base due to their The thickness of the compressed soil column
insufficient length. and base settlement are calculated by means of the
3. During performance of works, the structural layer-by-layer addition method, using a diagram
bonds in the upper area of the base layer in the of a linear elastic half-space according to clause
soil base were damaged due to underflooding 5.6.35 of Regulations SP 22.13330.2016 as per
(at excavation of the foundation pit to a depth equation (3), since the average pressure under the
of 9 m, a water-bearing bed at a depth of 5 m foundation bottom p ≤ σzg,0:
was penetrated) and, partially, due to freezing.
It has been established that the foundation pit
n
σ zp,i hi
s = β∑ (3)
was excavated 40 cm off the design level from i =1 Ee ,i
10.01.2016 to 25.01.2016, and after that manual
excavation of the pit bottom up to the design
where β, σzp,i, hi, Ee,i and n are the same as in equa-
level started only on 17.03.2016, which, obvi-
tion (1).
ously, resulted in freezing of the pit bottom at a
Let us consider four cases of calculating build-
depth of more than 0.4 m.
ing settlements.
Case 1. The soil characteristics are defined
4 NUMERICAL METHODS according to the results of the engineering and
geological survey. Besides, it is necessary to use
As a part of the problem to be solved, it is sug- characteristics of the EGE-5 stabilized soil that
gested to identify the size of the deconsolidated are given in the summary table of physical and
soil column based on the data of the geotechnical mechanical characteristics. The depth of the com-
monitoring and construction practice. pressed soil column – 5.28 m. Results of the calcu-
Applying the Mohr–Coulomb law for the base lations are given in Table 4.
unloading process to the construction facility Case 2. The modulus of deformation of EGE-2
under consideration, we can graphically identify where the ground-cement elements are located is
the value of the deconsolidated soil column under reduced by 3 times at a depth of 1.9 m. The char-
the foundation, where the soil strength condition acteristics of EGE-5’ given in Table 3 are used in

293
Table 3. Physical and mechanical characteristics of soils. (according to the results of the geotechnical moni-
toring, the average settlement in the foundation
Internal Modulus slab of Parking Area No. 1 was 128 mm), base soil
friction Specific of total without stabilizing ground-cement elements is con-
Density, Porosity angle, chesion, deformation,
EGE t/m3 factor degrees kPa MPa
sidered below.
No. γs e ϕs Cs E Case 3. The base characteristics are defined
according to the results of the engineering and
EGE-1 1.89 0.829 13.0 34.4 15.28 geologic survey, without account for soil stabili-
EGE-2 1.89 0.938 16.5 28.6 5.62 zation. The depth of the compressed soil column
EGE-3 1.86 0.891 13.0 34.1 10.34 – 5.13 m. Results of the calculations are given in
EGE-4 1.98 0.651 30.8 7.1 11.65 Table 6.
EGE-5 1.82 0.878 – – 39.2 Case 4. Let us find how much the EGE-2 defor-
EGE-5′ 1.82 0.878 – – 32.0 mation parameters changed at a depth of less than
1.9 m after excavation of the foundation pit, by
solving an inverse problem without account for
Table 4. Parking area settlement calculation, Case 1. GCEs. We will take into account the results of the
geotechnical monitoring stating that the average
hi, γi, Ei, σzg,i, σzp,i, si, settlement value was 128 mm. The depth of the
No. m Soil t/m3 t/m2 t/m2 t/m2 mm compressed soil column – 5.13 m.
The obtained calculation results (Table 7)
0 – – 1.89 – 17.01 5.40 –
show that the value of the deformation modulus
1 0.19 EGE-5 1.82 3,920 17.36 5.40 0.42
decreased by 2.7 times. This value corresponds to
2 0.19 EGE-5 1.82 3,920 17.70 5.40 0.42
the data of earlier researches and falls within the
… … … … … … … …
range of the values identified by N.I. Kalmykova.
16 0.15 EGE-5 1.82 3,920 22.47 5.37 0.33
But soil deconsolidation happened due to a range
17 0.19 EGE-2 1.89 562 22.83 5.38 2.91
18 0.19 EGE-2 1.89 562 23.19 5.37 2.91
of reasons: fast release of pressure from the self-
… … … … … … … …
weight of the excavated soil, soil freezing and under-
28 0.19 EGE-2 1.89 562 26.48 5.30 2.87 flooding of the foundation pit. This means that,
∑41.3
in further researches, it is necessary to determine

Table 6. Parking Area settlement calculation, Case 3.

Table 5. Parking area settlement calculation, Case 2.
hi, γi, Ei, σzg,i, σzp,i, si,
hi, γi, Ei, σzg,i, σzp,i, si, No. m Soil t/m3 t/m2 t/m2 t/m2 mm
No. m Soil t/m3 t/m2 t/m2 t/m2 mm
0 – – 1.89 – 17.01 5.40
0 – – 1.89 – 17.01 5.40 1 0.19 EGE-2 1.89 562 17.37 5.40 2.92
1 0.19 EGE-5′ 1.82 3,200 17.36 5.40 0.51 2 0.19 EGE-2 1.89 562 17.73 5.40 2.92
2 0.19 EGE-5′ 1.82 3,200 17.70 5.40 0.51 … … … … … … … …
… … … … … … … … 27 0.19 EGE-2 1.89 562 26.71 5.30 2.87
10 0.19 EGE-5′ 1.82 3,200 20.47 5.39 0.51 ∑78.5
11 0.19 EGE-5 1.82 3,920 20.81 5.39 0.42
12 0.19 EGE-5 1.82 3,920 21.16 5.39 0.42
… … … … … … … … Table 7. Parking Area settlement calculation, Case 4.
16 0.15 EGE-5 1.82 3,920 22.47 5.38 0.33
17 0.19 EGE-2 1.89 562 22.83 5.37 2.91 hi, γi, Ei, σzg,i, σzp,i, si,
18 0.19 EGE-2 1.89 562 23.19 5.37 2.90 No. m Soil t/m3 t/m2 t/m2 t/m2 mm
… … … … … … … …
0 – – 1.89 – 17.01 5.40
28 0.19 EGE-2 1.89 562 26.78 5.29 2.87
1 0.19 EGE-2′ 1.89 208 17.37 5.40 7.89
∑42.2
2 0.19 EGE-2′ 1.89 208 17.73 5.40 7.89
… … … … … … … …
10 0.19 EGE-2′ 1.89 208 20.60 5.39 7.88
the calculation. The depth of the compressed soil
11 0.19 EGE-2 1.89 562 20.96 5.39 2.92
column – 5.28 m. Results of the calculation are 12 0.19 EGE-2 1.89 562 21.32 5.39 2.92
given in Table 5. … … … … … … … …
Since the calculations of settlements, taking 27 0.19 EGE-2 1.89 562 26.71 5.30 2.87
into account reduction in deformation parameters, ∑128
do not reflect the actual situation at the facility

294
the impact of each of the above causes on soil
characteristics.
5 CONCLUSION
The above causes behind significant settlements
are, to a lesser or greater degree, also essential for
other buildings and structures with a developed
underground part, erected on highly compressed
bases made of SCSs.
Therefore, to determine excavation parameters
for the base when it is necessary to preserve the
natural structure, it is required to examine the rate
of unloading and ensure a particular height (h) of
soil (for a certain time) before reaching the design
level to balance the stress condition in silty clay
soils and provide protection against environmental
and man-made factors.
For those purposes, it is necessary to consider
theoretical solutions based on studying viscous,
elastic and plastic properties of silty clay soils,
analyzed by various scientists and geotechnical
engineers (Luchkin et al. 2007, Shashkin 2010, Ter-
Martirosyan 1990, Trufanov et al. 2013), as well as
to conduct experimental studies using compres-
sion equipment and triaxial compression devices,
modeling the process of foundation unloading and
the impact of negative technological and climatic
factors. Those studies will allow making more
accurate predictions for settlements of structures
during excavation of deep foundation pits with
regard to various types of SCSs and developing
efficient solutions to reduce such settlements.
REFERENCES
Boldyrev, G.G. 2008. Methods of determining mechani-
cal properties of soils. Current state of the issue.
Penza: Penza State University of Architecture and
Civil Engineering.
Dalmatov, B.I. & Chikishev, V.M. 1984. Determination
of foundation settlements with account for changes in
the deformation modulus of clay soil depending on
the stress state. Soil Mechanics and Foundation Engi-
neering 1.
295
Dalmatov, B.I. & Yagdanova, L.P. 1973. Compres-
sion and decompression properties of some types of
clay soils. In: Soil Engineering, Bases and Founda-
tions. Collection of Scientific Works No. 78: 53–57.
Leningrad: Leningrad Institute of Engineering and
Construction.
Gabdrakhmanov, F.G. 1981. A study on the stress-strain
state of soil at excavation of foundation pits. PhD
Thesis in Engineering. Leningrad: Leningrad Institute
of Engineering and Construction.
Golli, A.V. 2003. Monitoring of the stress-strain state of
soils in bases of structures. Rekonstruktsiya Gorodov
i Geotekhnicheskoye Stroitelstvo 5: 128–132.
Konovalov, P.A. 2000. Bases and foundations of recon-
structed buildings. Moscow: Moskva.
Krzysztof, F. 1983. Impact of structures on structural
properties of clay soils. PhD Thesis in Engineering.
Kyiv: Kyiv Civil Engineering Institute.
Luchkin, M.A., Ulitsky, V.M., Shashkin, A.G. &
Shashkin, K.G. 2007. Calculation of buildings and
structures settlements on the weak clay soils regard-
ing shear deformation with time. Soil Mechanics and
Foundation Engineering 2: 13–17.
Shashkin, A.G. 2011. The modeling of the work of soft
clayey soils massif. Soil Mechanics and Foundation
Engineering 4: 9–15.
Shashkin, A.G. 2011. Theoretical and methodological
basics of ensuring safety in construction and opera-
tion of buildings and structures in complex engineer-
ing and geological conditions of Saint Petersburg.
PhD Thesis in Geology and Mineralogy. Saint Peters-
burg: Emperor Alexander I St. Petersburg State Trans-
port University.
Sorochan, E.A. 1985. Bases, foundations, and under-
ground structures. Moscow: Stroyizdat.
Ter-Martirosyan, Z.G. 1990. Rheological parameters
of soils and design of structure bases. Moscow:
Stroyizdat.
Terzaghi, K. & Peck, R.B. 1958. Soil mechanics in engi-
neering practice. Moscow: Stroyizdat.
Trufanov, A.N., Gabsalyamov, G.U., Klimov, V.Ya. &
Sheveleva, N.V. 2013. Determination of the deforma-
tion properties of clayey soils in the vend deposits in
Saint Petersburg. Soil Mechanics and Foundation
Engineering 2: 8–11.
Ulitsky, V.M., Shashkin, A.G. & Shashkin, K.G. 2010.
Geotechnical support of urban development (prac-
tical guide for design of buildings and underground
structures under conditions of dense develop-
ment). Saint Petersburg: Stroyizdat Severo-Zapad,
Georekonstruktsiya.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

“Normal” bored injection pile with increased bearing capacity

Ya.A. Pronozin, I.S. Salnyi & D.V. Volosyuk

Tyumen Industrial University, Tyumen, Russia

ABSTRACT: The article discusses modern ways to increase the bearing capacity of piles. A new
technology of “Normal” bored injection piles with increased bearing capacity, based on the extraction
of a high-strength core and chisel from the body of the pile after its installation, followed by immersion
of the reinforcement cage, is presented. The results of pile test with static indentation load, performed
according to the traditional “Atlant” technology and the proposed “Normal” technology are presented.
The bearing capacity of the proposed “Normal” technology is comparable with that of “Atlant” pile,
which makes it possible to reduce the manufacturing cost by extracting a high-strength core and chisel and
sinking the reinforcement cage into the pile body.

1 INTRODUCTION Thirdly, when constructing pile foundations,

the volume of earthworks is minimal; this affects
Currently, the construction industry is known for a the final cost of construction industry products, as
variety of ways to build pile foundations of build- it requires less involvement of various machines,
ings and structures. According to the classification mechanisms and specialists to make foundations.
proposed by professor Mangushev, the whole vari- However, pile foundations have some flaws. Due
ety of pile foundations can be divided into: to the wide variety of designs and ways of piling,
each specific technology has its drawbacks. The
1. prefabricated piles (reinforced concrete, metal,
main, characteristic of all types of pile founda-
wooden), sunk in the ground by driving, vibra-
tions, is high construction cost.
tory pile driving, indentation, jetting, screwing;
Nevertheless, quite often when choosing the
2. piles constructed in the soil: bored (augered
foundation type for buildings and structures, there
solid section piles with and without broaden-
is no alternative to pile foundations, despite their
ing, bored hollow section piles, bored piles
high cost. Thus, the design of such pile foundations
with compacted bottomhole, bored piles with
(single piles), which will achieve the minimum cost
pedestal, bored injection piles) and in situ piles
per unit of specific bearing capacity is a current
(arranged by immersion of casing into the soil,
and relevant task. Ways to solve the problem can
vibro-stamped piles, and piles in a stamped
be the following:
bed).
1. the right choice of the pile technology, selec-
Such a vast variety of pile foundations testi-
tion of optimal geometric parameters of piles
fies to the continuous improvement of the applied
(diameter and length) and mortar composition,
structures and methods of their design.
which will allow to increase the bearing capacity
Firstly, this is due to the fact that with a constant
of the used piles without a significant increase
increase in the pace of urbanization, new “unfavo-
in the cost of work;
rable” ground conditions, for example, extensive
2. the use of high-tech, including small-sized, pro-
marshy and peaty areas, have to be mastered for
ductive and maintainable equipment for pile
the urban development, and pile foundations allow
installation;
cutting through the thickness of weak soils and
3. material savings: the development in each case
transmitting loads from buildings and structures
of the optimal scheme of pile shaft reinforce-
on compact soils.
ment (for the entire length, part of the length,
Secondly, an important advantage of apply-
without reinforcement).
ing pile foundations in the current dense urban
development (in cramped conditions) is that, using Obviously, from the list presented, the most
indented or bored piles (including bored injection effective way is to increase the bearing capacity
ones), it is possible to construct new buildings and of piles. It is known that the bearing capacity of
structures close to existing ones without making piles depends on the design soil resistance under
enclosures and retaining walls. the lower end of the pile for column piles and

296
additionally on the perimeter of the cross-section
of the shaft for hanging piles. Generally, for col-
umn piles and hanging piles, the formula to define
the bearing capacity is as follows (for column piles
the second summand vanishes):
( )
Fd = γ c γ cR RA + u ∑ γ cf fi hi , (1)
where Fd is the bearing capacity of the pile, kN; γc
is the coefficient of pile operation in the soil; γcR,
γcf are the soil operation coefficients, respectively,
below the lower end and on the lateral surface of
the pile, taking into account the influence of the
method of pile sinking on the calculated soil resist-
ance; R is the design soil resistance under the lower
end of the pile, kPa; A is the bearing surface of
the pile in the soil, 2 ; u is the outer perimeter of
the transverse pile shaft, m; fi is calculated resist-
ance of the ith layer of the base soil to the lateral
surface of the pile, kPa; hi is the thickness of the
ith soil layer in contact with the lateral surface of
the pile, m.
Analyzing formula 1, it can be concluded that it
is possible to increase the bearing capacity of the
pile Fd without changing the soil properties either
by increasing the bearing area of the pile, or by
increasing the diameter of the pile shaft, which
will allow expanding its outer perimeter. Another
effective way to increase the bearing capacity of
piles is to increase horizontal stresses in the soil,
performed by regulating the stress-strain state of
the soil, which ultimately leads to the increase in
the design soil resistance of the foundation at the
lateral surface of the pile fi (Pronozin et al. 2016).
Considering that in fairly weak soils, the share of
pile bearing capacity on the lateral surface accounts
for about 70–80%, this method is relevant.
2 REVIEW OF LITERATURE
Today, a number of methods have been developed
and successfully used to increase the bearing area
of the end of the pile. There are classical methods
such as bored piles with a drilled enlarged pedestal
(Kovalev 2009), bored piles with pedestal (Blashchuk
et al. 2014), and bored piles with a lost shoe
(Bogdanova 2017). An innovative method is the
use of piles with controlled broadening, proposed
by Samokhvalov (Samokhvalov 2016, Pronozin
et al. 2018, RF Patent No. 2522358 2014). The
essence of this method lies in the use of a rubber
tip, which, when pumping mortar, inflates, thus
creating an enlarged and compacted contact area
around itself.
Among the methods for increasing the cross sec-
tion perimeter of a pile shaft, a promising method
297
is one that allows making a bored injection pile
with controlled broadening (RF Patent No.
156035 2015). The pile contains an injector pipe
with injection holes evenly spaced along the length
and a polymeric elastic shell. The peculiarity is that
the elastic shell is located along the entire length
of the injector pipe and is hermetically attached
to it at the beginning. The pile shaft is filled with
mortar under pressure through the hollow perfo-
rated injector pipe, along which the elastic stretch-
ing shell is located. The shell allows controlling the
spread of the mortar along the entire length of the
pile and adjusting its shape. Besides, the size of
the shell increases in the transverse direction, due
to which compression and prestressing of the soil
base along the lateral surface of the pile occurs.
In modern construction practice, driven rein-
forced concrete piles, bored and bored injection
piles are most common.
Production of driven reinforced concrete piles
has been mastered by industry for a long time.
The main advantage of these types of piles is the
delivery of ready-to-immerse structures to the site,
the ability to control and check the quality of the
piles during their manufacturing at the factory.
The main disadvantages include the impossibility
of widening the end of the pile when resting on the
soil, dynamic effects when the pile is immersed in
the soil, which limits their use near existing build-
ings and structures, as well as the limited release
length of one pile: the maximum length of one
driven reinforced concrete pile is 12 m, which leads
to the need to extend the length of individual piles,
which increases the cost of work. Moreover, this
is a fairly responsible undertaking, which is not
always properly performed in the conditions of the
construction site.
The use of bored piles as foundations of build-
ings and structures is also a long-studied method
and originates from 1899, when Russian engineer
Strauss first proposed these types of piles. The
main advantage of bored piles is the possibility
of their application to a greater depth and lack of
dynamic effects. The disadvantages include the dif-
ficulty of work quality control (soil and concrete
mixing can occur), the need to use protective cas-
ing pipes or protective clay mortar that preserve
the walls of the well and prevent the collapse of the
soil in the bottom-hole.
Bored injection piles are a relatively new type
of piles (Hakam et al. 2018). Today, bored injec-
tion piles is one of the most demanded construc-
tion technologies. The main areas of use of bored
injection piles are reinforcement of existing foun-
dations and bases, use as foundations and fences
during construction next to previously erected
capital construction objects, while reconstruct-
ing existing buildings and structures (extension,
addition, basement construction, etc.), construc-
tion in difficult soil conditions, use as anchors, etc.
Such an extensive area of application for bored
injection piles is due to their advantages compared
to traditional foundation types, such as rather high
specific bearing capacity of piles on the soil with
practically no technological settlements, no need
for excavation works (construction of pits and
trenches), and, therefore, without dynamic impact
on the soil base, unlimited depth of the piles, use in
any soil conditions, use of small-sized equipment,
allowing to apply bored injection piles in cramped
conditions and many other factors.
Currently, one of the most advanced methods of
applying bored injection piles is German technol-
ogy called “Titan” (Müller 2010) and the domestic
counterpart “Atlant” (Malinin 2009, Chizh et al.
2018), based on the use of high-strength hollow
tubes interconnected with couplings as the core of
the pile, which provides high strength and tightness
of the connection. The core after drilling and pile
shaft formation remains in the well as a reinforcing
element, which leads to a one-time use of the drill
bit, high-strength pipes and couplings. In connection
with the above, the construction of bored injection
piles according to “Titan” and “Atlant” technologies
leads to a high cost of work, mainly due to the loss of
a high-strength core, which is the main disadvantage.
Taking into account high reliability and demand
for bored injection piles, it can be concluded that it
is relevant to develop the technology for the instal-
lation of bored injection piles with the extraction
of a high-strength core and a chisel after the forma-
tion of the pile shaft and subsequent diving of the
reinforcement cage or a single rod to the required
length into the well. The use of this technology
will make it possible to reuse high-strength hollow
pipes and drill bits and thereby reduce the cost of
work, which, given the scale of the use of bored
injection piles in construction, will lead to a sig-
nificant economic effect. Also, an important and
relevant area of research is to increase the bearing
capacity of bored injection piles by creating addi-
tional lateral resistance along the pile shaft, which
can be achieved by using expanding additives or
cements when installing piles (gypsum-alumina
cement GGRC, portland well cement with addi-
tives of PWC, NC-40, NC-60, etc.), regulation of
mortar mobility, the use of a variety of technologi-
cal methods.
The authors have developed and are researching
the technology called “Normal”. The main advan-
tages of the proposed bored injection piles tech-
nology in comparison with the analogues are:
1. repeated use of reinforcing cores by replacing
traditional couplings with tapered threads with
easily removable connecting elements, which,
298
providing the necessary density and strength
of the connection, will allow the rods to be
unscrewed for later use;
2. the use as a reinforcing element of a steel rein-
forcement cage or a single rod, immersed in the
body of the bored injection pile after removing
the hollow high-strength rods to ensure reliabil-
ity and reduce the cost of work;
3. the ability to use an injected mortar based on
self-expanding cement, changes in the mobil-
ity of the mortar mixture and changes in the
technological methods of work, leading to an
increase in the bearing capacity of bored injec-
tion piles.
The introduction of the proposed product is a
competitive alternative to Dutch Continuous Flight
Auger (CFA) technology of bored injection piles
installation (Sokolov 2018) and German Drilling
Displacement System (DDS) technology (drilling
wells without soil extraction, carried out by its roll-
ing), which are also based on the well formation,
mortar injection under pressure, the extraction of
the forming core and the subsequent immersion
of the reinforcement cage. However, for CFA and
DDS technologies, special dimensional equipment
is required, while for piling according to “Normal”
technology, small-sized equipment is used that allows
performing work in cramped conditions, including
basements of existing buildings and structures.
3 RESEARCH METHODS
To assess the bearing capacity of piles made
according to this technology, the authors devel-
oped an experimental research program. The field
test site is located in the center of Tyumen on the
territory of the reconstructed kindergarten No.183
at the address: Murmanskaya str. 19. The experi-
mental site is composed of silty-clay soils from stiff
to soft-plastic consistency within the depth of pile
installation.
According to the “Normal” technology, a
pile 7.0 m long and with an outer diameter of
0.200 m was made. The pile was constructed using
“Figaro” drilling rig and “MINI” injection com-
plex (Malinin 2008) (Fig. 1).
After reaching the design depth and the pile
shaft formation, high-strength pipes and chis-
els were extracted. The well was pressurized with
cement mortar (Portland cement CEM II/V-Sh
32.5 N) with a water-cement ratio of 0.5 (Ulit-
sky 2007). After that, a triangular frame was
submerged in the body of the pile, consisting of
reinforcing rods of A400 class with a diameter of
0.014 m (Fig. 2) to a depth of 6.0 m.
At a distance of 2.4 m, the pile was made accord-
ing to “Atlant” technology with a length of 7.0 m
Figure 1. Equipment applied for bored injection piles.
Figure 3. Diagram of the test installation.

Figure 2. Scheme of the reinforcement cage.

Figure 4. Load-settlement graph for test piles.

and an outer diameter of 0.200 m. After reaching
the design depth and hydraulic-pressure testing of
the well, the high-strength steel core was left in the Table 1. The results of indentation load test of the piles.
body of the pile as a reinforcing element. Fu, kN Fd, kN N, kN

4 RESEARCH RESULTS “Normal” pile 320 300 250

“Atlant” pile 340 320 267
To determine the bearing capacity of the piles According to the CR – 244 174
24.13330.2011
made according to “Normal” and “Atlant” tech-
nologies, pile tests were carried out with a static
indentation load in accordance with GOST 5686.
capacity Fd, and the design load transferred to the
The test installation is shown in Figure 3.
pile N were determined, taking into account the
The loading was carried out with DGA100P100
soil reliability coefficient γc.g (Table 1).
hydraulic jack. Vertical movements of the test piles
Analyzing the graphs presented in Figure 4, it can
and anchor piles were measured by dial gauges of
be concluded that both graphs are almost identi-
ICh 50.000 PS modification of accuracy class 1
cal. This fact indicates that “Normal” and “Atlant”
with a scale value of 0.01 mm. The test results are
piles have the same nature of operation and work
presented in Figure 4.
in a similar range of loads and deformations.
In accordance with the CR 24.13330.2011, the
The presented graph shows that the collapse of
bearing capacity of the bored injection pile with
the pile made according to “Normal” technology,
adopted geometrical parameters for the indenta-
occurred at a load of 320 kN, while “Atlant” pile
tion load is 174 kN.
collapsed at a load of 340 kN.
According to the graph, which characterizes the
4.1 Key findings work of “Normal” pile, it is clear that the linear
After static indentation load testing, the ulti- character of pile operation remains up to a load of
mate resistance of the test piles Fu, their bearing 160 kN, which is 50% of the maximum load.

299
 The graph clearly shows that the linear charac-
ter of “Atlant” pile operation is maintained up to
a load of 120 kN, which is 35% of the maximum
load.
When removing static indentation load from the
piles, the residual settlement of “Normal” pile was
34.7 mm. The residual settlement of “Atlant” pile
made up 31.7 mm. In the first case, the residual
deformations made up 81.6% of the maximum reg-
istered settlement at the pile collapse, in the second
case – 72.0%.
The bearing capacity of the tested piles was
higher than the one determined in accordance with
the CR 24.13330.2011.
5 CONCLUSION
After carrying out the indentation test, the bearing
capacity of the studied bored injection piles Fd was
determined. For the pile made according to “Nor-
mal” technology, the bearing capacity was 300 kN,
for the pile made according to “Atlant” technology
– 320 kN.
The bearing capacity of “Normal” bored injec-
tion pile is comparable with the bearing capacity of
the pile made according to the traditional “Atlant”
technology. The difference is 5.9%.
At the same time, with almost equal bearing
capacity, it was possible to reduce the cost of the
pile by extracting a high-strength core and chisel
and immersing the reinforcement cage into the pile
body.
For a detailed analysis of the operation of “Nor-
mal” bored injection piles and the development of
the most effective technology for their installation,
the authors set the following research tasks:
1. conduct an experimental study of the opera-
tion of bored injection piles under load
according to the developed technology with
various reinforcement patterns: frames, single
rods, rolling sections, the absence of reinforc-
ing elements;
2. perform theoretical studies of the stress-strain
state of the soil base with an assessment of the
effect of various parameters on the bearing
capacity of bored injection piles;
3. compare the obtained results with analytical cal-
culations and the results of numerical modeling;
4. carry out a feasibility study of the use of the
developed technology;
5. develop and test the method of calculation for
the proposed “Normal” piles.
300
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piles with controlled broadening with a silty clay base.
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techniques. 3(12): 193–215.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Real-time vibration monitoring

I.I. Sakharov
Saint Petersburg State University of Architecture and Civil Engineering, Saint-Petersburg, Russia

M.A. Shashkin
Georekonstruktsiya Institute, Saint-Petersburg, Russia

S.I. Nizovtsev
National Research Institute of Information Technologies, Mechanics, and Optics, Saint Petersburg, Russia

ABSTRACT: In any geotechnical monitoring that assists construction operations, vibration

measurement is an integral part. Yet, the criteria for estimating technogenic vibration hazard are missing
in the current regulatory documents. Such criteria are expected to take into account a variety of factors
encompassing the dynamic parameters of protected buildings and structures, and the frequency content
of the vibrations affecting them. This article presents the experience of using the advanced system of real-
time vibration monitoring, as well as the approach enabling to obtain the frequency-dependent criteria for
each specific building or vibration excitation type. Special focus is laid on monitoring control.

1 INTRODUCTION 2 STATE-OF-THE-ART REVIEW

Measuring the vibration impact as part of geo-
technical monitoring within the zones of new
construction (reconstruction) or subsurface utili-
ties, represents a complex and challenging task. Its
relevance is explained by the potentially negative
effects the various technogenic sources of vibra-
tion have on foundation soil and buildings no mat-
ter whether these are close or far from sources of
vibration. Technogenic vibration may cause dis-
comfort in humans, interfere with operation of
high-precision equipment, and lead to cosmetic
damage of buildings or, in worst cases, state of
failure.
The process of vibration estimation should
encompass and be governed by the tasks of ensur-
ing: a) operational safety of engineering structures
and their foundations; b) that vibration levels meet
permissible range; and c) trouble-free performance
of vibration-sensitive equipment. In practice, how-
ever, vibration estimation is never as integrated as
this, targeting exclusively the vibration which is
likely to alter the state of engineering structures.
Moreover, there is no commonly accepted meth-
odology in Russia that would be comprehensive
enough to consider the entire variety of factors
contributing to building vibration.
Vibration is known to cause extra loads on struc-
tural components of buildings. Together with
fatigues accumulated in the material, these extra
loads lead to small cosmetic cracks or, in worst cases,
partial or even complete collapse (Kaliuzhnyuk
1989).
The current methodologies for estimating techno-
genic vibration are amplitude-based and vary greatly
from country to country. Differences are mainly
found in wave parameters to be measured (transfer,
velocity, acceleration) and measurement points (soil,
foundation, floor structure), among others.
2.1 Vibration assessment methods in Russia
(USSR)
The current methods for estimating the vibration
exposure of buildings are of empirical or sem-
iempirical nature, failing to reflect the complete
physics of the phenomena occurring in the soil
ground under the influence of propagating waves.
Therefore, the evaluation such methods produce is
very approximate. Below is the brief overview of
the current documents established in the Russian
Federation to regulate procedures for assessing the
dynamic impacts.

301
 The Guidance on Vibratory Driving of Shell-Type prescribe vibration criteria (maximum vibration
and Sheet Piles Near Buildings (1981) prescribes intensity), principles for measuring building and
the allowed vibration velocity for grounds near foundation ground vibration, and procedures
buildings, at which no post-settlement and, conse- for estimating frequency content of technogenic
quently, no additional damage would occur in the vibration, among others.
buildings. According to this Guidance, the selec-
tion of the vibration velocity must, in each partic-
2.2 International practices of vibration assessment
ular case, be preceded by identifying the building
conditions, i.e. the type of underlaying ground and Distinguishable among the international docu-
the type of the surrounding structures (Guidebook ments regulating the building vibration meas-
on Structural Dynamics 1972). urement process are those applied in Germany,
In 1987, the Industry Building Code BCH Norway, and Great Britain. Also, there is ISO 4866,
490-87 came into force, according to which any an internationally accepted standard that sets the
dynamic impact from installing piles or pile sheet- general principles of building vibration estimation
ing must meet the level enabling normal operation and related data processing. However, no reference
of buildings and subsurface utilities. The Code is made in ISO 4866B to concrete maximum kin-
specifies the procedure for calculating the toler- ematic vibration.
ance distance at which piled foundations and sheet Most detailed, in our opinion, is the vibration
piles are unlikely to cause deformation in the struc- assessment method given in German Industrial
ture base, with the allowed foundation vibrational Standard DIN 4150-3:2016 as it encompasses a mul-
amplitude expressed in the rate of acceleration. titude of physical processes that accompany vibra-
The Piled Foundation Design Regulations tion and requires that vibration should be measured
CII 24.133330.2011 contain recommendations on not only in the foundation, but also floor decks.
reducing the negative dynamic impact from pile Integrated assessment is the ruling principle of
driving. It requires that at a distance from the Norway’s standard NS 8141:2001. It covers the
pile to be driven, the vertical foundation vibration vibration from earthwork, demolition works, and
velocity must not exceed the maximum permissible traffic, and prescribes that maximum vibration
level established for a particular building or struc- velocity be calculated based on the type of ground,
ture based on its design features and technical state. the type of building, the distance between vibration
The Territorial Design Regulations for Founda- source and measurement point, and the type of
tions of Buildings and Structures in Saint-Petersburg epy vibration source. Tailored to ensure structural
TCH 50-302-2004 contains a set of criteria seeking safety, this standard, however, obstructs the use of
to minimize the technogenic impact on the founda- some of geotechnological solutions (Svinkin 2917).
tion soils. One of them seeks to prevent structural The national British standard BS 7835-2:1993
damage in fragile soils (loamy soil, sandy silt, etc.) relates to short-term vibration. It prescribes
exposed to anthropogenic impact.
Even though there is no dedicated method for
assessing the impact adjacent buildings experience Table 1. Key vibration monitoring parameters to be
from demolition work, some instructions are given measured under regulatory standards.
in Technical Guides PTM 36.22-91 “Determining Minimum
the Critical Vibration Levels for Protected Sites amplitude Frequency
Prior to Foundation Blasting or Reconstruction- Document criterion content
Related Demolition”. This document specifies the
allowed levels of foundation ground vibration dur- 1981 Guidance 4 mm/s +/–
ing demolition and sheltered explosive works. Industry Building Code 0.15 m/s2 +/–
October 2008saw the start in Russia of GOST BCH 490-87
R 52892-2007, a standard offering the method for Piled Foundation Design 4 mm/s –
calculating the technogenic vibration impact on Regulations C∏
buildings; measurement instructions; and sum- 24.133330.2011
mary of recommended numerical criteria and coef- Territorial Building 0.15 m/s2 –
Regulations TCH
ficients. The latter are obtained from observations
50-302-2004
and experimental studies conducted abroad (Great Technical Guides 2 mm/s –
Britain, Germany, Norway, USA). This standard PTM 36.22-91
represents a pool of the translated standards pre- GOST R 52892-2007 3 mm/s +
sented in Section 2.2. below. DIN 4150-3:2016 3 mm/s +
Our analysis of the existing methods and NS 8141:2001 3 mm/s –
regulations enables a conclusion that there is no BS 7835-2:1993 15 mm/s +
commonly accepted standard in Russia, that would

302
velocity thresholds for foundations of two types of
buildings.
Even though the above documents contain
numerical criteria (velocity thresholds) of vibra-
tion estimation, they miss out on the completeness
of the actual technical state of buildings (and their
individual dynamical characteristics), as well as
geotechnical features of protected sites. Also, some
of the international standards fail to duly consider
the frequency content of vibration and the poten-
tial resonance in structures and foundation soils.
The measurable values and the minimum
allowed vibration levels, as set out in the above
mentioned documents, are summarized in Table 1.
3 THE CONCEPT OF INTEGRATED
VIBRATION MONITORING
Effective monitoring of a protected site consists in
continuous surveying of its state and is seen as a
tool for detecting of and responding to, in timely
manner, any negative exposures and potentially
hazardous tendencies (Ulitsky 2013). Performed
as part of overall geotechnical monitoring, vibra-
tion measurement is what allows for maintaining
the allowed levels of vibration in buildings and
their foundations during and after the construc-
tion process. The selective monitoring of vibra-
tion fluctuations alone, which must be supported
by established standards, is insufficient, leading
to overlooked cosmetic defects or, in some cases,
severe damage (Shashkin 2018, Mangushev 2018).
A more effective vibration monitoring can be
achieved through continuous, real-time surveys.
Moreover, the real-time mode enables interactiv-
ity, i.e. control over construction operations. The
authors have come up with their own concept of
the integrated, real-time vibration monitoring.
In involves, in addition to instrumental measure-
ments, dynamic survey of buildings; test meas-
urements; identification of vibration estimation
criteria; and well-adjusted system for alerting the
responsible personnel in case vibration exceeds the
allowed limits.
3.1 Dynamic survey
Based on the commonly accepted principles of
structural dynamics (any engineering structure
represents a mechanical system with its own period
of self-vibration; the closer the period of self-
vibration, the more intense the effect of induced
vibration in the building), it is evident that ground
vibration should be estimated not only in terms
of its absolute intensity, but also in terms of the
relationship between industry- and self-induced
vibrations. In this regard, two tasks arise, one
303
to determine the frequency range in vibration-
exposed buildings, and the other to determine the
ground vibration frequency variation range dur-
ing technogenic impact (Sadovsky, & Nersesov).
By surveying the dynamic performance of build-
ings (engineering and seismometric monitoring)
that fall within the zone of possible technogenic
impact, it becomes possible to determine the peri-
ods (frequency) of their self-induced vibration.
Such survey should cover not only bearing walls
(or framing members), but also floor decks. The
dynamic survey is carried out by way of recording
two types of vibration in buildings—self-vibration
and induced vibration (microseismic noise, urban
background). Measurements are made with the
use of mobile seismographs able to register the
vibrations of 0.1 Hz and over. The survey should
be conducted prior to the start of construction
operations, when the dynamic impacts in the vicin-
ity of the site are zero. It seeks to obtain the nat-
ural frequencies in the building and its elements.
These frequencies are used in assessing the current
technical state of the building structure and repre-
sent a parameter to be monitored throughout the
entire monitoring period. The frequency range of
fundamental tone is determined based on the Fou-
rier transform power spectra (Antonovskaya 2016,
Rogozhkin 2011).
Where the building under monitoring is an archi-
tectural monument or dilapidated building, trans-
fer functions will be build and analyzed, that are
indicative of the extent of change in the building
structure (or in its elements). One of the authors
has contributed to the development of a method
to estimate the changes occurring in spatial rigid-
ity of bearing elements. This method relies on the
coherence function analogous to correlation coef-
ficient, which, in turn, reflects the linear relation
between harmonic components of the oscillating
process. With regard to fundamental tone frequen-
cies, the coherence function defines, among other
things, the extent of fissuring in bearing elements
and weakening of joints (Tatarkin 2017).
3.2 Test measurements
Once the visual observations and the dynamic
survey are completed, points will be identified for
locating the vibration sensors (the foundation or
the lower part of the wall which is closest to the
source of vibration in the bearing wall; the upper
floor deck; and the structural elements showing
“anomalous” dynamic parameters). Then, vibra-
tion will be induced in test mode and test measure-
ment performed. Test measurements are designed
to verify that the vibration sensors are located cor-
rectly and to issue, under certain conditions, rec-
ommendations on workflow. They target to survey
the structural response to the vibration source—by
way of determining the frequency of dominant in
oscillating process.

3.3 Vibration estimation criteria

Based on the data obtained (preliminary survey;
background values variations; frequency param-
eters of excitation source), the core criterion will
be established, i.e. the maximum allowed vibra-
tion velocity for foundation and floor deck of the Figure 1. Accelerogram of the vibration experienced by
building. Other criteria will be selected based on the foundation during sheet pile driving.
Annex B.1 to GOST R 52892-2007, with account
of the natural frequency in the building and the
dominant in the vibration frequency, and on the
assumption of zero resonance.

3.4 Fixed monitoring system

The vibration sensors to be mounted on the build-
ing under monitoring are elements of the fixed
monitoring system designed to register, store, and
communicate (GSM) the vibration data to the
monitoring center for further analysis. Signals are
processed semi-automatically, i.e. once the opera- Figure 2. Velocigram of the vibration experienced by
tor receives the “intermediate criterion alert” (nor- the foundation during sheet pile driving. Components
mally, the intermediate criterion normal equals 1/3 X, Y, Z.
of the maximum allowed value), they start a more
detailed analysis of oscillations “manually”.

4 EXAMPLES OF TRIAL APPLICATION

Our automated, interactive system for vibration

monitoring was tested on several sites. Structural
vibration was measured during vibratory pile driv-
ing and during dismounting operations on a his-
torical building in Saint-Petersburg.
During the vibratory pile driving, the real-time
vibration monitoring covered several residential
buildings within the zone of influence from new
construction. According to Building Regulations
11-105-97, the site was classified as complexity cat-
egory III. The sheet pile was driven at a distance of
some 20 m from the protected building. The meas-
urements showed that the vibration in its founda-
tion approximated 150 mm/s2—the level defined as
permissible according to territorial building regu-
lations TCH 50-302-2004 (for the given complexity
rating). The accelerogram of the vibration experi-
enced by the foundation during sheet pile driving
is presented in Figure 1.
The peak value of the vibration velocity
amounted to 0.75 mm/s (Fig. 2), meeting even
GOST R 52892-2007 which poses the strictest of
requirements.
The spectral analysis enabled to identify vibra-
tion dominant – 39.5 Hz. The natural first mode
Figure 3. Fourier spectrum. Dominant frequency in
sheet pile driving process. Natural frequency of the
building.
frequency was measured 2.7 Hz, meaning that the
oscillations generated by the sheet pile driving were
unable to cause resonance in the building (Fig. 3).
The sheet pile driving operations had been duly
authorized.
The interactive function of our real-time
vibration monitoring was fully realized during
the restoration works on the brick vaults of the
19th-century specimen of industrial architecture.
This building was exposed to the vibration from
removing of its concrete floor. Given the task of
preserving the original masonry vaults, we adopted
the frequency-dependent criterion of vibration
estimation, which rules out any occurrences in the
vaults of resonance.

304
 The vibration monitoring was two-stage: stage 1
involved the survey of dynamic performance in
the entire building and each separate vault; and
stage 2 was to monitor vibrations in the masonry
vaults in real-time mode. At stage 1, natural vibra-
tion levels were obtained for all of the vaults.
Depending of the state and configuration of the
vaults, their natural frequencies varied between
10 Hz and 15 Hz. Figure 4 shows the amplitude-
frequency spectrum in one of the vaults, in verti-
cal direction.
Componentially, our system for real-time vibra-
tion monitoring consisted of a set of the vibra- Figure 6. Spectrogram of the vibrations in vault during
tion sensors mounted on the vaults (Fig. 5) and a the operation of hydraulic hammer.
control unit to register and communicate the read-
ings to the operator.
Prior to removing of the concrete floor, meas- unwanted resonance. The dismantling opera-
urements were taken of the vibration from the tions were stopped and recommendations to use
construction equipment in order to identify most lighter, safer equipment issued. Manual pneu-
sparing technology. All signals were recorded and matic hammers had proven more sparing: the
processed in real-time mode. Originally, the con- frequency mode they generated was 25–27 Hz
tractor intended to remove the floors with the and did not coincide with the natural frequencies
use of mini excavator and hydraulic hammer. The in the building and its vaults. As to the mini exca-
trial measurements taken by Georekonstruktsiya vator with the bucket for removing the concrete
experts, however, showed that the hydraulic ham- floor slabs, the in-situ measurements had shown
mer had the frequency range coinciding with the the expediency of its use on condition of prior
natural frequency in the vaults, as can be seen from disjointment of the floor slabs from the walls to
the spectrogram below (Figure 6). avoid direct vibration impact. Also, the cater-
The obtained results confirmed that the pillar track of the mini excavator was replaced
operating hydraulic hammer was likely to cause with rubber wheels so as to avoid episodically
occurring oscillations of unwanted frequency
(Shashkin 2017).

5 CONCLUSIONS

1. The presented analysis of the current manuals

and regulations (used domestically and abroad)
on measuring and evaluating the effect of
technogenic vibration on foundation soils and
buildings, enables a conclusion that they lack
completeness. The current standards miss out
on the instructions on the procedure for deter-
Figure 4. Natural frequency range in vault. mining kinematic vibration. Moreover, a whole
series of regulations fail to account of the fre-
quency content of technogenic vibrations.
2. A concept is developed by the authors of the
real-time vibration monitoring that allows for
interactive response to excessive vibration and,
consequently, altering of the building technol-
ogy in use in order to reduce vibration exposure
of protected sites. The system of integrated
vibration monitoring should involve prior
dynamic survey of the building; identification
of vibration estimation criteria; and monitor-
ing of the changes in dynamic parameters and
spectral characteristics of the building and its
Figure 5. Vibration sensor mounted on masonry vault. foundation soil.

305
3. Examples are presented of the trial application
of the proposed vibration monitoring concept
to a number of buildings in Saint-Petersburg.
REFERENCES
Antonovskaya, G.N. et al. 2016. Seismic approach of test
impact for the estimation of state structures: Results
and opportunities. 12th Conference and Exhibition
Engineering Geophysics 2016.
Guidebook on Structural Dynamics. B.G. Koreneva &
I.M. Rabinovich (eds.). M.: Stroyizdat., 1972. – 511 p.
Kaliuzhnyuk, M.M. & Rud’, V.K. 1989. Pile Driving
Operations in Reconstruction Projects (Vibration and
its impact on buildings and structures). L: Stroyizdat.
Leningrad Office. 160 p.
Mangushev, R.A. et al. 2018. The Geoengineering of
Saint Petersburg. Construction Projects on Soft Soils:
Monograph. M.: ACB Publishing, 386 p.
Rogozhkin, E.A. et al. 2011. Methods of integrated
seismic monitoring of buildings, structures, and
their sites: Natural and anthropogenic risks. M., 4,
pp. 33–41.
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Sadovsky, M.A. & Nersesov, I.L. Forecasts of earth-
quakes on the basis of complex geophysisical features.
Tectonophysics.
Shahkin, A.G. et al. 2018. Geotechnical Challenges of
Underground Spaces of Saint Petersburg. Geoengi-
neering. M.: Geomarketing Publ. Iss. 3. pp. 8–23.
Shashkin, A.G. 2017. Real-Time Vibration Monitoring
for Repair and Construction Operations. Industrial
and Civil Engineering. M.: PGS Publishing Ltd. Iss.12,
pp. 53–59.
Svinkin, Mark R. 2017. A choice of proper criteria for
soil and structural vibrations from construction and
industrial sources. ICSMGE 2017–19th International
Conference on Soil Mechanics and Geotechnical Engi-
neering, Seoul, pp 1589–1592.
Tatarkin, S.A. et al. 2017. The study and monitoring of
nonlinear, microdynamic properties of soils for better
structural reliability and behavior in geologically chal-
lenging conditions. Devices. M. 3 (213), pp. 14–23.
Ulitsky, V.M. et al. 2013. Preservation and reconstruc-
tion of historic monuments in Saint Petersburg with
provisions for soil-structure interaction. Geotechnical
Engineering for the Preservation of Monuments and
Historic Sites.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Computational method for soil frost heaving characteristics determination

I.I. Sakharov
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: Frost heaving of soils is a very common phenomenon typical for many regions of
the world. In the last decade, new solutions have been introduced into construction practice. Shallow
Foundations (SF) and Surface Foundations (SuF) are gaining popularity in the field of low-rise
construction. For buildings with a deep underground part, “slurry wall” is often used as an external
enclosing structure. In the instances noted, in the North, base freezing in SFs and SuFs is allowed, and
soil in contact with vertical planes of trench walls freezes if pit opening is conducted in winter. In those
cases, it is often necessary to take into account deformations caused by frost heaving and evaluate forces
affecting structures. To estimate the effect of frost heaving on structures, it is required to have information
on main characteristics of this phenomenon. Those are, first of all, deformations representing the source
of heaving forces (tangential and normal). The article proposes to determine all parameters of frost
heaving, including normal forces, by calculation.

1 INTRODUCTION maximum approximation to natural conditions.

Frost heaving of soils is a very common phenom-
enon typical for many regions of the world. It takes
on particular importance in Northern and Eastern
regions of Russia, where the depth of freezing can
reach 4 m. In the last decade, new solutions have
been introduced into construction practice. Shal-
low foundations (SF) are gaining popularity in the
field of low-rise construction. For buildings with a
deep underground part, “slurry wall” is often used
as an external enclosing structure. In the instances
noted, in the North, SF base freezing is allowed,
and soil in contact with vertical planes of trench
walls freezes if pit opening is conducted in winter.
Obviously, it is not always economically reasonable
to use thermal insulation which allows minimizing
freezing, and, therefore, it is often necessary to take
into account deformations caused by frost heaving
and evaluate forces affecting structures.
To estimate the effect of frost heaving on struc-
tures, it is required to have information on main
characteristics of this phenomenon. Those are,
first of all, deformations representing the source
of heaving forces (tangential and normal).
Methods to determine mechanical charac-
teristics of soils in the Russian Federation are
described in relevant State Standards (GOSTs).
Frost heaving deformations should be determined
in accordance with the requirements of the State
Standard GOST 28622-2012 “Soils. Laboratory
method for determination of frost-heave degree”.
As it is known, for correct use of laboratory test
data in practice, it is required to ensure their
However, only one of the conditions of laboratory
tests, namely, the pressure on the sample, which
can be taken equal to the pressure under the bot-
tom of an actual foundation, allows its subsequent
use in practice. Other requirements as those for a
rigid cartridge, constant temperature gradient of
0.4 deg/cm and constant level of water maintained
under the sample do not correspond to natural
conditions. In this regard, the value of results
obtained in a laboratory will be extremely low.
In research practice, small models in trays
are often used for tests. The results obtained are
expanded to natural scale using scaled coefficients.
However, as it was shown by Sakharov (1997),
modeling of temperature fields, due to the fact that
it is necessary to simultaneously consider the Fou-
rier criterion and the Stefan condition, requires the
model and object to be made of the same mate-
rial, and modeling of the stress-strain state within
a mixed problem, requires, on the contrary, differ-
ent materials. In other words, conditions for mod-
eling of freezing and heaving processes come into
conflict and are mutually exclusive. In this regard,
small-scale modeling of frost heaving in trays does
not give satisfactory results.
Thus, correct modeling of freezing and heaving
processes is possible in the field only. Obviously,
construction of a whole range of experimental
foundations allows determining not only heaving
deformations but also values of tangential and
normal forces. However, such experiments are
time- and effort-consuming, expensive, and site-
specific. Hence it follows that it is necessary to

307
look for another way to determine characteristics
conditioned by freezing and heaving.
It is clear that if physical methods do not give
acceptable results, attempts to determine param-
eters of the phenomenon by means of calcula-
tions will be logical. For that purpose, a theory
adequately reflecting the main aspects of the phe-
nomenon is required. However, despite more than
a century of studies, the final theory of frost heav-
ing has not been developed yet.
One of the first evaluations of heaving deforma-
tions, connecting those with crack development in
freezing soils, was proposed by V.I. Shtukenberg as
far as in the 19th century (Shtukenberg 1885). How-
ever, this theory was criticized by N.A. Tsytovich,
and the ideas linking the vacuum in the freez-
ing zone with moisture migration were brought
back only in the 1950s (Gapeev 1956). However,
this work got little attention, and, until recently,
the adsorption film theory of moisture migration
prevailed in mechanics of frozen soils (Bouyoucos
1923, Hoekstra 1966, 1969, Orlov 1962, Taber
1930 and others).
Summarizing an overview of the nature of
moisture migration, N.A. Tsytovich states that “...
all driving forces of moisture migration represent
a function of electric molecular forces of soils”
(Tsytovich 1973). In other words, surface forces.
Along with that, microstructural and acoustic-
emission studies carried out in the 1990s clearly
established mass development of cracks during soil
freezing (Sakharov 1994). Direct measurements of
pulse pressure developing near extending cracks
showed that such pressure could reach several kPa.
Monotonically developing suction pressure, initi-
ating moisture migration from the areas closest to
cracks, tends to that value.
Thus, moisture migration into the freezing zone
occurs under the action of not only surface (film
flow) but also volume forces (pore vacuum). How-
ever, it is extremely difficult to account for the con-
tent of the migration flow initiated by the action
of volume forces. The procedure cannot be even
clearly formulated. It means that the total content
of moisture involved in the freezing zone cannot
be established for now theoretically, and other
data (including experimental) should be used to
estimate water inflow and corresponding heaving
deformations.
Obviously, in conditions under consideration, it
is advisable to follow the path proposed by profes-
sor S.B. Ukhov for large-scale heterogeneous bod-
ies (bouldery and blocky, rocky, etc.) (Ukhov et al.
1993). For such media under field (and moreover—
laboratory) conditions, it is not possible to provide
soil volume tests representative for the entire soil
body. In this regard, the method, which was called
by S.B. Ukhov “computational and experimen-
308
tal”, is based on laboratory establishment of basic
characteristics of soil materials, and subsequent
numerical modelling of the medium with a stand-
ard structure.
The method proposed by S.B. Ukhov, involving
mathematical modeling, was successfully applied
in 1993, i.e. at the initial stage of application of
numerical calculations in construction. Nowa-
days, due to extensive use of the finite element
method, such approach to determine frost heaving
characteristics—both deformations and forces—is
even more reasonable.
Processing of numerous data obtained during
laboratory experiments on frost heaving allowed us
to propose a dependence of water content increase
on the freezing rate ∆Wwf, which can be represented
in the form of the following equation:
∆Wwf = b ⋅ e c⋅v f (1)
where vf – the soil freezing rate, b, c – empirical
coefficients. Values of those coefficients for vari-
ous soils are given in a monograph by Kudryavtsev
(Kudryavtsev et al. 2014). Knowing the distribu-
tion of the total moisture content at each moment
of negative temperatures’ action, it is possible to
quantify the value of frost heaving deformations
in soils. Numerical solution of “freezing/thawing”
problems is performed in two stages: determina-
tion of temperature and moisture fields and the
stress-strain state of the “structure/base” system.
Data on determination of basic heaving
characteristics—temperatures, displacements, and
forces acting on a strip foundation during freez-
ing of the soil below its bottom are given below as
an example. All calculations were performed with
the use of the Termoground software package. A
corresponding algorithm and various examples of
calculations were described in an article by Ulitskii
(Ulitskii et al. 2015).
Example. A strip foundation with 2 m width has
1 m depth (from the day surface). The soil is repre-
sented by high-plastic loam, characterized by low
moisture content and low heaving, with deforma-
tion modulus E = 10 MPa. An analytical model of
the problem is shown in Figure 1 (only a half of the
model is considered due to its symmetry).
Test calculations were performed for a snow-
free surface with freezing time of 4 months at the
following average temperatures:
–10°; –20°; –20°; –10°.
A contour of the frozen zone at maximum freez-
ing is shown in Figure 2.
To verify if calculations (both thermophysical
and stress-strain state calculations) are correct, it
is necessary to compare the obtained intermediate
 According to Regulations SP 22.13330.2012, the
standard depth of frost penetration:

d fs = d0 Mt (2)

The Mt value, in this case, is equal to 60. At

d0 = 0.23 m, the standard depth of frost penetra-
tion will be 1.78 m, which almost coincides with
the value obtained numerically. It is also impor-
tant to mention that the numerical calculations
revealed an obvious fact of exceeding the depth
of frost penetration directly under the foundation,
which can be explained by a higher coefficient of
concrete thermal conductivity and the absence of
water phase transformations in it.
To determine the value of normal heaving forces
when solving the deformation problem, it is neces-
Figure 1. An analytical model of the problem. sary to introduce foundation stabilizers against ver-
tical displacements. The obtained maximum values
of normal heaving forces developing along the bot-
tom of the foundation are shown in Figure 3.
As seen, the value of normal heaving forces
ranges from 77 to 97 kPa, and the diagram has a
saddle-shaped contour, as expected. Considering
loam compression, the values of normal forces
(about 0.1 MPa) do not contradict with those
observed in practice. It should be noted that deter-
mination of normal heaving forces is not described
in regulations and standards, and their obtaining
using the proposed calculations is of particular
interest.

Figure 2. Maximum freezing zone (2.5 m from the

surface at the foundation location, 1.8 m on the free
surface).

data with some obvious results obtained in prac-

tice. In the case under consideration, those are:
− depth of frost penetration below the free surface;
− values of lifting deformations corresponding to
heaving of the soil under consideration.
Besides, values of tangential forces of frost heav-
ing can serve as a benchmark.
It is required to start verification of tempera-
ture calculations’ correctness by comparing val-
ues of frost penetration under the open surface.
According to numerical calculations, the depth of Figure 3. Normal heaving forces along the bottom of
frost penetration under the free surface is 1.8 m. the foundation, kPa.

309
 Absolute and relative values of lifting defor-
mations and values of tangential forces of frost
heaving, shown in Figures 4–5, can serve as con-
firmation of deformation calculations’ correctness.
Maximum absolute lifting deformations are
4.8 cm. At the depth of frost penetration under the
free surface of 1.8 m, relative heaving deformations
amount to 0.27, which corresponds to the initially
modelled soil characterized by low heaving.
The values of tangential forces range from 63 to
129 kPa (80 kPa on average), which corresponds to
Figure 4. Lifting deformations of the soil surface at the
stabliized foundation, m.
Figure 5. A diagram of tangential forces of frost heav-
ing, kPa.
310
Figure 6. Displacements of the foundation and soil
surface at the end of freezing, m (vertical stabilizers are
removed).
the standard values at a depth of frost penetration
more than 1.5 m.
The method and results of determining soil frost
heaving characteristics are described above. Obvi-
ously, the Termoground software package makes it
easy to get a pattern of displacements for all points
in the “structure foundation/base” system at any
moment of freezing. Displacements of the soil sur-
face and foundation under a pressure of 100 kPa
are shown as an example in Figure 6. The figure
shows that the pressure on the foundation reduces
the value of its lifting.
2 CONCLUSION
1. Frost heaving is a complex natural phenom-
enon, manifestations of which (deformations
and forces) depend on numerous factors. It is
impossible to determine correct heaving char-
acteristics using laboratory and small-scale
experiments.
2. The migration flow, making the main contri-
bution to heaving deformations, is caused by
the action of surface and volume forces, which
makes it impossible to perform a simple analyti-
cal assessment of water inflow.
3. Due to the complexity of the heaving mecha-
nism, heaving characteristics can be determined
with the use of a numerical method which is
based on the experimental dependence of water
content increase on the freezing rate.
4. Numerical modeling of freezing and heaving
allows obtaining a complete picture of tempera-
ture and moisture fields and the stress-strain
 state in the “structure/freezing soil” system,
which makes it possible to determine all char-
acteristics of frost heaving. In many cases, it
is possible to refuse from performing time-
consuming and expensive field experiments
due to a simple variation of any parameters in
numerical experiments.
REFERENCES
Bouyoucos, G. 1923. Movement of soil moisture from
small capillaries to the large capillaries of the soils
upon freezing. Journal of Agricultural Research, 24
(5): 427–432.
Gapeev, S.I. 1956. Concerning causes of moisture migra-
tion and ice layer formation in freezing soils. Letter of
information. Leningrad: Lengiprotrans.
Hoekstra, P. 1966. Moisture movement in soils under
temperature gradients with the cold-side tempera-
ture below freezing. Water Resources Research, 2 (2):
241–250.
Hoekstra, P. 1969. Water movement and freezing pres-
sures. Soil Science Society of America Journal, 33 (4):
512–518.
Kudryavtsev, S.A., Sakharov, I.I. & Paramonov, V.N.
2014. Freezing and thawing of soils (case studies
311
and finite-element calculations). Saint Petersburg:
Georekonstruktsiya.
Orlov, V.O. 1962. Cryogenic heaving of finely dispersed
soils. Moscow: USSR Academy of Sciences.
Sakharov, I.I. 1994. Structural and textural transforma-
tions in freezing rocks and their relation to moisture
migration processes. Geoekologiya. Inzhenernaya
Geologiya, Gidrogeologiya, Geokriologiya, 1: 56–64.
Sakharov, I.I. 1997. Concerning physical modeling of
freezing and heaving processes. Proceedings of the
54th Scientific Conference of the Saint Petersburg
State University of Architecture and Civil Engineering,
II: 26–28.
Shtukenberg, V.I. 1885. Note about heaves on railways
and methods for their elimination. Saint Petersburg:
Printing House of the Ministry of Railways.
Taber, S. 1930. The mechanics of frost heaving. Journal
of Geology, 38 (4): 303–317.
Tsytovich, N.A. 1973. Mechanics of frozen soils. Moscow:
Vysshaya Shkola.
Ukhov, S.B., Konviz, A.V. & Semenov, V.V. 1993. Mechan-
ical properties of macrofragmental soils with filler. Soil
Mechanics and Foundation Engineering, 1: 2–7.
Ulitskii V.M., Sakharov I.I., Paramonov V.N. &
Kudryavtsev S.A. 2015. Bed – structure system
analysis for soil freezing and thawing using the Ter-
moground program. Soil Mechanics and Foundation
Engineering, 52 (5): 240–246.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Determination of settlement in drill-injection pile

with controlled broadening

M.A. Samokhvalov, A.V. Geydt & A.A. Paronko

Tyumen Industrial University, Tyumen, Russian Federation

ABSTRACT: The article presents a new injection technology in the form of an improved design of a
drill-injection pile consisting of a hollow metal tube acting as an injector and a controlled broadening at
its end, which is formed during grout injection. An algorithm to determine the nonlinear settlement of
drill-injection piles in clay soils under static loading is presented. A method to determine the broadening
settlement, the pile shaft settlement, with no impact of the controlled broadening at the end of the pile
and hydraulic fractures along its shaft, and the total settlement of the drill-injection pile is presented.
Diagrams of settlement/load dependence, plotted according to the results of experimental data, calcula-
tions according to the proposed methodology and regulatory requirements are shown. A comparison
between the values of the pile shaft settlement according to the proposed method and regulatory require-
ments is carried out and displayed in the form of a diagram. According to the results of numerical calcula-
tions carried out using the method presented in this article, it is possible to determine (with a significant
margin) the settlement of a drill-injection pile with a controlled broadening at its end. For more accurate
determination of the settlement value of a drill-injection pile, it is necessary to take into account residual
stresses and changes in mechanical characteristics when forming a compacted soil zone.

1 INTRODUCTION controlled broadening at its end, formed in the

process of grout injection, is one of the representa-
1.1 Relevance of the problem tives of low impact technologies (Fig. 1). Results of
experimental studies involving this pile design are
In the territory of the Russian Federation, a large
presented in details in some papers (Samoxvalov
number of buildings and structures, the founda-
et al. 2017, Samokhvalov et al. 2018). For indus-
tions of which need to be strengthened, are located.
trial implementation of this design, it is necessary
The purpose of those works is to provide the pos-
to develop an algorithm to determine its settlement
sibility of underground space development in
in silty clay soils.
accordance with modern requirements. Additional
underground space, in turn, can be used to accom-
modate engineering and transport infrastructure.
From a technical point of view, the foundation of
a building is the main element responsible for life
time, durability, and safe operation of buildings;
therefore, development of new and improvement
of the existing technologies for its strengthening is
a relevant research topic. The process of problem
solving is complicated by performance of works
in space-limited conditions of the central part of
the existing housing development, soil conditions
of which are mainly represented by weak silty
clay soils. The search for potential solutions has
shown that low impact technologies are the most
appropriate methods. Those technologies allow
performing the whole package of works without Figure 1. Schematic illustration of drill-injection pile
impact, mechanical, or dynamic effects. This fact installation with the controlled broadening: 1 – borehole,
is extremely important for cultural heritage sites. 2 – injector tube, 3 – clamp, 4 – membrane cup, 5 – rubber
An improved design of a drill-injection pile, con- sleeves, 6 – hose, 7 – packer, 8 – concrete plug, 9 –
sisting of a metal tube acting as an injector and a compressed zone of soil massif.

312
Table 1. Physical and mechanical characteristics of clay soil at the construction site.

For soil outside the broadening

z, m γsoil, kN/m3 W, u.f. S, u.f. e, u.f. IL, u.f. υ ϕ, degrees c, kPa

3.0 19.1 0.3 0.91 0.76 0.63 0.34 17.1 21.1

G, MPa Ecompr, MPa Estabil, MPa E50, MPa K MPa

4.8 2.4 (7.8) 2.9 6.1 12.8

For soil around the pile shaft

z, m γsoil, kN/m3 W, u.f. S, u.f. e, u.f. IL, u.f. υ ϕ, degrees c, kPa

0–2 17.8 0.18 0.65 0.81 0.16 0.31 18.0 26.1

2–3 19.1 0.3 0.91 0.76 0.63 0.34 17.1 21.3

G, MPa Ecompr, MPa Estabil, MPa E50, MPa K MPa

4.8 3.3 (18.7) 3.2 5.9 12.4

5.0 2.4 (7.8) 2.9 6.1 12.6

Note: The value of the deformation modulus of soil Ecompr, adjusted by multiplying by moed factor, which is adopted in
accordance with the requirements of Regulations SP 22.13330, is indicated in brackets.

2 INITIAL DATA FOR CALCULATIONS  τ (r ) τ*

γ (r ) = ⋅ * 1
The engineering and geological surveys conducted  G τ − τ (r )
 (1)
at a construction site in Tyumen allowed deter-  ds (r )
mining the following characteristics of clay soil  γ (r ) = −
dr
(Table 1).
where γ (r) (m) – angular deformation; G (kPa) –
soil shear modulus (clause 7.4.2 of Regulations SP
3 DETERMINATION OF THE 24.13330, equation 2); τ(r) (kPa) – shear stresses in
NONLINEAR SETTLEMENT OF the soil mass from the pressed load N (equation 3);
DRILL-INJECTION PILES UNDER τ1* (kPa) – the limit value of shear stresses (equa-
STATIC LOADING tion 4); s(r) (m) – broadening settlement.
To assess if it is reasonable to use drill-injection E
G= (2)
piles with a controlled broadening at the end in 2 ⋅ (1 + ν )
clay soils under static loading, it is necessary to
learn to predict changes in the stress-strain state where E (MPa) – soil deformation modulus; ν –
of the soil mass under the foundation of a build- Poisson’s ratio of soil.
ing correctly when determining its settlement.
The value of the building foundation settlement
τ (r ) = τ u1 ⋅
(rb + u1 ) (3)
mainly depends on design resistance of the soil r
mass, modified during drill-injection pile instal-
lation, both on the lateral surface and under the where tu1 (kPa) – shear stresses arising at the
lower end. boundary of the broadening contour and the soil
mass (equation 5); rb – initial radius of the bore-
hole, which is taken depending on the diameter of
3.1 Broadening settlement
the drilling machine auger, rb = 0.04 m; u1 – radial
The elastic-plastic model by S.P. Timoshenko displacement of the membrane cup wall, m.
(Gotman & Gotman 2011, Polishchuk & Mak-
simov 2018) allows determining the settlement   1+ sinϕ 
τ 1* = γ cR ⋅ Rbroad = γ cR ⋅  σ rcompr ⋅ 
caused by soil displacement sidewards of the
  1− sinϕ 
boundary of the compacted core around the con-
trolled broadening, with the Rcom1 radius accord-  coosϕ  
+ 2 ⋅ Ccom1 ⋅  (4)
ing to the following equation (1):  1− sinϕ  

313
where γcR = 1.3 – coefficient of soil mass work τ u ⋅ ( rb + u1 )
conditions under the broadening (Regulations SP s ( r = Rcom1 ) = 0 ⇒ D =
24.13330); Rbroad – design resistance of soil in the G
  (11)
zone of controlled broadening formation; σr1compr τ*
⋅ ln  ⋅R −τ
(kPa) – radial stresses (Bakholdin et al. 2007,  ( rb + u1 ) com1 u 
Polishchuk 2000, Ter-Martirosyan & Sidorov
2018) (equation 6); ϕ – average internal friction
To obtain the final expression to determine the
angle of soil; an assumption concerning constancy
broadening settlement, let us use the D value from
of the internal friction angle value is introduced
equation (11) and the τu1 value from equation (5) in
for the zone of controlled broadening formation;
expression (10):
Ccom1 (kPa) – soil cohesion coefficient in the zone
of broadening formation. This parameter varies
depending on changes in the initial porosity factor N
s1 =
during soil compaction when a controlled broad- π ⋅ G ⋅ ( rb + u1 )
ening is formed (equation 7).  τ* 
N
 ⋅ Rcom1 − 2 
N  ( b 1)
r + u π ⋅ ( rb + u1 ) 
τ u1 = (5) ⋅ ln (12)
 
π ⋅ (rb + u1 )
2
N
 τ* − 2 
 π ⋅ ( rb + u1 ) 
σ rcompr
1 = pcrit1 + σ 01, (6)

Diagrams of settlement/load dependence s = f (p),

where rcrit1 (kPa) – critical pressure (equation 8); σ01
plotted according to the results of experimental
– horizontal lateral pressure from the self-weight
data, calculations according to the proposed meth-
of soil (equation 9).
odology and regulatory requirements are shown in
Figures 2 and 3.
kw1 ⋅W0 ⋅ ρs As it can be seen from the diagrams in Figures 2
ecom1 = (7)
Sr ⋅ ρw and 3, line No. 2 has the greatest convergence with
the experimental values. The difference between
where kw1 – coefficient taking into account changes
in the initial soil moisture (water content) (W0) in
the compacted zone (Rcom1), ρs (g/cm3) – density
of soil particles; Sr (u.f.) – water saturation coef-
ficient; ρw = 1 g/cm3 – density of distilled water.

4 ⋅ (σ 0 ⋅ sinϕ 0 + c ⋅ cosϕ 0 )
pcrit1 = (8)
(1 − w − sinϕ 0 (3 + w ))
 ν 
σ 01 =
(2 ⋅ σ h + σ z ) = 2 ⋅  γ soil ⋅ z ⋅ 1 − ν  + γ soil ⋅ z (9)
3 3

Solving system of equations (1), we obtain the

following expression:

τu ⋅τ * dr
s( r ) = −
G ∫  * r 
 τ ⋅ r + u − τu 
 ( b 1)  (10)
τ u ⋅ ( rb + u1 )  τ* 
=− ⋅ ln  ⋅ r − τu  + D
G  ( rb + u1 ) 

where D – integration constant, which shall be Figure 2. Settlement/load comparative diagrams s = f (p)
determined based on the boundary conditions of for drill-injection piles with the controlled broadening
the problem solution: cubic capacity of 30 l.

314
   1+ sinϕ 
τ com1 = γ cR ⋅  ( σ r + σ rres ) ⋅  +
* compr

  1− sinϕ 
(14)
 cosϕ  
+ 2 ⋅ Ccom ⋅ 
 1− sinϕ  

Broadening settlement can be determined

according to the requirements of regulatory docu-
ments (clause 7.4.2 of Regulations SP 24.13330):

0, 22 ⋅ N
sbroad = (15)
Gcom ⋅ 2 ⋅ (rb + u1 )

3.2 Pile shaft settlement

To determine the pile shaft settlement (with no
impact of the controlled broadening at the end of
the pile and hydraulic fractures along its shaft), let
us write the following expression at r = (rc + u2):

 flat 
 r + u ⋅ Rcom 2 − τ u 2 
Figure 3. Settlement/load comparative diagrams s = f (p) τ u 2 ⋅ (rb + u2 ) (
 b 2 ) 
for drill-injection piles with the controlled broadening s= ⋅ ln (16)
cubic capacity of 40 l.
G (τ 2* − τ u 2 )
where u2 (m) – radial displacement of the inner
surface of the borehole during pile shaft formation
the dependence lines s = f (p) No. 2 and No. 3 is (equations 17–18); Rcom2 (m) – radius of the zone
in changes of the summands (characterizing the of soil compaction at the pile shaft (equation 19);
stress-strain state of the compacted soil mass flat (kPa) – design resistance of soil on the lateral
within the formed broadening) in equation (12): surface of the pile shaft (equation 20); τu2 – shear
stresses from the pressed load (equation 21).
N 1
s1 = u2 = (pbY2 – σ0) . (A21 + A22 . (1 + w)) .
π ⋅ Gcom1 ⋅ ( rb + u1 ) E
(17)
 τ* N  1 1

com1
⋅ Rcom1 − 2  u2 = ⋅ A⋅ pcrit 2 ⋅ krβ2 +
 ( b 1)
(13)
r + u π ⋅ ( rb + u1 )  E E
⋅ ln 1− kr12− α + β 1 1− kr12+ β
 N  ⋅M⋅ − ⋅ N⋅ (18)
 τ* − 2 
1+ β − α E 1+ β
 π ⋅ ( rb + u1 ) 
Rcom 2 = (rb + u2 ) ⋅ kr 2 (19)

1. G changes to Gcom1 (equation 2) with a change in τ 2* = flat ⋅ γ cf = γ cf ⋅ ( σ rcompr

the value of deformation modulus Ecom1, which
can be determined using the known methods
(Il’ichev et al. 2012, Mangushev et al. 2014,
Polishchuk & Maksimov 2016, Polishchuk &
Tarasov 2017, Stepanov et al. 2017, Ulitsky
et al. 2013, 2017, Valeri and Richter 2005);
2. τ *1 changes to τ *com1 (equation 4) with a change
in the value of radial stresses and with account
for residual internal stresses remaining in the
soil mass after formation of a controlled broad-
ening at the end of the pile (Hakam et al. 2018,
Konyushkov et al. 2017, Rybicki and Atefi-
Monfared 2018):
2 ⋅ tgϕ + Ccom ) , (20)
where γcf – coefficient of work conditions (γcf = 0.7,
clause 7.6 of Regulations SP 24.13330); σr2compr (kPa)
— radial compression of the soil mass (Bayesteh
and Sabermahani 2018, Gabrielaitis et al. 2012a,
2012b, Kam et al. 2018, Ma et al. 2017, Mangu-
shev et al. 2014, Sun et al. 2017) (equation 22);
Ccom2 (kPa) – specific cohesion determined by
applying the porosity factor of the compacted
soil on the lateral surface of the pile shaft ecom2,
and coefficient kw2 = 0.8, taking into account
moisture reduction at the pile shaft (on average,
by 20%).

315
 N
τ u2 = (21)
2 ⋅ π ⋅ (rb + u2 ) ⋅ l

where l – length of a drill-injection pile, m.

σ rcompr
2 = pcrit 2 + σ 02 (22)

where pcrit2 (kPa) – critical pressure on the inner

surface of the borehole wall (equation 23); σ02 –
lateral pressure of soil (equation 24).

−2 (σ 0 ⋅ sinϕ 0 + c ⋅ cosϕ 0 )
pcrit = (23)
(w + 2) sinϕ + w
σ 02 = γ soil ⋅ z ⋅ ν / (1 − ν ) (24)

As a result, substituting the τu2 value from equa-

tion (21) in equation (16), we can obtain the final
expression to determine the settlement of the pile
shaft: Figure 4. Settlement/load comparative diagrams s = f (p)
for drill-injection piles without a controlled broadening.
 τ 2* N 
 ⋅ Rcom 2 − N
N  ( rb + u2 ) 2 ⋅ π ⋅ ( rb + u2 ) ⋅ l  s=
s= ⋅ ln π ⋅ ( rb + u1 ) ⋅ G1 + 2 ⋅ π ⋅ l ⋅ G2
2⋅ π ⋅ l ⋅ G  * N 
 τ 2 − 2 ⋅ π ⋅ ( r + u ) ⋅ l   *  Rcom1 Rcom 2   (28)
b 2  τ ⋅  r + u + r + u  − τ u 
 b 1 b 2 
(25) ⋅ ln
(τ * − τu )
The settlement of the pile shaft can be deter-
mined according to the requirements of regulatory where
documents (clause 7.4.2 and Appendix E of Regu-
lations SP 24.13330): N
τu = (29)
π ⋅ (rb + u1 ) + 2 ⋅ π ⋅ l ⋅ (rb + u2 )
2

 k ⋅G ⋅ l  N
s1 = 0.17 ⋅ ln  ν 1  ⋅ (26)   1+ sinϕ 
1 + τ 2 = γ cR ⋅  ( σ r + σ rres ) ⋅ 
 G2 ⋅ d  G1 ⋅ l τ * = τ com
* compr

  1− sinϕ 
where G1 (kPa) – soil shear modulus in the zone of  cosϕ  
+ 2 ⋅ Ccom ⋅  + γ cf ⋅ ( σ rcompr ⋅ tgϕ + Ccom )
broadening, G2 (kPa) – soil shear modulus at the  1− sinϕ  
2

pile shaft; kν – coefficient depending on the average

value of the Poisson’s ratio: (30)
The settlement of a drill-injection pile can be
kν = 2.82 − 3.78⋅ ν + 2.18⋅ ν 2 (27) determined according to the requirements of regu-
latory documents (clause 7.4.2 and Appendix E of
A comparison between the values of the pile Regulations SP 24.13330):
shaft settlement according to the proposed
method and regulatory requirements is shown in N k ⋅G ⋅ l
Figure 4. sp = ⋅ 0.17 ⋅ ln ν 2 (31)
G2 ⋅ l G1 ⋅ d

3.3 Determination of drill-injection

pile settlement
4 CONCLUSION
To determine the settlement of a drill-injection pile
with a controlled broadening, let us combine equa- According to the results of numerical calculations
tions (12) and (25): carried out using equation (28), as well as the

316
method described in Regulations SP 24.13330, it
is possible to determine (with a significant mar-
gin) the settlement of a drill-injection pile with a
controlled broadening. To determine the settle-
ment value according to equation (28) more accu-
rately, the following parameters shall be taken into
account: residual stresses and changes in mechani-
cal characteristics during formation of a com-
pacted soil zone.
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Settlements in foundations of existing buildings during construction

of trench diaphragm wall

D.A. Sapin & I.P. Diakonov

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: In this paper, a method to determine settlements in foundations of buildings, caused by

construction of a trench diaphragm wall, is presented. Based on the data of geotechnical monitoring at
two construction sites, it is shown that during trench diaphragm wall construction, technological settle-
ments in the neighboring buildings can reach up to 70% of the total settlement caused by new construc-
tion. The fundamental possibility of numerical solution of the problem using the finite element method is
demonstrated. An empirical equation for preliminary assessment of technological settlements in buildings
at different diaphragm wall parameters is proposed. A comparison of the results obtained according to
the proposed method with the data of monitoring at two facilities erected in the center of Saint Petersburg
under conditions of dense urban development is presented.

1 INTRODUCTION (0.4–1.2 m) and deep (sometimes more than 50 m)

trenches protected by slurry. During concrete fill-
Modern requirements for new construction within ing, slurry is displaced due to the lower density.
the existing historical development in large cities force
us to utilize underground space more actively. Park-
ings, shopping malls, and warehouses are located
underground. In such a way it is possible to get the
required building volume not violating strict height
restrictions in the center of Saint Petersburg. Dur-
ing construction of underground volumes under
engineering and geological conditions of thick weak
Quaternary deposits in the central part of Saint
Petersburg, it is necessary to use technologies mini-
mizing the impact of new construction on the neigh-
boring buildings (Osokin et al. 2014). For instance,
the diaphragm wall technology features significant
stiffness and, therefore, in terms of this indicator it is
substantially superior to sheet pile screens and fences
made of bored-secant piles, which allows designing
deep pits in complex engineering and geological con-
ditions in the close proximity to the existing buildings.
In practice of design and construction it is
widely believed that additional settlements of the
existing buildings during construction of a trench
diaphragm wall are insignificant, and they can
be neglected. In this paper, it is shown that such
assumption is unreasonable.

2 PROBLEM STATEMENT

2.1 Experience of diaphragm wall construction in

weak soils of Saint Petersburg
Figure 1. Results of monitoring for settlements of the
The diaphragm wall technology involves installa- neighboring buildings during construction of buildings with
tion of an enclosing structure by concreting narrow an underground space using the diaphragm wall technology.

318
 Graphical interpretation for materials of geo- 2.2 Geological conditions of Saint Petersburg
technical monitoring carried out during construc-
Division of the city territory into several
tion of two facilities within dense development in
standard areas with characteristic geological
complex engineering and geological conditions
sections was taken as initial data for numeri-
in the center of Saint Petersburg is presented in
cal modeling of the problem of assessing the
Figure 1. In both cases, diaphragm walls were
impact of a trench diaphragm wall near the
used as shoring of excavation (the depth was
existing buildings. Based on available materi-
almost the same: 30 and 29 m). Two points are
als on the engineering and geological structure
given for each geodetic mark set during moni-
of Saint Petersburg, L.G. Zavarzin (Zavarzin
toring of the surrounding development: blue—
1975, Zavarzin & Morarescul 1984) proposed
settlement during construction of a diaphragm
an option of zoning, presented in Figure 2 and
wall, red—final settlement of the constructed
accepted as a basis in this paper.
building. According to the data, with a decrease
L.G. Zavarzin studied the structure of Quater-
in the distance between the foundation and the
nary deposits up to the top of the Luga moraine.
diaphragm wall, technological settlements of the
neighboring buildings can reach up to 70% of
the total settlement caused by new construction,
which is confirmed by studies of other authors
(Konyukhov & Sviridov 2011, Nikiforova &
Konnov 2016, Shuljatjev et al. 2016).
The “technological settlement” term is quite
broad and also includes building settlements
caused by major procedural violations (failure to
maintain the required density of slurry, overdig,
excessive dynamic impact on thixotropic soils dur-
ing boulders excavation, etc.). However, such cases
are not considered in this paper.

Figure 2. Engineering and geological zoning of Saint Figure 3. Sections by engineering and geological areas
Petersburg according to L.G. Zavarzin (Filippov & according to L.G. Zavarzin, completed with the data of
Spiridonov 2009, Zavarzin 1975). the “Geological atlas of Saint Petersburg”.

319
Table 1. Physical and mechanical properties of soils.
Deposits Bedding rocks Luga moraine
Characteristic soil type hard clays stiff boulder
loams
Natural 14 ± 2 20 ± 5
moisture (water content)
w, %
Unit weight ρ, g/cm3 2.2 ± 0.05 2.1 ± 0.05
Porosity factor e 0.5 ± 0.05 0.53 ± 0.01
Deformation modulus 30 ± 5 20 ± 3
E, MPa
Internal friction angle ϕ, ° 25 ± 3 23 ± 4
Specific cohesion c, kPa 45 ± 15 40 ± 20
However, this data is not enough to solve the prob-
lem. The “Geological atlas of Saint Petersburg”
allowed completing information on the geological
sections of the areas proposed by L.G. Zavarzin up
to the top of bedding rocks (Fig. 3).
Studies on physical and mechanical proper-
ties of soils in Saint Petersburg were conducted
by the Trust of Geodetic Works and Engineering
Surveys under the guidance of V.M. Fursa. They
are presented in the “Report on composition of a
general map for engineering and geological zoning
of the territory of Leningrad and the forest and
parkland zones (for underground construction)”
(Fursa 1978). Corresponding values are presented
in Table 1.
2.3 Foundations of historical buildings in the
historical center of Saint Petersburg
During development of a design model, design
parameters of buildings were taken based on mate-
rials of the Department of Geotechnics of the Saint
Petersburg State University of Architecture and
Civil Engineering according to results of numer-
ous surveys of the Saint Petersburg development,
conducted over the years. Most of the buildings
constructed before the revolution are frameless,
brick, with three longitudinal bearing walls; the
foundations are of rubble masonry, with a depth
of 2–3 m and a width of 1–2 m; the building bays
are 5–6 m; the load exerted by the foundations on
soil is usually in the range of 200–250 kPa.
2.4 Diaphragm wall parameters
As variable parameters for the design model, the
following were considered: length of the trench
diaphragm-wall work zone; width of the work
zone; unit weight of slurry; distance from the
diaphragm-wall work zone to the nearest building
foundation.
320
Late-glacial deposits Postglacial formations
medium belt from sands to clays with
loams organic inclusions
35 40
1.9 1.8
0.85 1.08
7.5 10.0
20 18
15 20
In numerical modeling, the depth of the dia-
phragm wall is taken with account for the require-
ments of design standards (in particular, Regulations
SP 50-101-2004): “...10.8. When designing retaining
walls for pits in water-saturated soils, the depth of
the wall should be selected considering the possibil-
ity of its embedding into the waterproof layer for
the purpose of soil excavating without any dewater-
ing measures...” In accordance with clause 5.6.40 of
Regulations SP 22.13330.2011, a layer with liquidity
index IL < 0.25 and permeability coefficient kp < 10−5
m/day can be considered waterproof. Only pre-
Quaternary deposits represented by Vendian and
Cambrian clays, lying in the central areas of the city
at a depth of 25 m, meet those requirements in Saint
Petersburg.
3 PROBLEM SOLUTION
3.1 Modeling parameters
It is possible to solve the problem using numerical
methods in spatial formulation (Hosseinzadeh &
Joosse 2015, Houhou et al. 2018, Ramezani et al.
2017). To determine technological settlement, it is
necessary to model a diaphragm wall with volu-
metric elements. During this study, the Plaxis 3D
software package was used.
To determine technological settlement, it was
necessary to simulate basic steps of operations per-
formed during construction of a diaphragm wall at
a construction site (Mangushev et al. 2012). Those
operations include the following:
− trenching where trench walls are protected by
slurry;
− filling the trench with liquid concrete with dis-
placement of slurry;
− a finished section of the diaphragm wall.
Modeling of the impact of slurry and liquid
concrete was carried out by setting the appropri-
ate value of hydrostatic pressure on the walls of where s – foundation settlement in mm; A and B
the trench work zone. The hardened concrete was – coefficients depending on geometric and tech-
modeled by a linear elastic material. nological (slurry density) parameters of the dia-
Two geological areas in the central part of the phragm-wall work zone, as well as soil conditions;
city were selected for the numerical study (No. 3
and No. 6 according to the classification proposed
by L.G. Zavarzin – see Fig. 2). Those areas had
buildings with underground floors, where dia-
phragm walls were used as shoring of excavation.
Regular geodetic monitoring for vertical displace-
ments of the neighboring buildings was carried out
at all stages of construction.

3.2 Diaphragm wall parameters

Results of calculations for settlements caused by
diaphragm wall construction, depending on differ-
ent parameters for geological area No. 3 (according
to L.G. Zavarzin). According to that data, a dia-
gram of dependence between the settlements and
the distance to the building was plotted (Fig. 4) Figure 5. Settlements of the existing buildings depend-
and exponential trend lines for minimum and max- ing on the distance to the diaphragm wall for slurry den-
imum impact of diagram wall construction on the sity of 11.7 kN/m3 for geological area No. 6 (according
foundations of the existing building were applied. to L.G. Zavarzin).
The obtained results show good convergence,
despite some differences in engineering and geo-
logical conditions of two central districts of Saint Table 2. Values of A and B coefficients.
Petersburg.
Work zone parameters
Slurry density,
No. bwork zone, m lwork zone, m γslurry, kN/m A B
3
3.3 Empirical equation for determination
of the technological settlement
1 1.2 3.3 12.5 19 –0.07
Based on an analysis of development settlements 2 1.2 3.3 11.7 23 –0.07
in foundations of buildings, the following equation 3 1.2 3.3 11 28 –0.08
to calculate the additional settlement of a building 4 1.2 2.6 12.5 17 –0.08
during construction of a trench diaphragm wall 5 1.2 2.6 11.7 17 –0.07
was proposed: 6 1.2 2.6 11 22 –0.08
7 1.2 2 12.5 12 –0.07
s = α Ae − BL (1) 8 1.2 2 11.7 16 –0.08
9 1.2 2 11 18 –0.07
10 1 3.3 12.5 17 –0.07
11 1 3.3 11.7 23 –0.08
12 1 3.3 11 27 –0.07
13 1 2.6 12.5 15 –0.08
14 1 2.6 11.7 19 –0.08
15 1 2.6 11 22 –0.08
16 1 2 12.5 11 –0.07
17 1 2 11.7 14 –0.07
18 1 2 11 18 –0.08
19 0.8 3.3 12.5 19 –0.08
20 0.8 3.3 11.7 22 –0.08
21 0.8 3.3 11 27 –0.08
22 0.8 2.6 12.5 15 –0.08
23 0.8 2.6 11.7 19 –0.09
24 0.8 2.6 11 22 –0.08
Figure 4. Settlements of the existing buildings depend- 25 0.8 2 12.5 10 –0.07
ing on the distance to the diaphragm wall for slurry den- 26 0.8 2 11.7 14 –0.07
sity of 11.7 kN/m3 for geological area No. 3 (according 27 0.8 2 11 16 –0.08
to L.G. Zavarzin).

321
e – the Euler’s constant equal to 2.71; L – a dis-
tance between the foundation and the diaphragm
wall, m; due to the fact that A and B coefficients
are determined by statistical processing of these
calculations, to calculate the maximum settlement,
it is proposed to introduce reliability factor α = 1.2.
Table 2 shows A and B coefficients for geological
conditions of the central part of Saint Petersburg
(at different diaphragm wall parameters), based on
the calculations performed.
4 COMPARISON OF THE PROPOSED
DEPENDENCE WITH THE DATA OF
FIELD STUDIES
To verify correctness of the proposed method to
calculate the technological settlement, a compari-
son of the calculation results according to the pro-
posed dependence with the data of monitoring the
neighboring buildings near two facilities erected
in geological areas No. 3 and No. 6 (according
to the classification proposed by L.G. Zavarzin)
(Zoologichesky Lane and Moyka River embank-
ment) was made. Both buildings were designed
and constructed by Geoizol company. Both
buildings have an underground parking lot, and
shoring of excavation was made using a trench
diaphragm wall (with work zones 3.3 m long).
The width of the work zones is 0.8 m on Zoo-
logichesky Lane and 1.0 m—on the Moyka River
embankment.
Prior to construction, scientific and technical
works on studying diaphragm wall operation in
weak clay soils were carried out on Zoologichesky
Lane (Shashkin & Bogov 2012).
Results of studies on settlements in the founda-
tions during diaphragm wall construction are pre-
sented in the form of diagrams. In the diagram in
Figure 6. Comparison of the measured technological
settlements in the existing buildings on Zoologichesky
Lane and a proposed solution.
322
Figure 7. Comparison of the measured technological
settlements in the existing buildings on the Moyka River
embankment and a proposed solution.
Figure 6, settlements of the neighboring buildings
during diaphragm wall construction on Zoolog-
ichesky Lane, in comparison with the exponential
curve of dependence proposed by the author, are
marked with points. For the facility on the Moyka
River embankment, a similar diagram is presented
in Figure 7.
The results of comparing the proposed solu-
tion for assessment of technological settlements
with the data of instrumental geotechnical moni-
toring show acceptable convergence for engineer-
ing calculations, which allows us to consider it for
practical application in assessment of additional
settlement in the neighboring buildings when a
diaphragm wall is constructed near those.
5 CONCLUSION
1. During trench diaphragm wall construction,
additional settlements are produced in founda-
tions of the neighboring buildings, the values of
which can reach several centimeters and make
up to 70% of the total additional settlements in
the neighboring buildings for the entire period
of construction.
2. Such settlement values cannot be neglected.
During design of structures using the method
of trench diaphragm wall construction in space-
limited conditions of the existing housing
development, development of technological set-
tlements in the neighboring buildings shall be
taken into account and evaluated.
3. When assessing the value of technological set-
tlement, it is possible to use the proposed equa-
tion providing acceptable convergence with the
results of field studies at actual facilities built
under engineering and geological conditions of
the center of Saint Petersburg.
REFERENCES
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of Saint Petersburg. Saint Petersburg: Komilfo.
Fursa, V.M. 1978. Report on composition of a general map
for engineering and geological zoning of the territory of
Leningrad and the forest and parkland zones (for under-
ground construction). Leningrad: Trust of Geodetic
Works and Engineering Surveys.
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tion of retaining walls in narrow trenches using both
analytical and numerical methods. Computers and
Geotechnics 69: 338–351.
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Three-dimensional numerical back-analysis of a mon-
itored deep excavation retained by strutted diaphragm
walls. Tunnelling and Underground Space Technology
83: 153–164.
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process’s calculation of the existing buildings during
shoring of excavation. Vestnik MGSU 5: 99–103.
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Sapin, D.A. 2012. Numerical simulation of adjoin-
ing development’s technology settlement in process of
trench slurry wall construction. Bulletin of Civil Engi-
neers (Vestnik grazhdanskikh ingenerov) 5 (34): 87–98.
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buildings’ settlement with protection measures in the
zone of underground construction influence. Bulletin
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2 (55): 94–100.
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under conditions of urban development. Zhilishchnoe
stroiltel’stvo 3: 16–24.
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quencies of retaining walls considering soil–structure
interaction. Applied Mathematical Modelling 45:
179–191.
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phragm wall technology under geological engineering
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Solov’ev, D.Yu. 2016. Determination of technologi-
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typification of bases and foundations in areas of large-
scale housing development: scientific publication. Len-
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Selecting moisture protection methods for subsurface parts of buildings

A.D. Serov & M.I. Afonina

Moscow State (National Research) University of Civil Engineering (NRU MGSU), Moscow, Russia

ABSTRACT: This paper deals with protection of subsurface parts of buildings from the effect of
ground water. It defines the effect produced by ground water and the damage received by the material
and their properties. An illustrative model is presented featuring the interaction between wet soil and pore
and capillary material. The moisture protection methods have been classified according to whether they
target the source of moisture or the substructure itself. A total of nine moisture protection methods have
been defined—introducing into substructure of a watertight layer; introducing into substructure of layers
with increased capillary radius; lowering of soil moisture and water table; evaporation of moisture from
structural surfaces; moisture removal by heating; filling of pores and capillaries with waterproof mate-
rial; hydrophobying of capillary walls; electro-osmosis; and decreasing of sorption. Among the outcomes
of the study is the matrix for identifying the most optimal moisture protection methods for subsurface
spaces.

1 INTRODUCTION the material (Matyscak et al. 2014). Although

In the field of construction of new and reconstruc-
tion of older buildings, protection of substruc-
tures is a highly relevant issue. Destructive effect
is caused on foundations, basement walls and
semi-basements by capillary moisture (Mangushev
1998, Orishaguna 2010, Ebeling 2014).
Most damaging are the freezing and thawing
cycles inside capillaries, causing excessive pressure
on the walls of pores and capillaries. Once thawed,
the material receives an improved moisture adsorp-
tion capacity, which ultimately leads to crumb for-
mation, segregation, and break-up.
Also, the substructures are affected by the alter-
nating cycles of dampening and drying of the
material, which, however, contributes to the overall
damage to a much lesser extent as compared with
freezing and thawing cycles.
The majority of wet constructional materials
become nutritive medium for a variety of bacte-
ria, fungi (mold), and plants (seaweed and moss).
Microorganisms and products of their vital func-
tions cause surfaces of masonry structures to decay
under the influence of acid environment, while
fungi and plants inhibit natural evaporation of
moisture from the surfaces, adsorbing extra mois-
ture from air (Pokrovskaya & Kovalchuk 2013).
Along with that, the material and its proper-
ties receive damage from the chemical compounds
contained in ground waters (Mangushev 2018).
The harmful exposure is exacerbated by watersolu-
ble salts. The content in substructures of salts may
lead to blooms and crystallization processes inside
blooms can be easily removed, the salt content
increases sorption capacity in constructional mate-
rials. Therefore, even completely dehumified struc-
tures can still be adsorbing moisture from air, i.e.
they remain moist until salt is removed from them
(Puchkov 2015, Serov 2018).
Moisture content largely deteriorates the ther-
mal properties of capillary-porous materials,
which, once dried, have low thermal conductivity.
Moisture is the cause of extra heat losses via clad-
ding in winter season, and of extra heat in sum-
mer time (Kupriyanov et al. 2017, Serov & Afonina
2018). According to various sources, 9% to 15% of
all heat losses in older buildings without heat insu-
lation fall on semi-basements and subsurface parts.
It is therefore important that comprehensive meas-
ures are in place to counteract humidification and
salinification of substructures (Serov 2018, Vatin
2018).
Currently, different types of moisture proofing
are analyzed by the scientific community, classi-
fied according to their material or the technology
used in their arrangement. However, the con-
ducted studies meet the needs of new construction
projects and fail to cover reconstruction on older
buildings.
Our study aims to create a more exhaustive
classification of moisture protection methods and
to measure their effectiveness and applicability
to new construction projects and reconstruction
of older buildings. The task before the authors is
to identify moisture protection methods that are
most optimal for the substructure.

324
2 METHODS
2.1 Model of a moisture-exposed structure
To illustrate capillary-porous material, we present
a sample of substructure moistured from contact
with wet ground. The cubiform sample is pen-
etrated with a network of fine (r ≤ 10−4 m) open-
ended capillaries whose water-retentive walls
facilitate capillary ascent. Wet ground serves as
a permanent source of moisture penetrating the
sample through its lower and one of the lateral
facets (Fig. 1. The arrows show direction of the
moisture flow). From the lower and lateral facets,
moisture moves upwards, filling the capillaries.
This model is useful in terms of analyzing each
particular protection type for the direction it fol-
lows (towards one or multiple planes), mechanism,
and performance.
2.2 Introducing into substructure of a
watertight layer
This method employs a watertight layer designed
to interfere with telluric moisture pathways in hor-
izontal and vertical planes. Since capillary ascent
is known to occur in the capillaries with diam-
eter between 10−4 and 10−9 m (Puchkov 2015), the
complete water tightness of a substructure can be
achieved by introducing a fine layer of watertight
material with capillary diameter under 10−9 m or
completely devoid of the capillaries (Fig. 2a). This
Figure 1. Model of a moisture-exposed substructure.
325
method creates an impassable obstruction in the
vertical and horizontal planes of contact between
wet soil and substructure.
Technologically, the method uses single-piece,
roll-fed or sprayed insulating plaster, as well as
mechanical cutting off with roll of plate material
(Sokova 2011).
This method is intuitive and one of the oldest
protections first used by the Sumerians as early as
the 3rd millennium BC. It is also one of the most
commonly used in new construction. The mechan-
ical cutting-off had been in use until the 1950s,
regarded as a more efficient insulation method for
reconstruction of buildings.
2.3 Introducing into substructure of layers with
increased capillary radius
This method employs a material composed of
medium and coarse fragments of rock, which is
used as filling (underlaying layer of foundation)
or as foundation proper. Devoid of pores and
capillaries and put together, these fragments form
spaces acting as capillaries. However, no capillary
ascent takes place because the diameter of these
spaces exceeds 10−3 m, meaning that the gravity
of water column is too strong to be overcome by
surface tension. This method does not use binding
agents (cement, limestone, etc.) as their pores and
capillaries produce suction effect once the ‘seams’
become filled with the binding agent.
As a result, there forms a horizontal, water—
and vapor-permeable shutoff that acts as a barrier
on the way of the capillary ascent towards founda-
tions (Fig. 2b).
Technologically, the method uses crush-rock
pad and mortarless rubble stone footing.
2.4 Lowering of soil moisture and water table
This method distinguishes itself by the direct effect
it causes on the source of moisture, i.e. wet soil.
It diverts a portion of moisture from the soil-
sample contact zone as a result of installing of a
water confining layer (Fig. 2c). In the majority of
cases, this method is used as auxiliary as it fails to
provide complete protection from moisture.
Technologically, the method uses drainage
arrangement; clay cut-off; and cutoff curtain
(Ilichev 2012).
2.5 Evaporation of moisture from
structural surfaces
This method is designed to speed up natural mois-
ture removal by way of evaporating moisture from
structural surfaces. The process of evaporation is,
however, obstructed by the poor vapor-permeable
Figure 2. Methods for protecting subsurface parts of buildings from the effect of groundwater: a – introducing
into substructure of a watertight layer; b – introducing into substructure of layers with increased capillary radius; c –
lowering of soil moisture and water table; d – evaporation of moisture from structural surfaces; e – moisture removal by
heating; f – filling of pores and capillaries with waterproof material; g – hydrophobying of capillary walls; h – electro-
osmosis; i – decreasing of sorption.
materials of the substructures, as well as by poor
ventilation in subsurface spaces. To speed up the
evaporation, environment is created to improve
air circulation near the target surfaces or different
sorption materials are used to improve moisture
extraction (Fig. 2d). This method does not target
the source of moisture as such, nor puts barrier in
its way. Instead, it targets visible moisture.
Technologically, the method uses the arrange-
ment of vent slots, air drains, tubes or channels;
sanitating plaster and sorbents (Mangushev 2018,
Serov & Afonina 2018).
2.6 Moisture removal by heating
This method is designed to intensify moisture
removal from the surface or the body of the sub-
structure by heating them. It converts the liquid
moisture into vapor. As known, heated air is able
to retain much more moisture than cold air. To
increase moisture removal, this method uses ven-
tilation (Fig. 2e). Since the thermal action is tem-
porary and does not target the source of moisture
itself, this method is mainly used as an auxiliary one
for flash drying and is followed by other methods—
for instance, wall injection (Sokova 2011).
Technologically, the method uses hot air blow-
ers, tubular electric heaters and microwaving.
2.7 Filling of pores and capillaries with
waterproof material
This method is designed to fill the capillaries
adjacent to the moisture source with a watertight
326
substance, targeting the capillaries, not the entire
structure. Once filled, the capillaries are no longer
able to receive moisture. The filling may cover one
particular plane of the entire volume of the struc-
ture (Fig. 2f).
Technologically, the method uses injection gels
or paraffin wax; and crystal-forming proofing
(Sokova 2011).
2.8 Hydrophobying of capillary walls
This method is designed to make the hydrophilic
walls of the capillaries hydrophobic, a process
known as hydrophobization. It deactivates cohe-
sion between the water column and the capillary
walls, causing the meniscus to become convex and,
consequently, changing the direction of the sur-
face tension force. The gravity force of the water
column and the surface tension is directed down-
wards (Fig. 2g). The effect targets the walls of the
capillaries, the capillaries remaining unfilled.
Technologically, the method uses surface hydro-
phobization and injection of hydrophobying
solutions.
2.9 Electro-osmosis
This method uses the phenomenon of fluid motion
in porous medium under the influence of electric
potential difference. The mechanism of this elec-
trokinetic phenomenon builds on the theory of
double electric layer, that concurrently binds and
separates two phases—solid and fluid. The poten-
tial occurs due to the accumulation of identical
charges near the abutments of the capillaries as the
groundwater gets soaked up. The resulting electric
potential difference occurs along the capillary, lead-
ing to additional humidification in the structure.
So, by changing the electric potential difference it
is possible to control transportation of moisture
across pores and capillaries (Fig. 2h). Based on the
location in the structure of positively and negatively
charged electrodes, different effect can be achieved
(draining, “locking”, cutoff, impregnating, etc.)
(Puchkov 2015, Serov 2018, Feijoo et al. 2018).
Technologically, the method uses electroosmotic
drying effect that follows the “passive” or “active”
scheme, and galvanoosmotic cut-off.
2.10 Decreasing of sorption
Prolonged humidification lead to accumulation in
the substructures of watersoluble salts—in con-
centrations significantly higher than maximum
permissible (for masonry structures—max. 1% of
weight). In constructional materials, salts increase
sorption, making the drying process inefficient
and, in some cases, even useless. The process of
desalination consists in adding extra moisture
to the salinized area to dissolve salt crystals and
then transfer the resulting saline solution up to the
surface (Fig. 2i). Once on the surface, salt is easy
to remove or soak up using a different material
(Matyscak et al. 2014, Puchkov 2015, Serov 2018,
Zhu et al. 2013).
Technologically, the method uses paper pulp
for desalination; sanitizing plasters; and electroos-
motic desalting effect
3 RESULTS
The study has produced the “Moisture protection
matrix: The efficiency of methods for protecting
subsurface parts of buildings from moisture”,
given in Figure 3. It is a summary table present-
ing the core parameters of nine methods. These
parameters include: scope of application, effec-
tiveness, complexity level, areas of influence, and
whether the method targets source or consequence.
In our matrix, we present the applicability of
methods to new construction and reconstruction
projects, as most of the methods rarely appear suit-
able for both.

Figure 3. Moisture protection matrix: a – introducing into substructure of a watertight layer; b – introducing into
substructure of layers with increased capillary radius; c – lowering of soil moisture and water table; d – evaporation of
moisture from structural surfaces; e – moisture removal by heating; f – filling of pores and capillaries with waterproof
material; g – hydrophobying of capillary walls; h – electro-osmosis; i – decreasing of sorption.

327
 In terms of their effectiveness, methods are
defined as effective, poorly effective, and ineffec-
tive. By poorly effective we mean methods which
are unable to control the source (or the conse-
quences) of humidification. Poorly effective meth-
ods are, as a rule, using obsolete technologies and
can be used as auxiliary methods.
The complexity of methods relates to their
applicability. By defining the methods as com-
monly used, too complex, and unrealizable, we
point at their level of workability, as the effective-
ness of a method does not always suggest it can be
technically applied.
The areas of influence are classified according to
the direction of influence—vertical plane (contact
with soil); horizontal plane; vertical plane (contact
with air); entire volume of sample; and source of
moisture, i.e. saturated soil.
Source control is a method capable of limiting
or eliminating the effect of wet soil on the sub-
structure, whereas by consequence controlling we
mean methods that are capable of extracting mois-
ture or salts from the substructure without limiting
the source of moisture itself.
4 DISCUSSION
The matrix illustrates the strengths and weaknesses
of each of the methods, as well as the scope of their
applicability. It can be used as a tool for selecting
and combining moisture protection methods, as well
as coping with consequences of humidification.
For a reconstruction project, for instance,
method ‘a’ is able to provide complete moisture pro-
tection along the outside perimeter of the substruc-
ture, but is unable to cope with the accumulated
moisture, whereas method ‘d’ deals only with con-
sequences. Therefore, by combining the methods in
the matrix—in particular, ‘a’ and ‘d’—it becomes
possible to operate a specific technology, which in
case of ‘a’ and ‘d’ is “breathing” membranes. The
matrix allows for an objective assessment of possi-
ble combinations subject to concrete conditions of
a construction or reconstruction project.
5 CONCLUSIONS
The study has produced:
1. The model of the pore and capillary material sam-
ple and of the substructure exposed to wet soil.
2. The author classification of moisture protec-
tion method which is based on the effect mois-
ture produces on the structure to be protected.
3. The “Moisture protection matrix: The efficiency
of methods for protecting subsurface parts of
buildings from moisture”, which accounts of
328
the scope of application, effectiveness, complex-
ity, and area of influence of moisture protection
methods.
REFERENCES
Ebeling K. 2014. Waterproof concrete basements—
checklist for effective design by classification. Concrete
plant and precast technology. Vol. 80. pp. 171–173.
Feijoo J., Nóvoa X.R., Rivas T., Ottosen L.M. 2018.
Enhancing the efficiency of electrochemical desalina-
tion of stones: a proton pump approach. Materials
and structures. Vol 51.
Ilichev V.A., Mangushev R.A., Nikiforova N.S. 2012.
Development of underground space in large Russian
cities. Soil mechanics and foundation engineering. Vol.
2(49). pp. 63–67.
Kupriyanov, V.N., Yuzmukhametov, A.M. & Safin, I.S.
2017. The Effect of Moisture on Thermal Conductiv-
ity of Walls. State of the Art//Izvestiya KGASU. Iss.1
(39). pp. 102–110.
Mangushev, R.A. 1998. Experience with the installation
of waterproofing for a basement room of the senate
building in Saint Petersburg. Soil mechanics and foun-
dation engineering. Vol. 35. pp. 65–66.
Mangushev, R.A., Oskikn, A.I. & Sotnikov, S.I. 2018.
The Geoengineering of Saint-Petersburg. Experience
of Construction Projects on Soft Soils: Monograph.
M.: ACB Publishing, 386 p.
Matyscak O., Ottosen L.M., Rorig-Dalgaard I. Desalina-
tion of salt damaged Obernkirchen sandstone by an
applied DC field. Computers and chemical engineering.
Vol. 71. 2014. pp. 561–569.
Orishaguna, B. 2010. Early protection keeps water out
of basements for life. Concrete (London). Vol. 44.
pp. 17–18.
Pokrovskaya, E.N. & Kovalchuk, Y.L. 2013. Bio-Corrosion.
Preservation of Historic and Architectural Monuments:
Monograph/M: MGSU. 212 p.
Puchkov, Y.M. 2015. The Durability of Stone Monu-
ments of Architecture: Monograph/Penza: PGUAS.
124 p.
Serov, A.D. & Afonina, M.I. 2018. Anti-Moisture
Resource-Saving Methods for Subsurface Spaces//
Proceedings of International Research-to-Practice
Conference “Sustainable Spatial Development.”
MGSU. pp. 118–121.
Serov, A.D. 2018. Modelling the Hazardous Processes
(Humidification and Salinification) in Subsurface
Spaces//Biospheric Compatibility: Man, Region, Tech-
nologies. Iss. (22). pp. 105–113.
Sokova, S.D. 2011. Novel technologies of building reno-
vation: Monograph/ M: MGSU. 364 p.
Vatin N.I., Pestryakov I.I., Sultanov S.T., Ogidan T.,
Yarunicheva Y.A., Kiryushina A.P. 2018. Water
vapour by diffusion and mineral wool thermal insula-
tion materials. Journal of Civil Engineering. Vol. 81.
pp. 183–192.
Zhu J.M., Li Z.X., Wang Y. 2013. Simulation of electric
field distribution in concrete of pulse electro-osmosis
technology based on ANSYS software. Applied
mechanics and materials. Vol. 353–354. pp. 1287–1292.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Analysis of causes of deformations in historic buildings on

weak clay soils

A.G. Shashkin, K.G. Shashkin

“Georeconstruction” Institute, St. Petersburg, Russia

R.E. Dashko
Saint Petersburg Mining University, St. Petersburg, Russia

ABSTRACT: The article analyzes the causes of the development of deformations in historical buildings
in St. Petersburg. Emergency buildings in Telezhnaya street are considered. The accumulated settlement
difference of the buildings is up to 35 cm, which corresponds to relative nonuniformity of 0.01. As a result
of the research, abnormally complex engineering-geological and hydrogeological conditions were identi-
fied due to the widespread development of boggy deposits (peat), as well as contamination of soils and
groundwater. This led to the transition of lake-sea sands to the state of a sand flow, and clayey soils to
quasi-plastic differences characterized by low internal friction angles and a small adhesion value. Using
numerical calculations of the interaction of the buildings and the base, a cause-effect relationship has
been established between the development of defects in brick masonry and settlements of buildings. The
development of the settlement of the buildings is due to the fact that the foundations are located on the
layer of sand, underlain by weak loams, whose properties degrade during contamination of the under-
ground environment. In addition, some foundations of the surveyed buildings rest on a layer of peat or
on rotten wooden piles or groundsills. The emergency condition of the buildings as a whole is explained
by the development of the process of loss of stability of the foundations, rotting of piles or deformation
of peat.

1 INTRODUCTION (Ulitsky 1983, 1995, 2001). These buildings are

There is an opinion that our ancestors built prop-
erly and with good quality. This statement is not
quite correct. It should be clarified that only prop-
erly constructed buildings could remain from time
immemorial to the present. The rest of them col-
lapsed. In St. Petersburg, even relatively recent
buildings just over a hundred years old are now
considered to be historical ones. The buildings
constructed before the revolution in the city sub-
urbs were intended for “common people” and were
not always built from quality materials by quali-
fied contractors. In addition, during the period of
rapid capitalism development in Russia at the turn
of the 19th and 20th centuries, previously vacant
areas were built up; in many cases they had been
undeveloped due to complex engineering and geo-
logical conditions, including the presence of bogs
and the specifics of economic use of these areas
(Dashko et al. 2014).
A number of pre-revolutionary buildings, which
were not affected by the Soviet program of capital
repairs, have survived to our days in a very poor
condition, with the depleted maintenance resource
often in a highly deformed state, with many cracks
and large uneven accumulated settlements. For
some of them, the chance of saving has already
been missed. These include residential buildings in
Telezhnaya street abandoned in 2008.
2 ACCUMULED DEFORMATIONS
OF HISTORICAL BUILDINGS
The buildings under consideration were constructed
in 1898–1902: house 21 – in 1902 (architect Fom-
ichev), houses 23 (architect Schaub), 27 (architect
Shurupov) and 29 (architect Gilev) – in 1901, and
house 25 (architect Shurupov) – in 1898.
For over 100 years of their existence, houses
21–29 have undergone significant deformations
(Fig. 1): house 23 has irregular settlements on its
front facade up to 35 cm, house 25 – up to 30 cm,
and house 29 A – up to 16 cm. Relative nonuni-
formity of the settlements reaches 0.01 (which 5
times exceeds the maximum permissible value for
newly constructed buildings according to modern
standards).

329

Figure 1. Engineering-geological profile in Telezhnaya
street and graphs of accumulated nonuniformity of set-
tlements (m) of the buildings in Telezhnaya street along
the facade: 1 – bulk soils; 2 – highly decomposed water-
saturated peat; 3 – silty dredged sand with water-saturated
sandy loam bands; 3a – light fluid-plastic layered silty
clay loams; 4 – dense water-saturated silty sands; 5, 6 –
soft plastic loam; 7 – plastic silty sandy loam with lenses
of sand, gravel, pebbles 5–10%, with rare boulders; 8 –
dense silty sandy loam; the orange line indicates the bot-
tom of the foundations of the buildings.
An emergency condition is rarely due to one
reason. Most often it is because of a combination
of simultaneously acting factors. First of all, let us
note the adverse engineering-geological conditions
of the area.
3 FEATURES OF ENGINEERING-
GEOLOGICAL CONDITIONS OF
THE AREA
The area of Telezhnaya street is confined to a
low Litorina terrace, the datum varies from 7.5
to 8.2 m. A geological and lithological section is
characteristic of the mentioned geomorphologi-
cal structure. The bedrock—Upper-Kotlin clays of
the Upper Vendian rocks—lies within the depths
of 20–25 m, that is, the area is located outside the
buried valley. Bulk soils, buried peat, lake-sea soils,
lake-glacial (partially washed out) deposits and
moraine can be traced in the section (from top to
bottom) (Fig. 1).
Based on the comprehensive studies conducted
in Telezhnaya street, it was established that the
study area is characterized by abnormally complex
engineering-geological, geotechnical and hydro-
geological conditions, which is associated with the
wide development of boggy deposits (peat), as well
as contamination of soils and groundwater due to
the use of these territories in the 18th and 19th cen-
turies for markets, cemeteries, household dumps.
It should be noted that leaks from the imperfect
330
sewage system has been affecting this area since the
late 19th century to the present.
The presence of bogs (peat), as well as vari-
ous sources of contamination contributed to the
formation of anaerobic conditions in the under-
ground environment with rapidly changing acid-
base conditions, as well as extremely high microbial
infestation of soils, groundwater and old building
materials. The high abundance of microorganisms
in sandy-clay deposits contributed to the transi-
tion of lake-sea sands into sand flows, and clayey
soils into quasi-plastic differences characterized by
low internal friction angles and a small amount of
adhesion (Dashko et al. 2014, 2017). Moraine soils,
despite their high density and relatively low humid-
ity, manifest themselves as quasi-plastic due to the
absence of cementing bonds in them, as well as the
presence of a high number of microorganisms. The
accumulation of microbial biomass is facilitated
by the presence of boggy botanical microflora,
the flow of microbiota from various man-made
sources, such as cemeteries, dumps, and drainage
systems (Dashko et al. 2014). All samples revealed
microscopic fungi, the content of which decreases
with depth since these micro-organisms belong to
aerobic forms. The main taxa of microorganisms
and their numbers are given in Table 1. The struc-
ture of micromycetes is dominated by destructors
of construction materials.
The analysis of the chemical composition of
water, including the content of organic compounds
in it (by COD and permanganate oxidizability), as
well as by the amount of BOD5, made it possible to
assert that the area of Telezhnaya street should be
considered as one of the most polluted ones in the
historical part of the city. Groundwater contains
a large number of corrosively aggressive bacteria
(both aerobic and anaerobic), which initiate the
biodegradation of building materials and provide
conditions for active corrosion processes.
High contamination of Telezhnaya street sec-
tion, combined with the intensive activity of
underground microorganisms associated with the
utilization of organic compounds in the anaerobic
environment, favors the biochemical generation of
soluble gases, primarily hydrogen sulphide and car-
bon dioxide, as well as poorly soluble methane and
molecular nitrogen. The formation of hydrogen
sulphide and CO2 increases the aggressiveness of
water-saturated soils in relation to limestone and
lime solutions, which were used for underground
structures.
Deposition in water-saturated soils of slightly
soluble gases in the form of microscopic bubbles
leads to the effect of “ball bearings” in the sands
(reduction of internal friction) and a change in the
stress-strain state of the soils due to the formation
of gas-dynamic pressure.
Table 1. Some indicators of microbial infestation of soils and physicochemical situation in the underground environ-
ment of Telezhnaya street.

Indicators of physicochemical
Number of Colony- conditions
organotrophic forming
organisms fungi units Number of Eh pH COD DL BOD5
Geological and genetic anaerobic
Index type of soil cells/g organisms mV mgO2/dm3

Biv Boggy deposits (highly 106 5300 Medium

decomposed water-
saturated peat)

–56.3 – +46.3
m,l IV Lake-sea deposits (silty 107 2600 Very high

768–9408
6.5–8.22

139–990
dredged water-saturated

62–590
sand with sandy loam
bands)
lgIII b Lake-glacial formations 106 900 Very high
(soft plastic loams)
gIII lz Ice formations (dense silty 106 250 Very high
sandy loam)

Note: Eh is the oxidation-reduction potential; pH is an indicator of acid-base conditions; COD is chemical oxygen
demand—the total content of easily oxidable and resistant to oxidation organic matter; PO is permanganate oxidiz-
ability (content of easily oxidable organic matter); BOD5 is biological oxygen demand by aerobic microorganisms.

In building material samples, a high variety and

number of microorganisms-destructors are noted.
Mosaic irregularity of distribution and heteroge-
neity of aggressive microbiota is associated with a
variety of building materials, the degree of aeration
of the underground environment, the water content
of soils, the difference in the content of nutrient
and energy substrates in groundwater. The micro-
biota are dominated by aggressive biodestructors
that cause corrosion of materials due to metabo-
lites, in particular, the formation of organic acids.
Corrosive forms of microbes (sulfate-reducing and
thionic bacteria, actinomycetes, mucous forms of
microorganisms, aggressive micromycetes) pre-
dominate in the samples containing lime solution,
fragments of rubble and brick masonry of strip
foundations, limestone slabs and waterproof-
ing substances. Such a composition can testify a
continuous corrosion, the rate of which increases
significantly in wet conditions in the presence of
nutrient and energy substrates. The current condi-
tions form a high potential for impact of destruc-
tive microorganisms; such an aggressive microbial
community plays a decisive role in the processes of
degradation of building materials and structures.
It should also be noted that in groundwater hav-
ing such a complex chemical composition and a
high content of organic compounds of abiotic and
biotic genesis, concretes slowly gain their strength
when constructing augured piles, which has been
repeatedly noted in construction practice.
4 DESIGN ANALYSIS OF INTERACTION
OF BUILDINGS AND BASES
Based on the survey results, the following groups
of foundations of the buildings under considera-
tion can be identified:
1. Foundations located on a layer of peat or on rot-
ten wooden piles or groundsills. This situation is
typical for house 21, the foundations of which
has a base depth of about 3 m from the surface
and is located on the layer of peat. Occasion-
ally, when examining the foundations, ground-
sills were found. The foundations of house 27
rest on wooden piles with the base of a rub-
ble grillage 1.6–1.7 m deep, under which there
is a layer of peat. Groundwater was registered
below the level of groundsills and pile heads,
which creates conditions for their rotting. The
rotting of wooden elements and the presence of
peat under the base is an obvious reason for the
development of excess settlements.
2. Foundations located on the layer of sand,
underlain by weak loams. This is characteristic
of house 23 with a foundation depth of 2.5–
3.7 m. The thickness of the sand layer under
the base is 1.2–2.4 m. Houses 24 and 29 are in
a similar situation (the thickness of the sands
under the foundations of house 24 is 1.6 m, and
house 29–1.5–2.9 m). Weak loams (layer 3 A)
are located below.

331
 A special feature of the engineering-geological
section of the area under consideration is the occur-
rence under the layers of sand of extremely weak
deposits—layers 3 A and 5, which are characterized
by resistance along the cone of the penetrometer
during cone penetration testing 0.3–0.5 MPa. Such a
low resistance on the cone of the probe is not typical
of weak soils in St. Petersburg, for which this value
is usually about 0.8–1.0 MPa. The reason for the
abnormally low characteristics of clay soils are the
above described processes associated with intense
microbial damage to the upper layers of clay soils.
The calculation of the stability of the foun-
dations taking into account the weak underly-
ing layer was performed numerically in the FEM
models software (there is no analytical solution to
this problem) (Shashkin 2014). Simultaneously, a
numerical calculation of the deformations of the
foundation was carried out in the presence of the
weak underlying layer (Fig. 2).
According to the results of the calculation, the
foundations resting on the layer of sands 3, with
the thickness of this layer under the base of the
foundations of 1–2 m, lose stability along the lower
underlying layer 3 A. Taking into account the pos-
sible redistribution of loads on transverse walls, it
can be recognized that such foundations are in an

Figure 2. The results of the numerical calculation of the

sand base, house 23, underlain by weak soils: the solution
of the elastoplastic problem (left); the results of solving
the loss of stability problem (right).

Figure 4. Joint calculations of the buildings and the

base and comparison with the observed deformation
Figure 3. Design graph of settlements development of patterns: a – general design pattern; b – zones of tensile
house 23 over time. stresses in the brick masonry; c, d – observed cracks.

332
unstable position of “dynamic equilibrium”: viola-
tion of stability leads to intensive development of
settlements, in turn, settlements, actually increasing
the depth of foundations, somewhat stabilize the
process, not leading to catastrophic destruction. The
process of changing the properties of soils (reducing
their mechanical characteristics) during the process
of contamination of soils should also be added to
this description. Figure 3 presents the design graph
of settlement development of house 23 over time.
The most reliable determination of settlement
development over time is the possible use of rhe-
ological models of soil operation (Abelev 1983,
Zaretsky 1988, Vyalov 1978, Ter-Martirosyan
1990, Paramonov 1999). According to the results
of numerical calculations that take into account
soil viscosity (Shashkin 2014), it has been estab-
lished that the state of “dynamic equilibrium” of
the “foundation-base” system is accompanied at
this time by settlement rates of the foundations
of about 1.5 mm/year (Fig. 3). The trend towards
a decrease in the estimated rate of development
of the settlements in the next 2 decades was not
observed. Currently, the calculated settlements of
the buildings were about 0.8 m. It should be noted
that this calculation is a lower estimate of the abso-
lute values and rates of deformations.
The considered mechanisms of settlement
development allow us to explain the nature of
deformations of buildings. Joint calculations of
the building and the base are very effective in iden-
tifying the causes of the development of deforma-
tions (Ulitsky et al. 2006, 2013, 2017, Kudryavtsev
et al. 2015). To analyze the operation of the struc-
tures, joint calculations of buildings and bases
were carried out taking into account the accumu-
lated unevenness of settlements (Fig. 4). Figure 4b
shows the isofields of the main tensile stresses. It
is known that brick masonry practically does not
operate in tension; therefore, the areas of concen-
tration of tensile stresses should correspond to the
places of the development of cracks. These areas
correspond to the development of main tensile
stresses, the corresponding cracks will, of course,
be perpendicular to these diagonal areas.
According to the results of joint calculations,
a fairly good agreement was found between the
predicted places of crack development and the
observed evidence.
5 CONCLUSIONS
The considered buildings are generally emergency
ones, because their foundations are in emergency
condition. The cause of excessive settlement is the
development of the process of loss of stability of
the foundation (for houses 23, 25, 29), the process
333
of rotting of piles or the process of deformation of
peat (for houses 21, 27), the mechanical safety of
these buildings is not ensured. The abnormal condi-
tion of the foundations can at any time lead either
to the development of existing defects in the walls or
to the emergence of new ones up to the collapse of
the walls. The computational analysis made it pos-
sible to conclude that there is cause-effect relations
between the uneven settlement of the buildings and
the development of defects in the brick masonry.
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ICSMGE 2017. 19th International Conference on Soil
Mechanics and Geotechnical Engineering.
Vyalov, S.S. 1978. Rheological bases of soil mechanics.
Moscow: Vysshaya Shkola Publishers, 1978.
Zaretsky, Yu. K. 1988. Viscoplasticity of soil struc-
tures and calculations. Moscow: Stroiizdat, 1988.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Analyzing efficiency of two-layer foundations for a power transmission

line portal based on a numerical experiment

M.N. Shutova & S.I. Evtushenko

Platov South-Russian State Polytechnic University (NPI), Novocherkassk, Russia

D.A. Kalafatov
Vernadsky Crimean Federal University, Simferopol, Russia

ABSTRACT: The article addresses determination of economic efficiency from the use of a two-layer
foundation for transmission line portal towers in comparison with traditional design solutions. Three
types of foundations for towers were considered as competing options: a monolithic reinforced-concrete
foundation, a prefabricated foundation according to the serial design of the contractor and a two-layer
foundation with a pyramidal base according to patent IPC E02D27/01. Construction is performed in
an area with high seismic activity (8 points). Structural design of the foundations was carried out with
account for the following loads: self-weight, wind in X-direction, wind in Y-direction, tension without
account for atmospheric ice, tension with account for atmospheric ice, weight of a service man, turbu-
lence of wind in X-direction, turbulence of wind in Y-direction, seismicity in X-direction, seismicity in
Y-direction. A numerical experiment was carried out with the use of the ANSYS software package; the
foundation structures and the soil mass were simulated. The design process revealed that there was no
substantial difference in the settlement between three types of models, and that the settlement did not
exceed the acceptable limit. During structural analysis with account for a special combination of forces
in the principal reinforcement of the bottom grid, the optimal cross-section for each model was selected.
Economy of principal reinforcement when using a two-layer foundation was 49% as compared to a mono-
lithic foundation, and 30% as compared to the serial design.

1 INTRODUCTION which was studied by Evtushenko (Evtushenko &

Studies on the stress-strain state of building struc-
tures by means of numerical experiments are a
priority in determining their actual bearing capac-
ity. The finite element method allows taking into
account complex geometry and nonlinearity of
materials presented in a model of bases and foun-
dations of construction facilities. Computer simu-
lation is much more cost-efficient than a full-scale
experiment, and repeatability of experimental and
simulation results is sufficient for many engineer-
ing problems.
For instance, the authors of the article identi-
fied repeatability of less than 5% for the results of
an experiment (field tests) and simulation using
the ANSYS software package for a linear model of
metal structure (Evtushenko et al. 2017).
However, behavior of the base/foundation sys-
tem differs from linear models of metal structures
with operational (light) loads. The stress-strain
state (SSS) of the system is affected by both soil
conditions and the shape of the foundation bot-
tom through which pressure is transmitted,
Krakhmal’nyi 2017).
When determining basic strength and opera-
tional characteristics of the base/foundation
system, it is necessary to take into account the spe-
cifics of soils (heterogeneity, anisotropy and non-
linearity of soil properties), as well as some special
loads (seismic, wind turbulance, dynamic loads
from machines and mechanisms). Those problems
are successfully solved using simulation in modern
software packages.
For example, G.M. Skibin and I.N. Chizh stud-
ied the SSS of a base under conditions of dense
urban development using sheet piling between
the existing and erected buildings. Full-scale and
numerical experiments were performed, simulation
was carried out in the Plaxis 2D software package
(Skibin & Chizh 2016).
One of the popular software products to simu-
late soil bases, used by scientists abroad, is the
ANSYS software package.
D.D. Zheng, S.V. Abusharar and K.Ch. Wang
performed a 3D nonlinear finite element modeling
of foundations supported by cement-gravel piles

335
(Zheng et al. 2008). Using the ANSYS software
packaged, dependences between the length and
material of the piles, as well as distribution of the
load in the pile cluster were determined.
Effects of seismic loads on building structures
were studied by A. Bayraktar, V. Sevin, A.K.
Altunişik (Bayraktar et al. 2012). The authors car-
ried out a numerical experiment involving the high-
est dam in Turkey using the finite element method
and the ANSYS software package. Frequencies of
vibrations caused by an earthquake that happened
in 1998 in the area of the Berke dam were taken as
a prototype to model the loads. Sufficient repeat-
ability of the results of the full-scale study and
the conducted numerical experiment was demon-
strated, while the difference in natural frequencies
of the vibrations reached 15%.
P. Jha and S. Kumar determined a relationship
between the SSS of bases of existing deep founda-
tions and the SSS of erected shallow foundations
using the finite element method (FEM) (Jha &
Kumar 2015). S. Kumar also took part in a full-
scale experiment to confirm the results of the stud-
ies presented in the paper.
Chinese scientists reconstructed conditions to
design a pile cluster under the water column (Ying
et al. 2015). Using the ANSYS software package,
frequencies of piles’ natural vibrations were deter-
mined and the influence of water flow on a foun-
dation supported by a pile cluster was modeled.
Modeling of dam foundations under conditions
of seismic effects was carried out by B.A. Zeidan
(Zeidan 2015). The materials of the dam and its
base were presented as linear materials. According
to the results obtained, the mass and flexibility of
a foundation have a significant impact on behav-
iour of dams.
Indian scientists conducted a dynamic analysis
of a pile foundation supported by different types
of soils (Chourasia et al. 2018) By means of a
numerical experiment, the most optimal form of
the foundation under different soil conditions, tak-
ing into account seismic effects, was selected.
Influence of fatigue strength on the foundation
material was analyzed by I. Unobe and A. Sorensen
(Unobe & Sorensen 2015) through the example
of a wind generator foundation structure. As a
combination of forces, a special one was selected:
alternating impacts of wind and seismic load. By
means of simulation in the ANSYS software pack-
age, it was found that this combination of forces
was critical for the foundation model considered
and significantly reduced its bearing capacity.
In Russia, the issue of soil base modeling using
the FEM has also found wide application. A team
of authors under the guidance of N.N. Nekrasova
(Nekrasova et al. 2010) analyzed the results of
mathematical modeling for foundation slabs on
336
an elastic base and the data obtained on the basis
of finite element computer simulation, and estab-
lished that the proposed model was adequate and
could be used for engineering design.
Influence of anisotropy of soil properties on the
SSS was addressed by L. V. Nuzhdin and K.V. Pav-
lyuk (Nuzhdin & Pavlyuk 2017). During modeling
of materials’ properties in the ANSYS software
package, the coefficient depending on the anisot-
ropy degree of the soil base and geometric dimen-
sions of the foundation was taken into account.
Determination of the SSS for an adjustable
foundation was carried out by A.B. Ponomarev
and E.N. Sychkina (Ponomarev & Sychkina,
2015). According to a two-stage analysis (simula-
tion at uniform loading on the beam and simula-
tion with lifting the beam edge with a jack), the
numerical results are in good agreement with the
experimental data.
A study on performance of a one-pile founda-
tion for a transmission line tower with modeling
in the Plaxis 3D program (Evstratova et al. 2017)
confirmed high repeatability of the results of
numerical simulation and field tests (5–13%).
One of the ways to improve reliability of foun-
dations for transmission line towers is to increase
strength of concrete. A team under the guidance
of V.Ya. Solovieva developed concrete for founda-
tions of transmission line towers, in which, with
the help of modified additives, strength is increased
by 71%, corrosion resistance—by 40% (Solovieva
et al. 2017).
2 MAIN PART
To calculate efficiency of two-layer foundations, a
project of the portal line of 500 kW executed by
YUZHENERGOSETPROEKT (Rostov-on-Don)
was taken as a prototype. The portal is located in
the Temryuk District of Krasnodar Krai, seismic-
ity at the construction site is 8 points.
Criticality rating of switchyard facilities is
increased. Base soils are light silty loams of solid
consistency, nonsaline, which are characterized
by the following standard physical and mechani-
cal properties: γ = 1.71 g/cm3, C = 0.016 MPa,
ϕ = 17.0º, E = 17.9 MPa. Loams lie at a depth up to
5.6 m. Groundwater lies at depths of 10.5–12.5 m.
Design of PS-220YA2 portal metal structures
was carried out by experts of YUZHENERGO-
SETPROEKT. A 3D scheme for design in the
StructureCad is shown in Figure 1.
Design was carried out based on the following
load cases: self-weight, wind in X-direction, wind
in Y-direction, tension without account for atmos-
pheric ice, tension with account for atmospheric
ice, weight of a service man, turbulence of wind
 Figure 2. Monolithic foundation for a transmission line
tower. a) a 3D model of the foundation, b) a 3D model of
the foundation with the soil base.

Figure 1. 3D scheme for design in the StructureCad.

in X-direction, turbulence of wind in Y-direction,

seismicity in X-direction, seismicity in Y-direction.
As a result of the conducted structural analy-
sis of the above-ground part, it was found that the
metal structures of the supports met the require-
ments for the first and second groups of limit
states for the basic and special load combinations.
Three options of foundations for a transmission
line portal tower were considered.
Option 1. Monolithic foundation made of B15
class concrete (Fig. 2).
Option 2. Prefabricated foundation according to
the project documentation of YUZHENERGO-
SETPROEKT (Series 3.407–115. Standard foun-
dation structures VL 35–500 kV) (Fig. 3); consists
of four F5-4 foundation posts (according to Series
3.407–115. Standard foundation structures VL
35–500 kV) of B30 class concrete, embedded into a
reinforced slab of B20 class concrete.
Option 3. Two-layer foundation constructed
according to patent RU167172U1 (IPC E02D27/01)
(Fig. 4).
The foundation is identical to foundation option
2; instead of the serial prefabricated foundation, a
foundation with a pyramidal base according to the
patent RU167172U1 (IPC E02D27/01) is used. The
author conducted a number of studies on numeri-
cal models of this foundation (Kalafatov 2016a).
Figure 3. Finite element model of the prefabricated
When modeling engineering data of geome-
foundation according to the YUZHENERGOSET-
chanical systems in the ANSYS 17.2 software PROEKT project: a) top view; b) section view; c) model
package, the Drucker–Prager model was chosen of the F5-4 prefabricated foundation (according to Series
to determine behavior or destruction of materials 3.407-115. Standard foundation structures VL 35-500
under the influence of plastic deformation. kV) of B30 class concrete; d) model of the prefabricated
In the ANSYS software package, initial data for foundation.
modeling of the foundations are as follows:
− uniaxial compressive strength;
purposes of FEM calculation, the soil mass is fixed
− uniaxial tensile strength;
on the external facets.
− biaxial compressive strength.
Calculation results are summarized in Table 1.
The load in the model is transferred as pressure A diagram of displacements in the slab (option 3,
and bending moment to the column heads. For the two-layer foundation) caused by a special load

337

Figure 4. Two-layer foundation model: a) model
of the prefabricated foundation according to patent
RU167172U1 (IPC E02D27/01) (Kalafatov, 2016b) with
a pyramidal base of B30 concrete, b) two-layer prefabri-
cated foundation model (reinforcement grids are located
similarly to the model).
combination in all foundation options is shown in
Figure 5. Data on option 1 and option 2 are given
in Table 1.
A diagram of stresses in the slab part for the
structure of the two-layer foundation is shown in
Figure 6.
In the presented structures, the project provides
for two grids in the slab part, as well as clamps and
frames, distribution and structural reinforcement
to fix the grids and prefabricated parts of the foun-
dation. The calculation took into account only the
principal reinforcement—the top and bottom grids
of the slab.
According to the calculation results, the top
reinforcement of the slab does not perceive
principal tensile stresses; therefore, it can be set
constructively. Taking into account the minimum
percentage of foundation reinforcement of 0.1%

Figure 5. Diagram of slab displacements, option 3 Figure 6. Diagram of stresses in the slab part of the
along the vertical axis, mm. foundation, MPa.

Table 1. Results of efficiency calculation for two-layer foundations.

Transmission line tower foundation model

Acceptablelimit
Indicator, Unit Option 1 Option 2 Option 3 of the indicator

Settlement, mm 3.45 3.43 3.34 100

Difference in settlements 0.0012 0.00093 0.0073 0.003
Concrete stress, MPa 3.44 3.19 2.85 Option 1–8.5
Options 2, 3–17.0
Reinforcement stress, 336.12 315.09 349.73 350
MPa
Top reinforcement grid, Ø12 Ø8 Ø8
section and area A-400 A-400 A-400
S LM = 5.65 cm2 S LM = 2.51 cm2 S LM =2.51 cm2
Bottom reinforcement Ø14 Ø12 Ø10
grid, section and area A-400 A-400 A-400
S LM = 7.69 cm2 S LM = 5.65 cm2 S LM = 3.93 cm2
Reinforcement economy 0% 26% 49% (in comparison with option 1)
(bottom grid) 30% (in comparison with option 2)

338
of the cross-sectional area at the height of the gap
between the layers of reinforcement and the strip
width, grids of ø8 A-400 with a pitch of 200 mm
can be taken as the top grids of the prefabricated
slab foundation (the cross-sectional area of the
grid per 1 linear meter – 2.51 cm2, the minimum
required area: 100⋅22⋅0.1:100 = 2.2 cm2).
Grids of ø12 A-400 with a pitch of 200 mm can
be taken as the top grid of the monolithic founda-
tion (the cross-sectional area of the grid per 1 lin-
ear meter – 5.65 cm2, the minimum required area:
100⋅52⋅0.1:100 = 5.2 cm2).
The calculation of reinforcement stresses (bot-
tom grid) was carried out in several stages, with
Figure 8. Diagram of stresses in the reinforcement of
account for selection of the diameter of grid rods the prefabricated foundation (option 2), MPa.
for each option. Constant parameters: grid pitch
– 200 mm, geometrical dimensions of the grid –
5.8 × 5.8 m, reinforcement – A-400 class. The maxi-
mum stress in the grid shall not exceed 350 MPa.
According to the calculation results, for rein-
forcement of the bottom grid at a special combina-
tion of forces (taking into account seismic impact
of 8 points):
− for the monolithic foundation (option 1), grid
ø14 mm is sufficient (stresses are 336.12 MPa,
Fig. 7).
− for the prefabricated two-layer foundation by
YUZHENERGOSETPROEKT (option 2), grid
ø12 mm is sufficient (stresses are 315.09 MPa,
Fig. 8).
− for the prefabricated two-layer foundation by
analogy with the FPs 2-3 foundation (option 3),
grid ø10 mm is sufficient (stresses are 349.7 MPa,
Fig. 9). Figure 9. Diagram of stresses in the reinforcement of
the two-layer foundation (option 3), MPa.
As a result of the conducted numerical experi-
ment, efficiency two-layer foundations for trans-
mission line portal towers (with account a special
combination of forces) was proved due to signifi- cant cost-efficiency (up to 49%) when reinforcing
the grids of the monolithic slab of a two-layer
foundation.

3 CONCLUSION

Efficiency of two-layer foundation structures was

Figure 7. Diagram of stresses in the reinforcement of
the monolithic foundation (option 1), MPa.
evaluated according to the basic requirements for
the first and second groups of limit states. For the
second group of limit states (maximum settlement
and difference in settlements), no significant dif-
ference was observed in the results among three
types of models. During stress analysis in the
principal reinforcement of the bottom grid, the
optimal cross-section for each model was selected
with account for a special combination of forces.
Efficiency of two-layer foundations in comparison
with monolithic foundations reached 49% in terms
of principal reinforcement economy.

339
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Stress-strain state of elastic base under circular foundation

V.I. Smirnov, S.A. Vidyushenkov & N.S. Bushuev

Emperor Alexander I St. Petersburg State Transport University, Saint Petersburg, Russia

ABSTRACT: The article presents an analysis of the stress-strain state of an elastic base during embed-
ment of a rigid circular foundation. The research method is based on the use of such mathematical tools
as integral transformations and dual integral equations. Exact and asymptotic expressions for calculation
of the displacement vector components and stress tensor at any point of an elastic base are obtained in
an explicit form. Lines of equal displacements and stresses are given for clarity. For a given load, the
obtained solutions are more comprehensive than those available in literature. The results obtained allow
defining the design bearing capacity of elastic bases under circular in plan foundations more exactly.

1 INTRODUCTION 2 PROBLEM STATEMENT AND

Let us consider a problem of normal pressure
without friction of a flat circular foundation on an
elastic base (half-space).
The foundation of radius a is pressed against
the half-space by the axial force P. Contact stress
and displacement under the foundation were
first obtained by Boussinesq (1969). Later this
problem was considered by other authors as well
SOLUTION
Let us introduce a cylindrical coordinate system
(r, Θ, z). Following the work by Sneddon (1946),
we now search for the components of the stress
tensor and displacement vector in the form of an
expansion in the Fourier–Bessel integral:
1
∞

B ( k ) k 2 e− kz [ 1− 2v − kz ] J1 ( kr ) dk
2 µ ∫0
(e.g. Egorov (1938), Lamb (1902), Love (1929)). ur =
In terms of strength and stability of the base, ∞
1
knowledge of only the contact components of the B ( k ) k 2 e− kz [ 2v − 2 − kz ] J 0 ( kr ) dk
2 µ ∫0
uz =
displacement and stress field is not enough. It is
necessary to have information on the stress-strain ∞

state at any point of the half-space. Such calcu- σ z = ∫ B ( k ) k 3e− kz [ 1+ kz ] J 0 ( kr ) dk

lations for stresses were performed by Sneddon 0
∞
(1946), however, the solutions are presented in the  1
tabular-graphical form, therefore, it is not possible
σr =
0
∫ B( k ) k e3 − kz
 ( 1− kz ) J 0 ( kr ) + kr ( 2v − 1
to use the results. Besides, the displacement field 
was not considered. The paper presents explicit + kz ) J1 ( kr )  dk
expressions for all components of the elastic field. 
∞
A homogeneous isotropic medium is analyzed. 3 − kz 
1
σ θ = ∫ B ( k ) k e  2ν J 0 ( kr ) + ( 1− 2v − kz )
Contact stresses and displacements for a base of 0  kr
heterogeneous depth were obtained in studies of 
Carrier & Christian (1973), Krenev et al. (2015), J1 ( kr )  dk
Selvadurai (1996), and for a composite base—in 
∞
studies of Biswas & Krishna (2019), Ibrahim τ rz = z ∫ B ( k ) k 4 e− kz J1 ( kr ) dk
(2016), Kumar & Chakraborty (2015). Interaction 0 (1)
between an arbitrarily applied concentrated force
and a circular foundation was studied by Fabri-
kant (1988). A fairly complete review of literature where µ – the Lame parameter, ν – the Poisson’s
on spatial contact problems in geotechnics was ratio and B(k) is determined by the following
carried out by Aleynikov (2010). equation:

341
 P sin( ka )  1
B( k ) = − ⋅ (2) − ; 0< ξ < 1
2π a k3 σ z0 ( ξ ,0 ) =  1− ξ 2
 0; 1< ξ < ∞,
Substituting (2) into equations (1) and calculat-
 γ 2 1− 1− ξ 2 1
ing integrals over k, we can obtain explicit expres-  ⋅ − ; 0< ξ < 1
sions to calculate the displacement and stress field.  1 − γ 2
ξ 2
1− ξ 2
σ r0 ( ξ ,0 ) = 
Then, turning to dimensionless variables:  γ ⋅ 1;
2
1< ξ < ∞,
 1− γ 2 ξ 2
r z
ξ= ,η =  γ 2 1− 1− ξ 2
a a (3) − ⋅ −
 1− γ ξ2
2
4πµ 2π
u 0 (ξ ,η ) = u(ξ ,η ),σ 0 (ξ ,η ) = σ (ξ ,η )  1− 2γ 2 1
P P σ θ0 ( ξ ,0 ) =  − ⋅ ; 0< ξ < 1
 1− γ 2
1− ξ 2
and getting rid of the trigonometric functions as  γ2 1
per the equations:  − 1− γ 2 ⋅ ξ 2 ; 1< ξ < ∞,

τ rz0 ( ξ ,0 ) = 0 (ξ ≠ 1) (6)
ω ω 3ω
sin = Ω ,cos = F ,sin = Ω ( 4 F 2 − 1)
2 2 2
3ω R+ A R− A The corresponding components of the elastic
cos = F ( 1− 4Ω 2 ) , F = ,Ω = field on the axis of symmetry (ξ = 0) are as follows:
2 2R 2R
A = ξ 2 + µ 2 − 1, R = A2 + 4η 2 (4) ur0 ( 0 ,η ) = τ rz0 (0,η ) = 0
1 1 η
uz0 ( 0 ,η ) = arcsin +
we will finally obtain the following: 1− γ 2 1+ η 2 1+ η 2
1+ 3η 2
η (η Ω − F ) γ 2 (1 − RΩ ) σ z0 ( 0 ,η ) = −
ur0 ( ξ , µ ) = − (1+ η 2 )2
ξ R (1 − γ )ξ 2
3γ 2 − 2 1 η2
1 2
σ r (0,η ) = σ θ ( ξ ,η ) =
0 0
⋅ +
u 0
( ξ ,η ) = arcsin 2(1− γ ) 1+ η
2 2
(1+ η 2 )2
z
1− γ 2 η + (1 + ξ ) + η 2 + (1 − ξ )2
2 2 (7)
ηΩ
+ At the point of the half-space coinciding with the
R origin of coordinates, we will have the following:
Ω η
σ z0 ( ξ ,η ) = − − (η Ω ( 4 F 2 − 1) − F (1 − 4Ω 2 ))
π
R R3 ur0 ( 0 ,0 ) = τ rz0 (0, 0 ) = 0, uz0 ( 0 ,0 ) =
η 2(1 − γ 2 )
σ r0 ( ξ ,η ) = (η Ω ( 4 F 2 − 1) − F (1 − 4Ω 2 )) + (8)
3γ 2 − 2
R3 σ z0 ( 0 ,0 ) = 1,σ r0 (0, 0 ) = σ θ0 ( 0 ,0 ) =
γ 2 (1 − R Ω ) η (η Ω − F ) Ω 2(1 − γ 2 )
+ − −
(1 − γ 2 )ξ 2 ξ R
2
R
During calculations, it is necessary to distin-
η (η Ω − F ) γ 2 (1 − R Ω ) (1 − 2γ 2 )Ω
σ θ ( ξ ,η ) =
0
− − guish a special point common for all components,
ξ2 R (1 − γ 2 )ξ 2 (1 − γ 2 ) R i.e. a point lying on the boundary of the founda-
ξη Ω ( 4 F 2
− 1) 1 − 2 ν tion and having coordinates ξ = 1, η = 0. In this
τ rz0 ( ξ ,η ) = − ,γ 2 =
R3 2(1 − ν ) case, the function
(5)
R(ξ ,η ) = (ξ 2 + η 2 + 1)2 + 4η 2
On the surface of the elastic base η = 0 we will
have:
present in (5), becomes zero. It is possible to dem-
onstrate that at ξ = 1:
 1− 1− ξ 2
; 0< ξ < 1
γ 2  ξ η η
u ( ξ ,0 ) = −
0
r  lim = 0,lim = ∞.
1− γ 2  1 η →0 R η → 0 R3
; 1< ξ < ∞,
 ξ Therefore, in the point ξ = 1, η = 0 we will have
π
; 0< ξ < 1
1  2 (Ω = F = 1
uz ( ξ , 0 ) =
0
 2) :
1− γ 2  arcsin 1 ; 1 < ξ < ∞ , γ2
 ξ u ( 1,0 ) = −
0
r , ξ → 1± 0
1− γ 2

342
 π
uz0 ( 1,0 ) = , ξ → 1± 0
2(1− γ 2 )
σ z0 ( 1,0 ) = {
−∞ ,
0,
ξ → 1− 0
ξ → 1+ 0
(9)

σ r ( 1,0 ) =
0
{
−∞ , ξ → 1− 0
γ 2 (1− γ 2 ), ξ → 1+ 0
σ θ0 ( 1,0 ) = {
−∞ , ξ → 1
γ 2 (1− γ 2 ),
− 0
ξ → 1+ 0
τ rz ( 1,0 ) = −∞ , ξ → 1 ± 0
0

3 DISPLACEMENT AND STRESS Figure 1. τmax isolines.

FIELD ANALYSIS

The obtained solution is distinctive in the fact that

the shear stress τrz under the edge of the foundation
(ξ = 1, η = 0), as well as other components of the
stress tensor, become infinite. In other words, the
requirement for the absence of shear stresses on
the entire surface of the half-space is not fulfilled
at the boundary of the contact area. It means that
it is hardly possible to implement the ideal sliding
contact without friction in practice.
The principal stresses and the maximum shear
stress can be found using the known equations. On
the axis of symmetry (ξ = 0), the latter value can be
found analytically: Figure 2. σ1 isolines.

1 0
τ 0 (0, η ) =( σ r (0,η ) − σ z0 ( 0 ,0 ) ) =
2 (10)
3γ 2 − 2 1 1 + 4η 2
= ⋅ +
4(1 − γ ) 1 + η
2 2
2(1 + η 2 )2

and the point η* at which the highest value of τ 0 is

reached can be found in the following way:

5 + 2ν
η* = (11)
7 − 2ν

At this point:
Figure 3. σΘ isolines.
2
P 1  6 − 5γ 2 
(
τ 0 0 ,η* ) = ⋅  
2π 6  4(1 − γ 2 ) 
(12) of the size 2a × 2a, therefore, the assumption that
the material in this area is under all-round com-
At γ2 = 1/3 (v = 0.25), τ0(0,η*) ≈ 0.44p0, where pression (Shreiner et al. 1958) is unjustified.
p0 = P/2π. The maximum tensile radial stress σr is reached
It should be noted that in contrast to the results at the boundary of the contact area r → a + 0
obtained by Sneddon (1946), isolines τmax (Fig. 1) (Fig. 4).
in the near-surface area at ξ > 1 have a typical
P γ2
inflexion point. It is consistent with the representa- σ r (1,0) = ⋅ (13)
tion of τmax in case of the concentrated force acting 2π 1 − γ 2
on the surface of the half-space (Dementiev 1984).
As it can be seen in the figures, the principal The tensile azimuthal stresses σθ are concen-
stress σ1 (Fig. 2) and the component σΘ = σ3 (Fig. 3) trated around a point located on the axis of sym-
have tensile zones in the area under the foundation metry at the depth η* = (3 + 2ν ) (1 − 2ν ).

343
Figure 4. σr isolines.
Figure 5. τrz isolines.
Figure 6. Lines of equal displacements ur.
For a material with the Poisson’s ratio v = 0.25,
η* = 7 ≈ 2, 65, or z* ≈ 2.65a. Therefore, the maxi-
mum value of σΘ will be equal to:
2 of the medium element from the axis of symmetry
 γ 
( ) P 2
σ θ 0 ,η* = (14)
 2 
2π  4 (1 − γ ) 
Τrz isolines (Fig. 5) represent two systems of
irregular concentric tori, the cross section of which
with a vertical plane has an angular point close to
the edge of the contact area. Those two systems of
tori are separated by a zero isobar, the surface of
which is close in shape to a hemispherical one.
Taking into account the direction of radial
(Fig. 6) and vertical displacements (Fig. 7), it is
344
Figure 7. Lines of equal displacements uz.
Figure 8. σ2 isolines.
Figure 9. σz isolines.
possible to suggest that conditions for “extrusion”
to the periphery are created at some depth.
The principal stress σ1 remains compressive only
in a small area directly under the foundation. At
the depth η = 3 ≈ 1, 73 (ξ = 0), a change of sign
at σ1 occurs, and it becomes tensile. The greatest
gradients of the tensile stresses σ1 are observed in
a rather narrow area that extends to the surface of
the half-space on the surface of the loading area.
The principal stress σ2 (Fig. 8), as well as the com-
ponent σz (Fig. 9) remain compressive throughout
the entire area of perturbations.
 1 P
K= p π a, p = 2 .
2 πa

As it can be seen in equations (16), stresses at

the edge of the foundation have a characteristic
root feature taking place in the field of compres-
sive stresses—when approaching the boundary of
the contact area from the inside; on the outer edge,
all stresses are finite.
The maximum shear stress τrz is achieved on the
following line:
Figure 10. Shear stress intensity T.
φ * = 2 arccos 0.625 + 0.125 29 ≈ 69.39 (17)

We can estimate the stress state of the material
by the shear stress intensity T:
1 problem ϕ* ≈ 70.53° (Alexandrov 1997).
T=
6
( σ r − σθ ) 2 + ( σθ − σ z ) 2 + ( σ z − σ r ) 2 + 6τ rz
(15)
Isolines of the function T, shown in Figure 10,
may indicate possible destruction of the medium
in the area of stress concentration, a sharp change
of sign at individual components or all-round
tension.
It can be expected that, in case of hard rocks, a
cone-shaped crack will generate at an angle close
to ϕ*. It should be noted that in a similar plane
Strength of the base material in the first approx-
imation can be estimated based on the following
condition:
(18)
σ max ≤ σ c
where σc is the limit of tensile strength. Since the
radial stress σr at the boundary of the contact area
has the greatest tensile strength, it follows from
(13) that:

2π a 2σ c
P = (19)
4 STRESS STATE AT THE EDGE OF * 1 − 2ο
THE FOUNDATION AND CONTACT
STRENGTH EVALUATION As can be seen in equation (19), the ultimate
load is proportional to the area of the foundation,
Let us evaluate the stress state at the edge of the which is consistent with the results of experiments
foundation. Let us introduce polar coordinates (Baron & Glatman 1966, Brylov & Bagdasarov
(r, ϕ) with the origin at the boundary of the con- 1958). Thus, in case of a brittle medium, annular
tact area. Then: cracks near the contact area (and in case of a plas-
tic medium—a small-scale zone of flow in the area
K ρ  φ 3φ  of the angular point) can be expected. The estima-
ur =  sin + sin  + O(1); tion of the ultimate load for a flexible foundation
4 µa 2π  2 2
(with pressure uniformly distributed over a circu-
K ρ  φ 3φ  lar area) is given by (Ter-Martirosyan & Sidorov
uz =  cos − cos  + O(1);
4 µa 2π  2 2 2018).
K  5 φ 1 5φ  It should be noted that the bearing capacity of
σz = −  sin − sin  + O( ρ ); the foundation is also affected by the degree of
2πρ  4 2 4 2
K  3 φ 1 5φ  foundation surface roughness (Benmebarek et al.
σr = − (16)
 sin + sin  + O(1); 2017, Ibrahim 2016).
2πρ  4 2 4 2
2ν K ϕ
σΘ = − sin + O (1);
2πρ 2 5 CONCLUSION
K  φ 5φ 
τ rz = −  cos − cos  + O( ρ ); The analysis of the stress-strain state of the elastic
4 2πρ  2 2
base under the foundation shows that the stress dis-
ρ→ 0
tribution at depth is very heterogeneous, has zones
of tension and compression, and the boundaries of
where K is the stress intensity coefficient: a sharp change in signs. This fact should be taken

345
into account when designing strength of bases and
stability of structures, especially those that require
anchoring at depth (Altun et al., 2013), in particu-
lar, in sandy soils (Davis & Poulos 1968).
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Alexandrov, V.M. 1997. Contact interaction between
elastic bodies with account for zones of localized
damage. A Journal of Russian Academy of Sciences.
Mechanics of Solids, 1: 34–38.
Aleynikov, S. 2010. Spatial contact problems in geotech-
nics: boundary-element method. Berlin: Springer-
Verlag Berlin and Heidelberg GmbH & Co. KG.
Altun, S., Karakan, E., Çağlar Tuna, Ş. 2013. Load dis-
placement relationship for a rigid circular foundation
anchored by Mindlin solutions. Scientia Iranica, 20
(3): 397–405.
Baron, L.I., Glatman, L.B. 1966. Contact strength of
rocks. Moscow: Nedra.
Benmebarek, S., Saifi, S., Benmebarek, N. 2017. Depth
factors for undrained bearing capacity of circular foot-
ing by numerical approach. Journal of Rock Mechan-
ics and Geotechnical Engineering, 9 (4): 761–766.
Biswas, A., Krishna, A.M. 2019. Behaviour of circular
footing resting on layered foundation: sand overly-
ing clay of varying strengths. International Journal of
Geotechnical Engineering, 13 (1): 9–24.
Boussinesq, J. 1969. Application of potentials to the study
of equilibrium and movement of solid elastic bodies
[Application des Potentiels à l’Etude de l’Equilibre et
du Mouvement des solides élastiques]. Paris: Albert
Blanchard.
Brylov, S.A., Bagdasarov, Sh.B. 1958. Tests of mechani-
cal properties of rocks under local compression. Pros-
pect and Protection of Mineral Resources, 7: 53–56.
Carrier, W.D., Christian, J.T. 1973. Rigid circular plate
resting on a non-homogeneous elastic half-space. Géo-
technique, 23 (1): 67–84.
Davis, E.H., Poulos, H.G. 1968. The use of elastic theory
for settlement prediction under three dimensional
conditions. Geotechnique, 18 (1): 67–91.
Dementiev, A.D. 1984. Concerning the Boussinesq prob-
lem. In: Application of Physical and Mathematical
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Methods in Agriculture. Novosibirsk: Novosibirsk
Agricultural Institute.
Egorov, K.E. 1938. Distribution of stresses and displace-
ments at the base of a rigid circular foundation. In:
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tures: Collected Volume No. 9 of the Proceedings of the
Laboratory for Bases and Foundations of Structures.
Moscow, Leningrad: State United Scientific and Tech-
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Fabrikant, V.I. 1988. Elastic field around a circular
punch. Journal of Applied Mechanics, 55 (3): 604–610.
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footing resting on granular soil overlying soft clay.
HBRC Journal (Housing and Building National
Research Center), 12 (1): 71–77.
Krenev, L.I, Aizikovich, S.M., Tokovyy, Yu.V., Wang,
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of a hot circular punch into an arbitrarily nonhomo-
geneous half-space. International Journal of Solids
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Kumar, J., Chakraborty, M. 2015. Bearing capacity of a
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Methods and technology of ensuring stability of landslide slope using

soil anchors

N.S. Sokolov
Research and Production Company FORST LLC, Ulyanov Chuvash State University, Cheboksary, Russia

A.E. Pushkarev & S.A. Evtiukov

Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: Construction of facilities on landslide slopes is a complex geotechnical task that requires
ensuring stability of the slope and the structure being erected. The paper describes experience in using
embedded structures made by applying the pulse discharge technology (PDT) for slope reinforcement.
The pulse discharge technology was applied during installation of PDT soil anchors in order to improve
their bearing capacity.

1 INTRODUCTION 12 engineering and geological elements (EGEs) are

Construction of buildings and structures on
landslide slopes is a complex geotechnical task
associated with installation of embedded rein-
forced-concrete structures to ensure stability
of the slope and facilities erected on such slope.
The described layout of strengthening structures
made using the pulse discharge technology (PDT)
allowed constructing a three-storied public facil-
ity at one of the sites in Cheboksary (Il’ichev et al.
2012, Rodionov et al. 1986, Ulitskii et al. 2010).
According to the engineering and geological sur-
vey report, in administrative respect, the construc-
tion site under study is located in the north-western
residential area of the Moskovsky Administrative
District of Cheboksary, in the Volzhsky-3 micro-
district, on a waste land along an asphalted pedes-
trian walkway, to the east of an apartment block
at 10/2 Sokolova St. As for geomorphology, the
survey territory covers a denudation plateau with a
man-made filled-up gully with a height of 20–30 m,
the total surface of the second—and third-order
landslide bodies with approximate marks (from
the second-order landslide to the third-order one)
of 100 and 105 m, located in the north end of the
survey area. The landslide slope of the studied
area in the Volga River valley has a complex struc-
ture. The terrain of the survey site is complex and
has a significant variation in absolute marks from
103.6–105.7 m within the landslides of two orders
in the north to 127.0–130.9 m in the south within
the denudation plateau with the total grade to the
north—to the Volga River valley. In the engineer-
ing and geological profile of the construction site,
identified up to the depth studied (up to 35.0 m):
EGE No. 1. Fill-up soil: heavy and silty loams
from stiff to hard (tQh); EGE No. 2. Light and
silty loams, hard (dQh); EGE No. 3. Loess loams,
collapsing, light and silty, very stiff and hard
(prQp); EGE No. 4. Light siltstones, sandy, very
stiff and hard (P3 s+v); EGE No. 5. Fine, compact
sands, with medium-density interlayers, low mois-
ture content (P3 s+v); EGE No. 6. Light and silty
clays, very stiff and hard (P3 s+v); EGE No. 7.
Lime marls of very low density (P3 s+v); EGE No.
8. Landslide loams, light and silty, from medium
to hard (dpQ); EGE No. 9. Landslide siltstones,
light and sandy, from stiff to very stiff (dpQ); EGE
No. 10. Fine sands, landslide, weak, wet and water-
saturated (dpQ); EGE No. 11. Landslide clays,
light and silty, from medium to hard (dpQ); EGE
No. 12. Heavy and sandy loams, stiff and very stiff
(dpQ).
Hydrogeological conditions of the site up to the
depth studied (35.0 m) are characterized by two
water-bearing layers. The water-bearing layer of
free-surface water (the first one from the surface)
is penetrated by wells at a depth of 10.7–16.3 m
in Upper Permian rocks of the layer, within the
plateau, and associated with the bottom of sand
and siltstone deposits, having contact with water-
resisting clays and marls. In general, the water-
bearing layer is thin, local, irregular, has sporadic
distribution; it is primarily lens-shaped, wedges
out by the slope or gets lost in underlying rocks.
That water-bearing layer was not confirmed by
wells of Order No. 9723 executed in January 2017.
However, it was registered in the data or Order No.

347
468 in October 2016, which testifies its seasonal-
ity. The water-bearing layer is recharged primarily
due to the inflow of precipitations and, partially,
due to the inflow of groundwater from the south.
Discharge occurs to the lower, deeper aquifer.
The second from the surface water-bearing layer
of free-surface water is penetrated at a depth of
2.5–6.3 m on the slope and 21.6–27.3 m within
the plateau (mark +93.20–105.40 m). Groundwa-
ter of the second water-bearing layer is primarily
interstratal, free-surface and associated with per-
vious interlayers of sands, siltstones, high fissured
clays interlaying between more dense impervi-
ous clay layers. The water-bearing layer is more
regular, penetrated by all wells within the plateau
and located on the landslide slope. The aquifer is
recharged primarily due to the inflow of precipi-
tations and, partially, due to the flow of ground-
water through hydrogeological windows from the
upper aquifer. According to the degree of aggres-
sive action: the first water-bearing layer has low-
mineralized, hydrocarbonate-chloride, calcium,
very hard water, non-aggressive towards concrete
of normal impermeability (W4 grade), and weakly
aggressive towards reinforcement of concrete
structures in terms of chlorides and sulphates.
The second water-bearing layer has fresh, hydro-
carbonate, magnesium and calcium, hard, weakly
alkaline water, weakly aggressive water towards
concrete of normal permeability (W4 grade), and
not aggressive towards reinforcement of concrete
structures.
Taking into account geological and hydrogeo-
logical conditions (Ukhov 2007) of the works, it
was decided to reinforce the landslide slope with
drill-injection piles and soil anchors manufactured
using the pulse discharge technology (PDT) (Cai &
Ugai 2000, Hassiotis et al. 1997, Lee & Salgado
1999). The anchorage included:
− application of cement grouts with W/C ratio
(by weight) = 0.5:1. For cement grouts, portland
cement without mineral additives was used (not
less than M500 class in terms of strength).
− as the anchor rod, plain reinforcement bars,
36 mm in diameter, A500C class (in plastic cas-
ing, at least 63 mm in diameter), and German
high-tensile thread bars, 26.5 mm in diameter,
St950/1050 grade, were used.
− for alignment in the well throughout the length
of the anchor rod, spacers (with a spacing of not
more than 2.0 m) of plastic pipe sections with
longitudinal cuts along the perimeter were used.
The anchors were installed in the following
sequence:
− constructing a well of a required depth and
diameter using auger drilling;
− filling-up the well with a cement grout up to the
well head;
− pulse discharge processing of the well at the level
of the root;
− installation of an anchor frame in the final
position.
During installation of soil anchors (Figs. 1–2),
the next well shall be constructed at least 1.5 m
from the previous one. Drilling with prefabricated
anchors is allowed only at least 48 hours after
concreting of the previous anchors is completed.
The bearing capacity of each anchor was checked
before it was put into operation together with the
secured structure, through check or acceptance
load tests.
During well construction, auger drilling was
performed in accordance with program of works,
using UBG-SG BERKUT drilling machines. In
the course of drilling, soil parameters at depth and
base soil characteristics (using soil remaining on
drilling tool elements) were monitored. Compli-
ance of soil in the well bottom to soil taken into
account in the design at the level of the anchor
root was determined. If the depth of drilling in
soil did not correspond to the design requirements,

Figure 1. Diagram of an AGp-24/10 soil anchor: 1 – thread bars, SAS St950/1050 DIN EN 10045 grade (thermo-
mechanically strengthened steel manufactured in Germany, with a strength at the yield point of 55 tf for φ26.5 mm,
according to Test Report No. 530 113/3-03 for the tests conducted by the Federal State Unitary Enterprise Bardin
Central Research Institute for Ferrous Metallurgy); 2 – reinforcement bars d36 A500 s l = 11.7 m; 3 – reinforcement
bars d36 A500c l = 5.8 m; 4, 5, 6 – reinforcement bars d20 A500c; 7 – backup washer; 8 – coupling sleeve; 9 – PVC pipe
d90 mm.

348
Figure 2. Nodes and sections to the scheme of soil anchor AGP-24/10 (Fig. 1). 1 – spiral reinforcement of grade St
950/1050 SAS DIN EN 10045 (thermomechanically hardened steel made in Germany with the stress at yield 55t for
∅26.5 mm, according to the test report No. 530 113/3-03 conducted by the “NIIChermet.I.P. Bardin”); 2 – fittings
d36 A500C l = 11.7 m; 3 – fittings d36 A500C l = 5.8 m; 4, 5, 6 – fittings d20 A500c; 7 – support washer; 8 – coupling;
9 – PVC pipe d90 mm.

or unstable soils were present along the length of
the well, the works were suspended, and a decision
was made to adjust the length, change the number
of anchors, etc.
Cement was poured into the wells right after
drilling completion. The well was filled up to the
well head through a concrete-pouring column
with a diameter of more than 40 mm, lowered to
the well bottom. When the bottom was reached,
the well had to be flushed with a cement grout.
Flushing with the cement grout continued till the
moment when soil particles ceased to surface. The
cement grout was prepared at the construction site
shortly before its injection. To prepare and supply
a grout, a PRN-500 (PRN-300) pneumatic grout
pump unit was used.
During pulse discharge processing of the well
filled with the cement grout, the capacity of accu-
mulated energy was at least 50 kJ. The length of
the cable from the surge-current generator to the
electrode system did not exceed 80 m, including
the length of the anchor (TIP-2 high-voltage cable
– 50 m, KVIM high-voltage cable – 30 m). Pulse
discharge processing was carried out at the length
of the anchor root using series of not more than 15
discharges at each level. The pitch was 0.5–0.7 m.
The estimated increase of the drilling diameter
(150 mm) was 200 mm, and the level of the grout
in the well prior to processing of one level and after
its completion was controlled for that purpose.
The level of the grout in the well during processing
of one level shall decrease by at least 15 cm. And if
during the last five pulse discharges, the level of the
grout decreased by more than 1 cm, the level was
processed to refusal. By “refusal” we shall mean a
decrease in the level of the grout in the well during
the last five discharges of not more than 10 mm.
To establish the fact of refusal, changes in the level
of the grout in the well after each discharge or a
series of five discharges were monitored (Sokolov
2018).
During anchor installation, the anchor frame
was lowered into the well smoothly, without any
jerks. After final installation of the reinforcement
cage, its position was monitored.
When all elements of the anchorage were
installed in a section designed for tensioning,
soil anchors were tensioned. The strength of the
anchor root set cement was at least 20 MPa. To
monitor strength gain in the process of anchor
installation, 7 × 7 × 7 cubes (9 pieces) that were
tested at the age of 3.7 (for internal use) and
10 days (for a report) were selected. The test load
was Pt = 1.4 × Pw (according to Industry-Specific
Construction Standards VSN 506–88). The check
tests were performed at each 10th anchor, starting

349
with the load P0 = 0.2 × Pt. The bearing capacity
and test loads for acceptance anchors were deter-
mined as the minimum value of the test results
using at least two nearest testing anchors (Sokolov
2018).
Experience in implementing the accepted tech-
nical and technological solutions showed high
efficiency of the applied design of soil anchors.
The use of the pulse discharge technology made
it possible to increase the bearing capacity of the
structure 2.2–2.5 times, which, under the given
complex geological conditions, had a key role in
ensuring stability of both the slope and the erected
structure.
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Petersburg: Georekonstruktsiya.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Selecting type of bored piles with increased values of bearing capacity

N.S. Sokolov
Ulyanov Chuvash State University, Research and Production Company FORST LLC, Cheboksary, Russia

A.E. Pushkarev
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

A.N. Mikhaylov
Saint Petersburg State University of Aerospace Instrumentation, Saint Petersburg, Russia

ABSTRACT: Continuous flight auger piles constructed using the pulse discharge technology (PDT
piles) are the most frequently used embedded structures in geotechnical construction. The preferred
usage of those piles is due to increased values of their bearing capacity as compared to other types of
bored piles. As a rule, at any construction site made up of diverse engineering and geological elements,
it is difficult to achieve the same bearing capacity for the selected type of piles within the construction
footprint. The use of PDT piles with controlled values of bearing capacity allows solving problems of
geotechnical construction related to a particular site.

1 INTRODUCTION of cases – due to soil compaction in excess of its

Foundations with the use of continuous flight
auger piles constructed using the pulse discharge
technology (PDT piles) have a number of com-
petitive technical advantages in comparison with
other types of foundations on bored piles. One of
the distinguishing parameters of bored piles is pile/
soil combined action. For instance, in the majority
of bored and CFA piles (group 1), holes are filled
with heavy or fine-grained concrete with the use of
Vertical Pipe Transfer (VPT) (grout pipes placed
vertically) under the dead load of newly laid con-
crete. Loosened soils of the borehole walls do not
restore their natural structure. This circumstance
is taken into account in equation (7.11) of Regula-
tions SP 24.13330.2011. Revised edition of SNiP
2.02.03–85, where the coefficients of work condi-
tions and are equal to 1 and 0.5–0.8, respectively
(see Table 7.2 of Regulations SP 13330.2011). CFA
piles manufactured with pressuring at a pressure
of 200–400 kPA (2–4 atm) with the same coeffi-
cients are included into this group as well.
Another group includes bored piles (group 2),
in which pressuring of the borehole walls is car-
ried out using underreaming. Those are CFA piles
constructed using the pulse discharge technology
(PDT piles). Those piles have increased values of
the coefficients of work conditions and (1.3 and
1.1–1.3, respectively) due to restoration of the soil
structure in the borehole walls, and in the majority
natural values.
Thereby, bearing capacity under the pile toe (for
the piles of group 2) increases 1.3 times, and along
the side surface – 1.1/0.5–1.3/0.5 = 2.2–2.6 times.
When calculating bearing capacity Fd according
to equation (7.11) of Regulations SP 24.13330–
2011, the values of R and f design resistances are
determined according to Tables 7.3 and 7.8. of
Regulations SP 24.13330-2011. Table 7.3 of Reg-
ulations SP 24.13330-2011 presents f values for
different IL and f values, while Table 7.8 of Regula-
tions SP 24.13330-2011 presents the same for R.
For illustrative purposes, R/f = f (h) values for dif-
ferent IL values are given in Table 1 and Figure 1
below.
Bored piles of group 2 – CFA piles manufac-
tured using the pulse discharge technology – have
an advantage over bored piles of group 1, namely,
the possibility of compacting the loosened bore-
hole walls through electro-hydraulic processing in
fine-grained concrete in excess of natural values.
This process results in formation of the following
zones in the cross-section of PDT piles, in addition
to the reinforced-concrete pile section (item 1): 1)
cement grouting zone (item 2); 2) compaction zone
(item 3) (Fig. 2).
In complex engineering and geological condi-
tions of a construction site with alternating soils of
problematic origin, bearing capacity of bored piles
shall be determined with careful consideration. It is

351
Table 1. R/f = f (h) dependences for different IL values.

IL = 0.2 IL = 0.3

1 2 3 4 5 6 7

h, m R, kPa f, kPa R/f R, kPa f, kPa R/f

3 650 48 13.5 500 35 14.2

5 750 56 13.7 650 40 16.3
7 850 60 14.2 750 43 17.4
10 1050 65 16.2 950 46 20.7
12 1250 68 18.4 1100 48 22.9
15 1500 72 20.8 1300 51 25.5
18 1700 76 22.4 1500 53 28.3
20 1900 79 24.1 1650 56 29.5
30 2600 81 32.0 2300 61 37.7
≥40 3500 93 37.6 3000 66 45.4

IL = 0.4 IL = 0.5 IL = 0.6

Figure 2. Cross-section of a PDT CFA pile: 1 – rein-
8 9 10 11 12 13 14 15 16 forced concrete section of a PDT pile; 2 – cement grout-
ing zone; 3 – compaction zone.
R, f, R, f, R, f,
kPa kPa R/f kPa kPa R/f kPa kPa R/f
friction on the side surface, it is also necessary
400 25 16.0 300 20 15.0 250 14 17.9 to increase the depth of pile setting into denser
500 29 17.2 400 24 16.7 350 17 20.6 bearing soils (in addition to increasing the pile
600 32 18.8 500 25 20.0 450 19 23.7 diameter).
800 34 23.5 700 27 25.9 600 19 31.6 PDT CFA piles can be classified as micropiles.
950 36 26.4 800 28 28.6 700 19 36.5 Bearing capacity of such pile can be adjusted
1100 38 28.9 1000 28 35.7 800 20 40 without changes in the diameter of the drilling tool
1300 40 32.5 1150 29 39.7 950 20 47.5 (as opposed to that of bored piles of group 1).
1450 41 25.4 1250 30 41.7 1050 20 52.5 Improving bearing capacity of CFA piles for
2000 44 44.0 – – – – – –
bases composed of problematic soils is extremely
2500 47 53.2 – – – – – –
relevant issue which is also important in urban
densification. CFA piles manufactured using the
pulse discharge technology (PDT piles) represent
the most preferable option for those purposes. Due
to electro-hydraulic action on the well walls, fine-
grained concrete penetrates soil, thereby improv-
ing bearing capacity of PDT piles.
There are large possibilities in terms of signifi-
cant improvement of piles’ bearing capacity (Cai
& Ugai 2000, Hassiotis et al. 1997, Lee & Salgado
1999, Mandolini et al. 2005, Sokolov 2014, 2016,
Sokolov & Ryabinov 2016a, b, c, Sokolov et al.
2001, 2007, 2016, Ushkov et al. 2007).
Enlargements along the PDT pile shaft and
under its toe result in manifold increase of its bear-
ing capacity. Practice of designing, manufactur-
Figure 1. R/f = f (h) dependency diagrams at different
ing and using such piles demonstrated their high
x values of IL liquidity index: 1 – for IL = 0.2; 2 – for efficiency.
IL = 0.3; 3 – for IL = 0.4; 4 – for IL = 0.5; 5 – for IL = 0.6. One the authors of the present article has been
engaged in design and construction of PDT piles
for a long time. PDT piles with multiple enlarge-
not always possible to achieve the required design ments (MEs) proved to have increased bearing
bearing capacity of piles. The required Fd values capacity as compared to piles without enlarge-
for bored piles of group 1 can only be achieved by ments. To prove that statement, we present Figure 1
increasing the pile diameter. To minimize negative (Sokolov & Ryabinov 2016) with diagrams of

352
static load testing of two PDT CFA piles without
intermediate enlargements, bearing capacity Fd of
which was 910 and 1010 kN, as well as two identi-
cal piles, but with intermediate enlargements and
pile toe enlargements, bearing capacity Fd of which
was 1720 and 1850 kN. Thus, bearing capacity of
the pile increased 1.8–2.0 times. Therefore, PDT
piles with two enlargements have almost doubled
bearing capacity.
Based on the results of the static load tests, we
can conclude that bearing capacity Fd of PDT piles
can be adjusted. For that purpose, enlargements
along the pile shaft and under the pile toe should
be introduced.
Bearing capacity of friction bored piles, in par-
ticular, PDT piles, is determined as the sum of its
bearing capacities at the toe and side surface. At
vertical loading, the side surface comes into opera-
tion first. When friction forces are overcome (in
case of pile failure along the side surface), the toe
takes on the load (though, e.g. in Regulations SP
24.13330.2011, when determining bearing capac-
ity of friction piles, it is assumed that soil comes
into action under the toe and along the side surface
of the pile simultaneously). PDT piles with multi-
ple enlargements operate in a different way under
loading. The upper enlargement comes into action
at the initial stage of loading. The lower enlarge-
ments come into action sequentially with a load
Figure 3a. An example of an algorithm to determine bearing capacity Fd for PDT piles without enlargements.
353
increase, each of them acting as an additional sup-
port. In this case, bearing capacity is significantly
higher than upon friction of the side surface of a
pile without enlargements against soil. This is con-
firmed by the analysis of equations allowing deter-
mining bearing capacity of the mentioned piles, as
well as Table 1 and Figure 1 hereof.
Bearing capacity of PDT piles with multiple
enlargements shall be calculated by equation (2)
(Sokolov & Ryabinov 2016).
 n n 
Fd = γ c γ cR RA + γ cR ∑ Riside Aiside + u∑γ cf fi hi  (1)
 i =1 i =1 
where γc, γcR, γcf – coefficients of work conditions;
A – cross-section area under the toe, m2; Aiside – area
of the i-th enlargement, m2; u – pile perimeter, m;
hi – thickness of the i-th soil layer, m; Riside – design
resistance of the base under the i-th enlargement,
kPa; fi – design resistance along the side surface of
the i-th soil layer, kPa.
Figure 3 presents comparative calculations
of bearing capacity of a PDT CFA pile without
enlargements (Figure 3a), with one enlargement
under the toe (Figure 3b), with enlargements under
the toe and along the pile shaft (Figure 3c), with an
enlargement under the toe and two enlargements
along the pile shaft (Figure 3d).
Figure 3b. An example of and algorithm to determine bearing capacity Fd for PDT piles with an enlargement under
the toe.

Figure 3c. An example of an algorithm to determine bearing capacity Fd for PDT piles with enlargements under the
toe and along the pile shaft.

354
Figure 3d. An example of an algorithm to determine bearing capacity Fd for PDT piles with an enlargement under
the toe and two enlargements along the pile shaft.
Results of Fd determination by equation (1) pre-
sented in Figure 3 are as follows:
− for the diagram in Figure 3a – Fd = 1513 kN;
− for the diagram in Figure 3b – Fd = 1679 kN;
− for the diagram in Figure 3c – Fd = 1877 kN;
− for the diagram in Figure 3d – Fd = 1927 kN.
Letter designations: N – vertical load; d – exca-
vation depth, m; zRj – average enlargement depth
(j = 1; 2; 3;); zi – average depth of the i-th soil layer,
m (i = 1; 2; ...; 11); IL – liquidity index; fi – design
resistance of the i-th soil layer of the base along
the side surface of a pile, kPa; hi – thickness of the
i-th soil layer contacting the side surface of a pile,
m; γcR, γcf – coefficients of work conditions of soil
under the enlargement and along the side surface
of a pile above it, respectively; R – design resist-
ance of soil under the enlargement; Denl – enlarge-
ment diameter, m, calculated by equation 14.28 of
Technical Guidance TR 50-180-06; Aenl – enlarge-
ment supporting area (m2).
2 CONCLUSION
The use of PDT CFA piles with the adjusted values
of bearing capacity Fd opens up a new direction in
geotechnical construction. Due to unique charac-
355
teristics of load redistribution and leveling of the
expected non-uniform deformations of facilities,
those piles will be in demand both in new construc-
tion and reconstruction.
REFERENCES
Cai, F. & Ugai, K. 2000. Numerical analysis of the stabil-
ity of a slope reinforced with piles. Soils and Founda-
tions 40 (1): 73–84.
Hassiotis, S., Chameau, J.L. & Gunaratne, M. 1997.
Design method for stabilization of slopes with piles.
Journal of Geotechnical and Geoenvironmental Engi-
neering 123 (4): 314–323.
Lee, J.H. & Salgado, R. 1999. Determination of pile base
resistance in sands. Journal of Geotechnical and Geoen-
vironmental Engineering 125 (8): 673–683.
Mandolini, A., Russo, G. & Viggiani, C. 2005. Pile foun-
dations: experimental investigations, analysis and
design. Ground Engineering 38 (9): 34–35.
Sokolov, N.S. 2014. Method for calculating the carry-
ing capacity of piles CFA-RIT taking into account
“glides”. In: Sokolov, N.S. (ed.), Proceedings of the 8th
All-Russian (2nd International) Conference on New
in Architecture, Design Construction and Renovation
(NADCR-2014), 407–411. Cheboksary: Publishing
House of the Chuvash State University.
Sokolov, N.S. 2016. Technological methods of installa-
tion of bored-injection piles with multiple enlarge-
ments. Zhilishchnoe Stroitel’stvo 10: 54–59.
Sokolov, N.S. & Ryabinov, V.M. 2016a. On effectiveness
of manufacturing continuous flight auger piles with
multiplace broadenings using the electric-discharge
technology. Geotechnics 2: 28–32.
Sokolov, N.S. & Ryabinov, V.M. 2016b. Peculiarities
of manufacturing and calculating continuous flight
auger piles with multiplace broadenings. Geotechnics
3: 60–64.
Sokolov, N.S. & Ryabinov, V.M. 2016c. Technique of con-
struction of bored-injection piles of increased bearing
capacity. Zhilishchnoe Stroitel’stvo 9: 11–14.
Sokolov, N.S., Dzhantimirov, K.A., Kuzmin, M.V.,
Sokolov, S.N. & Sokolov, A.N. 2016. Patent for inven-
tion. Utility model. Device for camouflet widening of
built-in-place structures in soil. Bulletin of the Federal
Service for Intellectual Property.
Sokolov, N.S., Grigoriev, N.F. & Sokolov, S.N. 2007.
Experience of using micropiles. In: Proceedings of the
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6th All-Russian Conference on New in Architecture,
Design Construction and Renovation (NADCR-2007),
106–109. Cheboksary: Publishing House of the Chu-
vash State University.
Sokolov, N.S., Ushkov, S.M., Mefodiev, A.G. & Sokolov
S.N. 2001. Areas of application of drill-injection
piles using the pulse discharge technology during
reconstruction. In: Proceedings of the 3rd All-
Russian Conference on New in Architecture, Design
Construction and Renovation (NADCR-2001), 381.
Cheboksary: Publishing House of the Chuvash State
University.
Ushkov, S.M., Sokolov, N.S. & Viktorova S.S. 2007.
Experience of piled raft foundation application. In:
Proceedings of the 6th All-Russian Conference on New
in Architecture, Design Construction and Renovation
(NADCR-2007), 110–111. Cheboksary, Chuvash
State University Publishing House.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Experimental studies of soil compaction effect on pile operation

M.A. Stepanov & G.I. Rybak

Tyumen Industrial University, Tyumen, Russia

ABSTRACT: The article is devoted to the method of increasing the bearing capacity of pile founda-
tions. In this paper, the problems of quantitative assessment of the residual deformations and stresses in
the transformed soil layer as a result of the application of additional vertical pressure to the base prior to
loading of the pile foundation are considered. According to numerical calculations in spatial formulation,
it was found out that the use of compaction in soils with a deformation modulus of E = 6 MPa allows
increasing the load bearing capacity of pile foundations at pressure Pcom from 50 to 150 kPa by creating
additional horizontal stresses along the lateral surface of the piles. An assessment was made of the nature
of horizontal displacements of soil during compaction and changes in the stress state of the base along
the pile shaft, affecting their interaction. To study the effect of compaction on the pile operation in the
laboratory, a series of experiments were conducted, which examined the impact of compaction at pressure
Pcom = 100 kPa on the change in the bearing capacity of piles in a sandy foundation with a given compac-
tion coefficient. The results of the change in the bearing capacity of piles without compaction and using
the soil compaction technology are presented.

1 INTRODUCTION significantly affect the joint pile operation with the

Every year in large Russian and foreign cities the
rate of constructing new objects increases. More
often, construction begins in difficult geotechni-
cal conditions, cramped urban environments, on
weak silty-clayed and sandy soils, which requires
increased attention both in terms of the mechani-
cal safety of buildings and structures and in terms
of the cost-effectiveness of pricing (Pronozin et al.
2018, Rabiei & Choobbasti 2018).
In recent years, the geotechnical design technol-
ogy, in which the engineer has the ability to regu-
late the stress-strain state (SSS) in the system “soil
base – foundation – building” has gained particu-
lar popularity (Petrukhin et al. 2015). The existing
methods for changing the construction properties
of the soil and SSS regulation include: injecting
hardening mortars into the soil, base compaction,
introduction of a solid bit into the soil, application
of pneumatic structures in the soil, soil compres-
sion with ropes, use of anchors, soil compaction of
the base, etc. (Stepanov et al. 2017).
The stress-strain state of the soil base has a sig-
nificant impact on the operation of foundations
(Mali & Singh 2018, Rabiei et al. 2010, Lee et al.
2014, Nguyen et al. 2016).
One of the directions for regulating the SSS of
the base soil is vertical compaction, which allows
increasing the bearing capacity of pile and com-
bined foundations due to residual compaction
deformations and residual excessive stresses, which
converted SSS of the base soil (Ter-Martirosyan
et al. 2008, Pronozin et al. 2016) (Fig. 1).
Compaction is performed by filling the artificial
base with a cement-sand mortar under pressure;
the shells and the natural base soil are involved in
the operation. The shell is tensioned; the soil base
is loaded with hydrostatic pressure, due to which its
stress occurs. In the process of base compaction,
an improvement of the construction properties of
the soil in the CSPF span takes place. In this case,
physical, strength, and deformation characteristics
of the soil change, as well as the stress-strain state
of the base, which may significantly differ from the
original. An area of plastic deformation is formed
in the soil mass, the soils are compacted, strength-
ened, and excessive residual stresses arise in them.
Figure 1. Fragment of the span of the combined strip
pile foundations before compaction (left) and after it
(right): 1 – a variable stiffness plate; 2 – continuous foot-
ing; 3 – piles; 4 – mineral base; 5 – injectors; 6 – shell;
7 – soil base; 8 – tight elastic membrane; 9 – compacted
base soil; 10 – walls and columns.

357
Artificially changing the SSS of the base allows
preparing the soil to resist loads with minimal
deformations and actively regulating the interac-
tion of the “base – foundation – building” system.
To study the interaction of piles with the
compacted sand base, numerical calculations and
laboratory studies were performed.

2 NUMERICAL MODELING OF THE

COMPACTION IMPACT ON PILE
OPERATION

2.1 Carrying out numerical modeling

Numerical modeling was performed in the Midas
GTS NX software in the spatial formulation using
the Hardening Soil model (Fig. 2). The main task
was to identify changes in the bearing capacity of
the piles during compaction (Bourgeois et al. 2012,
Lee 2010, Toma-Sabbagh & Al-Abboodi 2017).
The pile 12 m long made of reinforced concrete
had the compaction area of 36 m2.
When conducting numerical studies, the follow-
ing stages were chosen: the formation of the initial Figure 3. Isolines of horizontal displacement dis-
stress-deformed base, vertical compaction of the tribution in the soil base at E = 6 MPa a) without
soil base around the pile, and pile loading (in incre- compaction, b) in case of compaction at Pcom = 50 kPa,
ments of 20 kN). To assess the effect of compac- c) Pcom = 100 kPa, d) Pcom = 150 kPa.
tion, a series of calculations were carried out with
compaction values Pcom = 50, 100, and 150 kPa.
According to the results of the calculations, it
was determined that the horizontal deformations
of the soil during vertical compaction increase
significantly and the main part of the movements
is concentrated at the pile tip level (Fig. 3). As a
result of compaction, a change in the SSS of the
soil base occurs, which leads to additional compac-
tion of the upper part of the pile near the surface
of the soil base, thus increasing the soil resistance
on the lateral surface of the pile, which leads to the
increase in its bearing capacity.
When studying the formation of a new modified
SSS in the soil with a deformation modulus (E) of Figure 4. The change in the pile bearing capacity Fd
6 MPa, it was found out that the greatest effect of depending on compaction value.

compaction is achieved at pressure Pcom = 100 kPa

per base (Fig. 4).

Figure 2. Model of the pile in soil mass.
2.2 Findings
According to the data obtained, it is revealed that
when using compaction, it is possible to adjust the
stress-strain state of the soil, which significantly
affects the bearing capacity of the pile. When con-
ducting numerical modeling, it was determined
that by using compaction pressure Pcom = 100 kPa,
it is possible to increase the bearing capacity of

358
piles Fd up to 16% in a single-layer soil base in the Table 1. Physical and mechanical characteristics of the
specified conditions. base soil with different compaction factors.

Kcom ρ, g/cm3 W, % E, MPa ϕ, ° c, kPa

3 LABORATORY EXPERIMENTS 0.92 1.79 2.7 15.35 24.19 0.60
0.95 1.84 2.7 17.62 30.24 0.75
To study the effect of compaction on pile opera- 0.98 1.90 2.7 19.38 31.54 1.13
tion in the laboratory, a series of experiments
were carried out in which the following tasks were
considered:
1. to investigate the effect of compaction of a
sandy base soil on the bearing capacity of the
pile, operating at static indentation loads in
a compacted base soil and without base soil
compaction.
2. to investigate the effect of compaction of a sandy
base soil on the bearing capacity of the pile,
operating at static pulling loads in a compacted
base soil and without base soil compaction.
3. to identify the change in the bearing capacity of
the pile, depending on the compaction factor of
the sand. Figure 6. Process of filling the experimental tray.

3.1 Material base, instruments and equipment

of the laboratory experiment
The experimental tray is a reinforced concrete cubic
container with dimensions of 2.0 × 2.0 m, a height
of 1.8 m, and wall thickness of 15 cm (Fig. 5).
The physical and mechanical characteristics
of the soils for each compaction coefficient were
determined in accordance with the regulatory doc-
uments (Table 1).
The experimental tray was filled with layer-by-
layer compaction every 100 mm (Fig. 6). After
each experiment, the sandy soil was removed from
the tray and filled with the soil with the specified
compaction factor. The compaction was control-
led using a dynamic densitometer and a cutting
ring method (Imran et al. 2016).
Figure 7. Diagram of installing the pile in the tray.
In the process of filling the tray with sand,
the pile was set to a predetermined high-altitude
position. The metal pile was a pipe Ø152 mm with
a wall thickness of 4.5 mm, a round cap 5 mm
thick and a tip of 200 × 200 × 10 mm (Fig. 7).
After installing the pile into its initial position
and filling the tray with sand, the process of testing
the pile began to determine the bearing capacity
during the tests with and without compaction.
During laboratory testing, compaction was per-
formed by transferring additional pressure to the
sand base through a specially designed structure
(Fig. 8). It consists of 2 oriented strand boards
10 mm thick, interconnected in the transverse
direction by wooden bars.
The load on the pressure transfer device was
Figure 5. Experimental tray. transferred by 4 hydraulic jacks.

359
 Figure 9. Static pile penetration test without base soil
compaction.

Figure 8. Pressure transfer device.

3.2 Conducting laboratory studies

The tray experiments had 4 stages:
• determination of the pile bearing capacity to
indentation without compaction;
• determination of the pile bearing capacity to
indentation with compaction;
• determination of the pile bearing capacity to
pulling out without compaction; Figure 10. Static pile indentation test with base soil
compaction.
• determination of the pile bearing capacity to
pulling out with compaction.
During the tests, the load on the pile was set in
increments, taking into account the stabilization of
deformations; each increment did not exceed 0.1
of the maximum load according to the test pro-
gram. For each load step, data on the obtained set-
tlements were taken.
To conduct a series of tests for the indentation
load without base soil compaction, the test instal-
lation was assembled (Fig. 9).
The next step was the static pile indentation
load test with base soil compaction = 100 kPa
(Fig. 10).
According to the results of the experiments,
a statistical processing of the obtained data was
carried out, the values of the bearing capacity
of the pile were determined depending on the Figure 11. Graph of the dependence of the settlement
on the load for different Kcom.
compaction coefficients of sand and the use of
compaction.
In accordance with the data obtained, graphs After the pulling load tests were carried out,
of the settlement-load dependences were made the graph of the settlement-load dependence was
(Fig. 11). made (Fig. 13).
In order to study the effect of compaction on
the pulling load of the pile, static pulling load tests
3.3 Key findings
of the pile were carried out.
To test the pile with pulling load (Fig. 12), 2 The bearing capacity of the pile Fd was deter-
Ø25 mm reinforcement bars were welded to it. mined during the statistical data processing, after

360
 indentation load testing (Table 2). Pulling load
tests data is presented in Table 3.

3 CONCLUSIONS

1. According to the results of numerical modeling,

it was determined that compaction leads to the
change in the SSS of the base soil, which creates
additional compression in the pile head, thereby
increasing soil resistance on the lateral surface
of the pile and improving its bearing capacity.
Figure 12. Static test of the pile for pulling load with 2. The evaluation of the effect of compaction of
base soil compaction. the base soil on the change in the bearing capac-
ity of the pile for indentation and pulling load in
the sandy soil at various compaction coefficients
was carried out. When transferring pressure
Pcom = 100 kPa, additional pressure influences
the base soil along the lateral surface of the pile.
Tangential stresses rise; this increases the fric-
tion between the pile and the soil, which affects
the change in the bearing capacity of the pile.
3. The analysis of the change in the bearing capac-
ity of the pile to the indentation load in case
of base soil compaction is carried out. Accord-
ing to the conducted tray experiments, it was
revealed that with Kcom = 0.92, the bearing
capacity of the metal pile increases by 20.23%;
with Kcom = 0.95, the rise in the bearing capac-
ity reaches 17.84%; with Kcom = 0.98, the bear-
Figure 13. Graph of settlement-load dependence for ing capacity of the pile becomes higher by
various Kcom. 14.72%. The data obtained confirm the increase
in the bearing capacity during the base soil
compaction with pressure Pcom = 100 kPa. The
Table 2. Test results of the pile indentation load tests. greatest increase in compaction is achieved
at Kcom = 0.92, thus, compaction in case of a
Kcom = 0,92 Kcom = 0,95 Kcom = 0,98 weaker soil base is more efficient.
4. The analysis of the change in the bearing capac-
Fd, without 63.87 72.76 78.02 ity of the pile to the pulling load was performed.
compaction,
kN
According to the indentation load tray experi-
Fd, with 76.79 85.74 89.51
ments, it was found out that at Kcom = 0.92, the
compaction, bearing capacity of the metal pile increases by
kN 77.72%; at Kcom = 0.95, the rise in the bearing
∆Fd,% 20.23 17.84 14.72 capacity reaches 69.39%; at Kcom = 0.98, the pile
bearing capacity becomes higher by 64.41%.
The data obtained also confirm that compac-
tion is most effective in weak soils.
Table 3. The results of pile pulling load tests. 5. Base soil compaction allows changing the stress-
strain state of the soil mass, which has an impact
Kcom = 0,92 Kcom = 0,95 Kcom = 0,98 on increasing the bearing capacity of the pile.
Fd, without 1.26 2.19 3.45
compaction,
kN REFERENCES
Fd, with 2.25 3.72 5.68
compaction, Bourgeois, E., de Buhan, P. & Hassen, G.2012. Settle-
kN ment analysis of piled-raft foundations by means of
∆Fd,% 77.72 69.39 64.41 a multiphase model accounting for soil-pile interac-
tions. Computers Geotechnics 46: 26–38.

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Imran, S.A., Barman, M., Nazari, M., Commuri, S.,
Zaman, M. & Singh, D. 2016. Continuous monitoring
of subgrade stiffness during compaction. Transporta-
tion Research Procedia 17: 617–625.
Lee, J., Kim, Y. & Jeong, S. 2010. Three-dimensional
analysis of bearing behavior of piled raft on soft clay.
Computers Geotechnics 37: 103–114.
Lee, J., Park, D. & Choi, K. 2014. Analysis of load shar-
ing behavior for piled rafts using normalized load
response model. Computers and Geotechnics 57: 65–74.
Mali, S. & Singh, B. 2018. Behavior of large piled-raft foun-
dation on clay soil. Ocean Engineering 149: 205–216.
Mandolini, A., Di Laora, R. & Mascarucci, Y. 2013.
Rational design of piled raft. Procedia Engineering 57:
45–52.
Nguyen, V.T., Hassen, G. & de Buhan P. 2016. Assess-
ing the dynamic stiffness of piled-raft foundations by
means of a multiphase model. Computers and Geo-
technics 71: 124–135.
Petrukhin, V.P., Shulyaev, O.A. & Mozgacheva, O.A.
2015. New geotechnical engineering and construction
methods. Moscow: ASV Publishing House.
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Regulation of the stress-strain state of combined strip
pile foundation beds. Soil Mechanics and Foundation
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Rabiei, M. 2010. Effect of pile configuration and loading
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Assessing the state of buildings’ foundations and residual lide

of their bearing capacity

L.Yu. Stupishin, S.G. Emelyanov, M.L. Moshkevich & F.V. Altukhov

Southwest State University, Kursk, Russia

ABSTRACT: A method to determine the residual life of building foundations according to displacements
obtained by its characteristic nodes during its operation is proposed. Calculation procedures are presented
and basic physical phenomena related to them are described. Based on the hypothesis for critical energy
levels of building structures, basic relationships are derived, allowing estimating the residual life of building
(structure) foundations. Simple examples describing main approaches to evaluation of the residual life of
building foundations and the physical nature of calculation procedures are given.

1 INTRODUCTION Assessment of the current state of a building,

Issues of design and structural evaluation of foun-
dation structures represent a complex and relevant
problem attracting interest of various researchers
(Belyy 2012, Ilyichev 2017, Kondrat’eva &
Rutman 2013, Kotov et al. 2015, Permyakov 2018,
Sushchev et al. 2018, Utkin 2015, Walley 1991,
Weichselberger 2001).
Structural evaluation of foundations requires a
lot of experience and a serious instrumental base.
Results of non-destructive and laboratory tests of
construction materials in terms of their mechani-
cal properties allow obtaining information with an
accuracy to 20% depending on the applied devices
and techniques. Information about initial param-
eters of structures and soils at the moment of
building erection could improve the situation, but
with the existing system for storage of information
about building parameters, it is almost impossible.
Surveys of buildings and structures’ foundations
are usually conducted by different specialists
possessing different instrumental bases and meth-
ods to determine mechanical characteristics of
structures and bases. In this situation, it is very
difficult to obtain reliable (comparable) estimates
for characteristics of structures and bases. When
a building is qualified as partially operational or
non-operational, it is virtually impossible to evalu-
ate mechanical characteristics of structures, as well
as predict development of defects in the material,
opening, width and length of cracks. Maintenance
documentation for a building (structure) is not
informative and cannot contain information about
changes in hydrogeological and other conditions in
the area of the building examined.
and especially the residual life of building founda-
tion structures under conditions described above
becomes an extremely difficult task, requiring
significant changes both in the legislative and regu-
latory framework, and in organization of methods
and procedures that allow conducting comparative
tests and obtaining reliable experimental results.
All of this requires significant administrative and
legal efforts, and, above all, significant financial
costs, which can raise serious doubts among the
parties concerned, in particular, owners of build-
ings and structures, with regard to their payback.
Supposedly, a probabilistic approach in assess-
ment of both the current state of structures and
the residual life of a building could help in solv-
ing this complex problem. This approach has been
successfully applied to machinery and equipment,
as well as bridges and similar critical structures
in the field of construction. It is very difficult to
obtain a reliable database for most buildings and
structures because of a long time between surveys
conducted. Data on the condition of a building
(structure) may be absent due to improper storage
of information about building operation.
Meanwhile, data on measurements are usually
quite reliable and easily verifiable. During build-
ing delivery, it is necessary to submit documents
including information about the geodetic network
on which construction quality control was based.
It seems that structural evaluation of foundation
structures, as well as prediction of their residual life
based on information about building behavior dur-
ing operation in a particular time interval can be
carried out only with recording of displacements
in the structural nodes (Stupishin 2017).

363
2 PROBLEM STATEMENT
Let the design model of a structure be formulated
based on the FEM (finite element method) in the
form of the displacement method. The base model
is represented by the design diagram by B.N. Zhe-
mochkin (Zhemochkin & Sinitsin 1962). Then, we
can refer occurrence of defects reducing the bearing
capacity of the structure to the nodes of finite ele-
ment division and assume that stiffness of the cor-
responding elements of the structure stiffness matrix
[K]d, which was used in the design analysis for the
building foundation project, reduced. The new foun-
dation structure stiffness matrix [K]i corresponds to
distribution of displacements {υ}i, which differs from
displacements {υ}d obtained in the design analysis.
The foundation analysis for the building (struc-
ture) designed is carried out according to limit
states with account for unfavorable combinations
of loads, considering required safety margins.
[K ]d {υ }d = {F }d (1)
Let us assume that the position of the monitoring
points of the building foundation structures at the
initial moment of building operation is known. Here,
by “monitoring points” of the foundation structure,
we shall understand characteristic points chosen by
an expert and coinciding with the nodes of finite ele-
ment division of the structure. The latter is not oblig-
atory but adopted to clarify the obtained results.
Data on the spatial position of the structural
nodes, reflecting changes in coordinates from the
design position to {υ}0 values when the building is
put into operation, will allow establishing the initial
state of the building prior to application of live loads.
After the first survey, we will obtain a matrix
consisting of {υ}1 displacement vectors measured
from the {υ}0 state. Here, both the impact of live
loads on the building as well as changes in mechan-
ical characteristics of the structures, bases, and the
impact of defects arising in the structure from the
beginning of operation to the moment of periodic
inspection will be taken into account.
Then the residual life of the bearing capacity of
the foundation structure with respect to displace-
ments registered at each i-th regular survey will be
determined as the minimum value of residual dis-
placements in the acceptable range in percent:
{υ }cr − {υ }i
min ς j , {ς }i = 100% (2)
{υ }cr
In practice, it may be necessary to monitor
development of displacements over a particular
period of time. The following factors can act as
limitations: either displacements obtained by the
364
monitoring points during the monitoring period,
which will be limited by {υ}tcr values, or limit val-
ues of residual displacements, measured from the
{υ}cr design state.
The first type of limitations can be used in
case of continuous development of defects, which
entails a long-term change in displacements of the
monitoring points of the structure, which requires
continuous design analysis to predict the bearing
capacity of the building. Alternatively, it can be
used to assess progressive collapse of the structure.
minυ tj , {υ }i1 − {υ }i2 ≤ {υ }cr
t t t
The second type of limitations is used to assess
changes in the residual life of the building bearing
capacity as follows:
{υ }tcr − {υ }ti
min ς tj , {ς }i =
t
100%
{υ }tcr
3 INVARIANT OF BUILDING
FOUNDATION STRUCTURES’
STIFFNESS. RELATIONSHIP
WITH THE CRITERION OF
CRITICAL ENERGY LEVELS
Let us assume that we are willing to find limit (in the
most general terms) displacements, and thus, system
responses to the loads. The problem is that occurring
defects change system stiffness in a random order,
and continuous re-calculation of displacements with
refined stiffness values will lead to development of
an infinite number of options for design diagrams
of the structure. It may seem that exceeding {υ}d dis-
placement values measured from some initial state
determined by the design project will mean viola-
tion of limit state conditions, and, consequently, the
range of acceptable changes in displacements of the
structure points {0} ÷ {υ}d. However, as it will be
shown below, this is not the case.
The problem will become solvable if we can
obtain the minimum possible stiffness values in
the monitoring points of the structure. The crite-
rion of critical energy levels can be used to deter-
mine the minimum limit values of displacements
(Stupishin 2014). Since the system in the limit state
is also in the self-balancing state, the task will be
reduced to the following:
[K ]d {υ } = [λ ]{υ } (3)
It is obvious that the extreme states of the sys-
tem will correspond to the eigenvalues |λ| of the
[K]d matrix. We are interested in the minimum
possible stiffness values, therefore, (3) is a partial
eigenvalue problem.
As known (Bathe & Wilson 1982, Smirnov
1976), the step of eliminating a stiffness matrix
element means removal of the auxiliary bond.
Therefore, the physical meaning of transforming
the design stiffness matrix to a diagonal one is to
obtain the structure stiffness matrix |λ|, where we
have extreme values of system stiffness in the direc-
tion of the master degrees of freedom. It should
be noted that the eigenvalues of the design matrix
are affected neither by the number of the removed
auxiliary bonds, nor by the load rates, and the {υ}
eigenvector components are orthonormalized. As
a result of the procedure for removal of the aux-
iliary bonds, we obtain an invariant matrix of the
maximum and minimum structure stiffness values,
corresponding to the initial design one [K]d. If we
track all extreme values of displacements of the
finite element division point, we will get the fol-
lowing full eigenvalue problem:
[K ]d {υ } = {Λ}{υ }
If the full eigenvalue problem is solved by the
Jacobi method, then the eigenvalue matrix rep-
resents a result of a sequence of orthogonal
transformations:
{Λ} = [T]Tn ⋅⋅⋅ [T]T2 [T]1T [K ]0 [T]1 [T]2 ⋅⋅⋅ [T]n
The corresponding eigenvector matrix is as
follows:
{υ } = [T]1 [T]2 ⋅⋅⋅ [T]n
Here, [T]i – rotation matrix (Bathe & Wilson 1982),
n – dimension of the structure stiffness matrix.
The vector of limit displacements of the points
can be written in the following form:
{υ }cr = [λ ]−1 {υ }
4 MONITORING DEVELOPMENT
OF DISPLACEMENTS IN A
FOUNDATION STRUCTURE
Let the design model of a structure be formulated
based on the FEM (finite element method) in the
form of the displacement method:
[K ]0 {υ }0 = {F }
After occurrence of defects, stiffness of the
system [K]i will change, and new displacements
{υ}i will be registered. However, the system will
bear the same load. Loading is considered sim-
ple, and loads do not change their direction in the
process of system deformation:
[K ]i {υ }i = {F }
Then two states can be considered equivalent
and the following equation can be written:
[K ]0 {υ }0 = [K ]i {υ }i (8)
Taking into account that displacements of the
design and current states of the structure differ by
the vector of factors [η], equation (8) can be repre-
sented as follows:
[K ]0 {υ }0 = [η ][K ]i {υ }0
In this equation, an unknown value is the stiff-
ness matrix of the new state [K]i.
(4) If we assume that the state of displacements
in principal directions is monitored, and the stiff-
ness matrices of the structure are diagonal, we will
obtain the following:
[K ]i = [K ]0 [η ]−1 .
(5)
5 EXAMPLE OF DETERMINING
THE RESIDUAL LIFE OF A
FOUNDATION BEAM
Let us consider a foundation beam, in which
(6)
defects occurred during its operation (Fig. 1). The
figure shows beam stiffness, length and load in
the form of distributed intensity, selected for cal-
culations according to the described method. To
simplify calculations, an elastic Winkler base with
settlement of k0 = 200 kN/m2 is taken.
Let us calculate the limit values of displace-
(7) ments, acceptable for design at the set points of
system parameters’ monitoring.
The stiffness matrix of a beam element on an
elastic base has the following form (Karamansky
1981):
Figure 1. Finite element division of the beam and
degrees of freedom.
365
  −12 6l −12 6l  Thus, the minimum possible stiffness value
  for the beam–soil base system in the direction of
EJ 4l 2 −6l 2l 2 
[K e ]d = 3  degree of freedom 1 (vertical node displacement) is
l  12 −6l  kmin,υ = 711.73 kN/m. The maximum possible stiff-
  ness value in the direction of degree of freedom 4
sym 4l 2 
(vertical node displacement) is kmax,υ = 2212.8 kN/m.
 156 22l 54 −13l 
  Similarly, for rotation angles, we have the
k0l  4l 2 13l −3l 2  minimum (kmin,ϕ = 901.2 Nm) and maximum
+
4200  156 −22l  (kmax,ϕ = 2270.06 Nm) stiffness values for the nodes.
  From equation (7), it follows that the acceptable
sym 4l 2  values of vertical displacements in the direc-
tion of degrees of freedom 1 and 3 are within
The stiffness matrix of a standard beam element υmax1,3 = 0.9686 × 10–3 m, υmin1,3 = 0.62 × 10–4 m.
on an elastic base with four degrees of freedom can Therefore, if the measured values of vertical dis-
be written as follows: placements are within the limits υn1,3 ÷ υmin1,3, the
system has no defects, or they do not affect system
390.13 372.4 99.24 −56.15  stiffness in general.
 1078.1 56.15 24.74  If the values of displacements are within υmax1,3
[K e ]d =
 501.25 −39  ÷ υn1,3, the defects reduced overall stiffness of the
  structure, and υcr = υmax1,3 should be taken as the
 sym 10 78.1  limit (critical value) of displacements.
Similarly, an analysis of angular displacements
The stiffness matrix of the structure after assem- is carried out, and for the final calculation accord-
bling and consideration of fixing conditions can be ing to equation (2), the minimum of the critical
written as follows: values is chosen.
1 2 3 4
891.38 333.4 99.24 −56.15 1 6 CONCLUSION
 
2156.8 56.15 24.74  2 Despite the availability of well-proven methods to
[K ]d = EJ 
 891.38 333.4  3 assess the technical condition of building structures
  and determine the residual life of the bearing capacity
 sym 2156.8 4
of buildings, it should be noted that it is impossible to
determine mechanical characteristics of foundations
Above (in a row) and to the right (in a column) with defects unambiguously and irrespective of the
of the stiffness matrix, numbers of degrees of free- expert’s qualification. Therefore, the search for new
dom for the nodes of structure finite element divi- methods and development of an instrumental base
sion, where it is supposed to monitor its geometric continue, and the problem of reliable assessment
parameters, are indicated (Fig. 1). regarding parameters of foundations with defects is
After solving the full eigenvalue problem (5), (6) only at the initial stage of its solution.
for the obtained design matrix (4), we will obtain The residual life of buildings’ foundations shall
the eigenvalues of the stiffness matrix in the direc- be determined based on monitoring of their dis-
tion of the selected degrees of freedom: placements’ development. This approach seems to
1 2 3 4 be the most reasonable due to:
711.73 0 0 0 1 1. simplicity and common metrological elabora-
  tion of the measurement procedure;
 901.2 0 0 2
[ ]
Λ = EJ
 2. possibility of holding comparative tests at any
2212.8 0 3 time;
 
 sym 2270.6 4 3. technological effectiveness and ability to check
results by means of calculation procedures;
Let us write the corresponding eigenvectors in 4. possibility of simulating various beyond-design
the form of a vector matrix: situations, specifying boundary conditions of
critical structure states, both as at the stage of
υ1 υ2 υ3 υ4 design and at the stage of operation.
−0.6894 0.6816 −0.1873 0.1580 1
 
0.1356 −0.2088 −0.6636 0.7054 2 REFERENCES
[υ i ] = 
0.6864 0.6856 0.1372 0.2  3
  Bathe, K.J. & Wilson, E.L. 1982. Numerical methods in
−0.1875 −0.1475 0.7111 0.6614 4 finite element analysis. Moscow: Stroyizdat.

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Konnov, A.V. 2017. Deformations of soil under
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Karamansky, T.D. 1981. Numerical methods in structural
mechanics. Moscow: Stroyizdat.
Kondrat’eva, L.N. & Rutman, J. 2013. Calculation of
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Kotov, P.I., Roman, L.T., Sakharov, I.I., Paramonov,
V.N. & Paramonov, M.B. 2015. Influence of thawing
conditions and type of testing on deformation
characteristics of thawing soil. Soil Mechanics and
Foundation Engineering 52 (5): 254–261.
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building. Prevention of accidents involving buildings
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ual life of a building (structure) and possible methods
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Estimating efficiency of composite reinforcment applications

in foundations of low-rise buildings

A.I. Subbotin, M.N. Shutova & A.I. Shagina

Platov South-Russian State Polytechnic University (NPI), Novocherkassk, Russia

ABSTRACT: The paper deals with composite reinforcement as a design component of the bearing
elements intended for operation in aggressive environment. For the purpose of performance analysis, a
trial design was developed of a piled foundation of a two-storeyed building. Two reinforcement materials
were compared—glass-reinforced plastic and metal. The design calculations have revealed that the
manufacture’s “equivalent strength” property of glass-reinforced plastic fails to meet the requirements for
crack growth. Combined applications of glass-reinforced plastic and metal are recommended.

1 INTRODUCTION tensile strength of the CPR should be not less than

In construction industry, low-rise construction is
a separate niche which is heavily influenced by the
aggressive marketing of by manufacturers of their
building materials. One of the new materials for
low-rise construction is composite polymer rein-
forcement (CPR). It should be noted that in the
Soviet Union the research of composite reinforce-
ment, as well as the improvement of the related
calculation methods, was contributed by such
scholars as O.Ya. Berg, A.A. Gvozdev, I. Acho-
verdov, L.S. Freeman, among others. However,
their developments did not go into widespread use.
Mass production of composite reinforcement was
taken up by USA and Canada in the mid-1970’s,
and it wasn’t until the early 2000s that the com-
posite reinforcement went into mass production
domestically and received its technical standards
(TU) and, in 2014, GOST standard (GOST 31938-
2012, 2013). GOST regulates the performance
of five types of composite reinforcements: glass-
fibre composite (ASK), basalt-composite (ABK),
carbon-composite (AUK), aramide-composite
(AAK), combined composite (AKK). Currently,
the first three groups are most common, the best-
performing being AUK, which is also 10–15 times
costlier than metal reinforcement. The key feature
of CPR is its resilience to aggressive environmental
influences.
Earlier, the composite reinforced struc-
tural design calculation followed the procedure
established for ferro-concrete structures (SP
63.13330.2012, 2013). In this connection, manu-
facturers indicate “equivalent strength” in their
recommendations (TU 2296-001-60722703-2010,
2010), based on the tensile strength. Since the
800 MPa (Table 4 in GOST 31938–2012, 2013),
manufacturers state that CPR is more than twice
as strong as the A-400 reinforcement.
In 2015, the document regulating ferroconcrete
structural design calculation was revised to take
into account the specifics of CPR designs (Annex
K to Code 63.13330.2012, 2013). This, however,
did not solve the issue with CPR design calculation
in a nonlinear deformation model. The Building
Code (SP 63.13330.2012, 2013) gives tensile rein-
forcement diagrams only for concrete and metal,
not for CPR.
2 METHODS AND APPROACHES
Significant were strength limitations of CPR. Thus,
its tensile strength Rf is determined as follows:
y f 1 ⋅ R f ,n
Rf = , (1)
yf
where γf = the reliability coefficient of material
which is assumed 1.0 for serviceability limit states
and 1.5 for ultimate limit states; and γf 1 = the
coefficient taking into account the operating
conditions of CPR designs, assumed 0.7 for
outdoor structures.
Therefore, the designed tensile strength of glass-
reinforced plastic reinforcement should be not less
than 800 ⋅ 0.7/1.5 = 373 MPa, which corresponds
approximately to the same characteristic for A-400
reinforcement. With a difference in modulus of
elasticity of 4 times (for reinforcing steel Es = 2 ⋅
108 Pa, for ASK Es ≥ 5 ⋅ 107 Pa), the manufacture-

368
established “equivalent strength” of glass-rein-
forced plastic reinforcement, compared to steel
one, cannot be considered adequate even in terms
of design parameters.
While in Russia the regulatory framework for
CPR is still in its infancy, the overseas countries
established their standards for CPR 20 years
ago—Canada in 1996 (CAN/CSA-S806-02, 1996),
Europe and Japan in 1997.
CPR applications and design calculation have
recently become the topic of many studies.
For instance, the performance of glass-rein-
forced and carbon composite plastics in contact
with seawater (berthing structures, dams, etc.) was
explored by the team headed by Z. Wang (Wang
Z. et al. 2017, Wang Z. et al. 2018). To analyze
and predict the structural failure of the reinforcing
bars, they used the method of electron microscopy
and infrared spectroscopy.
Cohen M., Montepony A., Potapenko S. used
the finite element model to calculate the design of
a CPR-reinforced beam, which modeled concrete-
to-CRP bond and crack opening process (Cohen
M. et al. 2018). The team led by E.O. Ibars con-
ducted the nonlinear analysis the performance of a
CPR-reinforced beam (Ibars et al. 2018).
The performance of basalt-composite applica-
tions became the subject of the study performed by
Inman M., Thorhallsson E. R., Azrague K. (2017),
where the CPR was compared to metal and compos-
ite reinforcement from the perspective of environ-
mental safety and was found to be more advisable.
A series of tests on uniaxially and multiaxially
loaded CPR-reinforced columns was conducted by
M. Elgalanaki (Elchalakani M. & Ma 2017) and
G. Ding (Ding B. 2017), where 17 samples were
exposed to different types of loading. According
to their results, CPR is not recommended for use
in compressed sections of a structure.
Hassein K., Lagelie J. and Amterrano D. (2013)
published the results of testing of 216 samples of
concrete samples reinforced with fiberglass of dif-
ferent diameter and elasticity. The actual stresses
have been found to differ significantly from those
calculated according to North American codes
and standards.
Independent studies and experiments are also
conducted in Russia to analyze the effectiveness of
the use of different types of CPR.
Rimshin I.V. and Merkulov S.I., for instance,
have found that with an increase in the diameter
of reinforcing rods, produced by one and the same
manufacture, from 5 mm to 10 mm, the tensile
strength of the reinforcement may decrease by 35%
in individual cases (Rimshin & Merkulov 2016).
A group of scientists at Rostov-on-Don State
University of Civil Engineering (Polskoi et al.
2013, Hishmak M. et al. 2012) came up with the
369
procedure for comprehensive analysis of beams
reinforced with fiberglass, carbon fiber and com-
bined reinforcement. In the first series of tests,
125 × 250 mm, 2 m long beams were tested. The
reinforcement—combined and metal—was carried
out in a single row. The metal-reinforced beams
were taken as reference. Beams of 10–11 months
were loaded at third points.
Despite the fact that the tensile resistance of
CPR is twice as high as the metal, the CPR-rein-
forced beams are 20% less durable than the refer-
ence reinforced concrete structures. At the stage of
cracking, deformations of CPR-reinforced beams
exceed those of the reference beams twice.
We compared the results we obtained experi-
mentally with those obtained with the use of pre-
scribed formulae. While they do coincide in terms
of core characteristics, the designed strength of
CPR-reinforced beams was found 1.66 times over-
estimated as compared to the experimental data.
A.D. Rakhmonov and N.P. Solovyov, who
analyzed possible CPR applications, proposed a
scheme of combined reinforcement of horizontal
bending structures, where basalt-based composite
is used as upper, structural reinforcement and steel
as lower reinforcement. Six prototypes with differ-
ent content of basalt composite reinforcement were
manufactured and tested. It has been found that the
combined reinforcement of beams allows to achieve
a 27% cost-efficiency (Rahmonov et al. 2013).
The adhesion between composite reinforce-
ment and concrete constitutes a research topic of
its own. A series of experiments was conducted by
a research team (Zinnurov T. A. et al. 2015) that
involved pulling out of a glass-reinforced plastic
rod from the cube (GOST 31938-2012) to estimate
the failure limit of the adhesion. For numerical
modeling of the adhesion, the use the “finite rigid-
ity linear connections” model is recommended.
In the field of industrial construction, one
of the central issues is the expediency of use of
new constructional materials in aggressive media.
Research teams at Tomsk State Institute of Archi-
tecture and Civil Engineering (Kudyakov et al.
2014) were testing the tensile strength of non-
metallic (glass-reinforced plastic and carbon)
composite rods that were aged in alkaline medium.
According to the results of the tests, in the absence
of visible damage the average failure limit de-
creases by 3% for glass-reinforced plastic and 11%
for carbon composite.
In order to evaluate the effectiveness of the
use of composites as the main reinforcement of
foundations, a trial design was developed of the
foundations of a residential house in challenging
geological conditions.
The construction site was a private two-storey
house erected in Rostov-on-Don.
 Its area has the following climatic characteris-
tics: snow precipitation—class II (standard weight
of snow cover is 1.0 kPa); wind—class III (stand-
ard wind pressure of 0.38 kPa); seismic activity – 6.
3 RESULTS AND DISCUSSION
The engineering geological surveys have revealed
the following layers:
Layer N. Fill-up soil (tQIV) – dark brown, solid
loamy soil with 40% of gravel, broken brick and
other construction waste. Thickness: 0.8 m to
4.4 m.
Due to its heterogenic structure and varying
density, the fill-up soil cannot serve as foundation
soil unless it receives special treatment and should
be removed or replaced, depending on the design
solution.
EGE-1. Light grey-brown, heavy, solid, silty
loam (dpQIII). Highly elastic and heavily subsid-
ing when water saturated (type 1 subsidence soil)
and moderately deformable with naturally occur-
ring wetness. Thickness: 1.2 m to 3.3 m. Own
subsistent: 3.35 cm. Basic physical and mechani-
cal properties: ρ = 1.73 g/cm3, E = 20.8/7.0 MPa,
C = 18.9 kPa, ϕ = 20.2 degrees.
EGE-2. Yellow-white, heavily weathered, frac-
tured shelly limestone (aN2p), with 1–3 cm thick
layers of calcified material of low and medium
strength. Thickness: from 4.3–8.1 m to 5.0–
9.0 m. Basic physical and mechanical properties:
ρ = 2.34 g/cm3, Rc = 6.8 MPa.
Groundwater, a medium aggressive to metal,
occurs at a depth of 3.8 meters and have seasonal
variation of 2 m.
The building is a two-storey building with design
dimensions 13,52 × 8,34. Its outer walls are made
from Poromax conventional 380 mm thick brick,
tiles with facing brick. The inner walls are made
from conventional 250 mm thick Poromax brick.
The floor deck is prefabricated ferroconcrete
hollow-core slab PK 38-12-8, series 1.141.1, with
slab-wall junction of at least 120 mm.
The frame of roof is wooden. The gable roof-
ing has a complex design. Roof cover – Frankfurt
cement-sand tile (Fig. 1).
The walls of the underground part are made of
prefabricated concrete bricks according to GOST
5781-82 * with a height of 600 mm, a thickness of
500 mm for external walls and 300 mm for internal
ones. Above the walls of the basement is a cast-in-
place reinforcing belt with a thickness of 300 mm.
The walls of the underground part are made of
prefabricated reinforced concrete blocks according
to GOST 5781-82 * with a height of 600 mm, a
thickness of 500 mm for external walls and 300 mm
for internal ones. Above the walls of the basement
370
Figure 1. Front facade and ground floor plan.
is a cast-in-place reinforcing belt with a thickness
of 300 mm.
When designing the foundations of the house,
the following features crucial to the choice of the
type of foundation were taken into account:
− high groundwater level and its aggressiveness to
metal reinforcement (seasonal variation of up to
2 m, at the time of our engineering-geological
the groundwater level was 3.8 m);
− the possibility of landslide processes;
− insufficient knowledge and anisotropy of the
fill-up layer; significant thickness of the fill-up
layer, due to which it cannot be removed; and
− subsidence of EGE-1.
In this context, augered pile foundation was
considered to be the most optimum design. Based
on the properties of the geological profile, the 5 to
7 m long piles were embedded in the layer of lime-
stone EGE-2 to the minimum depth of 500 mm
for the load to be safely transferred to the rock.
This allows the piles to work as end-bearing ones
to ensure the design performance (Fig. 2).
The foundation grill has a thickness of 300 m.
The augered piles have a diameter of 300 mm. The
foundation structure is shown in Figure 3.
For individual housing construction, price often
plays a decisive role. In this connection, an eco-
nomic comparison was made between the cost of
metal reinforcement and that of composite one.
Composite reinforcement was glass-reinforced
plastic by ArmPlast. The following replacements
were modeled based on the manufacturer’s data
on physical and mechanical properties of glass-
reinforced plastic (GRP): ø14 A-400 by ø10 GRP,
ø10 A-400 by ø8 GRP, ø10 A-400 by ø7 GRP,
ø8 A-400 by ø6 GRP. Based on the going rates in
Rostov-on-Don, the cost of metal reinforcement
amounted to RUR 68,660 and that of GRP RUR
31.118, the difference being 2.2 times. At that, the
ferroconcrete structures must meet the criteria
Figure 2. Plane arrangement of piles and section A-A.
of safety, operational integrity, durability, as well
as additional criteria specified in the design task
(specification TU 2296-001-60722703-2010, 2010).
The design calculations should ensure the reli-
ability of projects throughout their service life,
as well as that the construction process meets the
required standards.
The analysis of ultimate limit states targets to
calculate structural strength, stability of shape (for
thin-walled structures), and stability of the posi-
tion (tipping, sliding, heaving).
The analysis of serviceability limiting states tar-
gets to calculate crack formation and growth, and
deformation.
To design calculation of ferroconcrete foundation
grill, loads were totaled per 1 linear meter. The fol-
lowing loads were taken into account in accordance
with the building code (SP 20.13330.2016, 2016):
− constant loads: weight of roof (cement-sand tile,
heat insulation, frame of roof); weight of floor
decks and floorings; weight of the above-ground
walls (conventional brick and facing brick);
371
Figure 3. Reinforcement diagram and specification of
piled foundation.
weight of the walls below is 0.000 (cast-in-place
reinforcing belt and cement blocks); and weight
of the foundation grill;
− temporary prolonged loads: floor deck payload,
reduced snow load; and
− short-term loads: wind, peak snow load.
The load per 1 linear meter the foundation grill
under the internal wall was 76.97 kN/m; the load
per 1 linear meter the foundation grill under the
external wall was 78.61 kN / m.
The bearing capacity of piles supporting the
vertical load was 445.43 kN.
Then, for the inner wall, the required maximum
distance between the piles is:
under the inner wall 445.43/76.97 = 5.79 m;
under the outer wall 445.43/78.61 = 5.66 m.
Based on the requirements of the building code
(SP 24.13330.2011, 2011), the minimum distance
between piles equals 1.5 pile ø (450 mm), and the
minimum distance between the pile shafts must be
at least one meter.
 According to the design specifications, the mini- where Q = the transverse force in standard sec-
mum pile spacing is 1.6 m (under 5.79 m). tion of the element; and ϕb is the coefficient
The pile settlement is minimum (5.01 mm), assumed 0.3.
which is acceptable for foundations of this type. 5. condition for bending elements cross section:
The calculation is carried out according to the
following criteria: Q ≤ Qb + Qsw , (7)
1. condition for cross section ultimate moment
strength: where Q = transverse force in inclined cross sec-
tion with projection length C, which falls on the
M < M mult , (2) longitudinal axis of the element and is a sum
total of all the external forces on one side of
where M = bending moment from external load; the inclined section in question; considered is
and Mult = the ultimate bending moment the the load with is the most dangerous within the
cross section of an element can sustain; inclined cross section; Qb = the transverse force
2. condition for strength of standard cross section sustained by concrete in inclined cross section;
of ferroconcrete elements: and Qsw = the transverse force sustained by trans-
verse reinforcement in inclined cross section;
ε b max ≤ ε b,ult , (3) 6. condition for ferroconcrete deformations,
where structural deflections or displacements
ε s max ≤ ε s ,ult , (4) f from the external load should not exceed the
maximum permissible deflections or displace-
where εb, max = relative deformation of the most ments fult.
compressed fiber of concrete in the standard
cross section of the element, induced by exter- f ≤ fult , (8)
nal load; εs, max = relative deformation of the
most extended rod in the standard cross sec- The calculation model is a beam in bending
tion of the element, induced by external load; bend with rigidly restrained ends. Beam span:
εb, ult = ultimate relative compressive deforma- 1.6 m. For the most loaded foundation grill (under
tion of concrete; and εs, ult = ultimate relative the outer wall):
extension of reinforcement, assumed 0.025 for
− transverse force on the support Q = (qin1)/2 =
metal reinforcement and 0.015 for GRP;
(78.61 ⋅ 1.6)/2 = 62.88 kN;
3. condition for crack growth:
− bending moment on the support M1 = (qin2)/12 =
α crc ≤ α crc ,ult , (5) 16.77 kN⋅m;
− bending moment in the middle of the span:
M2 = (qin⋅l2)/24 = 8.39 kN⋅m.
where αcrc = width of opening of cracks from
external load; and αcrc, ult = maximum permissi- The results of modeling the ferroconcrete foun-
ble crack opening width. dation grill with two reinforcement options are
The calculation of reinforced concrete elements given in Table 1.
should be performed based on long and short-
term opening of normal and inclined cracks. Table 1. Structural efficiency coefficients.
According to Table G4 in the Building Code
(SP 28.13330.2017, 2017), the maximum per- Reinforcement,
missible width of non-prolonged crack opening class
is 0.20 mm and that of prolonged crack opening
Criterion A-400 ACK
is 0.15 mm for A-400 metal reinforcement. As
for GRP, no standard is provided. According to Ultimate cross-section moment 0.442 0.347
the paragraph L.3 of Annex L [2], the width of strength
crack opening for GRP is 0.5 mm and is valid Deformation in compressed concrete 0.151 0.151
for prolonged crack opening, non-prolonged Deformations in tension 0.041 0.032
crack opening when operating in highly humid reinforcement
environments (outdoors or underground), and Width of crack opening, short-term 0.432 0.960
aggressive environments; Width of crack opening, long-term 0.537 1.28
4. condition for bending ferroconcrete elements Concrete strength between
between inclined cross sections: inclined sections 0.207 0.207
Inclined section strength 0.533 0.476
Q ≤ ϕ b1 ⋅ Rb ⋅ b ⋅ h0 , (6) Deflection 0.03 0.07

372
 The performance of the GRP recommended by
the manufacturer meets all the criteria except long
crack opening width. Therefore, the lower rein-
forcement row was replaced by ø14 GRP, in which
case the long crack opening width is 0.43 mm and
the efficiency coefficient is 0.43/0.5 = 0.86.
As a result of the replacement, the cost of GRP
reinforcement increased to RUR 44.210 rubles,
enabling a 1.55-time (55%) higher cost efficiency.
4 CONCLUSION
Glass-composite reinforcement is expedient for use
in piled foundation grills in cases when:
− the chemical composition of groundwater is
aggressive to metal reinforcement;
− the load on foundations is relatively small (“light”
bearing walls made from foam concrete blocks
or conventional brick; shorter floor decks; 1 or
2 storeys maximum);
− shorter pile spacing.
The main critical parameter is the width of
crack opening (due to the small modulus of elas-
ticity of the GRP), provided that the requirements
of Annex L are met [3].
The most optimum is combined reinforcement
where the lower rods are metal and the upper basic
and structural reinforcement is GRP.
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Experimental studies of settlement and bearing capacity of piles

in argillite-like clays and sandstone

E.N. Sychkina
Perm National Research Polytechnic University, Perm, Russia

ABSTRACT: This paper presents the results of field testing of piles in Permian argillite-like clays and
sandstone. Regression equations are proposed by the author for predicting the settlement of piles under
transient loads, depending on the type of pile and the degree of weathering in foundation soils. The results
of the study are presented in the form of recommendations on estimating the settlement and bearing
capacity of a pile in argillite-like clays and sandstone.

1 INTRODUCTION between the depth of pile setting and pile diam-

1.1 Relevance and previous studies
Piled foundations are commonly used as supports
for high-rise buildings on weak soils underlain
by rocky ground. Previous studies (Khmelevtsov
2011, Zhang F. et al. 2012, Armand et al. 2017)
showed that the mechanical properties of any soil
are defined by its formation pattern. In the course
of their formation, the lithified, Permian argillite-
like clays and sandstone have experienced elastic
heave, weathering, and anthropogenic impact. The
body of argillite-like clays and sandstone repre-
sents nonhomogeneous, fissured medium. Unlike
dispersive soils, argillite-like clays and sandstone
have cementing joints. Exposed to weathering,
the Permian argillite-like clays and sandstone may
reduce the bearing capacity of foundations, lead-
ing to excessive settlement. Their lack of resistance
to mechanical and the effects of temperature is
largely due to the presence in them of weak argil-
laceous, ferruginous, and carbonaceous cement.
The performance of foundations on sandy and
clayey grounds, including argillite-like ones, has been
explored by many research teams (Bartolomei &
Ponomarev 2001, Zertsalov et al. 2018, Ter-
Martirosyan et al. 2006, Shulyatyev 2014, Bond &
Jardine 1991, Hamderi 2018, Lehane & Jardine
1994, Meyerhof 1963, Sheil & McCabe 2016,
Zhang 2016, Katzenbach 2006). The study con-
ducted by Ponomarev and Sychkina (2018)
revealed that the interaction a single pile forms
with argillite-like clays or sandstone differs cardi-
nally from the one it forms with dispersive soils.
In their study, Zertsalov et al. (2018) provide evi-
dence of the bearing capacity of piles in weathered
rock being influenced by factors such as structural
features of soil; pile-soil contact; and the ratio
eter. When analyzing the results of previous, short-
term testing of piles on weathered rock, it should
be borne in mind that the values of their settlement
are conservative. The analysis conducted by Shuly-
atyev (2014) confirmed that after the pile is driven
into Vendian clay, its settlement increases more
than two-fold over a period of 16 days. The need
to consider all the above factors adds to complex-
ity of dealing with the interaction pattern the pile
forms with weathered rock.
1.2 Goal and tasks
Our study aimed to test and analyze the perform-
ance of reference piles, displacement piles, and
augered piles in argillite-like clays and sandstone.
This goal involved achieving the following
tasks:
1. identify the testing method for piles in argillite-
like clays and sandstone;
2. conduct field testing, analyze load-settlement
relation, and estimate the bearing capacity of
foundation; and
3. provide recommendations for predicting the
bearing capacity of piles in argillite-like clays
and sandstone.
2 METHODS
Our study involved a series of field tests conducted
in accordance with the applicable standards.
All the piles under analysis were underlain by
horizontally layered, Permian argillite-like clays
and sandstone. According to their weathering
degree, they were classified as weathered and
heavily weathered soils, with softening factor

374
varying between 0.23 and 0.69 (average of 0.38),
and density 2.0 and 2.3 g/cm3. Overlying to the
layers of argillite-like clays and sandstone were
recent sandshale sediments with a thickness of
5.0 to 13.0 m.
A total of 9 reference piles, 4 displacement
piles, and 2 augered piles on heavily weathered
and weathered, Permian, argillite-like clays were
analyzed. The analysis covered also 11 reference
piles and 4 displacement piles, on heavily weath-
ered and weathered sandstone. Pile dimensions:
reference pile diameter – 0.114 m, displacement
pile section 0.3*0.3 m, augered pile diameter
– 0.63 m.
The reference piles were driven into the argillite-
like clays and sandstone to the depth of 0.2–5.0 m,
the displacement ones – 1.0–2.0 m, and the augered
– 2–6 m. The test depth was 6–17 m for reference
piles, 8–10 m for displacement piles, and 15–20 m
for augured piles.
The reference piles were left to “rest” on argil-
lite-like clays for 1–7 days, displacement piles for
8–28, and augured piles for 44–45 days. On sand-
stone, the “resting” time for reference piles was
14–43 days and for displacement piles – 15 days.
2.1 Analysis of test results
Based on the test results, the average settlement
of piles was calculated depending on the load
applied.
The test results are presented in Figure 1 (argil-
lite-like clays) and Figure 2 (sandstone).
Figure 1. Average settlement of piles on argillite-like
clays: 1 – reference pile on weathered and heavily weath-
ered argillite-like clays, 2 – displacement pile on heavily
weathered argillite-like clays, 3 – displacement pile on
weathered argillite-like clays, 4 – augured pile.
375
Figure 2. Average settlement of piles on sandstone: 1 –
reference pile on heavily weathered sandstone, 2 – refer-
ence pile on weathered sandstone; 3 – displacement pile
on heavily weathered sandstone, 4 – displacement pile on
weathered sandstone.
2.2 Reference piles testing results
The settlement of reference piles had nonlinear
deformation behaviour. In argillite-like clays,
ground failure occurred under the tip of the refer-
ence pile at loads of 120–200 kN, and in weath-
ered argillite-like clays – at 220–400 kN. In heavily
weathered argillite-like clays, the stabilization of
the settlement of the reference pile lasted for 1 hour
at the initial increment of load, followed by a sharp
increase in the settlement with the final increment
(in 30% of tests). In more solid argillite-like clays,
the stabilization of the settlement of the reference
pile lasted for 1 hour with the initial increment of
load; no ground failure occurred with the final
increment. Over 90% of deformations occurred
within 15 minutes following the increase in the
load increment.
In sandstone, the settlement of the reference
piles was nonlinear, too. The bearing capacity of
the sandstone was not exhausted during the tests
on reference piles, however the pile material failure
limit was reached. The bearing capacity of the pile
was 240 kN. At the initial increment of load, the
stabilization of the settlement of the reference pile
lasted for 30 minutes and at the final one – 3 hours.
Only one reference pile failed—the one on heavily
weathered sandstone.
With all the other piles, the settlement was
smooth. Over 90% of deformations occurred within
1 hour following the increase in the load increment.
After the load was removed from the refer-
ence piles in argillite-like clays and sandstone,
the residual deformations averaged 23% of the
ultimate settlement.
2.3 Displacement piles testing results − for reference piles in weathered and heavily
The graph showing the settlement of the displace- weathered argillite-like clays:
ment piles in argillite-like clays is nonlinear and
S = 9E − 06 N 2 + 0.0257 N − 0.3629 (1)
smooth. The settlement graphs clearly show the
initial section of linearly elastic deformations (up
− for production, displacement piles in heavily
to 250 kN in weathered soil, and up to 100 kN in
weathered argillite-like clays:
heavily weathered soils), followed by a lengthy sec-
tion of nonlinear deformations. During the tests
S = 1E − 05N 2 + 0.006 N − 0.1466 (2)
on displacement piles, the bearing capacity of the
soil was not exhausted, however the pile material
− for production, displacement piles in weathered
failure limit was reached. At all increments of
argillite-like clays:
load, it took the settlement 3 hours to stabilize; no
failures occurred with the final increment on load.
S = 2 E − 06 N 2 + 7 E − 05N − 0.0007 (3)
Over 90% of deformations occurred within 1 hour
following the increase in the load increment.
− for augured piles in weathered argillite-like clays:
In heavily weathered argillite-like clays, no fail-
ure occurred under the tip of the pile. With all
S = 9E − 11N 3 − 3E − 07 N 2 + 0.0006 N − 0.0488
increments of load, it took the settlement 3 hours
to stabilize; no failures occurred with the final load (4)
increment. Over 90% of deformations occurred
within 1 hour following the increase in the load For piles on sandstone, the following equations
increment. were obtained for calculating the pile settlement:
After the load was removed from the pro- − for reference piles in heavily weathered sandstone:
duction piles in argillite-like clays, the residual
S = 5E − 05N 2 + 0.0229N − 0.3105 (5)
deformations averaged 54% of the ultimate
settlement.
− for reference piles in weathered sandstone:
The settlement graphs of the production piles in
sandstone are smooth, devoid of sharp bends, the
S = 7 E − 05N 2 − 0.0256 N + 2.6194 (6)
general settlement being nonlinear. For stronger
sandstone, the settlement graphs clearly show an
− for production, displacement piles in heavily
initial, linear section of elastic deformations, fol-
weathered sandstone:
lowed by a lengthy section of nonlinear deforma-
tions. The linearly elastic deformations occurred
S = 2 E − 05N 2 − 0.0042 N + 0.3311 (7)
with the first two increments of load (up to 300 kN
in solid soils and up to 150 kN in loose ones).
− for production, displacement piles in weathered
During the tests on displacement piles, the bear-
sandstone:
ing capacity of the sandstone was not exhausted,
however the pile material failure limit was reached.
S = 5E − 06 N 2 − 0.0002 N + 0.0629 (8)
With all increments of load, it took the pile settle-
ment 3 hours (4 hours in heavily weathered sand-
where S = settlement, mm; and N = force value, kN.
stone) to stabilize; no failures occurred with the
It should be borne in mind that the above equa-
final increment on load. Over 90% of deformations
tions are suitable for predicting the pile settle-
occurred within 2 hours following the increase in
ment under short-term loads only. There is data
the load increment.
(Shulyatyev 2014) showing that on overconsoli-
After the load was removed from the produc-
dated Vendian clays, the settlement of foundations
tion piles in sandstone, the residual deformations
increases 2 times over 16 days. An assumption can
averaged 65% of the ultimate settlement.
therefore be made that on weathered and heavily
weathered argillite-like clays and sandstone, the
settlement of a single pile is likely to increase at
2.4 Analysis of findings
least two-fold. This factor should be considered
The empirically obtained relation between settle- when developing piled foundation designs for
ment S and force N, shown in Figures 1 and 2, can argillite-like clays and sandstone.
be presented in the form of polynomial approxi- Our analysis of the short-term tests on
mating functions with approximation accuracy of reference piles, displacement piles, and augered
more than 0.99. For piles in argillite-like clays, the piles has shown that their “Load-Settlement”
following equations were obtained for calculating graphs are basically two-section. At the initial sec-
the pile settlement: tion, i.e. during the first two increments of load,

376
the deformations are linearly elastic, followed by
nonlinearly elastic ones as the vertical load on piles
increased until reaching by the soil of the pile mate-
rial of their compressive resistance limit. A 3-fold
increase in the depth of augured pile in argillite-
like clays leads to a 20% increase in its bearing
capacity and a 20% decrease in its settlement.
These data correlate with test results obtained by
other research teams (Zertsalov et al. 2018).
3 CONCLUSIONS
The study has produced the empirical “Load-
Settlement” relation for predicting the settlement
of single piles in argillite-like clays and sandstone,
exposed to short-term loads. Differences were
defined in the deformations occurring in weath-
ered and heavily weathered argillite-like clays and
sandstone. With reference to previous studies
(Shulyatyev 2014), account should be taken of the
two-fold increase occurring in the settlement with
time.
The analysis of short-term testing of reference
piles, displacement piles, and augered piles has
shown that their “Load-Settlement” graphs are
basically two-section, one, shorter, section indi-
cating linearly elastic deformations and the other,
lengthier, nonlinearly elastic deformations.
The alleviation of load on piles in argillite-
like clays and sandstone has shown the residual
deformations of 23% to 65% of the ultimate pile
settlement. The residual deformations relate to
irreversible destruction of the cementing joints in
sandstone and argillite-like clays.
A 3-fold increase in the depth of augured pile
in argillite-like clays leads to a 20% increase in its
bearing capacity and a 20% decrease in its settle-
ment. During the tests on displacement piles, the
bearing capacity of argillite-like clays and sand-
stone was not exhausted, however the pile material
failure limit was reached.
It is advisable that more tests are performed
on piles in weathered argillite-like clays and sand-
stone, and that their results receive better evalua-
tion. This will allow improving and updating the
existing regulatory documents, which currently
contain no information concerning piled founda-
tion designs in weathered rock.
ACKNOWLEDGEMENTS
The author extends her gratitude to the Russian
Research Foundation for grant funding (Project
No. 18-79-00042).
377
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Fundamental aspects of the hydromechanical behav-
ior of Callovo-oxfordian argillite: From experimental
studies to model calibration and validation. Computer
and geotechnics 85: 277–286.
Bartolomei, A.A. & Ponomarev, A.B. 2001. Experimen-
tal investigations and prediction of settlement of con-
ical-pile foundations. Soil Mechanics and Foundation
Engineering 38 (2): 42–50.
Bond, A.J. & Jardine, R.J. 1991. Effects of installing dis-
placement piles in high OCR clay. Geotechnique 41:
341–363.
Hamderi, M. 2018. Comprehensive group pile settlement
formula based on 3D finite element analyses. Soils and
foundations 58: 1–15.
Katzenbach, R. 2006. Latest Achievements in Founda-
tion Engineering for High-Rise Projects on Compress-
ible Foundations. Journal of MGSU 1: 105–118.
Khmelevtsov, A.A. The Argillite-Like Clays of Greater
Sochi and Their Physical and Mechanical Properties.
The Journal of High Schools. North Caucasus. Life Sci-
ences 6: 77–79.
Lehane, B.M. & Jardine, R.J. 1994. Displacement pile
behaviour in glacial clay. Canadian Geotechnial Jour-
nal 31: 79–90.
Meyerhof, G.G. 1963. Some Recent Research on the
Bearing Capacity of Foundations. Canadian Geotech-
nical Journal 1: 16–26.
Ponomarev, A.B. & Sychkina, E.N. 2018. On the stress-
strain state and load-bearing strength of argillite-like
clays and sandstones. Soil mechanics and foundation
engineering 3: 141–145.
Sheil, B.B. & McCabe, B.A. 2016. An analytical approach
for the prediction of single pile and pile group behav-
iour in clay. Computers and Geotechnics 75: 145–158.
Shulyatyev, O.A. 2014. Foundations of High-Rise Build-
ings. Journal of PNIPU. Construction and Architecture
4: 203–245.
Ter-Martirosyan, Z.G., Telichenko, V.I. & Korolev, M.V.
2006. Soil Mechanics—and Foundations-Related
Challenges of Constructing Multi-Purpose High-Rise
Buildings. Journal of MGSU 1: 18–27.
Zertsalov, M.G., Znamensky, V.V. & Khokhlov, I.N. 2018.
Calculating the bearing capacity of augered piles in
rock mass under vertical load. Journal of PNIPU.
Construction and Architecture 1: 52–59.
Zhang, F., Xie, S.Y., Hu, D.W., Shao, J.F., Gatmiri, B.
2012. Effect of water content and structural anisot-
ropy on mechanical property of argillite. Applied Clay
Science 69: 79–86.
Zhang, Q., Liu, S., Zhang, S., Zhang, J., Wang, K. 2016.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Forecast bearing capacity of soil cushions with variable reinforcement

spacing

D.A. Tatiannikov & A.B. Ponomarev

Perm National Research Polytechnic University, Perm, Russia

ABSTRACT: The article presents the results of studies of the bearing capacity of soil cushions with
variable reinforcement spacing.

Keywords: soil cushion, reinforcement, geosynthetic materials, bearing capacity

1 INTRODUCTION 3. experimentally confirm the effectiveness of the

application of the developed reinforced soil
1.1 Relevance and state-of-knowledge review cushion;
4. propose the method for calculating the bearing
In modern construction industry, the most attrac-
capacity of reinforced soil cushions.
tive method for improving the foundation soil
properties is soil replacing or making soil cushions.
However, the existing methods for calculating soil
2 STUDY OF CHARACTERISTICS
cushions do not meet modern design requirements,
OF GEOSYNTHETIC MATERIALS
and as a result, there is either an overspending of
materials or unacceptable deformations because
At the first stage of research, two types of materials
of the destruction of the cushion. It is possible to
were selected—geogrid and geotextile—as the main
avoid these negative effects by means of construct-
types of materials used as reinforcing elements.
ing reinforced soil cushions (Bay & Kraev 2014).
Table 1 presents physical and mechanical char-
Reinforcement of soil massifs allows reducing the
acteristics of the used geosynthetic materials.
cost of arranging soil cushions by introducing
Tensile tests were carried out with these materials
reinforcing elements, which allow increasing the
to establish the relationship between strength and
resistance of cushion materials to tensile forces in
relative deformations (Ovcharov & Zolotozubov
the direction of their installation. At present, the
2012). The test results are presented in Table 2.
strengthening of weak foundation soils of various
structures, earth beds, reinforcement of road pave- Table 1. Values of the physical and mechanical charac-
ments, construction of embankments with slopes teristics of geosynthetic materials.
of increased steepness and reinforced soil retain-
ing walls can be solved using modern reinforcing Feature Geogrid Woven geotextile
materials—geosynthetics (Bartolomey et al. 1996).
Composition Polyester Polypropylene
Surface density, g/m2 415 300
1.2 Tasks and objectives
The main research objective is to improve the exist- Table 2. Summary table of the results of tensile testing
ing method of strengthening weak soils with the of geosynthetic materials.
help of reinforced soil cushions with variable spac-
ing of reinforcing elements. Maximum linear Breaking force,
Within this objective, the following tasks were stiffness (kN/m) (kN/m)
formulated:
Material Along Across Along Across
1. experimentally investigate the influence of the
characteristics of geosynthetic materials on the Geogrid 1122 392 1122 392
operation of reinforced soil cushions; Woven 350 282 350 282
biaxial
2. develop an optimal design of the reinforced soil
geo-textile
cushion;

378
 For the most complete and accurate assessment lated: the obtained experimental dependences
of the effect of geosynthetic materials on the bear- “deformation—linear stiffness” make it possible to
ing capacity of reinforced soil cushions, tests were determine the optimal relative elongation interval
carried out on pulling out the reinforcing mate- at which the maximum stiffness is reached, for the
rial from the soil and on the reinforced soil shear geogrid it is as follows: along 1–3%, across 2–5%;
(Alfaro et al. 1995). These tests were performed for geotextile: along 3–6%, across 10–16%. The
in the framework of the cooperation between the analysis of the experimental dependences allows us
Construction Department of the Magdeburg- to conclude that the use of geogrids is more fea-
Stendal University of Applied Sciences (Germany) sible than the use of geotextiles in structures that
and the Construction Operation and Geotechni- perceive shear forces. A more detailed description
cal Engineering Department of Perm National is available in the paper by Tatiannikov & Kleveko
Research Polytechnic University (Russia). (2015).
Detailed methods and test patterns are presented
in the paper by Tatiannikov & Kleveko (2015). The
main result of the performed tests is the determi- 3 EXPERIMENTAL STUDIES OF
nation of the dependence of the development of REINFORCED SOIL CUSHIONS
tangential stresses on the geosynthetic material
shear in the soil. According to these dependences, The next stage of experimental research was to
the characteristics of the geosynthetic materials determine the rational design of the reinforced
that are used in the calculations are subsequently soil cushion by solving a set of test problems in
established. the Plaxis 2D software (Usmanov 2013). The soil
For shear tests, the friction coefficient of the parameters characteristic of the city of Perm were
geosynthetic material in the soil is determined taken as geotechnical conditions. The calculation
for different values of vertical stresses (Melo & was performed under plane deformation condi-
Santos 2014). The values of the friction coefficient tions (Yu & Bathurst 2017).
are presented in Table 3. For the selection of preliminary parameters for
For pulling tests, the values of resistance to pull- the unreinforced soil cushion, the technique pro-
ing of the geosynthetic material from the soil are posed by professor Tsytovich was accepted. Within
determined; the results are presented in Table 4. this research stage, several types of reinforced soil
According to the results of experimental stud- cushion structures were considered: with spacing
ies of mechanical characteristics of geosynthetic ∆h = 0.2 m, ∆h = 0.3 m, ∆h = 0.4 m, ∆h = (n – 1) *
materials, the following conclusions were formu- 100 + 200, where n is the number of the reinforc-
ing layer. Also, regardless of the reinforcement, the
last reinforcing layer was laid on the border of the
Table 3. Values of friction coefficients of geo-synthetic cushion and the foundation soil.
materials.
For a more complete comparison of the
Material Vertical stress, kPa Friction coefficient obtained results of the numerical simulation, the
reinforcement effect coefficient Kreinf was assumed
Geogrid 50 0.846 equal to the ratio of the maximum load of the rein-
100 0.939 forced cushion to the unreinforced one; the data
200 0.927 are summarized in Table 5.
Geotextile 50 0.745 As can be seen from the analysis of the obtained
100 0.907 values of the reinforcement effect, the introduction
200 0.841 of geosynthetic materials allows to increase the
load on the reinforced soil cushion by an average
of 19%. The most rational reinforcement spacing
Table 4. Values of resistance to pulling for different for the considered types of geosynthetic materials
types of materials. under accepted geotechnical conditions is variable
spacing (4 layers), since with this spacing the value
Vertical Resistance to of the maximum load is equivalent to the value
Material voltage, kPa pulling kN/m of a 200 mm spacing (6 layers). Reinforced soil
cushions with variable spacing are taken for more
Geogrid 20 54
detailed research.
40 91.6
Next, model plate tests of three types of cush-
60 135.36
Geotextile 20 51.04
ions were carried out: unreinforced cushion (test
40 110.32
pattern 1), cushion with variable reinforcement
50 121.84 spacing with two types of geosynthetic materials, a
geogrid (test pattern 2) and geotextile (test pattern 3)

379
Table 5. Results of numerical simulation.

Limit Reinforcement
Type of load, effect
geosynthetic kN/m coefficient
Structure material (N) (Nreinf/Nunreinf)

Unreinf. – 235 1
cushion
Reinf. with Geogrid 280 1.19
200 mm Geotextile 270 1.14
spacing,
6 layers
Reinf. with Geogrid 276 1.17
300 mm Geotextile 264 1.12
spacing,
4 layers
Reinf. with Geogrid 265 1.13
400 mm Geotextile 258 1.09
spacing,
3 layers Figure 1. Settlement-pressure dependence diagram for
Reinf. with Geogrid 280 1.19 various test patterns.
200/300/400 Geotextile 270 1.14
mm spacing,
4 layers
Table 6. The results of model experiments.

Reinforcement
Pressure kPa, effect coefficient
in a special tray with an artificially prepared weak with settlement at settlement
clay base (Tatyannikov & Ponomarev 2017). Test pattern s = 20 mm s = 20 mm
The model experiments are based on the results
of numerical simulation. A rigid metal plate with Artificial clay 68 1
a size of 200 × 200 mm was used as a foundation base
model; in order to observe the similarity parame- Unreinforced 81 1.19
ters, the bottom of the plate was processed to make cushion
it rough. Thus, the adopted width of the soil cush- Geotextile 90 1.32
ion model is b’n = 400 mm, the height was taken reinforced
cushion
individually based on the test pattern (reinforce-
Geogrid 100 1.47
ment type). Woven geotextile and geogrid were
reinforced
used as reinforcing layers. Before the tests, soil cushion
pressure cells were installed in the tray. The load
on the stamp was applied in increments of 10 kPa,
until the limit load was reached. The transition
from one stage of loading to another was made • test pattern 2 (cushion, reinforced with geogrid)
after the conditional stabilization of the settle- 100 kPa;
ment, equal to 0.1 mm per 1 hour (Melnikov 2011). • test pattern 3 (cushion, reinforced with geotex-
The main task of the model plate tests is to tile) 90 kPa.
establish the dependence of the settlement on the
pressure transmitted to the foundation soil cushion For the most complete assessment of the nature
model. The results of the model stamp tests of soil of the operation of reinforced soil cushions, let us
cushions in the form of graphs of the “settlement— introduce the improved foundation effect coeffi-
pressure” dependence are presented in Figure 1. cient Kimpr equal to the ratio of pressure at a set-
As the criterion for evaluating the operation of tlement of 20 mm of the improved soil cushion
reinforced soil cushions, pressure values are taken foundation to the natural base. The data are sum-
for each test pattern with a settlement of 20 mm, marized in Table 6.
as for the maximum settlement achieved in one of According to the results of the performed model
the test patterns (pattern 2), which will be used for: stamp tests, the following conclusions can be
made: from the two examined reinforcement mate-
• clay base 68 kPa; rials, the best performance is demonstrated by the
• test pattern 1 (unreinforced sand cushion) geogrid. This is confirmed by a higher value of the
81 kPa; reinforcement effect coefficient (1.47) compared to

380
other models; the effects of geotextile reinforce-
ment is 1.32, without reinforcement – 1.19, the
geogrid also “goes into operation” as the reinforc-
ing element earlier than geotextile. A more detailed
description of the model plate tests is presented in
the work by Tatyannikov & Ponomarev (2017).
At the third stage, full-scale plate tests of spe-
cially prepared reinforced soil cushions under field
conditions were performed (Kleveko 2014). A soil
cushion with a variable geogrid reinforcement
spacing was adopted as a structure that showed
the best results in previous studies. Also, for the
purpose of comparison, tests were carried out on
the natural base (soft-plastic loam). A rigid metal
stamp with an area of 600 cm2 was used as a foun-
dation model (Timofeyeva & Tursunov 1986).
The main testing provisions were adopted in the
same way as in model stamp tests (Tatiannikov &
Ponomarev 2017).
Medium-sized sand was used to make soil cush-
ions. For the study of the stress state of the base soil,
soil pressure cells were prepared (Zhussupbekov
et al 1995, Schwerdt et al 2014). Layouts for place-
ment of soil pressure cells are taken individually
for each test pattern. According to the results of
the tests, graphs of settlement–pressure depend-
ences were made for all test patterns, which are
presented in Figure 2.
After establishing these dependences, the pres-
sure was determined at a limit settlement of
25 mm, it made up 169 kPa for a natural base, and
288 kPa for the base with an improved soil cush-
ion with a variable reinforcement spacing of the
geogrid.
According to the results of the performed
experimental work, the following conclusions can
be made: the pressure value at the limit settlement
Figure 2. Settlement-pressure dependency graphs for
various test patterns.
381
of 25 mm of a soil cushion reinforced with geogrid
is 70% higher compared to the natural base; the
stress state of the reinforced soil cushion differs
significantly from the natural base, this difference
is associated with the use of reinforcing elements
that redistribute stresses in the soil mass and, as a
result, reduce the settlement. The most characteris-
tic redistribution of stresses begins from a depth of
0.15 m (0.5b) from the bottom of the plate, under
the second layer of geosynthetics. A more detailed
description of the field experiment is presented in
the paper.
4 METHOD OF CALCULATING BEARING
CAPACITY OF REINFORCED
SOIL CUSHIONS
At the last stage of research, on the basis of the
carried out numerical simulation (Mirsayapov &
Popov 2008), the methodology for calculating the
bearing capacity of reinforced soil cushions with
variable reinforcement spacing was refined.
It was accepted that the bearing capacity of
reinforced soil cushions is determined from the
formula (1):
Figure 3. Correction coefficients kd and kc.
Figure 4. Correction coefficient kb.
F = Fun,r + Fur (1)
where Fun,r is the bearing capacity of the base
improved with an unreinforced soil cushion; Fur
Fur is the parameter reflecting the bearing capac-
ity increase due to the use of reinforcement. It is
determined by nomographs depending on the
mechanical characteristics of geosynthetic mate-
rials, an example of a nomograph is shown in
Figure 5.
The bearing capacity of the foundation improved
with unreinforced soil cushion can be determined
by the formulas of the European standards for the
design of reinforced soil structures (EBGEO):
Fun,r = b’⋅(c’k ⋅ Nc⋅kc + γk ⋅Nd⋅kd +γk ⋅b’⋅Nb ⋅kb) (2)
where b’ is the reduced width of the foundation; c’k
is the specific adhesion of the soil cushion base; ϕ’k
is the internal friction angle of the soil of the cush-
ion base; γk is the specific weight of the soil cushion
base; Nd is the foundation depth effect coefficient;
Nc is the adhesion effect coefficient; Nb is the foun-
dation width effect coefficients.
According to the results of the numerical exper-
iment, graphs were constructed to determine the
values of the correction coefficients kb, kd and kc
(Figs. 3, 4), depending on the ratio of the inter-
nal friction angle of the soil cushion base (ϕ’k) to
the internal friction angle of the cushion filler base
(ϕ’F). Correction coefficients k allow to take into
account that the calculated sliding surface passes
through the soil cushion with higher strength
parameters, as well as through the weak founda-
tion soil with lower strength characteristics, and
also corrects the influence of: foundation depth,
adhesion, width of the foundation.
The considered soil cushions are recommended
to be used as a way to improve the parameters of
the foundation soil when constructing the founda-
tions of buildings and structures.
Figure 5. An example of a nomograph to determine the
increase in the bearing capacity due to the use of rein-
forcement at G = 1000 kN/m.
382
5 CONCLUSIONS
According to the results of the experimental stud-
ies, the following conclusions were made:
1. Among the two considered geosynthetic mate-
rials, the best reinforcing results are shown by
a geogrid made of polyester. The results of
experimental studies demonstrate that geosyn-
thetic materials are not immediately included
in the work, only after reaching a certain pres-
sure. In the case of a geogrid, it is approximately
80–90 kPa.
2. According to the results of experimental studies,
a soil cushion design with variable reinforcement
spacing was proposed, in which the reinforce-
ment spacing is determined by the formula:
∆h = (n – 1) * 100 + 200, where n is the number of
the reinforcing layer. This design allows achiev-
ing higher loads on the base, as well as increases
the deformation parameters of the base.
3. The carried out model and full-scale plate tests
confirm the effectiveness of the considered soil
cushion construction with variable reinforce-
ment spacing. The tension state of the base
improved by such a cushion is significantly
different from the natural base. It was experi-
mentally established that the application of a
variable reinforcement spacing results in the
redistribution of stresses in the upper part of
the active part of the soil mass. Vertical stresses
with variable reinforcement spacing are reduced
by an average of 28% compared with the natural
base. With variable reinforcement spacing, the
pattern of stress distribution at a depth equal to
the plate diameter (b) shows the stress damping,
in the case of the natural base at a similar depth,
stress increases.
ACKNOWLEDGMENTS
The authors thank professors Ulrich Turchinski
and Sven Schwerth (Magdeburg-Stendal Univer-
sity of Applied Sciences).
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shear tests. Geotechnical Testing Journal, GTJODJ 2.
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Bai, V.F. & Kraev, A.N. 2014. Study of the work of a
sandy cushion reinforced along a contour with a cur-
vilinear bottom in conditions of weak clay soils. Bul-
letin of Civil Engineers 3: 107–111.
Bartolomey, A., Ponomaryov, A., Kleveko, V. &
Ofrikhter, V. 1996. Use of geosynthetic materials to
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tricht: 459–461.
Kleveko, V.I. 2014. Investigation of the operation of rein-
forced clay bases. PNRPU Construction and Architec-
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reinforcement effect. Geotechnical problems of new
construction and reconstruction. NSUACE (Sibstrin):
15–18.
Melo, D.L.A., Santos, E.C.G. 2014. Shear strength of
RCDW/nonwoven geotextile interface. Proceedings
of the 10th International Conference on Geosynthetics.
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theoretical research of work of reinforcement massifs.
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synthetic materials for tensile strength for the optimal
design of reinforced bases. PNRPU Construction and
Architecture Bulletin 2: 73–81.
Schwerdt, S.,Turczynski, U. & Richter, C. 2014. Large-
scale tests to verify the amount of horizontal earth on
facing elements used in MSE walls. 10th International
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the interaction of geosynthetics with ground by the
383
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Vibration driving of an incompressible pile into a two-layered

foundation

Z.G. Ter-Martirosyan, E.S. Sobolev & G.O. Anzhelo

National Research Moscow State University of Civil Engineering, Moscow, Russia

ABSTRACT: An analytical model of a deep foundation base is proposed to describe oscillations in the
“pile–soil base” system. It is shown that in this case taking into account inertial forces of the pile and fric-
tion along its side surface results in non-periodic (non-harmonic) damped oscillations in the deep founda-
tion. Analytical solutions of static and dynamic problems are applied with the use of a mechanical soil
model to solve the problem on interaction between a pile and surrounding soil during vibration driving.
The analytical solutions are found using Mathcad system. Comparing results of analytical calculations
with numerical simulations is made using the geotechnical software package PLAXIS 2D involving the
finite element method. The Mohr–Coulomb elastic plastic model was used to find a numerical solution
for the problem of interaction between a pile and surrounding soil. Rheological parameters of soils that
can be determined based on special field and laboratory studies are used in these calculations.

1 INTRODUCTION tude in a deep foundation never becomes infinite,

In majority of cases, design of foundations for
machinery and equipment generating dynamic
loads implies that the foundation soil base can be
considered as having no mass and characterized by
stiffness ratios Kz, Kx and Kϕ. This simplified model
of the elastic base is known as the Winkler model.
It allows simplifying the process of solving differ-
ential equations for oscillations in foundations set
up on compressible bases. The viscous resistance
in this approach is usually omitted (Rumyantsev &
Astankov 2015, Rumyantsev et al. 2013).
Rheological models taking into account damp-
ing properties of soils are used in case it is necessary
to introduce correction for non-elastic resistance
of the base. The most common are Kelvin—Voight
and Maxwell models (Holeyman & De Chaunac
2018, Holeyman & Whenham 2015).
In this paper, a problem of pile foundation oscil-
lations on an inertial base having mass is consid-
ered with account for visco-elastic properties of
base soils and the friction along pile side surfaces.
The first attempts to take into account the
apparent mass of base soils were taken by Reiss-
ner E., followed by Shekhter O.Ya. A problem of
forced oscillations of a circular die on a solid elas-
tic half-space under the effect of a harmonic excit-
ing force was examined. Ter-Martirsyan Z.G. et al.
(2016) considered a deep foundation overlaying a
multi-layered base having mass.
Taking the inertial forces of base soils into
account, we can assume that the oscillation ampli-
i.e. the resonance phenomenon is absent (Seed,
1979, Seed & Idriss 1971). In addition, with an
increase of Poisson’s ratio, energy transferred
from an oscillating pile to the soil, and, therefore,
damping of system oscillations increase as well.
The inertia of base soils results in aperiodic foun-
dation oscillations, i.e. in non-uniform oscillatory
movement. The inertial properties of base soils
exert more profound effect on pile foundations
having a shallow depth and a larger cross-section
than on long piles having a relatively small toe area
(Ishihara 2006).
Models having an “apparent mass” are currently
applied to solve practical tasks using various tech-
niques, including methods that consider the whole
volume of the soil involved in the “active deforma-
tion area” of the base. When designing piles with
a large cross-section, it is often assumed that the
dynamic load is transferred to the base soil as a
load-bearing column, as a conical (trapezoidal)
mass and as a half-space.
2 STATIC EQUILIBRIUM OF A PILE
It follows from the solution to the problem of the
static equilibrium in piles (Fig. 1) that the force
affecting the pile head N is distributed between
the resistance along the side surface of the pile and
resistance along the pile toe bulb:
N = R+ T (1)

384
 a T
τ ( r) = τa ; τa = (5)
r 2π al p

Using expressions (4) and (5), the settlement of

the pile side surface S(r) can be calculated using
the following:
r r
τ aa 1
S( r) = ∫ γ ( r ) dr = −
G1 ∫a r
dr =
a (6)
τ a
− a ln( r ) + C1
G1

To determine the integration constant C1, we

Figure 1. An analytical model of the problem on inter-
action between a pile and a two-layered base.
where R is the resistance (force) under the pile toe
bulb, kN; T is the resistance (force) along the side
surface of the pile, kN.
If we assume that interaction between a pile and
surrounding soil is due to telescopic action (only
shear deformations along the pile side surface are
taken into account in these calculations), then the
resistance along the side surface of the pile is deter-
mined by multiplying the double radius of the pile
2a (m) by the active length of the pile lp (m) and
by the tangential stress along the side surface τa
(kN/m2):
T = 2aπτ al p (2)
Taking into account dependence (2), the static
equilibrium of the pile expressed in (1) is deter-
mined by the following equation:
N = 2τ aπ al p + R (3)
will use the boundary conditions implying that
the influence radius is r = b and there is no verti-
cal transfer at the model boundary S(r = b) = 0.
Based on the current knowledge of interaction
between a prefabricated pile and surrounding soil,
the influence area b is calculated as b = 6a. If nec-
essary, however, this value can be different. Taking
into account the boundary conditions, the integra-
tion constant C1 is determined as follows:
τ aa
C1 = ln( b ) (7)
G1
Ultimately, taking into account equations (6)
and (7), the pile settlement along the side surface is
determined using the following equation:
τ aa  b 
S( r) = ln   (8)
G1  r 
At the same time, at the “pile–surrounding soil”
interface (r = a), the settlement is determined as
follows:
τ aa  b 
Sr = ln   (9)
G1  a 
Taking into account the Poisson’s ratio ν2 and
the deformation modulus E2 of subsoil, the settle-
ment of the pile toe bulb can be found using the
Schleicher’s equation:

The shear deformation γ(r) in pile driving is ω 0 N 2a ( 1− ν 22 )

St = (10)
determined by an increment in the settlement dS E2
with account for shear of the soil surrounding the
pile G1: where ratio ω0 depends on the shape of the pile
cross-section.
dS τ ( r) If in expression (10) we take ratio ω0 describing
γ ( r) = =− (4)
dr G1 the square shape of the pile cross-section equal to
0.8 and replace the deformation modulus of sub-
At the same time, tangential stresses τ(r) can be soil E2 with the shear modulus G2, then the follow-
determined as follows: ing expression can be derived:

385
 N ( 1− ν 2 )
St = 0.8 (11)
aG2

Compressibility of reinforced concrete or metal

from which piles are made is insignificant in com-
parison to compressibility of surrounding soil.
Assuming that the material stiffness is infinite, we
obtain a virtually incompressible pile. This allows
equating the settlement along the pile side surface
to the settlement along its toe bulb:

Sr = St (12)

From expression (12) we can obtain a depend-

ence to express the force T applied along the pile
side surface:

T = 2π al pω 0 N
( 1− ν 2 ) G1 (13)
( )
ln b a G2

Based on the description of interaction between

a pile at static equilibrium and surrounding soil,
the problem of dynamic equilibrium of a pile dur- Figure 2. Analytical models of pile oscillations with
ing vibration driving can be solved (Voznesensky account for visco-elastic properties of soils under the pile
2013). toe bulb.

3 DYNAMIC EQUILIBRIUM OF A PILE

Let us assume that the pile driving process is based
on the excitation of mechanical oscillations in a
special device (oscillator) installed on the pile head
(Fig. 2). The oscillator excites forced oscillations
in the form of a harmonic oscillator, therefore, the
law of harmonic motion can be used to determine
the exciting force N(t):
N ( t ) = N + ∆N sin( ωt ) (14)
where z is the vertical displacement (m); mz is the
effective value of the oscillator–pile system mass
(kg), mz = Qz/g (Qz is the effective weight of the
system (kN)); T is the resistance (force) along the
pile side surface (kN) determined through expres-
sion (13).
The effective value of the “oscillator–pile” sys-
tem mass is calculated as the sum of the oscillator
mass m0 (kg) and pile mass m1 (kg) according to
the following expression:

where N is the oscillator weight (kN), ∆N is the mz = m0 + γ 1m1 (16)

weight of unbalanced parts of the oscillating
mechanism (kN), ω = 2πf is a constant (circu- Studies carried out by Savinov O.A. revealed
lar frequency of forced oscillations) taking into that the proportionality factor γ1 in expression (16)
account the frequency of oscillations excited by is always less than 1. However, since the mass of
the oscillator f (Hz). the whole system includes the apparent mass of
In case of a weightless base, dynamic equilibrium soil, we can assume that γ1 = 1.
of a pile having one degree of freedom under the The non-dimensional factor n in equation (15)
effect of the oscillating force can be expressed by characterizes damping in the system (it should
the following differential equation of oscillations: not be confused with the coefficient of non-elastic
resistance) and is related to the effective mass mz
and the proportionality factor η2.
d 2z dz
+ 2 np + p 2 z + T =
d 2t dt (15) η2
1 n= (17)
 N + ∆N sin( ωt )  2 kz mz
mz

386
 The coefficient of proportionality η2 relates the
forces of viscous resistance and the speed of pile
movement in soil, representing the coefficient of
dynamic viscosity (kN.s/m).
In equation (16), the coefficient p determines
the system elasticity related to the effective mass
mz and effective stiffness ratio kz.

kz
p= (18)
mz

The effective stiffness kz in equation (18) takes

into account elastic properties of the pile material
and soil under the pile toe bulb; it can be calcu-
lated, according to Panovko Ya.G., as follows:

k1k2
kz = (19)
k1 + k2

where k1 is the pile material elasticity coefficient

(kN/m), k1 = πa2Ep/lp, Ep is the modulus of elastic-
ity of the pile material, 3 × 107 kPa; k2 is the coeffi-
cient of elasticity of soil under the pile toe (kN/m),
k2 = C2⋅πa2, C2 is the elastic uniform compression
coefficient (kN/m3) that can be calculated based on
the Winkler hypothesis:

N
C2 = (20)
π a 2 ⋅ Sl

Substituting the value of the pile settlement

along the toe bulb into equation (20) from expres-
sion (11), we can express the value of the elastic
uniform compression coefficient as follows:

G2
C2 = (21)
0.8π al ( 1− ν 2 )

The assumption of infinite stiffness of the pile

was made earlier, therefore, it should be specified
that in this particular case kz = k2, since the pile is
considered to be incompressible.
The solution to the differential equation of pile
forced oscillations during vibration driving (15)
under zero initial conditions and without account
for the resistance along the side surface T was pro-
vided in papers by Birbraer A.N. It can be derived
as the Duhamel integral:
t
1
z( t ) = ∫ N( τ ) e − nω ( t− τ )
sin  ω D ( t − τ )  dτ Figure 3. A curve of “pile–base” system oscillations
mzω D 0 plotted based on the solution to equation (15) using Math-
(22) cad 15 with account for the soil resistance along the pile
side surface. Solutions for various values of soil viscosity
where ωD is the circular frequency that takes into are given: (a) No. 1 – η1, No. 2 – η2, No. 3 – η3, at η1 < η2 <
account oscillations’ damping. η3; for various values of elastic properties of soil we have:
(b) No. 1 – k1, No. 2 – k2, No. 3 – k3, at k1 < k2 < k3; for
various values of the exciting force we have: (c) No. 1 – N1,
ω D = ω 1− n 2 (23) No. 2 – N2, No. 3 – N3, at N1 < N2 < N3.

387
 The solution to the differential equation (15)
taking into account the resistance along the side
surface T can be derived through step-by-step
integration using the Runge–Kutta method in
the Mathcad system, version 15 (Chu et al. 2012,
Iwasaki et al. 1982, Yamamuro & Lade 1997). To
ensure sufficient accuracy, the integration step shall
meet the condition according to which the integra-
tion step ∆t is much smaller than the sine period in
the subintegral function. The solution of equation
(15) is given in Figure 3 in a graphical form.
Analyzing the calculation results, we can argue
that the viscosity parameters of the base into
which the pile is driven determine the rate of pile
oscillations’ damping (Fig. 3a), while the elasticity
Figure 5. Isofields of vertical displacements obtained in
parameters affect the final value of the pile settle- solving the problem using the PLAXIS software pack-
ment in the driving process (Fig. 3b). The force of age. The soil model is taken as the Mohr–Coulomb elas-
vibration driving determines both the amplitude tic plastic model.
of pile oscillations and the settlement during pile
driving (Fig. 3c).
The analysis of the curves derived allows esti-
mating the logarithmic decrement of damping δ
and the damping factor D (Stavnitser 2010) related
through the following expressions:
2π n
δ= , D = 2δ (24)
p2 − n2

4 NUMERICAL MODELING

The problem of pile forced oscillations is addition-

ally solved in a two-dimensional setup through the
finite element method using the software pack-
age PLAXIS 2D, version 2018. Behavior of base
soils was described using the Mohr–Coulomb
elastic plastic model (Mangushev et al. 2016, Ter-
Martirosian et al. 2014). The viscous resistance
of soil was modeled through introduction of
Rayleigh’s coefficients (Brinkgreve et al. 2009).
Calculation results are given in Figures 4–5.
Figure 6. A curve of “pile–base” system oscillations
plotted based on the numerical solution of the problem
using the PLAXIS software package. The soil model is
taken as the Mohr–Coulomb elastic plastic model.
The results of numerical calculations (Fig. 6)
demonstrate qualitative similarity with the results
of analytical calculations.

5 CONCLUSION

Summarizing the results of this research, we can

make the following main conclusions:
1. The analytical model proposed (Fig. 1)
describes oscillations in a pile having mass on
a visco-elastic soil base quite accurately taking
into account the resistance along the pile side
surface through friction forces at the “pile–
surrounding soil” interface.
2. The solution of the problem on oscillations in
Figure 4. An analytical model with a grid of finite ele- the “pile–base” system based on the proposed
ments to solve the problem using the PLAXIS software calculation model using analytical and numeri-
package. cal methods, as well as their comparison with

388
 the results of the FEM modeling using the
PLAXIS 2D software package indicated their
consistency. The Mohr–Coulomb elastic plastic
model was used in the numerical solution.
3. Taking into account the friction developing
along the side surface of the pile significantly
affects characteristics of foundation oscillations
in the model proposed, including the amplitude
and accumulation of residual pile settlement.
4. The accuracy of predicting the stress-strain
behavior in the “pile–surrounding soil” system
is dependent on elastic and viscous mechanical
properties of soils. These parameters should be
determined directly in the field and laboratory
research.
5. Using rigorous analytical solutions is difficult in
engineering practice. It is more convenient and
illustrative to demonstrate calculation results
based on the solution of the problem on vibra-
tion pile driving using numerical techniques.
Currently, the geotechnical software packages
using the FEM and elastic plastic soil models
can be recommended to solve the problem on
vibration pile driving since they have consist-
ency with analytical solutions.
REFERENCES
Brinkgreve R.B.J., Broere W. & Waterman D. 2009.
Plaxis: finite element code for soil and rock analyses:
2D-version 8. User’s manual. Saint Petersburg: NIP-
Informatika.
Chu J., Leong W.K., Loke W.L. & Wanatowski D. 2012.
Instability of loose sand under drained conditions.
Journal of Geotechnical and Geoenvironmental Engi-
neering, 138 (2): 207–216.
Holeyman A. & De Chaunac H. 2018. Numerical analy-
sis of the set-up around the shaft of a closed-ended
pile driven in clay. Geotechnique, 68 (4): 332–344.
Holeyman A. & Whenham V. 2015. Axial non-linear
dynamic soil-pile interaction. In: Belhaq M. (ed.)
Structural Nonlinear Dynamics and Diagnosis.
Springer Proceedings in Physics, 168: 305–333.
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Ishihara K. 2006. Soil behaviour in earthquake geotech-
nics. Saint Petersburg: Research and Production
Association Georekonstruktsiya-Fundamentproekt.
Iwasaki T., Tokida K., Tatsuoka F., Watanabe S., Yasuda
S. & Sato H. 1982. Microzonation for soil liquefac-
tion potential using simplified methods. Proceedings
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Seattle, 3: 1319–1330.
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The influence of protection geotechnical measures on
stabilization of settlement of the building in a dan-
gerous condition. Bulletin of Civil Engineers (Vestnik
grazhdanskikh ingenerov), 4 (57): 85–93.
Rumyantsev S.A. & Astankov K.Yu. 2015. Results
obtained in experimental studies of vibration driv-
ing of tubular piles using nonequilibrium vibrations.
Transport of the Urals, 4 (47): 24–28.
Rumyantsev S.A., Astankov K.Yu. & Ermakov V.A.
2013. Development of method for testing vibration
pile driving using biharmonic vibrations. Herald of
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18–25.
Seed H.B. & Idriss I.M. 1971. Simplified procedures
for evaluating soil liquefaction potential. Journal of
the Soil Mechanics and Foundations Division, 97 (9):
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Seed H.B. 1979. Soil liquefaction and cyclic mobility
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E.S. 2016. Vibration of embedded foundation at
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Restoration engineering of historic structures: Case study of building

12 on New Holland Island in Saint-Petersburg

V. Ulitsky
Emperor Alexander I St. Petersburg State Transport University, Saint Petersburg, Russia

S. Bogov
GeoRekonstruktsiya Institute, Saint-Petersburg, Russia

ABSTRACT: Underground space development has become an indispensable part of the present-day
construction and reconstruction projects. Being time- and labour-consuming, the installation of sites
under reconstruction with multi-purpose subsurface structures and new basements involves a certain
amount of risk. The article deals with engineering of an underground space in a basementless historic
building. Through a series of zero-defect methods and operations, the building was installed with a
3-meter deep basement. This article presents field data and design solutions.

1 INTRODUCTION

With high ground water levels and thick water-

inundated soil layers, Saint-Petersburg has always
been in need of safe technologies for constricting
underground car-parks in buildings with multi-
ple underground floors (Dalmatov 1975, Shashkin
2014). In any historic downtown, buildings are cov-
ered by strict regulations dictated with regard to
allowed ultimate strain by domestic and European
codes. We have developed a patented a jet technol-
ogy-based reconstruction method that uses soil sta-
bilization to develop underground spaces (Patent RF
No.2065001). Applied to basementless buildings, it
involves the following sequence of operations:
– first, intersecting rows of injection piles will be Figure 1. Layout of the buildings on the section of the
installed in a staggered arrangement on both island subject to reconstruction.
sides of the foundation;
– then, vertical, cement-filled grooves will be
arranged underneath the foundation base to
tion plan. Building 12 forms part of a complex of
limit the work zone. The spaces between the
historic buildings occupying New Holland Island,
grooves will be filled with waterproofing agent
namely, its Kryukov Canal, Admiralty Canal, and
containing grouting. As a result, basement
the bank of the Moika River (Fig. 1).
walls are formed that represent interconnected
arrangements of jet grout elements (JGE). When
the ground water level is high, horizontal ground
2 SITE DESCRIPTION
water cutoff (GWC) will be installed lower than
the design basement level;
The buildings and structures under reconstruction
– finally, ground layers will be removed and floor
are situated in the central part of Saint-Petersburg’s
and wall structures installed with subsequent
historic downtown. Erected in the late 18th century,
waterproofing.
Building 12 is a three-storey, 12 meter high, brick
The above method for re-constructing base- building. According to its design scheme, developed
mentless structures was tested on Building 12 on by architects J.B. Vallin de la Mothe, S.I. Chevakinsky,
New Holland Island as part of its 2018 renova- and I.C. Gerard, it is a cross-wall structure. The

390
buildings were intended to store ship timber (oak).
Instead of conventional piling, ship timber was
stored in a new way—in standing, slightly inclined
position. To enable such position of ship timber,
the internal pillars of the building were installed
with counterforts to which wood grating could be
leaned. The wood grating, in turn, was what the
standing timber was leaning to. Such buildings
were designed to enable double-sided loading and
unloading—through stone galleries with archways.
Two-level, these archways had to be arranged also
in the cross walls between counterforts.
The foundations of Building 12 have a strip,
rubble stone footings that connect the longitudinal
and transverse sections of the buildings into a rigid
spatial system underpinned by a fine grid of strip
footings. A number of in-situ foundations rest-
ing on earth, wooden piles and groundsills were
discovered. The depth of the foundation bases
of Building 12 varied without any visible pattern
within the range of 2.4...3.2 m of the daylight sur-
face, at absolute heights of +1.0...+0.25 m, Baltic
Elevation System (BES). The width of the founda-
tion bases of Building 12, inclusive of the counter-
forts axes, varied between 0.79 m and 2.91 m.
The width of the foundation bases of Build-
ing 12, inclusive of the counterforts axes, varied
between 0.79 m and 2.91 m. Exposed by test drill-
ing, the condition of almost all of the stone mason-
ries of the foundations was found serviceable. The
subfoundation of Building 12 is mainly naturally
occurring sandy silts with inclusions of the sandy
loams structurally similar to sandy silts. The aver-
age density of the foundation soils was found to
be slightly nonhomogeneous, with satisfactory
strength performance. The overall condition of the
foundation of Building 12 was found workable.
Based on the pre-reconstruction geodetic moni-
toring, the rate of long-term settlements in Build-
ing 12 was measured about 1 mm/year.
3 GEOTECHNICAL CONDITIONS OF THE
SITE UNDER RECONSTRUCTION
The site under reconstruction is situated at the
Neva River delta. Geomorphologically, it forms
part of the Near-Neva Lowland. Building 12 is
about 10 m away from the Moika River, with day-
light surface absolute heights of 3.5...3.9 m BES.
Within the depth of survey and underneath the
technogenic layer, site is composed of postglacial,
lacustrine-glacial and glacial deposits, which are
underlain by primary Vendian deposits. The thick-
ness of the technogenic layer can be up to 4.3 m.
The upper (1 m) marine and lacustrine deposits are
represented by sandy silts and loams with inclu-
sions of organic matter, and by weakly peaty soils
underlain by water-inundated, medium-grained,
middle-density sands with thickness of 1.7...5.5 m.
Adjacent to the postglacial deposits are high-plas-
ticity silt loams, their thickness varying from 2.1 m
to 4.2 m, which are underlain by the bed of upper
quaternary, lacustrine-glacial, banded, highly plas-
tic loams at the absolute heights of minus 5.59 m to
minus 10.25 m, BES. Commonly occurring under
this bed are highly plastic loams. At depths lower
than 27.5 m are primary Vendian deposits that are
represented by solid silt loams with the thickness
of up to 3.5 m. The free groundwater is confined to
the bottom layer of the technogenic deposits. Dur-
ing unfavourable periods, the groundwater may
raise to the height of up to 1 m from the daylight
surface.

Table 1. Soil characteristics.

EGE Soil index and nomenclature We IL e ρg/cm3 ϕo c, a E, MPa

1 Fill-up soil tg IV Design resistance R0 = 0.1 MPa

2 Silty, highly plastic loams with inclusions of 0.28 1.0 0.75 1.96 20 9 8.5
organic matter m,l IV
3 Water-saturated, middle-density, silty sands 0.27 – 0.75 1.95 26 2 11
m,l IV
4 Water-saturated, middle-density, fine sands – – 0.70 1.96 30 1 23
m,l IV
4a Medium-grained, water-saturated, middle-density – – 0.65 2.00 35 1 30
sands m,l IV
5 High-plasticity, laminated, light, silty loams 0.29 1.0 0.80 1.3 20 14 6.5
m,l IV
6 High-plasticity, banded, heavy, silty loams 0.39 1.14 1.07 1.83 9 20 5
lg III b
7 High-plasticity, indistinctly laminated, light, silty 0.29 0.9 0.80 1.95 17 16 9
loams lg III b

391
4 EXECUTION OF WORKS
Given the complex groundwater conditions, the
fact that the ground excavation depth was lower
than the groundwater level, and the need to avoid
suffusion processes, the construction of the base-
ment storey was preceded by measures to stabilize
the subfoundation soil using the jet technology. The
subfoundation soil was stabilized inside the build-
ing along axes “13–15” (Fig. 5). From elevation
plus 1.9 m BES down to elevation minus 0.79 m
BES, vertical and directional wells were drilled. All
the work stages had been preliminarily modelled
in order to predict the geotechnical situation and
the additional settlement from the reconstruction
works (Fig. 2).
The first stage of works involved conventional
restoration of the stone masonry of the strip foot-
Figure 2. Finite element scheme model.
Figure 3. Basementless building 12 before lowering of
the ground level. Soil stabilization level.
392
ing to the state of normal continuity by way plasti-
cized cement mortar. At the second stage, regulated
injection piles were installed. The foundations of
the basementless section of Building 12 received
180 mm diameter, 27…30 m long injection piles
with the absolute height of tip of 23…26 m, BES.
The injection piles were centrally reinforced by 114
× 7 mm pipes. The drilling process made use of a
mud solution which was subsequently replaced by
fine concrete. Hydraulic tests were performed on
the body of the pile. At the third stage of works,
soil was stabilized. To meet the need of the 2018
renovation plan, the subsurface structures of
Building 12 were executed in cast reinforced con-
crete, coated with Lakhta-type, penetrant, water-
proofing, polymer-cement compound.
4.1 Soil stabilization
The installation of the injection piles was followed
by the operations to stabilize the subfoundation
soil. The lapse of time between pile installation and
soil stabilization, which used jet grouting technol-
ogy (JGE), was about 15 days for each work zone.
Stabilization covered water-saturated, middle-
density, fine sands (EGE-4); and water-saturated,
middle-density, medium-grained sands (EGE-4a).
The task was to drill, along the walls, a number of
directional and vertical wells, spaced 0.5 m apart,
and to stabilize the soil by way of installing the
existing foundations with jet grouting elements
(JGE). The jet elements had a diameter of 0.6 m
and were installed through 112 mm diameter pilot
holes. The bottom elevation of the jet grouting
piles was minus 0.79 BES. The holes for the jet ele-
ments were drilled through the foundation using
column drilling rigs—at 8° by way of injecting
the cement grouting at 200 atm and consumption
rate of 100 l/min—followed by hydraulic pressure
testing of the foundation base 3–5 hours after the
washout (Fig. 4).
Figure 4. Installation of jet grouting elements to rein-
force wall base: A – on both sides of the wall, B – on one
side of the wall.
 During the pressure testing, the pressure of
0.2 MPa was being applied for 5 minutes. Once
the grout consumption reached 100 l, the injec-
tion ceased to be resumed after 24 hours. 89 × 5
diameter, 3.5 m long pipes were used as reinforce-
ment of the jet element. The injection grouting
with the water-cement ratio of 0.9 was made of
domestically produced Portland cement M400 and
the alternately added superplasticizing agent C-3
and liquid glass. During the washout, the moni-
tor was lifted at the rate of 0.25…0.4 m/min. The
estimated material consumption for each of the
0.6 m jet grouting pile was ≅ 0,5 m³ per 1 linear
meter. The initial absolute elevation was 1.9 m,
BES. After the subfoundation soil was stabilized,
areal stabilization was performed at the bottom Figure 6. Deepening of the basement of building 12 to
elevation of minus 1.48 m, BES. To avoid tech- the depth of more than 3 m after installing of jet grouting
nological settlement of the building, the follow- walls and grounwater cutoffs.
ing requirements were observed while installing
the JGE (Fig. 5): minimum 5 m spacing between
completed well and new one; and minimum 5 days
before approximation.
Running in parallel was continuous geo-
monitoring was in process that involved geodetic
observation of settlement; visual inspection of
cracks in brick walls; and follow-up on conduct of
operations. In order to meet the renovation timeline
for Building 12, soil stabilization was performed dur-
ing the period from February to July 2018 (Fig. 6).
Based on the measurement results, the maxi-
mum deformations in the wall bases of Building 12,
which occurred during the pile installation process
and during the excavation, did not exceed 6 mm
and 3 mm, respectively. Based on the monitoring
results, curves were plotted of the deformations in
Building 12 (Fig. 7). The settlements induced by
reconstruction works on floor decks and roofing
were found to be lower than the values specified in
the domestic standards.
When designing the embedded foundation
areas in highly filtering, sandy soils, the JGEs

Figure 7. Building 12 settlement diagram after comple-

tion of the basement storey, mm.

should be stabilized across the grid in staggered

Figure 5. Jet wells along axes “13–15”.
order to create bracing and groundwater cutoffs
(GWC) (Smorodinov 1993, Shashkin & Shashkin
2016). Economy can be achieved when stabiliza-
tion is performed on poorly filtering soils, ignoring
hydrostatic uplift pressure. In such soils, cellular
structures should be set up to form a honeycomb

393
pattern, where each unfilled cylinder would be
surrounded by six JGE. With this pattern, the
bracing will not experience any reduction in its
strength due to the strongly connected jet grout-
ing elements, while the properties of the original
soil in the unfilled combs are likely to improve
due to the decrease in moisture and the increase
in temperature during the hydration of cement in
JGE (Sokolovich 1980, Tokin 1984, Bezruk 1956,
Rzhanitsyn 1986). This method of bracing weaker
soils enables a 15% higher cost-efficiency of site
preparation works—in terms of the number of
wells, cement consumption, and time it requires.
5 SOIL STABILIZATION QUALITY
CONTROL
Crucial to determining the soil cement composi-
tion was the design load. The ratio between the
modulus of deformation of stabilized soil and the
compressive strength may vary greatly depending
on the quantity of cement, original soil properties,
and duration of the development of strength—
from 50 to 200 (Chernyakov 2011, Mangushev
2010). For the project to be implemented in a
quality manner, it is necessary that its every single
operation is monitored (Figs. 8 and 9) and that the
majority of its operations are automated.
On 28–30 day, the stabilized soil was sampled
for 100 mm test cores. In the 28-day-old layers
of sand, the strength properties of the artificially
stabilized material varied between 1.9 MPa and
2.6 MPa, showing a slight dependence on the den-
sity of the obtained soil cement (Fig. 9).
The samples of higher density showed lower
strength. The modulus of deformation of the sta-
bilized, continuous soil mass, for which the pres-
sure range was 0.4…1.0 MPa, varied between
510 MPa and 700 MPa. For the site under analy-
Figure 8. Jet technology-based JGE quality control
flowchart.
394
Figure 9. Strength vs. soil cement density.
sis, the ratio between the modulus of deformation
and the uniaxial compression resistance exceeded
250. It is evident that the properties of the material
are influenced by water-cement ratio; duration of
the development of strength; sample diameter and
sampling quality. To achieve better efficiency of
the jet technology and higher strength of hardened
cement paste and soil cement material, it is advised
that chemical additives be used in cement grout-
ings (Rzhanitsyn 1986, Goncharova 1973).
6 CONCLUSIONS
1. The application of the jet technology in differ-
ent soil conditions of the historic sites in Saint-
Petersburg (Ulitsy & Bogov 2017, Goncharova
1973), has enabled a defect-free reconstruction
of Building 12. The experience of soils stabi-
lization with the use of jet technology, in its
turn, has produced standard design solutions
for dealing with further reconstruction projects.
Any calculation of deformations in groundwa-
ter cutoffs should consider the friction being
sustained by the soil as a result of the horizontal
impacts induced by shoring of excavation.
2. Together with site preparation safety require-
ments (Makovetsky et al. 2014), the need for
cost-efficiency and import substitution adds to
the relevance of the domestic, jet technology-
based solutions for underground space develop-
ment. The quality of underground space devel-
opment can be assured through a well-tuned
monitoring system and relies on the consistency
between the soil conditions and the stabiliza-
tion parameters, as well as on optimal design
solutions, continuous monitoring, and special
testing.
3. Where jet piles are opted for instead of regulated
injection piles (Bezruk 1956), the monitoring
 of the bearing capacity of single jet grouting
elements should follow GOST 5686 as it offers
the procedure for prediction of settlement and,
hence, adjusting of design solutions. The bear-
ing capacity of jet piles should be determined
with account of the rated settlement of recon-
struction projects.
REFERENCES
Bezruk, V.M. 1956. Theoretical Bases of Soil Stabiliza-
tion with Cement. M: AvtoStroyizdat.
Bogov, S.G. 2016. Formation of Embedded Spaced in the
Basementless Historic Buildings of Saint Petersburg //
Housing Development. Iss. 9. pp. 45–49.
Chernyakov, A.V. 2011. The Analysis of Jet Grouting for
Soil-Concrete Durability // Constructional Materials.
Iss. 10. pp. 37–39.
Dalmatov B.I., Lapshin, F.K. & Rossikhin, Y.V. 1975.
Pile Foundations Engineering for Soft Soils. DSc.
(Eng.) Prof. B.I. Dalmatov (ed.). L: Stroyizdat,
Leningrad Office. 240 p.
Goncharova, L.V. 1973. Basic Methods of Soil Stabiliza-
tion. V.M. Bezruk (ed.). M: MSU Publishing. 376 p.
Makovetsky, O.A. Zuyev, S.S. & Timofeev, M.A. 2014.
Ensuring the Geotechnical Safety of Development
Projects // Housing Development. Iss. 9. pp. 34–38.
395
Mangushev, R.A., Gutovsky, V.E. & Konyushkov, V.V.
2010. Calculating the Strength Properties of Jet-
Grouted Mass in the Geotechnical Environment of
Saint Petersburg // Journal of Civil Engineers. Iss. 2.
pp. 69–77.
Patent R.F No.2065001. A Method for Reconstruction
of Buildings and Structures. M. 1996.
Rzhanitsyn, B.A. 1986. Chemical Grouting Applications.
M: Stroyizdat. 264 p.
Shashkin, A.G. & Shashkin, K.G. 2016. Underground
Development in Saint Petersburg: An Overview of
Engineering Solutions // Housing Development. Iss. 9.
pp. 15–22.
Shashkin, A.G. 2014. Engineering Structures and Subsur-
face Spaces in Geologically Challenging Conditions of
Saint Petersburg. M.: Akademicheskaya Nauka Pub-
lishing—Geomarketing. 352 p.
Smorodinov, V.I. 1993. Embedded Structures Engineering.
Reference Book. M: Stroyizdat .
M.: . 208 c.
Sokolovich, V.E. 1980. Chemical Grouting. M: Stroyizdat.
119 p.
Tokin, A.N. 1984. Jet Grouted Foundations. M: Stroyizdat.
184 p.
Ulitsy, V.M & Bogov, S.G. 2017. The Experience of Appli-
cation of High-Performance Get Grouting to New
Development and Reconstruction Projects in Saint
Petersburg. // Geoengineering. Iss. 4. M. pp.16–26.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Effective stiffness for modeling reinforced concrete structures

in soil-structure interaction calculation

V.A. Vasenin & N.A. Evseev

GeoRekonstruktsiya Design Institute, Saint Petersburg, Russia

ABSTRACT: In design engineering practice, soil-structure interaction calculations normally take into
account the elastic behavior of structures and the effective stiffness of their elements. The effective stiff-
ness is calculated using special reduction coefficients. This approach is only just, as the nonlinear behav-
ior of reinforced concrete is largely limited by ultimate deformations of the structure and its particular
elements. At the same time, above-limit settlement and tilt of ferro-concrete structures will be inevitably
accompanied by more pronounced inelastic behavior, as well as major deviations in the results of elas-
tic and nonlinear behavior calculations of ferroconcrete structures. This necessitates the soil-structure
interaction calculation which would account of the physically nonlinear behavior of surface structures.
The article gives an example of nonlinear analysis of stressed-deformed state of a structure experiencing
above-limit deformations. The results of nonlinear analysis are compared to those obtained with use of
elastic approach, where the behavior of ferroconcrete has been calculated with the use of various reduc-
tion coefficients—standard and authors’ revised—that take into account the physical nonlinearity of fer-
roconcrete. The comparison has revealed a number of drawbacks in the prescribed standard values and
has validated the expediency of the revised reduction coefficient.

1 INTRODUCTION Table 1. Revised ferroconcrete stiffness reduction coef-

In structural mechanics and soil engineering, soil-
structure interaction calculation constitutes a sepa-
rate branch. In this calculation, a parameter crucial
to its results is the structural stiffness of aboveground
structural elements. Soil-structure calculations nor-
mally make use the elastic model of ferroconcrete
behavior which, in turn, uses standard stiffness
reduction coefficients in order to take into account
the physically nonlinear behavior of ferrocon-
crete. Such an approach is commonly recognized
in global practice of structural design and calcu-
lations (Tuchscherer & Wytroval, 2013, Wong &
etc., 2017, , 2018). Based on the series of
calculations, conducted by GeoRekonskruktsiya
Design Institute, of the behavior of the ferrocon-
crete structures exposed to bending and compres-
sive bending, the standard coefficients prescribed
for use in soil-structure interaction calculations
were found incorrect due to fact that they take no
account of the key factors of physically nonlinear
behavior of ferroconcrete (Evseev 2017, 2018). For
the purpose of structure-foundation-soil interac-
tion calculation, we have revised the reduction
coefficients of effective stiffness for use in the elas-
tic modeling of ferroconcrete structures (Table 1).
In dealing with this kind of design calculations, a
simplified approach is commonly used.
ficient for structure-soil interaction calculation.
Horizontal load carrying Vertical load carrying
structures structure
0.15–0.25 k = 1/(1 + ϕb,cr)* at
concrete stress σ ≥ σb1
k = 0.25…0.40
Note: *Where account is made of reinforcement percent-
age, the reduced modulus of elasticity equals: Enp = 1/(1
+ ϕb,cr)⋅Eb⋅ (1 – μ) + μ⋅Es, where Es is modulus of elastic-
ity of reinforcement, μ – reinforcement percentage, Eb –
initial modulus of elasticity of concrete.
It should be noted that the values of stiffness
reduction coefficients presented in Table 1, approx-
imate those obtained empirically under continuous
load with the use of formulae and tables in Ameri-
can Concrete Institute ACI Code 318-14 “Build-
ing code requirement for structural concrete”.
The Code specifies the allowed stiffness reduction
coefficient for beams and slabs of 0.25…0.35. For
vertical structures under continuous load, the coef-
ficient may be 0.2...0.4 depending on the percent-
age of reinforcement (Tuchscherer & Wytroval,
2013).
The use of the revised coefficients is especially
relevant in cases where geotechnical environment is

396
complex, requiring prompt engineering solutions.
The use of coefficient is, undoubtedly, simplifi-
cation and should be verified additionally design
engineering practice. One such verification can be
through solving the nonlinear problems of struc-
ture-soil interaction (that make use of nonlinear
deformation model of ferroconcrete). The effect of
the use of the coefficient in question on structural
deformations and stresses should be best evalu-
ated using the design schemes with pronouncedly
nonlinear behavior. Such schemes include design
failure caused by misinterpretation of geological
conditions. Underestimated, geotechnical risks
often lead to negative consequences for the exist-
ing structures and those under construction, i.e.
above-limit differential settlement and tilts and,
consequently, unwanted internal stresses in struc-
tural design elements. This causes the need in
design calculation of stress-deformed state. Where
a ferroconcrete structure needs to be analyzed for
structural behavior, it is important to consider that
any above-limit deformation of a ferroconcrete
structural system will be accompanied by nonlin-
ear redistribution of structural stresses, requir-
ing calculations make use of nonlinear models of
ferroconcrete.
The situation described above was the case with
the underground parking constructed in Saint
Petersburg in 2017 near the 17-storey block of flats.
The above-limit settlement occurred in the block
of flats due to the displacement of the soil mass,
which, in turn, occurred due to the proximity of the
excavation pit which had no sheet-pile curtain. The
subsequent analysis of the influence the above-limit
differential settlement on the operational integrity
of the block of flat, required extra calculation of its
structural stress-deformed state with account of the
differential settlement of its foundation.
2 BRIEF DESCRIPTION OF
THE SITUATION
The 17-storey block of flats has the design dimen-
sions of 18 m × 56.5 m and is a wall construction
with the height of 54 m and cast-in-situ ferrocon-
crete columns, floor decks and internal bearing
walls. The block of flat rests on piled foundation.
The 16 m long, 40 cm × 40 cm ferroconcrete dis-
placement piles are enclosed by 0.6 m thick con-
tinuous foundation.
At a distance of 15.5 m from the block of flat, the
two-level underground parking was constructed,
with the depth of excavation of some 6.5 m. Its pit
was excavated with slope protection 1:1. The maxi-
mum designed clear distance between the pit edge
and the block of flats is 6.5 m.
397
That the foundation pit of the underground
parking had no sheet-pile curtain and was exca-
vated at a very short distance to the block of flats,
was what caused the differential settlements and
tilts in the block of flats. The presence of soft soil
in the footing of the berm had triggered deforma-
tion in the soil mass across the circular cylindrical
slip surface (Fig. 1). Aggravating was also the inef-
ficient design of the piled foundation of the black
of flats—the sections of continuous foundation
under walls instead of a single ferroconcrete slab.
Such design is less rigid, preventing the redistribu-
tion of the horizontal loads between piles, which
appeared critical in the case under consideration.
The deformations that occurred in the soil mass
across the almost circular cylindrical surface, cause
vertical and horizontal displacements. The soil
mass, in turn, causes the deformation process to
affect also the piles. As a result, negative friction
occurs along the lateral face of the piles, caused by
vertical displacement. The negative friction causes
depression in the piles. The closer the distance
between the pile and the pit slope, the higher the
negative friction along the lateral face of the pile
and its depression. As a result of deformation,
vertically and horizontally directed displacements
occur in the foundation, that spread unevenly
across all piles as the underground and above-
ground cast-in-situ elements work in unison. The
horizontal displacements cause severe bending
moments the piles are not designed to withstand,
leading to excessive crack growth, which, in turn,
Figure 1. Occurrence of tilts in the existing building
caused by pit excavation underneath the slope protection in
the zone of the building under construction (FEM models).
may cause corrosion in effective reinforcement
and, consequently reduce the durability of piles
(Paramnov, 2018).
At the time of calculation and based on the
results of geodetic survey, the situation was as
follows. The differential settlement of build-
ing reached 0.0019–0,0026, which exceeded
0.0024 – the ultimate limit prescribed by Building
Code 22.13330.2016. The accumulated tilts varied
between 0.0018 and 0.0021. In addition to trans-
verse tilts, longitudinal ones appeared. The abso-
lute settlement of the block of flats equaled 14 cm,
which was lower than the limit of 18 cm prescribed
by Building Code 22.13330.2016.
3 DESIGN CALCULATION
In performing the step-by-step calculation of the
stress-deformed state of structure-soil system, we
made use of FEM models and Lira SAPR 2013
software.
Account was taken of kinematic loading condi-
tions (foundation deformation) when calculating
the structural stresses. To simplify the calculation
procedure for aboveground structures, 2 stages of
deformation were considered:
Stage 1 involved modelling of the long-term
structural deformation in conditions of yielding
elastic half-space under design loads. To model the
process of long-term settlement, the compressible
strata of the subfoundation was assumed based on
Building Code 24.13330.2011 and equaled 13 m.
Stage 2 involved modelling of the effect of exca-
vation on the block of flats. This modelling was
designed to obtain the deformation approximate
to the actual deformation of the foundation.
Figure 2 shows the settlement isolines of the
soil mass underneath the foundation mat at Stage
1 of calculations (modelling of the long-term set-
tlements under design load). As can be seen from
the figure, the highest settlements concentrate in
the center of the area loaded, reaching 10.9 cm.
Figure 2. Isolines of long-term settlement under design
loads.
398
On the sides on the block of flats, the settlements
can be 7.8–8 cm. The maximum unevenness of dis-
tribution of settlements will, in this case, be up to
0.0015, which is lower than the limit for the class
of buildings in question (0.0024). In spatial prob-
lems, such distribution is a normal condition and
is caused by three-dimensional behavior of the soil
mass. Figure 3 shows the isolines of foundation soil
settlement at Stage 2 of calculations (underground
parking pit excavation). The isolines of foundation
soil settlement, modelled at the stage of pit excava-
tion, appear highly approximate to the settlement
distribution revealed by geodetic survey. The iso-
lines of calculated total long-term settlements in
the block of flats are shown in Figure 4. The cal-
culation shows that the unevenness of foundation
settlements are unlikely to exceed 0.0029, which is
within the allowed range.
The overall view of structural deformation,
modelled in Lira-SAPR 2013, is shown in Figure 5.
The aboveground structures of the block of flats
are expected to experience quite complex deforma-
tions. Along with longitudinal bending, the block
of flats will be experiencing differential tilt along
its length.
Figure 3. Isolines of increment of foundation settle-
ment induced by the construction of the underground
parking, based on geodetic survey results.
Figure 4. Total long-term foundation settlement (FEM
models).

Figure 5. Overall view of deformation (LIRA SAPR
2013 software).
In the global practice, structural design cal-
culations normally take into account the elastic
behaviour of ferroconcrete. Physical nonlinearity
is taken account of by using structural stiffness
reduction coefficients that are inclusive of the vari-
ous factors of the physically nonlinear behavior of
ferroconcrete (MacGregor 1993, Mehanny et al.
2001, Khuntia & Ghosh 2004, Zalesov et al. 2005,
Schotanus & Maffei 2008, Elwood & Eberhard
2009, Tuchscherer & Wytroval 2013, Wong et al.
2017). According to the domestic codes and stand-
ards, these reduction coefficients can be set using
different approaches. Therefore, our calculation of
the distribution of internal stresses caused by esti-
mated deformations, relied on several schemes of
ferroconcrete behavior:
Scheme 1. This scheme takes account of the elas-
tic behaviour of ferroconcrete. The stiffness of
ferroconcrete was assumed based on building
Code 52-103-2007 and reduction coefficients
for initial modulus of elasticity: 0.2 for horizon-
tal structures and 0.6 for vertical ones.
Scheme 2. This scheme takes account of the elas-
tic behaviour of ferroconcrete. The stiffness of
ferroconcrete was assumed based on building
399
Code 63.13330.2012 with account of the dura-
tion of load and the concrete stiffness reduction
coefficient: Eb,τ = 1/(1 + φb,cr), where Eb is initial
modulus of elasticity of concrete, and ϕb,cr is
coefficient of concrete creep.
Scheme 3. This scheme takes account of the nonlin-
ear behavior of concrete (nonlinear deformation
model in Building Code 63.13330.2012) and the
actual parameters of structural reinforcement.
Scheme 4. This scheme takes account of the elastic
behaviour of ferroconcrete and uses the revised
reduction coefficients (Evseev 2017, 2018)
(Table 1). Reduction coefficient was assumed
0.2 for horizontal structures and 0.4 for vertical
ones for structural stresses under σb1; and 0.25
for structural stresses under σb1 (dots on trilin-
ear deformation diagram).
The nonlinear approach to calculating the defor-
mation of the bearing structures has produced the
values approximate to those obtained using the
nonlinear approach (accounting of stiffness reduc-
tion coefficients). Given the nature of deformations
in the foundation and aboveground structures,
stresses can be expected to concentrate mainly in
cross walls where the building abuts the excavation
pit. With largely uneven settlements, the heaviest
load will be carried by the corner of the end wall
at the level of lower storeys (circles in Figure 5).
The results of structural stress analysis for this
part of the building, based on linear and nonlin-
ear approach, are shown in Figure 6, the maximum
vertical stresses being 16630 kPa with calculation
performed according to Building Code 52-103-
2007 (Scheme 1); 13886 kPa – Building Code
63.13330.2012 (Scheme 2): 12248 kPa – nonlinear
analysis (Scheme 3); and 12412 kPa – revised coef-
ficients (Scheme 4).
Due to higher yielding, the distribution of
stresses among structural elements appeared more
uniform in our nonlinear model (Gorodetsky
et al. 2004, Shashkin & Shashkin 2006, Ulitsky
et al. 2015). As can be seen from the calculation
results, the nonlinear analysis has produced the
concentration of stresses on the ends of walls
which is the lowers, compared to that obtained by
the elastic analysis that followed the codes. This is
due to the fact that the elastic schemes that build
on standard stiffness reduction coefficients are
more rigid, leading to higher overburden pressure
on piles and walls (Paramonov et al. 2005). That
said, the biggest discrepancy is found with the
results of the nonlinear analysis that used the coef-
ficients according to Building Code 52-103-2007,
because of the underestimated creep and plastic
deformation of concrete. The difference between
the vertical stresses in the walls obtained by the
nonlinear scheme and the elastic one with stiffness

Figure 6. Image of design diagram. Separation wall
of the first floor: vertical stresses according to various
schemes, kPa.
according to Building Code 52-103-2007, was
35%. The difference between the vertical stresses
in the walls obtained by the nonlinear scheme and
the elastic one with stiffness according to Building
Code 63.13330, was 14%.
Most approximate to the results of the nonlinear
analysis were those calculated with the use of the
revised reduction coefficients, which take account
of the nonlinear behavior of concrete. The differ-
ence between them was around 2%. The obtained
results are reasonably expected and a verification
of the expediency of the revised ferroconcrete stiff-
ness reduction coefficients for soil-structure inter-
action calculations.
4 CONCLUSIONS
The behavior of ferroconcrete structures is related
inevitably with the nonlinear relation of stresses
and deformations. Most accurately this relation
is estimated with the use of nonlinear models of
materials. The domestic codes and standards offer
nonlinear deformation model of ferroconcrete.
However, when dealing with soil-structure inter-
action calculations, the redistribution of stresses
400
that occur due to the nonlinearity of ferroconcrete
behavior is accounted of in the elastic structural
behavior, the modeling of which is not as effort-
and time-consuming as that of the nonlinear one.
For reasons of simplification, the nonlinearity of
ferroconcrete behavior is accounted of by way of
introducing the structural stiffness reduction coef-
ficient, the values of which are specified in build-
ing codes. It should be noted that simplification
of structural analysis is common in the practice of
design engineering and calculations globally.
It has been found that in cases where struc-
tures experience above-limit deformations due
to a more pronounced inelastic behavior of fer-
roconcrete, major discrepancy may occur between
the values calculated with the use of physically
nonlinear model of ferroconcrete behavior and
those calculated with the use of the elastic model.
The drawbacks of the structural stiffness reduc-
tion coefficients that are prescribed by codes and
standards and account of the physical nonlinear-
ity of ferroconcrete in a simplified manner, will
inevitably lead to the discrepancy in the results
obtained using elastic and nonlinear models. With
regard to soil-structure calculations, revised coef-
ficients are recommended (Table 1) as allowing to
achieve maximum approximation of the results
of the elastic analysis to those of the nonlinear
one; the revised coefficients allow for a more
complete account of the physically nonlinear
behavior of ferroconcrete. The elastic analysis of
ferroconcrete that uses standard stiffness reduc-
tion coefficients results in a higher stiffness of the
structure, as compared to nonlinear analysis, and,
consequently, may lead to differential settlements
being underestimated, which is the case with many
structures in Saint-Petersburg due to its complex
geotechnical environment. Oppositely, the use in
elastic analysis of revised coefficients produces
higher yielding as compared to the use of stand-
ard coefficients.
REFERENCES
Elwood K.J., Eberhard M.O. 2009. Effective stiffness of
reinforced concrete columns. ACI Structural Journal
106, pp. 476–484.
Evseev, N.A. 2017. Allowance for Physical Non-
Linearity of Ferroconcrete in Soil-Structure Interac-
tion Calculations. Journal of Civil Engineers. Iss. 5 (64).
pp. 66–70.
Evseev, N.A. 2018. Allowance for Physical Non-
Linearity of Ferroconcrete in Soil-Structure Interac-
tion Calculations. Geotechnical Engineering. Vol.10.
4. pp. 58–69.
Khuntia, M., Ghosh S.K. 2004. Flexural stiffness of
reinforced concrete columns and beams: Analytical
approach. ACI Structural Journal 90, pp. 302–309.
Khuntia, M., Ghosh S.K. 2004. Flexural stiffness of rein-
forced concrete columns and beams: Experimental
verification. ACI Structural Journal 101, pp. 364–374.
MacGregor, J.G. 1993. Design of slender concrete
columns—revisited. ACI Structural Journal 101, 3,
pp. 364–374.
Mehanny S.S.F., Kuramoto H., and Deierlein G.G. 2001.
Stiffness modeling of reinforced concrete beam-col-
umns for frame analysis. ACI Structural Journal 98,
pp. 215–225.
Paramonov, V.N. 2018. Horizontal Displacements of
Piles During Excavation of Pits. Geotechnical Engi-
neering. Vol.10. 4. pp. 46–56.
Paramonov V.N., Shashkin C.G., Vasenin V.A. 2005.
Overall regularities of soil-structure interaction. In:
Proceedings of the 16th International Conference on
Soil Mechanics and Geotechnical Engineering: Geo-
technology in Harmony with the Global Environment,
pp. 943–946.
Schotanus, M.I.J., Maffei, J.R. 2008. Computer mod-
eling and effective stiffness of concrete wall buildings.
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our Society, pp. 939–945.
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Tuchscherer R., Wytroval T. 2013. Design of Slender
Concrete Columns. January, pp. 10–13.
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V.A., Lisyuk M.B. 2015. Soil-structure interaction
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Wong J.-M., Sommer A., Briggs K., Ergin C. 2017. Effec-
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Zalesov, A.S., Mukhamediev, T.A. & Chistyakov, E.A.
2005. Allowance for Physical Non-Linearity in Design
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

New technology for soil extraction when sinking open caissons

V.V. Verstov, A.N. Gaido, A.F. Yudina & L.M. Kolchedantsev

Saint Petersburg State University of Architecture and Civil Engineering, St. Petersburg, Russia

ABSTRACT: The article discusses modern technologies for sinking open caissons with a height of more
than 15–30 m and a diameter of more than 30 m. The article studies the technological parameters ensuring
the increased performance of soil extraction from caissons. The technology for soil transportation by
means of belt conveyors mounted with special fastening elements on the inner side of caisson walls is
proposed. Thus, several belt conveyors are consecutively installed along the upward helical trajectory along
which the soil is excavated to the surface. Further conveyor sections are installed as the caisson sinks.

1 INTRODUCTION yields, the zone of influence on the adjacent area

At present, when constructing foundations for
high-rise and multi-storey buildings, there is a
constant need to develop pits with a depth of up
to 20 m and apply special fastening systems such
as sprung structures, anchorage, floor elements,
etc. to prevent horizontal movements (Verstov,
Gaido & Ivanov 2014; Mangushev, Osokin &
Sotnikov 2018; Yudina, Verstov & Gaido 2013).
The use of open caissons for the construction
of underground facilities in large-size pits is most
effective as:
− there is no need to apply fastening systems such
as strut beams, monolithic flooring, soil berms,
etc.
− the quality of the enclosure can be monitored
before the excavation of the pit;
− there is no need to use large-size construction
machinery and auxiliary equipment (Verstov &
Gaido 2013; Gaido 2015; Yudina & Verstov 2017).
2 METHODOLOGY
In the world, and especially in St. Petersburg and
the Leningrad Region, sufficient experience in
sinking large-size open caissons in constrained
urban environments has been accumulated
(Verstov & Dakhovsky 2006; Ananiev 2016;
Perley, Rayuk, Rayuk et al. 1989; Appendix to
SNiP 3.02.01 1987).
Researchers (Allendy 2009; Waley 2009; Kilburn
2009) present the results of the use of open caissons
and sunk shafts during construction of treatment
facilities in the water area in Scotland.
Sinking modes for open caissons indented with
hydraulic jacks are considered by Xu, Li & Xu
(2014). As a result of observations of soil surface
was set at about 1.7 values of the open caisson
sinking depth.
The experience of using adjustable jacking of open
caissons during the expansion of the metro line under
the Thames is described by Newman & Wong (2011).
The work was carried out in watered soils with soil
extraction according to the conventional technology.
Technological sinking parameters were assigned on
the basis of engineering and geological data obtained
as a result of exploration wells drilling.
Ng, Wada & Wakabayashi (2010) present the
experience of open caissons sinking for the pur-
pose of constructing deep foundations of high-rise
buildings in the engineering and geological condi-
tions of Singapore. Moreover, soil was removed
from the open caissons using predominantly man-
ual labor. It is shown how to organize safe working
conditions in case of such operations and to ensure
minimal yield of the adjacent territory.
Bienen, Klinkvort & O’Loughlin’s (2018)
papers are devoted to methods for determin-
ing the sinking parameters of open caissons and
sunk shafts in sandy soils. Studies of soil resist-
ance dependences along the lateral surface of open
caissons and sunk shafts depending on their cross-
sectional shapes are described by Ukrit-chon,
Wongtoythong & Keawsawasvong (2018); Alavi,
Gandomi, Mousavi & Mollahasani (2010).
For such parameters of underground structures,
where the use of open caissons with a diameter of
more than 20 m and an embedment depth of more
than 20–30 m, the longest process is soil extraction
onto the surface from the caisson. Traditionally,
the following technological methods are used for
these purposes:
− excavation and delivery to the surface by means
of hydraulic excavation;
− use of a backhoe shovel with a high-lift boom;

402
− placement of excavators and bulldozers inside
the open caisson to be embedded and feeding of
the developed soil into the bucket and its further
removal by the crane;
− soil development and lifting with grab buckets
of various designs.
The analysis of the existing technologies allows
us to conclude that the listed technological solu-
tions for soil extraction from open caissons are not
effective in terms of performance and duration.
In view of the above, the conclusion is drawn
that it is necessary to develop effective soil removal
technologies from open caissons.
3 RESULTS
Based on the analysis of the construction experi-
ence and patents, the authors have developed a
technology for sinking large-diameter open cais-
sons and soil extraction with belt conveyors.
In the technology proposed by the authors, the
soil is removed from the caisson with excavators
onto the system of belt conveyors that are pre-
installed on the upward helical cylindrical inner
surface of the open caisson (Fig. 1).
The conveyors are mounted on the wall of the
open caisson with steel consoles, which, in turn,
are mounted in the body of the open caisson with
“chemical” anchors (Fig. 2). At the soil surface
level, a discharge rack is arranged, which is moved
Figure 1. The scheme of soil extraction from the dig-
ging face by belt conveyors: 1 – open caisson wall; 2 –
inclined belt conveyors; 3 – excavator or forklift at the
face level, inside the open caisson; 4 – fastening ele-
ments such as consoles with anchors; 5 – dump truck for
removed soil; 6 – horizontal conveyor at the upper end of
the open caisson.
403
Figure 2. The scheme of conveyor fastening to caisson
walls (cross section): 1 – concrete wall of the open cais-
son; 2 – pulley, 3 – conveyor belt with the drive drum,
4 – gear motor, 5 – conveyor frame of channels, 6, 7, 8 –
respectively, steel elements of the “T-shaped” support
console: horizontal support plate (1100 × 400 × 20 mm),
angle-plate (1000 × 400 × 20 mm), vertical plate
(400 × 400 × 20 mm); 9 – anchoring elements of console
fastening to the wall of the open caisson.
in the direction of the inclined conveyors as the
open caisson sinks. At the same time, the rack is
equipped with a horizontal conveyor, which trans-
ports and removes soil from the open caisson into
dump trucks.
The proposed sinking technology of a mono-
lithic open caisson is implemented as follows: a
foundation for the shoe is prepared, reinforcement
and formwork are installed (non-removable form-
work can be used), then concrete mix is applied.
At the same time, reinforcement outlets are left to
be further connected with the reinforcement of the
main walls of the open caisson (Fig. 3).
Then the first tier of the open caisson wall is
concreted. Its height is determined from the condi-
tion of ensuring the permissible specific pressure
on the soil under the shoe. Wells over 10 m high
are concreted in several tiers 6–8 m each. Concret-
ing of the next tier is performed after the concrete
in the shoe (or the lower tier) reaches the strength
of at least 1.2–1.5 MPa. Formwork dismantling
is carried out after the concrete of each tier has
reached the strength of at least 70% of its calcu-
lated strength.
Then the inclined conveyors are mounted within
the height of the completed tier.
The starting conveyor, into which the excavator
or the forklift truck unloads the removed soil, is
mounted at the soil surface level. At the same time,
the conveyor frame, on which its main components
are installed (conveyor belt, gear motor, driven
Figure 3. Shoe concreting (the construction is conven- Figure 4. Installation of inclined conveyors on the walls
tionally not shown) and the walls of the first tier of the of the open caisson: 3 – inclined conveyors mounted on
open caisson: 1 – open caisson walls; 2 – formwork. the internal walls of the open caisson; 4 – through tech-
nological rectangular opening for soil removal.

tension drums, gear motor and roller supports),

is mounted on the walls of the open caisson with
console supports by means of chemical anchors. If
necessary, for the convenience of soil loading on
the conveyor belt, the intake hopper is set above
it. Thus, along the upward helical trajectory, belt
conveyors are consecutively mounted on the inner
wall of the open caisson up to the level of its upper
end. In addition, each subsequent edge surface of
the belt at the place of drive drum installation must
be under the edge of the previously installed con-
veyor belt at the place of tension drum installation.
This ensures soil transportation from one belt to
another and its upward transportation to the sur-
face level for further discharge.
The entire system of consecutively moving
conveyor belts will transport the soil to the level
of the upper end of the open caisson, where the
soil removal unit is installed, which will remove
the soil out of the open caisson and load it into
dump trucks for further removal and subsequent
utilization.
The soil removal unit is arranged as follows:
At the extreme operation point of the inclined
Figure 5. The scheme of the open caisson sinking: a – in
conveyor belt (tension drum axis), the horizontal case of soil excavation in the face with an excavator and
belt conveyor is installed directly below the belt, further removal from the open caisson via the horizon-
along which the soil will be removed from the tal conveyor; b – via a transformable segment conveyor
open caisson. To do this, a through technological (“Cobra” type); 5 – receiving chute for soil feeding; 6 –
rectangular opening is arranged in the wall of the excavator (forklift); 7 – horizontal conveyor; 8 – lowered
open caisson, which is wide enough to install the retaining structure; 9 – chute for feeding soil into dump
conveyor, and its height is sufficient to accommo- trucks; 10 – dump trucks; 11 – transformable segment
date the conveyor drum and transport soil on its conveyor (“Cobra” type); 12 – excavator or forklift truck
for feeding soil into dump trucks for further removal.
belt (the minimum dimensions of the opening are
1200 mm by 700 mm). It is arranged during con-
creting of the tier of the open caisson walls and
is hermetically sealed after the complete sinking Beyond the open caisson walls, the following
of the completed tier below the soil surface level schemes are possible for installing the horizontal
(Fig. 4). conveyor and removing soil from it (Fig. 5a, b).

404
 According to the first scheme, the conveyor is
installed on the frame from the formwork inven-
tory racks, which, as the open caisson is sunk, is
gradually dismantled. Thus, gradual lowering of
the working level of the horizontal conveyor is
ensured, which is synchronized with the sinking
of the technological opening as the open cais-
son is lowered. In this case, the soil from the belt
enters directly into the body of dump trucks. With
a decrease in the level of this conveyor to the soil
surface, the soil from its belt is self-discharged and
fed by an excavator to the truck (Fig. 5a).
According to the second scheme (Fig. 5b), the
soil is fed from the technological opening by means
of a Z-shaped transformable conveyor made in
Russia (“Cobra” type) consisting of two horizontal
segments and an inclined segment connecting them
(http://www.stroymehanika.ru/lkonv_lkk.php).
Moreover, the first horizontal segment is
installed in the technological opening of the open
caisson wall under the inclined conveyor. Soil from
the second conveyor enters the surface level and
then an excavator loads it to the dumping place or
into the dump truck. As the open caisson is sunk
and the position of the technological opening low-
ers, the conveyor is transformed in such a way as to
ensure the corresponding position of its two hori-
zontal segments (Fig. 5b).
Thus, after the installation of all the conveyors
within the first tier inside the open caisson, excava-
tion begins.
Sinking of the caisson continues when the con-
crete of the caisson walls reaches at least 70% of
the calculated strength.
The soil is developed in the following sequence:
initially soil is removed in the middle of the open
caisson to a depth of 1.5–4 m (depending on the
size of the open caisson); the 1–3 m wide berm is
left near the knife. Then, after specifying positions
and dimensions of the fixed zones, the berm soil is
cut in layers (10–15 cm) in the areas between the
fixed zones (start of the open caisson sinking).
If after the complete development of these berm
sections (to the level of the knife berm) the open
caisson does not sink, the soil development of the
fixed zones begins. At the first motions of the open
caisson, the soil in the middle part is developed,
etc. At the same time, when the soil is supplied, it
is necessary to ensure simultaneous start-up and
operation of all the conveyors installed on the wall
of the open caisson to ensure continuity of soil
removal. The depth of one sinking cycle should
not exceed 0.5 m.
Technological openings are hermetically sealed
with concrete as the open caisson is sunk to the
depth of the first tier.
Further, the technological cycles of the wall
extension, soil development and removal, and
405
open caisson sinking are repeated until the full
sinking of the open caisson to the design depth.
Upon completion of work, all conveyors are dis-
mantled from scaffolding or mounted cradles
installed within the height of the structure.
The length of a single conveyor is determined
so that the space inside the caisson, limited by
the faces of the conveyors installed along its wall,
ensures their installation and operation of earth-
moving machinery. In the first approximation, the
length of the inclined conveyor is recommended to
be 6 m.
The inclination angle of the conveyors when
transporting moist clay soil is 24°. It is possible
to manufacture conveyor belts with a groove-
shape profile to increase soil adhesion to the
belt, and the inclination angle of the conveyor
can be increased to 35° (Lapaev, Tereshina &
Sokolovskaya 2010).
To calculate the performance of the presented
system, technological indicators of Russian-made
conveyors should be used and their values should
be specified by calculations using the methods pre-
sented in the above document, taking into account
the width, type, speed of movement of the con-
veyor belt, the inclination angle of the conveyor, as
well as the physical and mechanical characteristics
of the removed soil.
4 CONCLUSION
In order to achieve high technical and economic
indicators of soil extraction when sinking open
caissons, the technology of continuous soil trans-
portation from the open caisson during its sinking
with excavators (forklift trucks) and belt convey-
ors has been proposed. The authors recommend
installing inclined conveyors along the upward
trajectory of the inner surface of the walls of the
open caisson, along which the soil is removed to
the surface in an automatic (continuous) mode and
outside the open caisson by the specially installed
horizontal belt conveyor.
The conveyor system is built up as the open
caisson sinks in the ground to the calculated depth.
This solution allows to significantly increase soil
removal performance without the use of large-size
construction machinery (tower cranes, grapples,
etc.).
The new technological solution allows to
increase the weight of the sunk structure due to
the weight of the soil removed by the conveyors,
which increases the caisson’s sinking speed due to
the reduction of the frictional force caused by the
soil, thus eliminating the need to install wall fas-
tening systems, such as beams, soil berms, anchors,
etc., to prevent horizontal displacement.
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Results of experimental analyses of concrete with metal wastes

M. Vaiciene
Vilnius College of Technologies and Design, Vilnius, Lithuania

J. Malaiskiene & O. Kizinievic

Vilnius Gediminas Technical University, Vilnius, Lithuania

ABSTRACT: This paper explores the composition of concrete for energy piles. The target concrete is
designed to serve not only as a structural foundation, but also heat exchanger as the pile-soil interaction
occurs. The studies of the possible replacements (20%, 30% and 40%) of granite gravel in concrete com-
positions for energy piles have found that the optimum content of the reinforcement steel cuttings is 30%.
With a 40% content, the compressive strength of concrete tends to decrease due to the stress concentra-
tion in the mortar phase. The findings indicate that by spreading themselves evenly in concrete mixture
without contacting one another, the pieces of waste reinforcement steel increase the density of concrete,
its compressive strength, thermal conductivity, and water absorption, as was shown by the sample tests.
The statistical analysis has shown that there is a linear relationship between the content of waste reinforce-
ment steel and the density and thermal conductivity of concrete, which makes waste reinforcement steel
an expedient ingredient in energy piles manufacture.

1 INTRODUCTION dient of concrete mix designs (Brito et al. 2019,

In many developed countries, there is an increasing
interest in the techniques for industrial waste recy-
cling. The recent decades have seen a lot of studies
into possible application of concrete and ferrocon-
crete scrap and how industrial wastes can be used
in construction.
A renewable source, geothermal energy offers a
vast potential. In wide sense, geothermal resources
are understood as the deep heat of the Earth.
As a concept, energy piles first appeared in Swit-
zerland in the early 1990s, while the first energy pile
foundations were first built in Germany (Koene &
Geelen 2000) in the late 1990s to become a design
commonly used in many countries.
Energy piles represent a novel type of under-
ground heat exchanger for ground heat pump units
(You et al. 2016). Along with their core function
of load transfer from structure to soil, energy piles
can be used as an energy transmission medium.
Unlike other thermal energy systems, energy piles
are a duel-function solution, i.e. structural mem-
bers that act as heating elements taking the heat/
cold from the soil.
One of the important tasks faced by present-day
industries is to achieve sustainable waste recycling
and reuse. Construction and demolition wastes
account for a major portion of all wastes generated
in Europe (Galvez-Martos et al. 2018). It should be
noted that demolition wastes are a common ingre-
Akhtar & Sarmah 2018, Silva & Andrade 2017,
Bravo et al. 2015).
The performance of energy piles depends on a
variety of factors, one being the composition, and
specific properties, of concrete. To increase the
thermal conductivity of concrete, different metals
are tested by research teams as components of the
concrete mixture (Alwaeli & Nadziakiewicz 2012,
Ismail & AL-Hashmi 2008, Nadoushani et al.
2018).
It has been found (Meddah & Bencheikh 2009),
that the use of 1.5% metal wastes (fibre of different
length) produces only a minor improvement of the
mechanical properties of concrete: the compres-
sive strength of the reference sample and that with
wastes equaled 30 MPa. Among common densifi-
ers is also the steel fibre of used tyres (Aiello et al.
2009, Centonze et al. 2012, Papakonstantinou &
Tobolski 2006). It increases the air content in con-
crete and reduces its density. When concrete wastes
are used, it is important to know how exactly they
alter the physical and mechanical properties, poros-
ity and durability of the final product, and well as
the optimum content of wastes.
Also, researchers recommend waste steel chip as
a partial replacement of sand in concrete (Alwaeli
2016). The compressive strength tests of concrete
with waste steel chip show an increase in concrete
strength with the optimum amount of steel chip
of 25%.

407
 Our study aimed to estimate the effect the aggre- Table 3. Coarse aggregate characteristics.
gates of various mineral compositions and forms
have on the properties of concrete, and to find out Aggregate characteristic
whether the cutting waste of reinforcement steel
Specific density, Packed density,
can be recommended as an aggregate contribut- Aggregate fraction kg/m³ kg/m³
ing to the thermal and structural performance of
energy piles. Sand 0/4 2310 1630
Gravel 4/8 2650 1570
Dolomite gravel 4/8 2780 1440
2 MATERIALS AND RESEARCH Granite gravel 4/8 2600 1360
METHODS Cutting waste of 7270 3770
reinforcement
To prepare the concrete mixture, we used slag Port- steel
land cement CEM II/A-S 42.5 N by “Akmenės
cementas”, consistent with LST EN 197-1 stand-
ard. The chemical composition of this cement is
shown in Table 1 and its physical and mechanical
in Table 2.
Sand fraction 0/4 was used as a fine aggregate and
gravel, dolomite and granite chips as coarse aggre-
gates. The characteristics of the coarse aggregate are
shown in Table 3. One more coarse aggregate—the
reinforcement steel of demolished buildings—was
used to increase the thermal conductivity of con-
crete. The 8 mm diameter steel bars were cut into
20 mm long pieces. The obtained material is shown
in Figure 1. The specific and packed density of the
aggregates are shown in Table 3.
A polycarboxylate Muraplast FK 63.30-based
superplasticizer (MC Bauchemie) was added to
the concrete mixture in amount of 0.7% of the
total mass of cement, with manufacturer density
of 1.04 kg/l.
The above described materials were mixed
to produce 6 concrete compositions shown in

Table 1. Chemical composition of Portland cement

CEM II/A-S 42.5.
Figure 1. Cutting waste of reinforcement steel.
Chemical components, %

SiO2 CaO Al2O3 Fe2O3 MgO SO3 Other Table 4. The composition coded G had gravel as
coarse aggregate, DG – dolomite chippings, and
20.48 63.13 5.55 3.58 3.99 0.73 2.54 GC – granite chippings. In concrete composi-
tions GC 20, GC 30, and GC 40, granite chippings
were replaced with 20%, 30% and 40% of cutting
Table 2. Physical and chemical properties of Portland wastes of reinforcement steel, respectively. Of each
cement CEM II/A-S 42.5.
concrete composition 100 × 100 × 100 mm cubes
Physical and chemical properties were taken for physical and mechanical tests and
300 × 300 × 50 mm for thermal analysis.
Water Compressive The cement and dry aggregates were batched
required for strength, MPa by weight and the superplasticizer by volume. The
Setting Setting cement paste Specific superplasticizer was added to the concrete mixture
time: time: of normal surface together with water. The flowability of the resultant
start, end, consistency, area, After After concrete mixtures was measured in accordance with
min min % m²/kg 2 days 28 days
LST EN 12350-2 and classified as S2. The density
155 215 25.9 380 24 ± 3 53 ± 3 tests followed LST EN 12350-6. All samples were
prepared in laboratory conditions according to

408
Table 4. Concrete compositions.

Coarse Super- Steel Water-

Identifying Water, Cement, aggregate, Sand, plasticizing reinforcement, cement
code kg kg kg kg agent, kg kg ratio

G 185 313 950 894 2.19 – 0.59

DC 195 313 806 1053 2.19 – 0.62
GC 195 313 811 1041 2.19 – 0.62
GC 20 180 313 615 1041 2.19 430 0.58
GC 30 180 313 539 1041 2.19 640 0.58
GC 40 180 313 459 1041 2.19 860 0.58

Figure 2. The scheme for determining the coefficient of

thermal conductivity of concrete samples.

LST EN 12390-2. The concrete-filled molds were

exposed to mechanical vibration on a vibrating
table to achieve full compaction. Prior to compres- Figure 3. The density of concrete (dry) depending on
sive strength tests, the samples were stored indoors the aggregate.
at +20 ± 2°C during 24 hours, following they were
placed inside humidity chamber with the temperature
of +20 ± 2ºC and relative humidity of 95%–100%.
The density test followed the procedure of LST
EN 12390-7 and the compressive strength tests –
LST EN 12390-3. The coefficient of thermal con-
ductivity was determined with computer-aided
λ-Meter EP 500 in accordance with LST EN 1745.
Since λ-Meter EP 500 allows setting the coeffi-
cient of thermal conductivity within the range of
0.004 W/mK to 0.250 W/mK, the coefficient of
thermal conductivity had to be reduced artificially
using two veneer sheets. The scheme for deter-
mining the coefficient of thermal conductivity is
shown in Figure 2.

3 TEST RESULTS AND ANALYSIS
The density of concrete depending on the aggregate
used, is shown in Figure 3. The maximum density
with 8% less water was found in the compositions
which used gravel and granite chippings as coarse
aggregates. Since gravel and granite chippings have
similar density, those compositions shared almost
the same density (Table 3).
Figure 4 shows the density of concrete as a func-
tion of the content of reinforcement steel cuttings.
Figure 4. Concrete density (dry) as a function of the
content of reinforcement steel cuttings.
The density of concrete was the highest when
4/8 granite fraction was replaced with 40% of rein-
forcement steel cuttings (Fig. 4). This is due to
the high density of the replacement (7270 kg/m3).
As can be seen from Figure 4, the increase in the
content of reinforcement steel cuttings leads to
higher density of the concrete samples. After the

409
4/8 granite fraction was replaced with 20% of
reinforcement steel cuttings, the density increased
by an average of 431 kg/m3, and with 40% – by
795 kg/m3. The findings of the statistical analy-
sis indicate that as the amount of steel cutting
increases to 40%, the density of concrete increases
in a linear fashion. The obtained correlation coef-
ficient for concrete mixture and concrete is 0.999.
The equations (1 and 2) below show the relation
between the density of concrete mixture (ρ )/dry
concrete (ρ ) and the amount of reinforcement
steel cuttings in the mixture (A).
ρm = 2271+ 16.6 ⋅ A (1)
ρ = 2156 + 19.7 ⋅ A (2)
The results of the compressive strength tests
depending on the aggregate are shown in Figure 5.
The maximum compressive strength was found
in the concrete which had gravel as coarse aggre-
gate. Also, the composition of this concrete had
lesser amount of water in order to have the flow-
ability consistent with class S2. All other composi-
tions were identical in terms of water-cement ratio
and gravel shape. Therefore, their compressive
strength differs only to a slight extent (Fig. 5). The
results of the compressive strength tests depending
on the amount of the steel cuttings used in con-
crete composition, are show in Figure 6.
The analyses have shown that the optimum
amount of reinforcement steel cuttings in the
concrete composition is 30%. The samples are a
composite material that represents a homogeneous
matrix in which the chaotically spaced pieces of
reinforcement—coarse aggregate—do not contact
one another.
Figure 5. The compressive strength of concrete depend-
ing of the aggregate.
410
Figure 6. The compressive strength of concrete
depending on the amount of the steel cuttings used its
composition.
When granite chippings are replaced with 40%
of reinforcement steel cuttings, the surface area of
the reinforcement profile increases. This surface
area sets to form a bond with cement matrix only
poorly, leading to reduced compressive strength of
concrete.
Similarly, the compressive strength of concrete
decreases also due to the stress concentration, as
the modulus of elasticity of concrete differs greatly
(6- to 8-fold) from that of steel reinforcement. The
statistical analysis indicates that there is a paraboli-
cal dependence between the compressive strength
and the content of the reinforcement steel cuttings
in the composition, which is evidenced by the cor-
relation coefficient of 0.956:
f = 27.6 + 0.86a 0.02 A2 (3)
Figure 7 shows the water-absorption capac-
ity of concrete compositions depending on their
aggregate. As can be seen from Figure 7, the
water-absorption capacity of concrete depends on
the water-cement ratio of concrete composition:
larger content of water causes extra open pores
and capillaries. This is why the water absorption is
minimum with gravel (W/C ratio 0.59, water con-
tent 185 l/m3). In the concrete compositions that
use dolomite and granite chippings, the water-
absorption capacity varies only slightly because
these compositions have almost identical W-C
ratio, water content, and geometrical form of
aggregate.
The results of water absorption tests depend-
ing of the content of reinforcement steel cuttings
in the concrete composition are shown in Figure 8.
The findings indicate that with an increase in the
content of steel cuttings, the water-absorption
Figure 7. The water-absorption capacity of concrete
depending on the aggregate.
Figure 8. Water absorption of concrete vs. content of
reinforcement steel cuttings.
capacity of concrete decreases. This is due to the
large size of the steel cuttings (20 mm long, 8 mm
diameter) and high packing density (3.7 g/cm3),
which prevent water absorption. The concrete
composition with an increased content of steel cut-
tings has lesser volume of its cement matrix, which
is responsible for water absorption.
The statistical analysis has shown that the
paired coefficient of correlation between the water
absorption and the content of reinforcement steel
cuttings in the concrete composition equals 0.956.
As can be seen from the resultant exponential rela-
tion, an increase in the content of reinforcement
steel cuttings leads to reduced water absorption of
the composition:
W = −14.26 + exp(2.98 − 0.002 A) (4)
Prior to thermal conductivity tests, the con-
crete samples were dried to stationary mass. It can
therefore be assumed that their humidity had no
influence on the test results. The findings indicate
411
Figure 9. The thermal-conductivity coefficient of con-
crete depending on aggreage.
Figure 10. The thermal-conductivity coefficient of con-
crete as a function of the content of reinforcement steel
cuttings.
that the thermal conductivity coefficient of concrete
increases in response to the increase in the content
of reinforcement steel cuttings (Figs. 9 and 10).
The different types of aggregate were found
to cause only a slight effect on the thermal per-
formance of concrete: the thermal conductivity
coefficient varied between 0.71 W/mK and
0.77 W/mK.
In concrete, heat travels through solid ingredi-
ents, pores and capillaries. It is therefore evident
that the highest thermal performance is found is
the concrete with the largest content (40%) of rein-
forcement steel cuttings.
λ = 0.71 + 0.002 ⋅ A (5)
The statistical analysis indicates that there is a
prominent linear relationship between the content
of reinforcement steel cuttings and the thermal
conductivity coefficient of concrete composition.
4 CONCLUSIONS
The findings indicate the expediency of partial
replacement of granite gravel with reinforcement
steel cuttings, provided that the water content in
the concrete composition is decreased 8%. For the
energy pile concrete composition, the optimum
content of reinforcement steel cuttings is 30%.
By spreading themselves evenly in concrete mix-
ture without contacting one another, the pieces
of waste reinforcement steel increase the density
of concrete, its compressive strength, thermal
conductivity, and water absorption, as was shown
by the sample tests. With a 40% content of waste
reinforcement steel, the compressive strength of
concrete tends to decreases due to the stress con-
centration in the mortar phase.
The findings of the statistical analysis show that
there is a linear relationship between the content
of waste reinforcement steel and the density and
thermal conductivity of concrete, which makes
waste reinforcement steel an expedient ingredient
in energy piles manufacture.
Based on the above analyses, a conclusion can
be made that the physical, mechanical and thermal
performance of concrete is not influenced by the
choice of coarse aggregate (gravel, dolomite or
granite chippings).
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Influence of normal and shear stiffness of fractures on deformation

characteristics of rock mass

A.N. Vlasov
Institute of Applied Mechanics of RAS (IAM RAS), Moscow, Russia

M.G. Zertsalov & D.A. Vlasov

Moscow State (National Research) University of Civil Engineering (MGSU), Moscow, Russia

ABSTRACT: The article is devoted to assessing the influence of normal and shear stiffness of fractures
on the deformation characteristics of the rock mass using the example of the rock mass dissected by a
plane-parallel system of fractures. To solve this problem, dependences were used to determine the effective
deformation characteristics of the mass according to the deformation characteristics values of rock joints,
normal and shear stiffness and, if necessary, the elastic dilatancy coefficient of fractures using the fracture
model in the form of a thin layer. These dependences were obtained by the method of asymptotic aver-
aging. The applicability of the dependences used in the article to the determination of the deformation
properties of rock masses was shown. It also demonstrated a significant effect of fracture stiffness on the
deformation characteristics of the reduced rock mass, and that the greater the deformation modulus of
the rock joint, the stronger, ceteris paribus, the effect of fracturing on its deformation characteristics is.

1 INTRODUCTION dissection of the mass by fractures, the orientation

This paper is devoted to assessing the influence
of normal and shear stiffness of fractures and the
elastic dilatancy coefficient on the effective defor-
mation characteristics of the rock mass using the
example of the rock mass dissected by a plane-
parallel system of fractures. To solve this problem,
analytical dependences were obtained to determine
the effective deformation characteristics of the rock
mass considered in the paper. The deduction of
analytic dependences was based on the application
of the asymptotic averaging method (Bakhvalov &
Panasenko 1984). The choice of this method was
determined by the fact that it is the only method
for assessing the properties of structurally inhomo-
geneous media (including soils and rocks), which
has a rigorous mathematical justification. It also
makes it possible to give estimates of the solutions
using the effective characteristics obtained with it.
2 DETERMINATION OF THE
DEFORMATION CHARACTERISTICS
OF THE ROCK MASS DISSECTED BY
A PLANE-PARALLEL SYSTEM OF
FRACTURES
of fractures, their roughness and the character-
istics of the rock filler; to a lesser extent, on the
strength of the undisturbed rock. Let us consider
a rock mass uniformly dissected by a system of
plane-parallel fractures. The fractures can be either
gaping or with a filler that either partially or com-
pletely fills the fractures. The case of resistive frac-
tures is not considered here. The walls of gaping
fractures, fractures with partial filler, and also with
loose filler in rock masses are closed at separate
points called rock junctions (Fig. 1).
Let us assume that the undisturbed rock
between the fractures is homogeneous isotropic
with Young’s modulus E, Poisson’s ratio ν, and
the fractures are modeled by a layer of anisotropic
material. Let us designate the deformation charac-
teristics of the fracture layer as follows: the defor-
mation modulus in the direction of axis 1 (across
the fracture plane) – E1T = ET , the deformation
moduli in the directions of axes 2 and 3 (in the
fracture strike plane) − E2T and E3T respectively,
the shear moduli 1–2, 1–3, and 2–3 − G12T , G13T and
G23T
respectively, Poisson’s ratios – ν12 T
, ν13
T
and
ν 23
T
(Fig. 1). Let us suppose that the anisotropic
material modeling the fracture has a non-zero
first-order influence coefficients η12T
,1 , η13,1 , which
T

characterize elongations in direction 1, caused by

2.1 The fracture model in the form of a thin
tangential stresses τ12 and τ13 respectively, as well
anisotropic layer
as second-order influence coefficients η1T,12 , η1T,13
The strength and deformability of fractured which characterize the shifts in planes 1–2 and 1–3
rock masses primarily depend on the degree of caused by normal stress σ1. Chentsov’s coefficients
413
 T=
 1 ET − ν 21T ET − ν 21T ET η12T ,1 ET η12T ,1 ET 0 
 − ν 21 ET
T
1 E0 − ν 32 E 0
T
0 0 0 
 
 − ν 2T1 ET − ν 32T E 0 1 E0 0 0 0 
 .
η1,12 G12
T T
0 0 1 G12 T
0 0 
 
 η1T,12 G12T 0 0 0 1 G12T 0 
 
0 0 0 0 0 1G  T
23

(2)

Neglecting the influence of the deformation of

the material, which models the fracture along frac-
tures on the stress-strain state of the fractured rock
in the proposed fracture model, it can be assumed
that Poisson’s ratios ν 23 T
= ν 32
T
= 0. If we consider
gaping fractures, fractures with partial filler or
loose filler, then it can be assumed that Poisson’s
ratios are also ν 21
T
= ν 31
T
=ν12
T
= ν13T
= 0. In this case,
the compliance tensor matrix (2) is simplified and
will take the following form:
Figure 1. The rock element with gaping fractures.
T=
 1 ET 0 0 η12T ,1 ET η12T ,1 ET 0 
µ T
and µ that characterize shifts in planes
T
 0 
12 ,13 13,12
1–2 and 1–3, caused by tangential stresses in planes 0 1 E 0T 0 0 0
 
1–3 and 1–2 respectively, can also be non-zero in  0 0 1E T
0
0 0 0 
 ηT G T .
such a fracture model (Lekhnitskiy, 1950). 0 0 1 G12T 0 0 
Due to the accepted assumptions and defini-  1,12 12 
tions, the compliance tensor matrix of the fracture  η1,12 G12
T T
0 0 0 1 G12T 0 
 
material will have the following form:  0 0 0 0 0 1 G23T 
(3)
T=
 1 ET − ν 21 ET − ν 31 ET η12 ,1 ET η13 ,1 ET 0 
T T T T
The possibility of such a choice of Poisson’s
 − ν 21T ET 1 E 2T − ν 32T E 2T 0 0 0  ratios values for the layer modeling gaping frac-
  tures and partially filled fractures can be explained
 − ν 31T ET − ν 23T E 3T 1 E 3T 0 0 0  (1)
  by the fact that the rock junctures through which
η1,12 G12
T T
0 0 1 G12T µ12T ,13 G13T 0 the external load is transmitted are isolated from
 
 η1T,13 G13T 0 0 µ13T ,12 G12T 1 G13T 0  each other and therefore, within the fractures influ-
  enced by both normal and longitudinal loads, nei-
0 0 0 0 0 1 G23T
ther lateral nor longitudinal deformation occurs.
In case of loose fracture filler, such deformations
Let us assume that all Poisson’s ratios of the under the external load can be neglected.
anisotropic material modeling the fracture meet The stiffness tensor of the fracture material is
the following “natural” conditions, namely: the inverse compliance tensor (3) and, therefore,
ν12T = ν13T , ν 21
T
= ν 31
T
and ν 23T
=ν 32
T
. Then, from the the non-zero components of the fracture stiffness
condition of compliance tensor symmetry, it fol- tensor will be equal to:
lows that its elements are equal − ν 32 E2T and
− ν 23 E3T , whence we obtain that the deforma- ET
tion moduli E2T and E3T are equal. Let us intro- c1111
T
= , c2222
T
= c3333
T
= E 0T ,
duce the designation E2T =E3T = E0 . Further, if it 1 − 2 ⋅ η1T,12 ⋅ η12T ,1
is assumed that the fracture material satisfies the η1T,12 ⋅ ET η12T ,1 ⋅ G12T
transverse isotropy condition, where the isotropy c1112
T
= c11T 13 = − = − ,
1 − 2 ⋅ η1T,12 ⋅ η12T ,1 1 − 2 ⋅ η1T,12 ⋅ η1T2 ,1
plane is parallel to the strike plane (such a property
is realized, for example, when the rock junctures c1212
T
= c1313
T
=
( 1− η T
1,12 )
⋅ η12T ,1 ⋅ G12T
, c2323
T
= G23T ,
(4)
are randomly arranged), then the following condi- 1 − 2 ⋅ η1T,12 ⋅ η12T ,1
tions will be met: G12T = G13T , η12 T
,1 = η13,1 , η1,12 = η1,13
T T T
η ⋅ η ⋅ G12T
T T

and µ12 T
,13 = µ T
13,12 = 0 . In this case, the matrix (1) c1213
T
=
1,12 12 ,1
.
can be rewritten in the form: 1 − 2 ⋅ η1T,12 ⋅ η12T ,11

414
 The remaining non-zero elements of the stiff- ν νE ν2
ness tensor are determined from the symmetry cˆ1122 = cˆ1133 = cˆ1111 , cˆ2233 = +cˆ1111 ,
condition: cijkl = cjikl = cijlk = cklij.
1− ν 1− ν 2
( 1− ν ) 2
G GT
cˆ1212 = cˆ1313 = T 12 , cˆ2323 = G ,
G12 + α G
2.2 Averaging of the deformation properties cˆ1112 = cˆ1113 = − α ⋅ β ⋅ η1,12 ET EG = − α ⋅ β ⋅ η12,1G12T EG ,
of the rock mass (fractures are modeled ν
with the thin layer) cˆ1222 = cˆ1233 = cˆ1322 = cˆ1333 = cˆ1112 ,
1− ν
The components of the stiffness tensor of undis- η
turbed rock, which is an isotropic medium, are cˆ1213 = − α ⋅ cˆ1212cˆ1112 1,12 . (8)
ET
characterized by two independent constants and
are determined by the formula (Pobedrya 1984):
Here β = ( 1− ν ) A( α G + G12T ) − B ;
E  2ν 
ciklj = δ ikδ jl + δ ijδ kl + δ ilδ jk  (5)

2( 1+ ν )  1− 2ν  A = α ( 1− ν ) E + ( 1− ν − 2ν 2 ) ET ;
B = 2α 2 ( 1− ν ) η1T,12η12
T
,1EG ;
The effective deformation characteristics of a
fractured rock mass, dissected by a plane-parallel α = δ l , where l is the distance between the frac-
fracture system, are generally determined by the tures, δ is the width of fracture opening
dependency (Vlasov & Merzlyakov 2009): Converting the stiffness tensor with the ele-
ments (8), we obtain the effective compliance ten-
Aˆij = Aij + Ai1A11−1 A −1 −1
11 A11−1A1 j − Ai1A11−1A1 j , sor, which is written in a more convenient matrix
(6) form as:
which in this case is converted as follows: αη12T ,1 αη12T ,1
 α 1− α ν ν 
+ − − 0
 E E E E ET ET 
Aˆ11 = A11 , Aˆ12 = Aˆ11 A
−1 −1 −1
A , Aˆ13 = Aˆ11 A A ,
11 12
−1
11 13  T 
 ν 1 ν 
Aˆ22 = A22 + A21A11−1 Aˆ12 − A21A11−1A12 , − − 0 0 0
 E E E
Aˆ33 = A33 + A31A11−1 Aˆ13 − A31A11−1A13 ,  
 ν ν 1
Aˆ = A23 + A21A11−1 Aˆ13 − A21A11−1A13 , (7) − − 0 0 0
23  E E E 
 
 αη12 ,1 α G + G12T
T

Here Aij = || cikjl || are the matrices that deter- 0 0 0 0

 ET GG12T 
mine the stiffness tensors of the undisturbed rock  
and the fractures; Aˆ ij = || cˆikjl || are the matrices  αη α G + G12T 
T
12 ,1
0 0 0 0
made up of the stiffness tensor components of the  ET GG12T 
 
rock mass; i, j , k , l = 1, 2, 3; 〈∗〉 = 1 / V ∫ (∗ )dV is the  1
V
average value on a typical element of the structure  0 0 0 0 0 
G
(“the periodic cell”) (Vlasov & Merzlyakov 2009). (9)
The actual values of the relative width of frac-
ture opening, as noted in particular in the works The compliance matrix (9) shows that to deter-
(Tarasova 1968; Ruppenate 1975; Guidelines mine the effective deformation characteristics of
... 1984), by order of magnitude equal to 0.01 – the rock mass uniformly dissected by a system of
0.0001. Let us apply in the formulas (7) the expres- plane-parallel fractures, it is necessary to know the
sions for the stiffness tensor components of the deformation characteristics of undisturbed rock E
undisturbed rock (5) and the fracture (4). Then, and ν and the characteristics of the fractures: the
taking into account the actual values of the relative deformation modulus ET, the shear modulus G12T ,
fracture width α and discarding small quantities the influence ratio ηT12,1.
of higher orders, we obtain the following depend-
ences for determining the non-zero components of
the effective stiffness tensor of rocks dissected by a 2.3 The connection of stiffness and deformation
plane-parallel system of fractures: characteristics of the fracture and the thin layer
The deformation characteristics of the fracture
cˆ1111 = β ( α G + G12T ) ET E , modeling layer can be determined by knowing its
E ν2 normal and shear stiffness and the dilatancy coef-
cˆ2222 = cˆ3333 = +cˆ1111 , ficient or angle (Goodman 1987). Normal stiffness
1− ν 2
( 1− ν ) 2 kn characterizes the slope of the influence curve

415
of the strain normal to the fracture plane depend-
ing on the change in the fracture opening width
(Fig. 2a). The shear stiffness ks characterizes the
shearing-stress curve slope − shear displacement
before the onset of the free slip (Fig. 2b). The dila-
tancy coefficient is determined by the slope of the
normal displacement curve – shear displacement
(Fig. 2c).
Let us find the connection between the defor-
mation modulus ET and the normal stiffness kn,
between the shear modulus G12T and shear stiffness
Figure 2. Compression of the fracture under the influ-
ence of the normal load, b) tangential shear of the frac-
ture in experiments on direct shear, c) dependence of
vertical displacements on horizontal ones.
416
ks and also between the first-order influence coef-
ficient η12,1 and the dilatancy coefficient λ.
As can be seen from Fig. 2a, normal fracture
stiffness is determined as follows:
kn = dσ/dw, (10)
where σ is normal stress to the fracture plane, and
w is the fracture closure under the normal stress.
The change in the fracture closure under load is
determined by the change in its deformation. Thus,
we obtain that
dw = δdε, (11)
where δ is the fracture opening width (there is a
function of the strain normal to the fracture); ε is
fracture closure under the normal stress.
On the other hand, by virtue of Hooke’s law:
dσ = ETdε, (12)
from which, taking into account (10), we obtain
the following relation between the fracture defor-
mation modulus ET and its normal stiffness:
ET = δkn. (13)
Similarly, using formulas ks dτ du , du = δ dγ
and dτ 12 G12T dγ , we obtain the connection
between the shear modulus and the shear stiffness
of the fracture.
G12T = δ ks . (14)
The dilatancy coefficient (Fig. 2c), exactly as in
the case of normal and shear stiffness, is defined
as follows:
λ = dw/du, (15)
where w is the displacement of the block of undis-
turbed rock normal to the fracture plane, u is the
displacement of the block of undisturbed rock
parallel to axis 2.
On the other hand, taking into account depend-
ence (11) and dependence for displacing a block of
undisturbed rock along the fracture du = δdγ from
relation (15), we obtain
dε = λ⋅dγ. (16)
Further, let only the stress component τ12 be non-
zero. Then, using Hooke’s law and relation (16), we
obtain that d ε (η12 T
dτ 12 dγ = ( / G1T2 )ddτ 12 .
,1 / ET )d
Whence follows that η12,1 λ / G1T2 .
Then, taking into account relations (13) and
(14), the first-order influence coefficient will be
determined by the formulas:
η12,1 λ ET G1122 = λ kn ks . (17) where β ν ) / [α ( − ν )E + ( − ν ν 2 )ET ].
Thus, from the obtained relations (19), it fol-
Thus, in the generalized Hooke’s law, one can lows that the considered model of the rock mass
take into account the “elastic” dilatancy with the is reduced to an effective transverse-isotropic
help of the first-order and the second-order influ- medium with an isotropic plane parallel to the
ence coefficients. fracture plane, effective technical deformation
characteristics of such a rock mass as follows from
(9) and (18) will be determined by the formulas:
2.4 Effective deformation characteristics of the
rock mass dissected by a parallel system of
ET E δ kn E lk
kE
fractures E⊥ = = = n , E II E,
ET α E δ kn α E lk kn + E
Further, using dependences (13), (14), (17) and the G12G δ ksG lk G
relation α δ / , the compliance matrix (9) can be G⊥ = = = s , (20)
represented as G12 α G δ ks α G lks + G
E
GII G = , ν II ,⊥ ν III ,II = ν .
⎛ E knl ν ν λ λ ⎞ 2( + ν )
− − 0
⎜ Ekknl E E ksl ks l ⎟
⎜ ⎟ where E⊥, EII are the effective mass deformation
⎜ ν 1 ν ⎟
⎜ −E − 0 0 0⎟ moduli in the direction orthogonal to the fracture
E E plane and in the isotropy plane respectively; G⊥, GII
⎜ ⎟
⎜ −ν −
ν 1
0 0 0⎟
are effective shear moduli in the plane orthogo-
⎜ E E E ⎟ nal to the fracture plane and in the isotropy plane
⎜ λ ksl + G ⎟ (18) respectively; νII,⊥ is an effective Poisson’s ratio,
⎜ 0 0 0 0⎟ which characterizes the deformation in the fracture
⎜ ksl Gksl ⎟
⎜ ⎟ plane under the load across the fracture plane; νII,II
⎜ λ ksl + G
0⎟
is an effective Poisson’s ratio in the isotropy plane.
0 0 0
⎜ ksl Gk ks l ⎟ It can be seen from formulas (20) that the
⎜ ⎟ deformability of a transversely isotropic medium
⎜ 0 0 0 0 0
1⎟ equivalent to a rock mass dissected by a system
⎝ G⎠ of plane-parallel fractures, is characterized by 4
The matrix components (26) determine the deformation characteristics, namely, the deforma-
complete set of effective deformation character- tion modulus and Poisson’s ratio of undisturbed
istics of a rock mass dissected by a plane-parallel rock material E and ν, the deformation modulus
system of gaping fractures, which can be obtained of the fracture modeling layer ET or the normal
by conducting experimental studies. It should be stiffness of the fracture kn, the shear modulus G12
noted that at present there is no reliable method- of this layer or the tangential stiffness of the frac-
ology for experimental studies to determine the ture ks, as well as the geometric parameter of the
“elastic” dilatancy coefficient. fractures such as their relative opening width α or
When solving problems of geomechanics, the distance between the fractures l.
first-order and second-order influence coefficients
are not taken into account (Nayak & Zienkiewicz
1972; Amadei 1984; Goodman 1987; Ching-Shung 3 THE RESULTS OF THE CALCULATIONS
Chang & Tsan-Hwei Huang, 1988; Saeb & Ama-
dei 1990; Cuisiat et al. 1990; Orekhov & Zertsalov Next, let us estimate the influence of the values
1999; Zertsalov 2014), i.e. “elastic” dilatancy is of normal and shear stiffness of fractures on the
neglected. In this case, the dependences for deter- deformation properties of a conditional rock mass
mining the components of the effective stiffness with a plane-parallel system of fractures − the
tensor (8) are simplified and take the following deformation modulus E⊥ in the direction orthogo-
form: nal to the fracture plane and shear modulus G⊥ in
the plane orthogonal to the fracture plane. To do
this, let us consider a rock mass with a rock defor-
E ν2
cˆ1111 E E ˆ2222 ˆ3333 + ˆ1111 , mation modulus of rock joint E = 5,000; 10,000;
1− ν 2
( 1− ν ) 2 20,000; 50,000 and 100,000 MPa and the Poisson’s
ν νE ν2 ratio ν = 0.3 (the rock joint is assumed to be iso-
cˆ1122 cˆ1133 cˆ1111 , ˆ2233 + ˆ1111 ,
1 ν 1 ν 2
( 1− ν ) 2 tropic). In this case, the values of normal stiffness
vary in the interval from 0.37 to 102 MPa/mm, and
G12G
cˆ1212 cˆ1313 cˆ2323 G . (19) shear stiffness – between 0.24 and 34 MPa/mm.
G12 α G These are the stiffness values, which are realized in

417
rock masses. The distance between the fractures is
assumed to be 25 cm.
Figure 3 presents in a graphical form the depend-
ences (20) of the relative deformation moduli E⊥/E
and the shear G⊥/G on the normal and shear stiff-
ness of the fracture respectively.
From the graphs (3) it can be seen that the
greater the deformation modulus of the rock joint
is, the stronger, all other things being equal, the
effect of fracturing on the deformation character-
istics of the rock mass.
Figure 3. Graphs of the relative deformation and shear
moduli on the normal and shear fracture stiffness.
418
Zhang and Einstein (Zhang, Einstein, 2000)
generalized the results of numerous field experi-
ments and constructed the dependences of the rel-
ative deformation modulus of a rock mass over the
entire range of values of the rock quality designa-
tion (0 ≤ RQD ≤ 100). In our case, the indicator of
the rock quality designation is equal to RQD = 80.
Let us compare the valueso of the deformation
modulus E⊥, obtained from dependences (9) with the
average value of the fracture stiffness kn = 50 MPa/
mm, with the deformation moduli (minimum, aver-
age, and maximum) obtained from the dependences
from Zhang and Einstein. The values of these mod-
uli in MPa are presented in Table 1.
The table shows that the values of the defor-
mation modulus obtained from the dependences
(20) lie within the allowable limits of the values
obtained using RQD, except for the case where
the deformation modulus of the rock joint is
5,000 MPa (the minimum of those considered).
Moreover, it is not much larger than the maximum
value obtained from Zhang and Einstein’s depend-
ence using RQD.
The results of calculations by the formula (20)
are qualitative. This is indicated by the choice of
the average stiffness value in the performed calcula-
tions. For quantitative assessment, the true values
of fracture stiffness should be set. In this case, all
the calculations would lie within the limits obtained
from Zhang and Einstein’s dependences. It should
also be noted that, depending on the deformation
modulus of the rock joint, the stiffness of fractures
in the rock mass tends to increase with the increas-
ing value of this modulus.
Next, let us compare the deformation moduli
of rock masses considered in the study (Cai et al
2004) obtained using the GSI system and obtained
from the dependency (20). In this paper, the rock
mass consists of a conglomerate of sandstone and
argillite. In the CG1 zone (93%) of this mass, the
frequency of fractures per square meter was 0.74,
the quality designator RQD = 99.7 and GSI = 74,
and in the CG2 zone (62%) the fracture frequency
made up 0.84, RQD = 99.6 and GSI = 65. The
mean deformation moduli values obtained under
Table 1. Deformation moduli.
Rock joint Formula (9) Zhang, Einstein, 2000
E E⊥ Emin Emidl Emax
5000 3529 378 1892 3406
10000 5455 757 3784 6812
20000 7550 1514 7569 13624
50000 9677 3784 18922 34060
100000 10714 7569 37844 68120
these conditions were 39.6 GPa for the CG1
rock zone and 23.5 GPa for the CG2 rock zone,
and the standard deviations σ = 4.11 GPa and
σ = 1.76 GPa respectively.
Rock joint deformation moduli for CG1 and CG2
were estimated as 80 GPa and 30 GPa respectively.
Taking into account the RQD values of these masses
and the fact that the constituent rocks belong to
strong rocks, the values of the normal stiffness of
fractures in the calculations by formulas (20) were
assumed to be equal to kn = 100 MPa/mm. The val-
ues of the deformation moduli of the CG1 and CG2
zones of the rock mass obtained by the calculation
according to these formulas were 38.0 GPa and
22.1 GPa respectively. Comparison of the results of
calculations using formula (20) with the deformation
moduli values obtained using GSI show their good
agreement. The values calculated by formulas (20) lie
in the interval of values determined by the standard
deviation according to the 3-sigma rule (3σ).
In conclusion of this section, let us note that the
dependences (20) used in the paper were obtained
using a mathematically rigorously justified method
of asymptotic averaging. They determine the com-
plete set of deformation characteristics of the given
rock mass and take into account the anisotropy. All
this favorably distinguishes it from other methods
for estimating the deformation properties of rock
masses.
4 CONCLUSIONS
1. The dependences (20) determine the full set of
effective deformation characteristics of the rock
mass dissected with a plane-parallel system of
fractures and at the same time take into account
the minimum set of basic properties that char-
acterize the rock mass: the distance between the
fractures, the normal and shear stiffness of the
fractures and the deformation modulus of the
rock joint. If necessary, the “elastic” dilatancy
coefficient can be taken into account.
2. The research showed that the greater the defor-
mation modulus of the rock joint, the stronger,
ceteris paribus, the effect of fracturing on the
deformation characteristics of the rock mass is.
3. The calculations and analysis of the results of
these calculations carried out in this paper allow
us to draw a conclusion on the applicability of
the dependences (20) to determine the deforma-
tion characteristics of rock masses with a plane-
parallel system of fractures.
419
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Bakhvalov, N.S. & Panasenko, G.P. 1984. Averaging of
processes in periodic media. Moscow: Nauka.
Cai, M., Kaiser, P.K., Uno, H., Tasaka, Y. & Minami M.
2004. Estimation of rock mass deformation modulus
and strength of jointed hard rock masses using GSI
system. Int. J. of Rock Mechanics & Mining Science
(41): 3–19.
Ching-Shung, Chang & Tsan-Hwei, Huang. 1988. A Con-
stitutive Model For Jointed Rock Masses. Journal of
the Chinese Institute of Engineers 11 (1): 25–34.
Cuisiat, F.D.E., Hyett, A.J. & Hudson, J.A. 1990. Numer-
ical investigation of the boundary conditions effect on
rock joint behaviour. Rock Joints. (ed. by N. Barton
and O. Stephenson). Proceedings of the international
symposium on rock joints, LOEN, Norway, 4–6 June,
1990. A.A.Balkema/Rotterdam/Brookfield: 611–616.
Goodman, R. 1987. Rock Mechanics. Moscow: Stroyizdat.
Guidelines for research methods of rocks and masses. 1984.
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International Society for Rock Mechanics, Coll. 2.
Lekhnitsky, S.G. 1977. The theory of elasticity of an aniso-
tropic body. Moscow: Nauka.
Nayak, G.C. & Zienkiewicz, O.C. 1972. Elasto-plastic
stress analysis. A generalization for various constitu-
tive relations including strain softening. Num. Methods
in Eng., (5): 113–135.
Orekhov, V.G. & Zertsalov, M.G. 1999. Mechanics of
destruction of engineering structures and mountain
ranges. Moscow: Publishing House of the Construc-
tion Universities Association.
Pobedrya, B.E. 1984. Mechanics of composite materi-
als. Moscow: Publishing House of Moscow State
University.
Ruppenate, K.V. 1975. Deformability of fractured rocks.
Moscow: Nedra.
Saeb, S. 1990. Varience on the Ladani and Archambault’s
shear strength criterion. Proceedings of the interna-
tional symposium on rock joints, LOEN, NORWAY, 4–6
June, 1990: 701–705.
Tarasova, I.V. 1968. The effect of fracturing on the
deformability of rock beds. Soil Mechanics, Bases and
Foundations (2): 22–23.
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deformation and strength properties in rock mechanics.
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rock soil mechanics). Moscow: ACB Publishing House.
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4th North Amer. Rock Mech. Symp. Seattle.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Modelling the stress-deformed state of soil installed with

displacement piles

E.S. Voznesenskaya
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

ABSTRACT: This paper presents the results of Plaxis 3D-assisted numeric modeling of the stress-
deformed state of the soil mass installed with Fundex piles. The modelling of pile installation process
followed the technique of “pile strips” – the narrow hollows that are filled with a conventional, constant-
volume material, to which vertical pressure is applied, in the pile head plane, to model the load created by
the penetrating tip.

1 INTRODUCTION 2 NUMERICAL MODELLING OF

A soil-displacement pile installation technology
was developed by Dutch company Verstraeten
Foundation Techniques which became widespread
in Europe, Japan and China under the name of
Fundex (Doornbos 1986, Smoltczyk 2003). In
Saint-Petersburg, Fundex was first used in 2001 to
become the technology for some 60% of all cast-
in-situ pile installation projects (Mangushev &
Nikiforova 2017). Fundex piles are installed
impact—and vibration-free, representing an attrac-
tive technology in terms of cost-efficiency. Yet,
the installation of Fundex piles affects the stress-
deformed state of the soil as it becomes displaced
from the bore hole, causing it to deform, dislocate
upwards, and displace horizontally beyond the
area of piling (Ulitsky et al. 2012, Mangushev
et al. 2009, 2014). The analyses of soil deforma-
tion and the bearing capacity of Fundex piles
remain relevant domestically and globally (Dya-
konov 2017, Savinov et al. 2018, Gang Wang 2011,
Weaver 2010, Van Baars 2018). Of relevance is the
analysis of the displacements occurring outside of
the construction site. Depending on the factors
to be considered, such analysis can be performed
with the use of a numerical procedure (FEA) and
three-dimensional modeling in Plaxis 3D, the soft-
ware commonly used in dealing with problems of
this kind (Pirone 2018, Wang 2018, Shafiqu QSM
2018, 2016, 2016, Sbitnev 2009,
Voznesenskaya 2008, 2013). Our study aimed to
analyze the displacements occurring in the founda-
tion soil during the installation of piles as part of
reconstruction works on a historic building, and
to estimate the effect these displacements produce
on the existing foundation of the building under
reconstruction.
FUNDEX PILE INSTALLATION
Soil behavior was described with the use of Plaxis
3D program and the hardening soil model com-
monly used for modelling the behaviour of hard
soils such as sand and gravel, and soft ones such
as clay and silty sand. Plaxis 3D enables modeling
of soil-displacement piles and estimating of the
resulting strain-deformed states by way of creating
additional volumetric deformations. To determine
the volumetric deformations to be set as a param-
eter constitutes a problem of its own. Besides, a
volumetric deformation consists of linear defor-
mations with three coordinate axes. In general,
the distribution of deformations in all three axes
is differential, not self-evident, and depends on soil
anisotropy and the very process of soil displace-
ment during the installation of piles. In our case,
a different modelling approach was adopted. The
assumptions made were as follows. Single piles
were inexpedient to model because the project was
a multiple-pile one. We therefore opted for mod-
eling of a “pile strip”, which is a row of piles. A
narrow hollow was created in the soil (its depth
equaling the pile length) and filled with a conven-
tional, constant-volume material, to which verti-
cal pressure was applied, in the pile head plane, to
model the load from the penetrating tip. As that
was taking place, the conventional material expe-
rienced vertical compression and expanded itself
horizontally (laterally). The horizontal pressure
experienced by the walls of the hollow caused it to
expand. As a result, volumetric and shear defor-
mations occurred in the soil. The pressure value
was determined based on the design pile load, the
number of piles in a row, and the surface area of
the “pile strip” in the pile head plane.

420
2.1 Background data
The reconstruction project is a historic building
and involved installing of new indoor premises and
a pool basin. Bearing walls made from brick; roof-
ing on flitch girders; strip rubble-stone foundation
with 1.15–1.69 m thick base.
The following layers of the foundation soil were
modelled using the data from five wells:
filling layer with a thickness of 1.6 m to 2.5 m;
sandy silt (modulus of deformation E = 14 MPa)
with a thickness of 3 m to 3.4 m;
silt loam of wet consistency (E = 6 MPa) with a
thickness of 2.6 m to 4.7 m;
clayey sand (E = 11 MPa) a with a thickness of
2.9 m to 6.5 m;
semi-solid silt loam (E = 11 MPa) down to 17 m
from the surface.
According to the project design, the cast-in-place
ferroconcrete pool basin rests on cast-in-place fer-
roconcrete girders that rest on a cast-in-place fer-
roconcrete pile raft foundation grill, the piles being
350 mm diameter, 14.5 m long Fundex piles. The
pile field represents the rows of piles parallel to the
gable façade. The rows have a spacing of 4 m to
4.5 m. Each row has 7 to 12 piles spaced 1.4 m to
2.5 m from one another. There are two rows with
pile spacing of 2 m to 3.2 m and 1.5 m to 2.4 m.
The foundation of the newly designed premises is
of a more complex configuration with longitudi-
nal and transverse rows of piles spaced 1.45 m to
1.85 m. The design level of pile head is 1.25 m for
the pool basin and 0.45 m for the two-storey sec-
tion. The pile raft foundation has a thickness of
400 mm; the pile-foundation junction is rigid. The
piles are made from M350 sandcrete. The piles are
cast to the nominal level of + 0.250 m, which cor-
responds to the level of the existing concrete floor.
Prior to the installation of pile raft foundation, the
piles are trimmed to the design level. The pile point
has a design level of 15.75 m. The pile foundation
soil is semi-solid silt loam with the modulus of
deformation of E = 11 MPa. The bearing capacity
of piles: 333 ton-force.
In the zone of possible influence of the piling
process are the outer walls of the building under
reconstruction, and the two adjacent buildings.
3 RESULTS OF THE NUMERCIAL
ANALYSIS OF PILING-INDUCED
SOIL DISPLACEMENT
The stages of modelling aimed to:
– determine own stress-deformed state of the soil;
– model the stress-deformed state experienced by
the soil as a result of reconstruction works and
from the surrounding buildings;
421
– reduce the load on foundation by removing the
roof trusses to enable piling; and
– model the pile field structure.
Deformations of 1st and 2nd stages of loading
were not considered in our analysis of the foun-
dation soil settlement and displacement, as these
deformations had completed long before the piling
was started.
The numerical modelling has shown that the
piling will affect the existing foundations of the
building under reconstruction, while no effect will
be produced on the adjacent buildings (foundation
base displacement less than 1 mm).
The “three pile strips” model (please see
Figure 1) has produced the following results. The
largest horizontal displacements are expected to
occur at the depth –1.3 m. At the ground surface,
displacements Ux (axis x coincides with the longi-
tudinal axis of the building under reconstruction)
do not exceed 5 mm; at the level of the founda-
tion base (–2.3 m) they are less than 6 mm; and at
the depth of 1.3 m, they can be as high as 11 mm
(Fig. 2). In these conditions, the horizontal lateral
pressure of soil will be experienced by the existing
foundations of the gable façade. The volumetric
compressive deformation of the soil can be as high
as 2.6%. At the ground surface, horizontal dis-
placements Uz (transversely directed) are less than
2.2 mm; at the level of the foundation base, they
are more than 3.5 mm; and at the depth of –1.3 m
can be as high as 11 mm. The soil displacement
along axis z creates lateral pressure on the founda-
tions of the outer longitudinal walls.
The modelling of three “pile strips” has shown
minor upward dislocation of the ground surface of
up to 2.3 m. The upward dislocation is shown in
Figure 3.
The ground surface in close proximity to the
rows of piles experiences major settlements of up
to 80 mm. This value seems to be overestimated,
Figure 1. Image of the design model: three pile strips
installed.

Figure 2. Isofields of horizontal displacements Ux at the
depth of –1.3 m when three “pile strips” are installed.
Figure 3. Isofields of positive surface displacements
Uy: coloured are the areas of upward dislocation of soil;
uncoloured are the areas of settlement.
because it deals with the vertical displacement of
the ground surface which abuts the conventional
material under the modelled vertical load.
A more detailed analysis of the modelling
results, inclusive of the load curves plotted for
a number of design points, has shown that that
vertical displacements of the foundations of the
adjacent buildings are be minor, with upward dis-
location of their bases being lower than 0.5 mm.
With removed roof trusses and, hence, under
lesser load, the foundation of the building under
reconstruction rises by 3.5 mm in the area of “pile
strips”. The installation of three “pile strips”,
422
which are the nearest to the gable façade, causes a
2 mm settlement in the foundations of the longitu-
dinal lateral walls, and more than a 10 mm one in
the foundations of the gable wall.
In the “six pile strips” model, horizontal dis-
placements Ux and Uz have nearly identical magni-
tude of 4.5 mm at the ground surface level, 8 mm
at the level of the existing foundation bases, and
15 mm at the depth of −1.3 m (Fig. 4). The volu-
metric compressive deformation of the soil can
be as high as 3.2%. As can be seen, there is not
cardinal increase in the values of displacement and
deformation. With an increase in the number of
“pile strips”, the area of excessive deformation
increases accordingly.
In “six pile strips” model, there occurs a minor
upward dislocation of the ground surface—up to
2.5 mm. They cause less than 5 mm settlement in
the foundations of the longitudinal lateral walls,
and around 10 mm one in the foundations of the
gable wall. Even though the foundation of the
gable wall enjoys more favourable conditions in
the case of six “pile strips” installed simultane-
ously, the differential displacements of the longitu-
dinal walls and the gable wall stay.
In “all pile strips” model with the piles installed
in the foundation of the pool basin and along the
longitudinal walls of the building, displacements
Ux (along the building) are less than 5 mm at the
ground surface level, 9 mm at the level of the foun-
dation bases, and up to 13.5 mm at the depth of
−1.3 m. Displacements Uz (across the building)
are less than 8 mm at the ground surface level, less
than 13 mm at the level of the foundation bases,
and up to 19 mm at the depth of −1.3 m. The volu-
metric compressive deformation of the soil can be
as high as 3.8%. With an increase in the number
of “pile strips”, the areas of maximum volumet-
ric compressive deformation tend to occur on the
edges of the pile field near the existing side walls.
The ground surface experiences an upward disloca-
tion of 5 mm. The foundations of the longitudinal
side walls and the gable wall receive a settlement of
some 10 mm (Fig. 5).
Figure 4. Isofields of horizontal displacements Ux
(above) and Uz (below) at the depth of –1.3 m when six
“pile strips” are installed.
 than 10.8 mm at the level of the existing founda-
tion bases (–2.3 m), and up to 17.9 mm at the depth
of −1.3 m (Fig. 6). In these conditions, significant
soil displacement occurs near the gable wall, caus-
ing the soil to produce horizontal pressure on lat-
eral surface of the foundations of the gable wall.
However, maximum displacements Ux occur in the
area of new premises’ foundations in the central
part of the building. Horizontal displacements Uz
(transversely directed) are less than 11.1 mm at
the ground surface level, less than 15.5 mm at the
level of the existing foundation bases, and up to
Figure 5. Isofields of negative displacements Uy at 20.4 mm at the depth of −1.3 m. The soil displace-
the depth of −2.3 m: coloured are the areas of soil ment along axis z creates lateral pressure on the
settlement. foundations of the outer longitudinal walls. The
volumetric compressive deformation of the soil
can be as high as 6.3%.
In order to estimate the influence the sequences In the soil outside of the area of the pile field,
of pile rows have on the stress-deformed state of there occurs an upward displacement of the
the soil, we modelled the cases of six differently ground surface (Fig. 7) – up to 7 mm. Within the
sequenced rows of piles. In the first case, the first pile field, settlement occurs in the ground surface
to be modelled was the “pile strip” second from the which abuts and “pile strips”. A more detailed
end wall, followed by the sixth, the fourth, the first, analysis of the modelling results has shown that
the fifth, and the third. In the second case, the “pile the buildings adjacent to the project experience
strips” were modelled in sequential order, one by minor vertical displacements of less than 2 mm.
one from the gable wall. The foundations of the external walls of the build-
In both cases, horizontal displacements and ing under reconstruction experience the settlement
volumetric deformations varied only to a small of 4 mm to 6 mm, which does not exceed 10 mm in
extent. At the ground surface level, horizonal dis- any of the points.
placements Ux are less than 5.5 mm in the first
case and 6.5 mm in the second case; at the level
of the foundation bases, they equal 8.7 mm and
8.3 mm, respectively; and at the depth of −1.3 m –
1.3–16.4 mm and 15.8 mm, respectively (the dis-
placements are identical to those shown in Fig-
ure 4). Horizonal displacements Uz equal less than
4.3 mm in the first case and 4.2 mm in the sec-
ond case at the ground surface level; 7.0 mm and
6.7 mm, respectively, at the level of the foundation
bases; and 16.8 mm and 15.2 mm, respectively, and
at the depth of −1.3 m. The volumetric compres-
sive deformation of the soil can be as high as 3.1%
and 3.3%, respectively.
This implies that the sequencing of “pile strips”
does not cause any pronounced effect on the
resultant horizontal displacements and volumet-
ric deformations in soil. With regard to the set-
tlements of the existing foundation bases, most
unfavourable is the layout in which “pile strips”
are arranged sequentially from the gable wall, as in
this case the maximum gable wall foundation set-
tlement exceeds 10 mm.
In “all pile strips” model with the piles installed
in the foundation of the pool basin and that of the
newly designed premises, the following data was
obtained. Displacements Ux (along the longitudi- Figure 6. Isofields of horizontal displacements Ux
nal axis of the building under reconstruction) are (above) and Uz (below) at the depth of –1.3 m, when all
less than 5.2 mm at the ground surface level, less “pile strips” are installed.

423

Figure 7. Isofields of positive surface displacements
Uy: coloured are the areas of upward dislocation of soil;
uncoloured are the areas of settlement.
4 CONCLUSIONS
The proposed method of modelling the piling
process allowed to estimate the effect the piling
works would have on the stressed-deformed state
of the foundation soil of the building under recon-
struction and those adjacent to it. The results of
our numerical analysis have shown that pile row
sequencing is not of critical significance in terms
of the negative effect the existing foundations
experience from the lateral horizontal pressure of
soil, whereas with relation to the settlements of the
existing foundations most advisable is the pattern
where piles are arranged uniformly across the pile
field. Unacceptable is the pattern where piles are
installed sequentially from the gable wall, as is this
case the settlements of gable wall foundation will
increase, leading to differential settlements in other
foundations.
Undoubtedly, a comparative analysis needs to
be performed of the results of the present soil-dis-
placement pile installation modelling and those of
in-situ investigations.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Geotechnical and geoenvironmental analysis of “Chinese Theatre

in Alexander Park, Pushkin” as part of reconstruction and
improvement project

M.B. Zavodchikova
Saint Petersburg State University of Architecture and Civil Engineering, Saint Petersburg, Russia

N.G. Corvette
Saint Petersburg State University, Saint Petersburg, Russia

ABSTRACT: This paper presents the case study of the Chinese Theatre in Pushkin, a federal-level cul-
tural heritage site. The geotechnical and geoenvironmental analysis has been performed of its premises to
provide descriptions of the natural conditions onsite and in the adjacent area. The analysis has revealed
a highly heterogeneous geological profile with quaternary deposits underlain by rocks of diverse genesis
and physical-mechanical properties, which form part of the active zone of the foundation bed. Given the
effect this finding may have on the reconstruction project, the onsite soil conditions have been divided into
types for the convenience of decision-making. The analysis produced an engineering-geological estima-
tion of the bedrock with special focus on the dictyonema shale occurring at a shallow depth. A source of
radon hazard, dictyonema shale can be affecting the area’s geoecological environment. The site is found
to be insufficiently covered with radon hazard monitoring. Radon flux density is measured only in the
surface layer of the intact soil. In this context, a more in-depth analysis is needed based and recommenda-
tions are proposed for such analysis.

Keywords: Chinese Theatre in Alexander Park in Pushkin, heterogeneous geotechnical profile; soil
condition types; radon hazard in dictyonema oil shale

1 INTRODUCTION underlying rock. This rock represents core ele-

Like many Russian cities with cultural heritage
sites, Saint Petersburg conducts reconstruction
works on its architectural and historic monu-
ments as a means to preserve them (Dashko &
Shidlovskaya 2009, Mangushev & Osokin, Ulitsky
et al. 2010). Among the federal-level heritage sites
is the Chinese Theatre, situated in Alexander Park
in Pushkin, Pushkinsky District, Saint Petersburg.
Built in 1778–1779, the building of the theatre is
in complete decay. After the Committee for State
Control, Utilization and Protection of Historical
and Cultural Landmarks resolved to restore it, the
Chinese Theatre received a series of reconstruction
works which included, among other things, geo-
technical and geoenvironmental surveys (Technical
Report 2014).
The reconstruction projects of this kind often
deal with choosing among replacement, reinforce-
ment and preservation of existing foundations.
For the most optimum solution, the soil-struc-
ture interaction analysis needs to be performed,
which relies heavily on the building properties of
ment of a geological environment and is crucial to
deciding whether this environment is suitable for a
construction project and what sort of development
pressure should be avoided in order not to damage
the original ecological setting (Dashko 2003).
2 MATERIALS AND METHODS
Given how diverse geological structures can be
on a construction site, the geological layers are
grouped into types (“soil conditions typology”).
These types consist of clearly marked, genetically
similar geological layers of common composition,
state, and physical—and mechanical properties.
Such typologies help construction projects iden-
tify most optimum locations for their structures
and provide for reconstruction measures in given
geotechnical conditions (Trofimov & Averkina
2007, Design and Engineering 2006). They enable
an individualized approach and evaluation of the
geotechnical setting of sites to be reconstructed
and their adjacent areas. In our analysis, we made

425
use of the surveys conducted previously for project to 11.00 m, which crops out in the eastern part. In
design documentation (Report 2001). Their data the northern part, at a depth of 2.50 m, the thick
was studied carefully with the use of reference Cambrian clay layers are overlain by 2 m thick dic-
literature and served as basis for a detailed analy- tyonema shale. In the eastern part, at a depth of
sis of the geotechnical setting on site. Due to the 2.5 m to 3.5 m, there occur Lower Cambrian clays
occurrence, at shallow depth, of dictyonema shale, (Fig. 1).
special attention was paid to the potential geoen- Below is the description of the physical and
vironmental risks (Petersell & Shtokalenko 2009, mechanical properties (mean values) of bed rock.
Lebedev et al. 2018). The upper layer of Lower Cambrian clays has an
average natural moisture content of 0.197 unit
fraction, average density of 2.11 g/cm3, average
3 RESULTS AND DISCUSSION porosity factor of 0.562 unit fraction, and liquidity
index of minus 0.25 unit fraction. Strength proper-
The geotechnical setting of the site is defined by its ties: ϕ = 17°, C = 1.05 kgf/cm2, E = 225 kgf/cm2,
confinement to the Glint footplain which is marked uniaxial compression resistance σR = 29 kgf/cm2.
by a complex geological structure influenced by The lower level of clay has a lower natural mois-
natural and man-induced impacts (Dashko & ture content – 0.161 unit fraction, but a higher
Korobko 2013, Korobko 2015]. Lithologically, the density – 2.17 g./cm3. The have lower strength
site is composed of Lower Cambrian and Lower performance: ϕ = 20°, C = 1.21 kgf/cm2, E = 300
Ordovician rocks occurring down to 30 m, and the kgf/cm2, uniaxial compression resistance, σR =
quaternary glacial deposits underlying man-made 34 kgf/cm2.
soils. The Ordovician limestone distinguish them-
Lower Cambrian rocks ( 1) occur along the selves from the rest of the rock by higher density
entire cross section and consist of silt loam with (2.41 g/cm3) and uniaxial compression resistance
two distinct layers. The upper layer is dislocated (304 kgf/cm2).
clay interlain with thin silt and fine-grained sand- Prominent in the geological profile are Ordo-
stone. It occurs at varying depths (2.5 m to 17.5 m) vician dictyonema shales. There isn’t much data
and has a varying thickness (0.8 m to 15.5 m). The
lower layer is undisturbed clay with a thickness of
10.0 m to 14.0 m, occurring at 46.9–50.7 m.
Lower Ordovician rocks (O1) consist of dicty-
onema shale and limestone. The layer of dicty-
onema, argillite-like, crevassed shale has a thickness
of 2–4 m and lies 2.5 m to 13.5 m deep. Its greater
part is overlain by limestone. Occurrences of dic-
tyonema shale are found also underneath glacial
deposits. The limestone layers are crevassed and
interlain with thin, water-saturated layers of solid
clay, occurring in the south-western part of the site
at 3.00–3.50 m depth where their thickness varies
between 9.00 m and 11.00 m. Limestone does not
occur in the eastern part of the site.
Glacial deposits (gIIIlz) (loam soil with varying
contents of gravel, pebble, fragments of sandstone,
lenses of stone, and rock debris; fine grey-brown
sands; fine sandy loam and gravel) are 0.8 m to
1.4 m thick and occur all over the site 1.0 m to 3.1 m
deep on bed rock of different age. Man-made soils
(t IV) have a thickness of 0.8 m to 2.1 m and occur
on the glacial sediments. Covering the entire site,
they are composed of fine sand mixed with con-
struction waste and loose sandy-loam material.
Geologically, the site is described by a heteroge-
Figure 1. Geological and lithological profile (south-
neous geological profile with quaternary deposits western sector of the site): tIV – backfill; qIII-1 –
underlain by rocks of diverse genesis occurring in loam soil with 10% gravel and pebble, and sandstone
different parts of the site (Corvette & Zavodchik- fragments; qIII-2 – loam soil with 5% rock debris; O1 −1
ova 2015). Its south-western part is mostly Lower – limestone; O1 −2 – dictyonema shale; 1 – upper layer
Ordovician limestone with a thickness of 9.00 m – dislocated silty clay; 1 – lower layer – undisturbed silty clay.

426
available in the literature on their physical and
mechanical properties. The engineering-geolog-
ical analysis of dictyonema shales has produced
the following details. Dictyonema shales are a
dark-brown, occasionally black, thinly bedded
sedimentary rock that consists mainly of aleuritic
material (up to 70%), quarz, feldspar, and hydromi-
caceous clayey particles (up to 20%) with admixed
organic matter (up to 20%). In terms of structural
bond, dictyonema shales resemble argillite and are
classified as half-rock. At the same time, they are
plastic, which allows to classify them as light, solid
loam. Dictyonema shales have low natural mois-
ture content – 2–2.5 times lower than that of liquid
limit, which indicates their dehydrated state. Den-
sity, porosity and natural compactness vary greatly
due to dictyonema shales being heavily crevassed,
which explains their low strength performance
(Report 2001).
The dictyonema shales occurring onsite have
the following physical and mechanical proper-
ties: average natural moisture content – 0.190
unit fraction, average density – 1.79 g/cm3, aver-
age porosity factor – 0.607 unit fraction, liquidity
index—minus 0.49 unit fraction. EGE-5a shows
Figure 2. The geological formation types onsite (for
the following mechanical characteristics: E = designations please see Fig. 1).
125 kgf/cm2 and uniaxial compression resistance
σR = 13 kgf/cm2.
Two aquifers occur onsite with varying hydrau-
Type 1 occurs in the south-western sector of the site
lic regime as they are recharged by infiltrating
and represents quaternary deposits underlain
atmospheric precipitation and snowmelt. One of
by 10 m thick layers of limestone. Of all rocks
the aquifer is confined to sandy-loam streaks in
occurring onsite, these limestone layers have
man-made soils and aquitarded by glacial loams.
the highest strength performance (see above).
This aquifer is free-flowing and discharges into
They are underlain by dictyonema shales with
the local water bodies—ponds and by-channel.
a thickness of 1.5…4.0 m, that are less strong.
During abundant precipitation and heavy snow-
As with Types 2 and 3, the bottom of Type 1 is
melt it expands to reach the absolute elevation
laid with Lower Cambrian clays that consist of
of 65.0 m. The other aquifer is confined to fis-
two marked layers. The upper one is 2.0…5.0 m
sured limestone and sandstone bands in Lower
thick and has lower strength performance than
Cambrian clays. It is recharged by recharged by
the lower layer which is 10.0 m thick.
atmospheric precipitation that enters it through
Type 2 occurs in the eastern sector of the site
“hydraulic windows”—the sections where the
and has Lower Cambrian clays underlying
aquitard interrupts above the crevassed Ordovi-
the 2.5…3.5 m thick quaternary deposits. The
cian rocks. This aquifer is connected with the sur-
upper layer of clay has a penetrated thickness of
face water and discharges in the Greater Pond of
12.3…15.5 m and the lower one – 10.0…12.0 m.
the Alexander Park. It is exposed at a depth of
Nor Ordovician limestone nor shales occur in
3.5 m to 5.0 m. This aquifer is low-pressure, its
Type 2 formation.
height being 0.1 m.
Type 3 occurs in the northern sector of the site. Its
Thus, the choice of and the rationale for the
quaternary deposits are underlain, as a depth
restoration works on the foundation of the project
of approximately 2.5 m, by 2.0 m thick layer
under analysis is largely influenced by the occur-
of dictyonema shales. Of all rocks occurring
rence, in the various part of the site, of bed rock
onsite, these shales are least strong and are able
with markedly varying physical and mechanical
to affect the area’s geoecological setting.
properties, that overlies the low-thickness qua-
ternary deposits. This variety of physical and As mentioned earlier, the site under analysis is
mechanical properties has enabled to group the confined to the Glint footplain which is exposed to
geological formations onsite into four types—Type natural and man-made impacts. A series of studies
1, Type 2 and Type 3 (Fig. 2) (Corvette et al. 2018). were conducted by Mineral Resources University’s

427
Department of Hydrogeology and Engineering
Geology to zone the Glint footplain by level of
natural and man-made hazards known to compli-
cate construction and operation of different struc-
tural designs (Korobko 2015). Among the hazard
classes identified (CHE – challengingly hazardous
endogenic processes, HExo – hazardous exogenic
processes; and LMExo – low- and medium-
hazardous exogenic processes), of special concern
is CHE with radon hazard, the latter known to
affect the properties of rocks through radioactive
emanation in the near-surface layers, enhanced by
microbiological activity.
The above typology of the onsite geological for-
mations mentions dictyonema shales (Type 3). They
are distinguished by high content of uranium – 10
to 100 times higher than the uranium content in the
Ordovician clays of the Russian Plain (Dovgusha
& Tikhonov 2002, Anderson et al. 2006). Radon
hazard is present in Krasnoselsky and Pushkinsky
Districts because of the near-surface occurrence of
dictyonema shales.
A series of geoecological surveys were conducted
onsite that included, among other works, measur-
ing of radon flux density (RFD) as an indicator
of locally occurring radioactive contamination.
The measurements of radon flux density in the
near-surface layer are consistent with the allowed
range specified in Sanitary Rules and Regulations
2.6.1.2523–09 “Radiation Safety Standards (
-99/2009)” and Rules 2.6.1.2612–10 “Main Radia-
tion Safety Rules” (MRSR 99/2010)”. It should be
noted that RFD was measured also in the indoor
spaces. The studies into radon behavior in soil
mass and its pathways into indoor spaces indicate
that one-time measurement of RFD on the con-
struction site alone, within the perimeter of build-
ing envelope, is insufficient. Normally taken in the
undisturbed layer as thick as 1–3 m, the measure-
ments indicate possible radon hazard only for the
upper layer of soil, which is insufficient especially
on sites covered with loose blanket deposits, which
are known to form radon fields of their own struc-
ture and therefore conceal the anomalies relat-
ing to underlying emanations. Given that the site
under analysis has dictyonema shales occurring
2.5 m deep under the loose quaternary deposits, a
more in-depth analysis of radon hazard is needed.
For more precise estimations, such analysis should
follow the earlier developed recommendations
(Mikliayev et al. 2012). First, the radiative prop-
erties of rocks should be explored based on the
existing materials and previous radioactive test-
ing of the site under analysis—to the minimum
depth of 10 m below the design depth of the foun-
dations. The testing scope should be sufficient
enough to estimate specific activity and emanation
428
coefficients of radium across the geological-genetic
formations onsite. Also, it is expedient that radon
be analyzed for its volumetric activity in exposed
aquifers and places of it natural discharge for a
more detailed information on radon pathways in
geologic media. The ultimate goal of this analysis
lies in obtaining the data on radium and radon dis-
tribution in the geologic medium and identifying
the sites with increased radium content and ema-
nation coefficient.
4 CONCLUSION
The geotechnical analysis of the site to be recon-
structed enabled the following conclusions.
The active zone of the foundation bed is found
to have highly heterogeneous geological profile with
quaternary deposits underlain by rocks of diverse
genesis and physical-mechanical properties.
The soil conditions onsite have been grouped
into types, one of which is marked by presence, at
a shallow depth, of dictyonema shales which are
known to increase radon hazard and therefore
affect negatively the state and properties of rock
formations.
The above factors should be considered when
identifying the concrete solutions for shoring the
foundation of the site to be reconstructed.
The analysis of onsite radon hazard has revealed
the insufficiency of radon flux density measure-
ments, as they target only the undisturbed, upper
layer of soil to the depth of 3 m.
A more in-depth analysis is recommended of
radon hazard which should follow the previously
developed recommendations. Such analysis is highly
relevant in terms of scientific and practical value—
primarily from the perspective of public health. It
was found that the annual irradiation exposure in
Saint Petersburg is mostly contributed by radon
and its daughters (Gorky 2009). In addition, radon
hazard may lead to reduced reliability of structural
performance, as was mentioned earlier.
Thus, the role of geologic factors in geotechnical
evaluations cannot be overestimated, a conclusion
highlighted by All-Russian Research-to-Prac-
tice Conference “Geotechnical Surveying: Legal
Framework, Current Methods and Equipment”,
held in March 2018 (Trofimov & Korolev 2018).
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© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Design-based justification of controlled compensation grouting during

ZPPS-2 foundation slab mock-up lifting

M.G. Zertsalov
Moscow State (National Research) University of Civil Engineering, Moscow, Russia

A.N. Simutin
Sigma Tau LLC, Moscow, Russia

A.V. Aleksandrov
Institut Gidroproekt JSC, Moscow, Russia

ABSTRACT: The article addresses the finite element method for numerical prediction of results from
using the method of controlled compensation grouting to prevent development of excess deformations
in bases of buildings and structures. It is noted that the existing compensation grouting method has a
significant disadvantage: it is impossible to predict results since it is accompanied by chaotic fracturing
in the area filled with the grout (soil “hydraulic fracturing”). Laboratory results related to grout viscosity
influence on the risk of hydraulic fracturing are analyzed. The article also presents an analysis of numeri-
cal modeling findings, demonstrating that it is possible to predict results of compensation grouting using
high-viscosity grouts as in this case the process of numerical modeling is consistent with the actual process
in terms of distribution of the compensation grouting volume (changes in the form and volume of finite
elements modeling the grouting area) which depends on elastic characteristics and stress condition of
adjacent finite elements modeling the soil mass. Data on large-scale studies at a test area are compared to
results of numerical modeling. Conclusions on the possibility to calculate the grout volume and, therefore,
predict values of compensated settlements and lifting of buildings and structures are drawn.

1 INTRODUCTION fractures in the area filled with the grout (“hydrau-

Intensity of underground construction in cities
results in the need to protect buildings and struc-
tures located in areas adjacent to construction sites
against excess settlement.
One of the possible methods preventing devel-
opment of excess deformations in bases of build-
ings and structures is the compensation grouting
technology (Bellendir et al. 2016, Pleithner &
Bernatzik 1953, Raschendorfer et al. 2008). The
technology implies injection of special grouts in
bases of buildings and structures, which allows not
only compensating excess settlement deformations
due to such injection but also lifting structures,
which explains its wide use in Russia and abroad
(Makovskiy & Kravchenko 2008, Merkin & Mako-
vskiy 1997, Zertsalov et al. 2017), especially at
tunneling (Institution of Civil Engineers, 1996,
Smirnova & Golubev 2003, Schweiger & Falk
1998). It should be noted that the compensation
grouting method used nowadays has a significant
disadvantage as it is impossible to predict results
of the process since it is accompanied by chaotic
lic fracturing” of soil), which makes it impossible
to calculate their length and direction of propaga-
tion in advance. Therefore, design-based justifica-
tion of the method is out of the question and the
method becomes “uncontrollable”. Besides, taking
into account the large number of TAMs (tube á
manchette) in the TAM pipe, repeated grouting
through the same TAM is conducted at certain
intervals. At the same time, injection of grouts
based on cement and used in “hydraulic fractur-
ing” (considering their short hardening term) does
not allow for long interruptions in operation of
TAMs. If grouting is disturbed, TAMs fail to func-
tion, which makes it impossible to use the method
in compensation of settlements in structures hav-
ing a large area of interaction with the soil mass.
In case of controlled compensation grouting,
without hydraulic fracturing, where the injected
volume determined in advance occupies a compact
area, it is necessary to use grouts with the regulated
term of strength gain and a special grouting tech-
nique performed in two stages. At the first stage,
preliminary permeation grouting is performed

430
using highly-permeable grouts ensuring isotropic
and homogeneous properties of the soil mass. This
allows reducing the risk of hydraulic fracturing of
soil in the grouting area. At the second stage, a spe-
cial grout with increased viscosity and a set term
of strength gain is injected, with consumption and
pressure control, which makes it possible to make
repeated injections.
The grouting technology described above is
based on the data confirmed by results of labora-
tory experiments (Bezuijen et al. 2006, Eisa 2008,
Knitsch 2008) that included model studies of proc-
esses occurring during compensation grouting and
injection of grouts with various process parame-
ters into sand. The laboratory mock-up (Figs. 1–2)
was a steel barrel, in the center of which a TAM
injector was installed in a horizontal position, with
one TAM in its central part.
According to the findings of four series of labo-
ratory experiments (Bezuijen 2010), the process of
compensation grouting with grout injection into
sand is characterized by radically different effects,
depending on grout viscosity and the grouting
mode (Fig. 3).
At low viscosity and high consumption of the
grout (Fig. 3a—W/C grout = 20; Fig. 3b—W/C
grout = 10; Fig. 3c—W/C grout = 5; grouting at
consumption q = 10 l/m), the grouting process with
grout injection into soil surrounding the TAM is
followed by hydraulic fracturing. Figure 2. A photo of the laboratory set-up.
At high viscosity and low consumption of the
grout, the grouting process is characterized by the
formation of compact volumes in the form of ellip-
soid (Fig. 3d—W/C grout = 2, grouting at consump-
tion q = 10 l/m; Fig. 3e—W/C grout = 1, q = 2 l/m).
In case of compensation grouting with the use of
a special grout with high viscosity and the special
grouting mode, compact injection volumes can be

Figure 3. Results of laboratory experiments.

reached without hydraulic fractures, and, therefore,

the grouting process can be predicted in terms of
its effect on the stress-strain behavior of the sur-
rounding soil mass. This also allows modeling the
Figure 1. A design of the laboratory set-up. process of compensation grouting both analytically

431
and numerically. It is impossible to apply the ana- grouting is consideration of changes in the modulus
lytical method of designing compensation grouting of deformation upon changes in the lesser principal
using a single TAM (Simutin 2015), the results of normal stress.
which correlate well with the results of experiments
with barrels, to design an array of TAMs, espe-
cially those located in the soil mass in several layers.
Therefore, the most efficient method is the finite
element method (FEM) implemented in software
packages (Z-Soil, Flac, Plaxis, etc.) aimed at solv-
ing geotechnical tasks.
In numerical calculation, compensation grout-
ing is modeled through the initial deformation
function that results in an increase in volumes of
finite elements located around the TAM by the set
volume of grouting (Fig. 4). To optimize decom-
position of the finite element mesh, only the finite
elements modeling the area corresponding to the
assumed volume of grouting shall have the initial
deformation function.
The FEM-based numerical solution allows tak-
ing into account the location of grouting areas, the
injection sequence and injection volumes, with the
efficiency of compensation grouting assessed at all
stages.
Taking this into consideration and using the
FEM based on the Z-Soil software package,
numerical modeling for a laboratory experiment
involving grouting through a single TAM in a bar- Figure 5. Results of numerical modeling for the laboratory
rel was conducted (Figs. 5–6). set-up using the Z-Soil software package (cross-section);
Soil behavior was modeled by a non-linear hard- vertical displacements caused by compensation grouting.
ening soil model describing soil behavior to the full-
est extent. The main advantage of the chosen model
of soil behavior used in design of compensation

Figure 6. Results of numerical modeling for the

Figure 4. A schematic representation of a soil mass frag- laboratory set-up using the Z-Soil software package (cross-
ment before (on the left) and after (on the right) grouting section); additional vertical stressed caused by compensa-
on site (above) and in numerical modeling (below). tion grouting.

432
 To take into account the possibility of develop-
ment of shear displacements at the interface of
soil and the walls of the test chamber, occurring
in compensation grouting, a contact element was
used.
The results of the physical experiment (in a
barrel) were compared to the results of numeri-
cal modeling and analytical solution. The com-
parison of the results obtained through different
methods demonstrates that the best match is
observed between the results of physical and
numerical modeling (95%). Taking this into con-
sideration, numerical modeling of the compen-
sation grouting process using a single TAM was
used for design-based justification of controlled
compensation grouting when lifting a mock-up
of the foundation slab of the Zagorsk Pumped
Storage Station (ZPSS) 2. The studies were con-
ducted in a specially equipped test area. The
foundation slab mock-up was set at the angle
of 18° being buried in soil at the levels allowing
modeling the actual dead load of the ZPSS-2
building upon the foundation. The sizes of the
slab in plan view were 10 × 10 m, and the thick-
ness was 6 m. Under the slab, there were seven
tiers of TAM pipes through which compensation
grouting was carried out (in accordance with the
research program): at first, a permeation grout,
and then, a viscous compensation grout was used
(Fig. 7).
Figure 7. Test area in section.
433
Preliminary calculations show that, during
numerical modeling, distribution of the compensa-
tion grouting volume (changes in the form and vol-
ume of finite elements modeling the grouting area)
depends on elastic characteristics and stress condi-
tion of adjacent finite elements modeling the soil
mass. The grouting volume always corresponds to
the set value of the initial deformation coefficient
for the increment under consideration. According
to the analysis of grouting area development, in
the process of compensation grout injection, the
greatest area of displacement of soil points forms
above the TAM, increasing with a grouting vol-
ume increase. The increase in this volume results
in gradual lifting of the foundation slab mock-up
and points of its projection on the ground surface.
Figure 8 shows a design finite element frag-
ment and isofields of vertical displacements at
completion of foundation slab mock-up lifting.
Distribution of displacement isofields above the
slab shows that lifting of slab points was uneven.
During the works, at each increment of compensa-
tion grouting, design and actual values of vertical
displacements of slab benchmarks were regularly
conducted, which allowed determining the con-
stant adjustment coefficient considering losses in
the compensation grouting volume due to water
loss and shrinkage.
Such work sequence made it possible to accu-
rately predict dependence between the compen-
sation grouting volume and foundation slab
mock-up lifting (Fig. 9). Accurate prediction, in
its turn, ensured controlled lifting of the mock-up
where an individual lifting mode was set for each
slab facet.
Figure 8. Isofields of vertical displacements at lifting
completion (a part of the design finite element diagram
is not shown conventionally).

Figure 9. Design and actual graphs of dependence
between the compensation grouting volume and founda-
tion slab mock-up lifting.
2 CONCLUSION
1. The studies conducted have confirmed that the
finite element method (FEM) allows designing
geotechnical processes occurring at controlled
compensation grouting with a high degree of con-
fidence. The results of numerical modeling allow
determining the lift and tilt of the ZPSS-2 founda-
tion slab mock-up at all stages of lifting depending
on the set sequence and the volume of the chosen
grouting areas, as well as analyzing the effect that
compensation grouting has on the stress-strain
state of both the soil mass and structures.
2. The results of the studies have demonstrated
the correlation of design prediction for stress
formation under the foundation slab mock-up
and its displacement with the actual readings of
PPTs and vertical displacements of benchmarks.
3. For the period of the studies, maximum dis-
placements summarized for all stages of the
works during foundation slab mock-up lifting
amounted to 468 mm, which corresponds to the
design effective volume of the injected grouts
under the foundation slab.
4. The controlled compensation grouting process
also allows changing the spatial position of the
foundation slab mock-up during lifting.
REFERENCES
Bellendir, E.N., Aleksandrov, A.V., Zertsalov, M.G. &
Simutin, A.N. 2016. Building and structure protection
and leveling using compensation grouting technology.
Gidrotekhnicheskoe Stroitel’stvo, 2: 15–19.
Bezuijen, A. 2010. Compensation grouting in sand: Exper-
iments, field experiences and mechanisms. Zutphen:
Wörmann Print Service.
434
Bezuijen, A., Kleinlugtenbelt, R. & van Tol, A.F. 2006.
Laboratory tests, compaction or compensation
grouting. In: Ng, C.W.W., Zhang, L.M., Wang, Y.H.
Physical Modelling in Geotechnics, 6th ICPMG’06, 1:
1245–1251. London: Taylor & Francis Group.
Eisa, K. 2008. Compensation grouting in sand. PhD the-
sis. Cambridge: Cambridge University, Geotechnical
Engineering Group.
Institution of Civil Engineers, 1996. Sprayed concrete
linings (NATM) for tunnels in soft ground. London:
Thomas Telford.
Kharchenko, I.Ya., Merkin, V.E., Simutin, A.N. &
Zertsalov, M.G. 2015. Application of compensation
grouting technology for protection of buildings and
constructions during tunneling. Transport Construc-
tion, 1: 6–9.
Knitsch, H. 2008. Visualization of relevant data for com-
pensation grouting. Tunnel, 3: 38–45.
Makovskiy L.V. & Kravchenko V.V. 2008. The use of
compensation grouting in the construction of under-
ground structures in complex urban conditions. In:
Merkin, V.E. (ed.) Transport Tunneling. Current Expe-
rience and Future Developments: Collection of Scien-
tific Works, 112–120. Moscow, TsNIIS.
Merkin V.E. & Makovskiy L.V. 1997. Forward-looking
experience and trends in modern tunnel construction.
Moscow: TIMR.
Pleithner, M. & Bernatzik, W. 1953. A new method of
compensating settlement of buildings by injections of
cement grout [Nouveau procédé de remise à niveau de
bâtiments affaissés au moyen d’injections de ciment].
In: Proceedings of the Third International Confer-
ence on Soil Mechanics and Foundation Engineering,
Switzerland, 16–27 August, 450–453.
Raschendorfer Yu., Zhukov V.N. & Mayer K. 2008.
Compensation grouting as a method of ensuring sta-
bility of buildings and structures at tunnelling. Metro
i Tonneli, 4: 26–28.
Schweiger, H.F., Falk, E. 1998. Reduction of settlements
by compensation grouting—numerical studies and
experience from Lisbon underground. In: Tunnels and
Metropolises, 1047–1052. Rotterdam: Balkema.
Simutin A.N. 2015. Methods for calculation of compen-
sation grouting parameters to control deformations in
buildings and structures bases. PhD Thesis in Engi-
neering. Moscow: Moscow State University of Civil
Engineering.
Smirnova, G.O. & Golubev, V.G. 2003. Compensation
grouting during excavation of the Lefortovo tunnel
under the Alekseevsky school. In: Smirnova, G.O.
(ed.) Special Operating Techniques and Materials Used
in the Construction of Municipal Transportation Tun-
nels. Collection of Scientific Works, 120–130. Moscow:
TsNIIS.
Zertsalov M.G., Simutin A.N. & Aleksandrov A.V. 2017.
Application of the compensation grouting technology
at eliminating excess base deformations in hydraulic
structures (case study of the Neckar hydroelectric
complex). Gidrotekhnicheskoe Stroitel’stvo, 4: 47–51.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Prediction of axial bearing capacity of piles by SPT and

PMT-based approach

A.Zh. Zhussupbekov & A.R. Omarov

L.N. Gumilyov Eurasian National University, Astana, Kazakhstan

V.N. Kaliakin
University of Delaware, Newark, USA

ABSTRACT: The prediction of the axial capacity of piles has been a challenge since the beginning of
the geotechnical engineering profession. In recent years determining bearing capacity of piles from in-situ
testing data as a complement of static and dynamic analysis has been used by geotechnical engineers. The
Standard Penetration Test (SPT) is still the most commonly used in-situ test and pile capacity determina-
tion by SPT is one of the earliest applications of this test. Standard Penetration Test (SPT)-based design
methods for pile foundations have been little applied used in Kazakhstan practice. The local application
has seldom been examined, particularly for the thick deposits, such as in the Esil River area. This paper
examines the applicability of SPT-based method to deep clayey, sandy soils. Prior to the construction of
engineering structures, site investigation is required in order to determine the suitability of the site for the
intended structure. The results of the investigation furnish information on the engineering properties of
earth materials and groundwater conditions of the site. During the field exploration phase, in situ engi-
neering field tests are carried out. These include Standard Penetration Tests (SPT) and Pressure Meter
Tests (PMT). The hammer blow counts, disturbed and undisturbed soil samples collected during the
test are processed and interpreted. The interpreted results are used to estimate the relative density, shear
strength of soils and the bearing capacity. Based on these estimates, recommendations for foundation
design and construction of civil engineering structures can be made.

1 INTRODUCTION

The site considered in this paper, referred to as the

Keruen 2 site, is located in the Kazakh capital city
of Astana. The site elevations do not vary; the site
is thus almost flat with average ground elevation
of 347.0 m. The site covers a total area of approxi-
mately 14,850 m2. According to information from
the preliminary architectural and structural draw-
ings, the planned project at the site consists of
a 14-story tower structure and a podium. The
tower, which will be approximately 90.6 m from
final ground elevation, will be devoted to office
space. The podium has two basements and two
shopping mall levels, as well as one roof floor.
Figure 1 shows the structure planned for the
Keruen 2 site.
According to site investigations, rock layers are
encountered at depths ranging from 9.0 to 13.0 m.
Above the rock layers are sandy/gravelly/silty clay,
silty/gravelly/clayey sand and sandy gravel layers. Figure 1. Structure planned for the Keruen 2 site.

435
2 ROCK MASS ASSESSMENTS

A preliminary assessment of the site was made

using the Rock Mass Rating (RMR) System
(Bieniawski, 1976) and the Rock Tunneling Qual-
ity Index (Barton et al. 1974).
The RMR is a geomechanical classification sys-
tem for rocks that combines the most significant
geologic parameters of influence and represents
them with one overall comprehensive index of rock
mass quality. This index is then used for the design
and construction of excavations in rock.
The following six parameters are used to clas-
sify a rock mass using the RMR system: 1) Uniax-
ial compressive strength of rock material, 2) Rock
quality designation (RQD), 3) Spacing of disconti-
nuities, 4) Condition of discontinuities, 5) Ground-
water conditions, 6) Orientation of discontinuities.
Based on the results of field surveys and labora- Figure 2. Estimated support categories based on the
tory tests, each of the above parameters is assigned Rock Tunneling Quality Index Q (after Grimstad and
a value corresponding to the characteristics of the Barton 1993).
rock. The sum of the six parameters is then the
“RMR value”, which can range from 0 to 100.
Based on tests performed om material from the 1.5, 3 and 0.66 were used for Jn, Jr, Ja, and Jw, respec-
Keruen 2 site, the uniaxial compressive strength tively. Finally, a SRF value of 5 was chosen based
was found to be approximately 92 MPa. This on Barton et al. (1974). Thus, for the Keruen 2 site,
corresponds to a rating for this parameter of 7
(Bieniawski 1989). The drill core quality RQD was 21 1.5 0.66
Q= × × = 0.231 (2)
approximately 21%, which corresponds to a rating 6 3.0 5
of 3. The spacing of discontinuities was in the range
between 60 mm and 200 mm, which corresponds to As evident from Figure 2, the Q value of
a rating of 8. The condition of discontinuities was 0.231 indicates that the rock mass falls in the “Very
observed to be similar to “Slickensided surfaces or Poor” category.
Gouge < 5 mm thick or Separation 1–5 mm Con-
tinuous” (Bieniawski 1989); the associated rating
is thus 10. Since the groundwater conditions were 3 STANDARD PENETRATION TESTS
observed to be “damp”, the associated rating was
10. Finally, the adjustment for joint orientation for The soils at the Keruen 2 site were next assessed
foundations resulted in a rating of −2. Summing all using the Standard Penetration Test (SPT). SPTs
of the ratings gives an RMR value of 36. This, in were performed in clayey and sandy soil layers
turn, corresponds to a rock quality rating of “poor” with regular intervals of 1.5 m using rotary drill-
(Bieniawski, 1976). ing equipment in accordance with ASTM D-1586.
The second rock mass assessment that was per- The number of blows to advance the split-spoon
formed was the Rock Tunneling Quality Index (Q), sampling tool into the ground was recorded after
defined as follows: an initial set of 152 mm to ensure the sampling
spoon is in undisturbed material. The number of
blows required to drive the sampler an additional
RQD J r J
Q= × × w (1) 305 mm is taken as the SPT-N value. Refusal of the
Jn J a SRF split spoon sampler is defined by either one of the
following conditions, whichever occurs first:
where RQD is as previously defined, Jn is the joint
– A total of 50 blows have been applied during any
set number, Jr is the joint roughness number, Ja is
one of the three 152 mm increments.
the joint alteration number, Jw is the joint water
– A total of 100 blows have been applied.
reduction number, and SRF is the stress reduction
– No observed advance of the sampler has occurred
factor. The numerical value of Q varies on a loga-
during applications of 10 successive blows.
rithmic scale from 0.001 to a maximum of 1,000.
The aforementioned numerical value of RQD is Figure 3 shows the results of SPTs performed at
used directly in the calculation of Q. Values of 6, the Keruen 2 site.

436

Figure 3. Soil profile and obtained geotechnical param-
eters based on SPT/(N1) 60.
4 FOUNDATION ENGINEERING
CALCULATIONS
According to structural drawings, tower founda-
tion base level will be +336.5 m (estimated founda-
tion thickness of the towers is 1.5 m) and podium
foundation base level will be +337.2 m (estimated
foundation thickness of the podium is 0.8 m).
Therefore, the building foundations at the Keruen
2 site will generally will be constructed on hard
stiff clay soil. Information obtained from logs
from boreholes BH-2 and BH-3 (see Fig. 3) are
thus particularly of interest.
4.1 Bearing capacity
Calculation of the foundation bearing capacity
based on SPT/(N1)60 values from soil profiles
encountered in borehole logs for BH-2 and BH-3.
The bearing capacity of the foundation on soils is
thus estimated for clay soils, which are the most
critical among the soil layers present at the Keruen
2 site.
The bearing capacity of the tower foundation is
computed below. The minimum dimension of the
tower foundation is 20.0 m × 78.0 m and the depth
437
of the basement level (foundation depth) is equal
to Df = 10.5 m (347.0 m to 336.5 m).
For shallow foundations, the bearing capacity
Qult is computed as follows (Terzaghi, 1943):
Qult = K1cNc + γ 1D f Nq + K 2γ 2 BNγ (3)
where K1, K2 are shape factors depending on the
foundation shape (e.g., for a square footing, K1 =
1.3 and K2 = 0.4), c is the effective cohesion for
soil beneath the footing, γ1 is the unit weight of
soil existing above the foundation base level, γ2 is
the unit weight of soil existing below the founda-
tion base elevation, Df is as previously defined,
B is the foundation width (or diameter), and Nc,
Nq, and Nγ are Terzaghi’s bearing capacity fac-
tors. Although Equation (3) is presented in terms
of effective stress, it can likewise be used in a total
stress analysis.
At the Keruen 2 site the groundwater table is
found at a depth of 5.0 m, γ1 = 20.0 kN/m3 and
γ2 = 22.0 kN/m3. Based on test results, c = 260 kPa.
For a total stress analysis with ϕ = 0o, Nc = 5.7, Nq =
1.0, and Nγ = 0.0. Using Equation (3), the bearing
capacity of the foundation is thus
Qult = 1.3 (260 kPa)(5.7 )
+ [ (20.0 kN/ m 3 ) (5.0 m) + (10.0 kN/ m 3 )(5.5 m) ]
= 2137 kPa (4)
If a safety factor of 3.0 is used, the allowable
bearing capacity will be Qall = Qult/3.0 = 712 kPa.
Since the base pressure for the tower structure
is 322.5 kPa, no problems with bearing capacity
are expected. In addition, since the dimensions of
the podium foundation will be larger than for the
tower and the base pressure no greater than for the
tower. Therefore, bearing capacity problem is not
expected for tower structure regarding approxi-
mately estimated base pressure of 322.5 kPa.
Because foundation dimensions of podium will be
larger than tower, it can be concluded that bearing
capacity problem is not expected podium structure
foundations too.
4.2 Settlement of podium
From the foundation base elevations, and based
on borehole elevations, for the podium and tower
the depth of excavation was determined to be a
minimum of 9.8 m and a maximum of 10.5 m. The
relief of pressure resulting from excavated soil was
computed to be approximately 150 kPa. Since the
podium foundation base pressure of 95 kPa is less
than the aforementioned value, settlement prob-
lems are not expected for the podium structure.
Settlement analyses were thus performed only for
the tower structure.
4.3 Calculation of tower settlement based on
SPT/(N1)60 values
Settlement analysis parameters were determined
based on the geometry of the structure and soil
model given in Figure 3. An analysis was then
performed using the so-called “Janbu Tangent
Modulus Approach” in GEO5-Settlement analy-
sis program (Geo5 2018). As seen in Figure 4, the
total settlement at the foundation base of tower
was found to be 4.8 cm.
4.4 Calcuation of tower settlement based on
pressuremeter test results
Foundation dimensions for the tower structure are
given to be B = 20 m by L = 78 m. The estimated
base pressure is 322.5 kPa. The groundwater depth
was again taken as 5.0 m and the excavation depth
was again 10.5 m. In the analyses for tower, taking
in to account of average relief pressure due to exca-
vated soil, the foundation base pressure is approxi-
mately 168 kPa.
The settlement equation associated with the
pressuremeter test (PMT) is (Baguelin et al. 1978).
α
2 1  B α 1
s= qB0  λd + qλc B (5)
9 Ed  B0  9 Ec
where s is the foundation settlement, Ed is the aver-
age modulus obtained from pre-boring pressurem-
eter tests performed within several foundation
widths below the foundation level, q is the net bear-
ing pressure, B0 is a reference width, B is the width
of the foundation, λd and λc are shape factors, α is
a rheologic factor, and Ec is the average modulus
obtained from pre-boring pressuremeter tests per-
formed immediately below the foundation level.
For the tower, Ed = 27373 kN/m2, q = 168 kN/
m2, B0 = 0.6 m, B = 20 m, Ec = 10000 kN/m2. The
rheological factor is possibly equal to 0.33, 0.50, or
0.67. the foundation length is L = 78 m, the excava-
tion for the basements is H = 9 m, the foundation
depth and thickness are Df = 10 m and t = 1.5 m,
Figure 4. Geo 5 settlement results for tower structure.
438
respectively. Sine L/B = 3.9, the shape factors are
λd = 1.96 and λc = 1.35.
Using the three rheological factors in Equation
(5) gives foundation settlements of s = 1.99, 3.18,
and 4.72 cm. The latter value if quite close to the
total settlement of 4.8 cm determined using the
Geo5 computer program (recall Fig. 4). Both of
these values are quite close to the upper limit for
allowable total settlement (5.0 cm) determined for
mat foundations.
Since no settlement is expected in the podium
foundation, the differential settlement between
podium and tower structures would cause exces-
sive stresses in the foundation. In order to prevent
differential settlements, it was recommended that
piles be used as the foundation for the tower.
4.5 Vertical pile capacity calculation
Considering the subsoil properties and the facilities
adjacent to the project site, bored pile are the most
suitable technique for deep foundation construc-
tion. Based on the encountered soil conditions,
allowable vertical bored pile capacities for 80 cm,
100 cm, 120 cm, 150 cm diameter piles, as well as
ones up to a diameter of 25.0 m were evaluated for
the structure. Considering the pile capacity under
the group effect, the minimum center-to-center pile
spacing was recommended to be S = 3.0Ø, where Ø
is the bored pile diameter. The axial capacity of a
pile represented by the following formula,
Qult = Qs + Qt ≤ Qc (6)
where Qs is the capacity of the pile’s skin friction,
Qt is the capacity of the pile tip, and Qc is the com-
pressive strength of the concrete pile itself.
The service loads on piles are initially carried by
the skin resistance; the service loads in excess of
the skin resistance are transferred to the pile tip. In
order to limit pile displacements, only skin friction
values are utilized. Since the capacity of pile tip is
not taken into account Equation (6) becomes
Qult = Qs ≤ Qc (7)
Concrete class should be adequate to provide
the design capacities of pile. Qc values for piles hav-
ing diameters of 80, 100, 120, and 150 cm are 586,
916, 1319, 2062 tonnes, respectively. The concrete
class is taken as being C30.
In the calculations, a factor of safety of 2.0 is
taken for the positive skin friction, providing that
the required loading and/or pull-out tests are
conducted on the adequate number of test piles.
Figure 5 summarizes the allowable pile capacities,
regarding also limit concrete strength values.

Figure 5. Pile capacity plot.
4.6 Spring constant calculations
The vertical spring constant to be used for design of
an 80 cm diameter pile 10 meters in length could be
taken as kv = 80.000 t/m up to 400 tonnes allowable
pile capacity. After this limit load, plastic vertical
pile deformations would be expected (see Fig. 5).
For the aforementioned pile, 1% reinforce-
ment would enable to increase the ultimate bend-
ing moment to approximately 500 kN-m. The
lateral force causes this moment is calculated to be
30 tonnes. The deformation calculated for 30 tonnes
lateral load is 0.95 cm. The horizontal spring
439
constant to be used for design of 80 cm diameter,
10-meter long pile should thus be taken as kh = 3.100
t/m up to 30 tonnes. After this limit load, plastic
horizontal pile deformations would be expected.
4.7 Uplift pile capacity calculations
The pile capacity that would be used against uplift
forces should be taken as 80% of positive pile
capacity. Thus, 80 cm diameter, 10 m long piles
have 400 × 0.8 = 320 tonnes of uplift capacity. The
uplift pressure at the foundation bottom elevation
is calculated to be 88 kPa. Adopting a factor of
safety against uplift pressure equal to 1.20, and
recalling that the podium level has an assumed
base pressure under the foundation of 95 kPa, it
follows that 1.20 × 88 – 95 = 11 kPa uplift pres-
sure needs to be taken into account. This allows
a very large grid for 80 cm diameter piles under
podium structure. The calculated grid distance is
17.0 m for uplift. However, this is very large and
might cause increases in the foundation thickness
and/or in the amount of reinforcement in the foun-
dation. The suggested grid distance of these piles
against uplift is 7.0 m, considering the width of the
foundation. The foundation reinforcement should
also be checked against the stresses that would be
developed by the uplift force and if necessary the
grid distance could be reduced more. There will be
no group effect since the grid distance is greater
than three times the diameter of piles.
Allowable pile capacity values could be
increased further 33% under earthquake/wind
loading, according to IBC. Two static load tests on
the working piles up to 1.50 times working load are
suggested for verification. Otherwise the factor of
safety should be increased to 3.0. The final founda-
tion design should be done using the final design
loads and the dimensions for the subject structures
using the same procedure of pile capacity calcula-
tions and the recommended geotechnical model. If
it is deemed necessary, a more complicated model
considering the contribution of the mat resting on
subsoil could be considered.
A detailed pile/instrumentation and monitoring/
earthworks technical specifications should be
prepared prior to construction. Considering the
importance of the building, it is recommended
that the long-term performance be monitored by
means of installed instrumentation for a minimum
of 10 years.
5 CONCLUSIONS
The site considered in this paper, referred to as
the Keruen 2 site, is located in the Kazakh capi-
tal city of Astana. The topography of the site is
almost flat, with an average ground elevation of
347.0 m. The site covers a total area of approxi-
mately 14,850 m2. According to information from
the preliminary architectural and structural draw-
ings, the planned project at the site consists of a
14-story tower structure and a podium. The tower,
which will be approximately 90.6 m from final
ground elevation, will be devoted to office space.
The podium has two basements and two shopping
mall levels, as well as one roof floor.
According to site investigations, rock layers are
encountered at depths ranging from 9.0 to 13.0 m.
Above the rock layers are sandy/gravelly/silty clay,
silty/gravelly/clayey sand and sandy gravel layers.
The value of RMR of 36 indicates that the rock
mass is on the ‘Poor rock’ categories. The value of
Q of 0.231 indicates that the rock mass is on the
‘Very Poor rock’ categories.
Standard Penetration Tests were performed in
clayey and sandy soil layers with regular intervals
of 1.5 m using rotary drilling equipment. Calcula-
tion of the foundation bearing capacity was based
on SPT values from soil profiles encountered in
logs for boreholes BH-2 and BH-3.
Based on the SPT results and using Terzaghi’s
equation, no problems with bearing capacity under
the tower and podium are expected.
Using the pressuremeter testing, foundation set-
tlements of 1.99, 3.18, and 4.72 cm were determined,
based on the value of the rheological factor α.
The uplift pressure at the foundation bottom
elevation is calculated to be 88 kPa (Max GWT =
1.0 m, foundation depth = −9.8 m). The podium
level assumed base pressure under the founda-
tion is 95 kPa. Since there is an uncertainty in the
assumed podium level base pressure, it can be con-
cluded that there is a risk of uplift since the factor
of safety for uplift FSuplift = 95/88 = 1.08 < 1.20.
Therefore, piles to prevent uplift are suggested for
the foundation design.
Based on the encountered soil conditions,
allowable vertical bored pile capacities for 80 cm,
440
100 cm, 120 cm, 150 cm, and dia. up to 25.0 m are
evaluated for the structures. Considering the pile
capacity under the group effect, minimum pile
spacing for granular soil (center to center) is rec-
ommended as S = 3.0x Ø, where Ø is the bored pile
diameter.
The concrete class used for the piles should be
adequate to provide the design capacities of pile.
Two static load tests on working piles up to 1.50
times the working load are thus suggested for veri-
fication. Alternately, the factor of safety should be
increased to 3.0.
REFERENCES
ASTM D1586-11, Standard Test Method for Standard
Penetration Test (SPT) and Split-Barrel Sampling of
Soils, ASTM International, West Conshohocken, PA,
2011, www.astm.org.
Baguelin, F., Jezequel, J.F., Shields, D.H. 1978. The Pres-
suremeter and Foundation Engineering, Trans Tech
Publications.
Barton, N.R., Lien, R. and Lunde, J. 1974. Engineering
classification of rock masses for the design of tunnel
support. Rock Mech. 6(4), 189–239.
Bieniawski, Z.T. 1973. Engineering classification of
jointed rock masses. Trans Soc. Afr. Inst. Civ. Engrs
15, 335–344.
Bieniawski, Z.T. 1976. Rock mass classification in rock
engineering. In Exploration for Rock Engineering,
Proc. of the Symp., (ed. Z.T. Bieniawski) 1, 97–106.
Cape Town: Balkema.
Bieniawski, Z.T. 1989. Engineering Rock Mass Classifica-
tions. New York: Wiley.
Geo5. 2018. Geotechnical Engineering Software. Fine
Civil Engineering Software, Praha, Czech. Republic.
Grimstad, E. and Barton, N. 1993. Updating the Q-Sys-
tem for NMT. Proc. int. symp. on sprayed concrete
– modern use of wet mix sprayed concrete for under-
ground support, Fagernes. 46–66. Oslo: Norwegian
Concrete Assn.
Terzaghi, K. 1943. Theoretical Soil Mechanics, Wiley,
New York.
 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

3D modelling of cast-in-place anchored beamless trench wall with edge

elements of different topology

V.V. Znamenskiy, E.B. Morozov & D.Y. Chunuk

Moscow State University of Civil Engineering (National Research University), Moscow, Russia

D.A. Pekin
INV-STROY LLC, Moscow, Russia

ABSTRACT: The article presents the analysis of an anchored beamless cast-in-place trench wall. In the
usual practice, the analysis in question is 2D and sees trench wall as a continuous longitudinal structure,
failing to consider the vertical joints between work zones, the non-interaction between horizontal longi-
tudinal reinforcement of adjacent frames, the reducing stiffness of the trench wall due to two-directional
cracking, and the inelastic behavior of the compressive zone of the concrete. Performed as part of a devel-
opment project in Moscow, the calculation of the anchored beamless cast-in-place trench wall have shown
that failure to take into account the above features of its behavior may lead to a largely distorted stress
and strain state of the entire shoring during the erection and operation, and hence wrongly selected rein-
forcement of the shoring. The Midas GTS NX 2018-assisted structural calculations involved elements of
various topology (2D and 3D) and used a three-dimensional problem. Alon with shoring design diagram,
description is given in the article of the geoengineering and hydrogeological conditions of the construc-
tion site. The calculation data is presented in the form of isofields of horizontal and vertical displacements
of the trench wall, and normal stresses in its planes for different simulation cases. Based on the results of
the numerical modelling, a cast-in-place shoring design model is recommended that makes allowance for
the actual stress and strain state.

1 INTRODUCTION and installing of 3 tiers of temporary prestressed

In the analysis presented herein, we calculated the
behavior of an anchored beamless trench wall.
The practice of modeling the designs of shor-
ing of excavations with different software shows
that a number of important behavioral parameters
remain neglected, leading to a major distortion of
the actual stress and strain state of the trench wall
during erection and operation and, hence, wrongly
selected reinforcement options.
One such shoring of excavation was calculated
as part of a development project in Moscow. This
excavation is shored with a cast-in-place ferrocon-
crete trench wall (concrete grade B40) with a thick-
ness of 600 mm, depth of 21.5 m, reinforced with
space frames of A500C rods. The trench wall has
its bottom end embedded in a waterproof layer
to the depth of 3.85–5.95 m, which makes it work
like an advanced cutoff design. The top of the wall
abuts a 600 × 700(h) mm cast-in-place ferrocon-
crete framing beam. The stability of the trench
wall during excavation is ensured by embedding it
5.95 m deeper than the bottom of the excavation
injection anchors with horizontal spacing of 1.5 m.
2 MATERIALS AND METHODS
Geologically, the excavation site is composed of
modern soil, recent industrial deposits, upper qua-
ternary covering deposits, middle quaternary flu-
vioglacial deposits of the Moscow horizon, and
middle quaternary morainic deposits of the Mos-
cow and Don horizon.
The modern soil is a 0.2 m thick layer of soil
and vegetation.
The recent industrial deposits (EGE-1) occur at
a depth of 0.3–3.2 m and are composed of filled
soils—the stiff, uncaked clay loam with 5% con-
struction waste.
The upper quaternary covering deposits are com-
posed of 0.4–3.2 m thick semi-solid, fissile clayey
loam interlain with stiff, solid clay loam (EGE-2).
The middle quaternary fluvioglacial deposits of
the Moscow horizon are composed of clayey soil
and sand:

441
– 0.5–3.7 m thick, medium density, medium and
highly water saturated sandy silt, with layers of
elastic clay loam and clayey sand and rare occur-
rences of gravel (EGE-3);
– 0.6–5.2 m thick, highly elastic sandy loam with
10% gravel and landwaste (EGE-4);
– 0.4–6.5 m thick, stiff sandy loam with layers of
semi-solid clayey soil and 10% gravel and land-
waste (EGE-5).
The middle quaternary morainic deposits of the
Moscow horizon are composed of clayey soil and sand:
– 0.5–9.5 m thick, semi-solid sandy loam, with
layers of solid clayey soil, semi-solid clay, and
10% gravel and landwaste (EGE-6b); and
– 0.3–6.0 m thick, dense, water saturated gravel
sand with layers of silty sand and lenses of
gravel (EGE-7b).
The middle quaternary morainic deposits of the
Don horizon are composed of 3.5–18.6 m thick,
Figure 1. Excavation shoring design.
Figure 2. Trench wall design scheme: a – general configuration, b – an image of anchored trench wall.
442
solid calcareous clay loam with 30% gravel and
carbonous landwaste.
Hydrogeologically, the site has three ground-
water reservoirs of Intermoranial and Jurassic
period. The Intermoranial groundwater occurs
at a depth of 5.5–13.9 m and the Jurassic one at
28.0–31.7 m.
The geological profile of the site with installed
trench wall is shown in Figure 1.
To analyze the influence of the above mentioned
factors on the results of trench wall design calcu-
lation, we performed a series of 3D calculations
with Midas GTS NX 2018, which used 4-node
planimetric rectangular and 8-node volumetric
prismatic finite elements to model the cast-in-place
ferroconcrete trench.
Stage one involved modelling the trench wall
design according to the conventional method
which used planimetric finite elements based on
plate bending theory and made allowance for the
initial modulus of elasticity of concrete due to
the crack opening and the inelastic behavior of
concrete in its compressive zone, which is known
to reduce the bending stiffness and distribution-
sharing capacity of shoring designs. The dimen-
sions of the design model, inclusive of the soil
(41 × 36 m), were assumed so that calculation
results could not be influenced by the bound-
ary conditions. The trench wall model consisted
of plate elements (0.25 × 0.25 m). Anchors were
modelled with rod finite elements. The design
model had a width of 9 m. The resultant model
allowed the stress and strain state to be analyzed
across the “anchor-trench wall-soil mass” system,
taking into account its three-dimensional behav-
ior and the key stages of excavation work. The
isofields of the displacements and the normal
vertical and horizontal stresses occurring across
the structural planes after excavation are shown
in Figures 2–9.
Figure 3. Isofields of displacements in the trench wall: a – horizontal displacements, b – vertical displacements.

Figure 4. Isofields of normal vertical stresses across the planes of the trench wall: a – due to soil, b – due to excavation.

Figure 5. Trench wall design scheme (3D finite element model): a – general configuration, b – an image of anchored
trench wall.

443
Figure 6. Isofields of normal horizontal stresses across the planes of the trench wall: a – due to soil, b – due to excavation.

Figure 7. Isofields of displacements in the trench wall (3D fi-nite element model): a – horizontal displacements,
b – vertical displacements.

Figure 8. Isofields of normal vertical stresses across the planes of the trench wall wall (3D finite element model):
a – due to soil, b – due to excavation.

444
Figure 9. Isofields of normal horizontal stresses across the planes of the trench wall wall (3D finite element model):
a – due to soil, b – due to excavation.
Since our design did not use spreader beams and
for this reason the resultant vertical and horizontal
internal stresses of the trench wall turned out high,
of special concern was the quantity of horizontal
reinforcement in space frames and its complete
absence in middle part of work zones.
3 RESULTS
The 3D calculation of the strength and stability of
the trench wall that used planimetric (2D) finite ele-
ments did not result in the actual stress and strain
state of the shoring of excavation with regard to
all of the drawbacks mentioned above. So, a new
series of calculations was conducted.
In the subsequent design model, the cast-in-
place trench wall modeled with volumetric (3D)
finite elements and at the parameters analogous to
the those used in the previous model. The dimen-
sions of the 3D finite elements were 250 × 250 ×
50(t) and 250 × 250 × 250(t) mm.
The analysis of the stress and strain state and
the comparison of the calculated results have
shown that the maximum horizontal displace-
ments obtained with 2D finite element model
(Fig. 3a) equaled 27 mm and were significantly
higher than those obtained with 3D finite element
model (Fig. 7a), which equaled 14 mm. Moreo-
ver, their isofields indicate a great difference: The
zones of maximum horizontal displacements do
not coincide in the structural height.
Significant qualitative and quantitative differ-
ences are also evident between the normal stresses
across the planes of the wall, as can be seen
from Figures 4 and 5 (2D finite element model)
Figures 8 and 9 (3D finite element model).
445
It should be noted that the ferroconcrete shoring
structure under analysis is classified, according to
subsection 3.15 of Building Code 63.13330.2012,
as a massive ferroconcrete design (1 m2/0.6 m3 =
1.67 ≤ 2) and therefore requires, under the provi-
sions of subsections 5.1.2 and 5.1.13 of Building
Code 63.13330.2012, the ultimate and serviceability
limit state analyses. At the same time, the stress and
strain state is to a large extent described by the yield
in the vertical plane perpendicular to the horizon-
tal longitudinal axis of shoring, which is in many
respects similar to the behavior of a flat-slab multi-
span continuous deck with unidirectional beams
(horizontal spread beams) or a similar beamless
design experiencing the evenly or (occasionally)
abruptly increasing load due to the lateral pressure
of soil and groundwater and the unilateral displace-
ment of its anchors. In this regard, the comparison
of the results obtained with 2D and 3D finite ele-
ments analyses that make allowance for the flexural
components of the stress, is a highly relevant task.
4 CONCLUSIONS
1. When calculating the designs of cast-in-place
ferroconcrete trench walls devoid of horizontal
spreader beams, it is important to take into con-
sideration their three-dimensional behavior and,
specifically, that they bend in two directions and
that 2D FEM and 3D FEM will produce two
different pictures of their stress and strain state.
2. The normal stresses in the vertical and horizon-
tal planes of the trench wall that are obtained
with 2D modelling (Figs. 4 and 5) differ largely
from those obtained with 3D modelling (Figs. 8
and 9) – due to the assumptions of the plate
 bending theories (static and kinematical hypoth-
eses). Also, a significant influence on the results
of the shoring design calculations that are
workflow-based can be caused by geometrical
nonlinearity. The stress and strain state of the
anchors (higher in the 2nd tier and lower in
the 3rd tier) which has been obtained with 3D
modeling and as compared to the 2D model ling
results, evidences the occurrence of the bending
moments in the above-support areas which tend
to decrease rapidly in the areas near the anchors.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Efficiency of determining bearing capacity of soil fills using the

LFG (LWD) dynamic plate

M. Rajczyk & J. Rajczyk

Czestochowa University of Technology, Czestochowa, Poland

ABSTRACT: The present paper presents an analysis of methods for measurements of soil deformation
parameters, i.e. E1, E2, Evd, I0, Is determined using the VSS plate method compared with the use of the
LFG (LWD) dynamic plate method. The study addresses a correlation between measured soil properties
(using VSS and LFG (LWD) methods). It is noted that a cautious approach is required when the dynamic
modulus Evd is compared to the deformation index I0 and the compaction index Is, which follows from
static relationships determined according to the VSS method.

1 INTRODUCTION layers has been assessed using dynamic plates,

Soil fill is a soil structure used for construction
of road pavements, road embankments, etc. The
quality of their operation, which evaluates the
parameters of material selection and the degree of
soil compaction, depends on their homogeneity.
Adequate compaction of layers in a soil fill guar-
antees its long-term operation. In case heteroge-
neity occurs in a soil fill, affecting its mechanical
strength, its durability can significantly decrease or
even lead to an accident. One of the methods for
rapid assessment of compaction degree parameters
is the use of the dynamic light-weight plate LFG
(LWD). As this method (as a new method to assess
compaction parameters) has been introduced in
practice relatively recently, it is often necessary
to compare results of measuring parameters and
assessing soil compaction by the selected param-
eters in different ways adapted to the requirements
of standards in a particular country.
2 STANDARD REQUIREMENTS FOR
DETERMINATION OF SOIL BEARING
CAPACITY
In Poland, the requirements for determination of
soil bearing capacity of soils are described in State
Standard PN-S-02206: 1998 “Motor roads”. The
standard requires studying bearing capacity of a
soil fill using a complex method for determination
of the secondary soil deformation modulus with
the help of the VSS device. Unfortunately, those
tests are time-consuming as they do not provide
an immediate measurement result. Over the last
years, in Polish laboratories, compaction of soil fill
which allow performing a test in three minutes (per
one point of measurement). With this test, it is
possible to obtain information about the soil com-
pression parameter Evd, based on determination of
a relationship between compaction and the deflec-
tion (upon settlement). It is also required to find
the correlation coefficient, which allows determin-
ing bearing capacity by establishing relationships
between the applied and control methods, depend-
ing on bearing capacity of a soil fill, which were
analyzed based on field tests described by various
researchers (Kumor & Kumor 2016, Kumor et al.
2013, Łupieżowiec & Syma 2014, Nagórski et al.
2009) and in ZTVE-StB 94 “Supplementary tech-
nical terms and conditions of contract and guide-
lines for earthworks in road construction”.
Tests with the use of the VSS plate include
measuring vertical deformation of a soil layer
under pressure generated by a steel circular plate
with a diameter D of 300 mm. Such tests with the
use of a rigid plate allow determining the primary
soil deformation modulus E1, defined in the first
soil layer loading cycle, and the secondary soil
deformation modulus E2, analytically defined dur-
ing repeated soil layer loading.
Soil deformation is the product of the ratio of
increasing the specific load to the deformation
increment of the tested soil layer. In a given range
of increasing units of specific loads, in a certain
range of loads multiplied by 0.75 the diameter of
the plate in accordance with the formula:
3⋅ ∆p  N 
E= ⋅D  m 2  (1)
4 ⋅ ∆s
where:

447
Figure 1. Diagram of the deformation/stress depend-
ence determined by the VSS method.

∆p – difference in pressures (N/m2),

∆s – settlement increase corresponding to the
differential pressure (m),
D – plate diameter (m).
An approximate diagram as a result of measure-
ments when determining the deformation modu-
lus of a soil layer using the VSS plate is shown in
Figure 1.
To assess compaction of soil layers for tech-
nical evaluation of works acceptance, tests with
the use of the VSS plate, involving two loading
cycles, are performed. The first with an initial
load of 0.02 MPa, with an increase in pressure to
0.05 MPa, then in increments of 0.05 MPa to the
total final value. On the basis of calculations from
the given loads of the value of the primary module
E1 of the secondary module E2. The method is Figure 2. LFG dynamic light-weight plate (Geolab
called LFG (LWD) method It allows determining 2018).
the elastic deflection modulus, and then the indica-
tor I0 = E2/E1 is determined.
As it was mentioned above, those tests are time-
soil, allows determining the dynamic deformation
consuming, therefore, as an alternative to studying
modulus according to the following equation:
soil layers, dynamic plates are used, where soil is
affected by impact load caused by the drop weight
and the overload is measured in the center of the 1.5 ⋅ r ⋅ δ  N 
Evd =  m 2  (2)
plate based on the maximum deflection upon s
dynamic deformation of the plate Evd in accord-
ance with the procedures described in the specifica- where:
tions of the German LFG (LWD) tool (ZTVE-StB r – plate radius (m),
94 “Supplementary technical terms and conditions δ – soil stresses (N/m2),
of contract and guidelines for earthworks in road s – amplitude of soil deformation under the
construction”). plate, mm (determined as the average of three
measurements).
A comparison of the test results by the method
3 DETERMINATION OF THE DYNAMIC described in technical standards (ZTVE-StB 94
DEFORMATION MODULUS OF A “Supplementary technical terms and conditions
SOIL LAYER of contract and guidelines for earthworks in road
construction”) for determination of soil layer com-
To determine the dynamic deformation modulus paction using the LFG (LWD) dynamic plate and
Evd of a soil layer, the dynamic light-weight plate the VSS plate is presented in Table 1.
LFG (LWD) is used (Fig. 2). As it was mentioned above, the VSS plate test
The LFG (LWD) measurement tool, shown in it time-consuming as it requires assembly and
Figure 2, with the use of impact load imposed on installation on the vehicle frame at a construction

448
Table 1. Values of the dynamic modulus Evd, secondary modulus E2 and compaction index Is (ZTVE-StB 94
“Supplementary technical terms and conditions of contract and guidelines for earthworks in road construction”).

Soil type according to Compaction Secondary load deformation Dynamic soil deformation
DIN 18196 index Is modulus E2 (MPa) modulus Evd (MPa)

GW, GI ≥ 103 ≥ 120 ≥ 60

/gravel/ ≥ 100 ≥ 100 ≥ 50
≥ 98 ≥ 80 ≥ 40
≥ 97 ≥ 70 ≥ 35
GE, SE, ≥ 100 ≥ 80 ≥ 40
SW, SI ≥ 98 ≥ 70 ≥ 35
/slightly ≥ 97 ≥ 60 ≥ 32
grained
gravel, sands/
Mixed and ≥ 100 ≥ 45 ≥ 25
fine-grained ≥ 97 ≥ 30 ≥ 15
soils ≥ 95 ≥ 20 ≥ 10

site. Therefore, this method cannot be applied in 5 CONCLUSION

trenches. Moreover, it requires the processes to
be stopped for the time of studies, which, in turn,
reduces work efficiency. Besides, it is associated with
a high probability of errors occurring in evaluation
of readings. In other words, the new test method
meets the requirements of specialists in terms of
assessing conditions of construction processes.
4 EVALUATION OF MEASUREMENT
RESULTS OBTAINED WITH THE USE
OF THE LFG (LWD) DYNAMIC PLATE
AND THE VSS PLATE
The use of the dynamic plate allows for quick
assessment of soil and soil fill compaction. The
required value of the modulus Evd is derived from
the static relationships established with the use of
the VSS method, which requires performing spe-
cific tests to obtain refined correlations for individ-
ual soil types, using physical models with account
for geometric parameters of the relations. There-
fore, a cautious approach is required in determina-
tion of limit values for practical application with
the use of the LFG (LWD) dynamic light-weight
plate to assess the soil compaction degree.

The use of the dynamic plate to measure soil

bearing capacity compared to the use of the VSS
slab indicates that the new tool is extremely effi-
cient and able to speed-up the process. However,
it is important to interpret test results accurately.
Determination of the maximum dynamic modulus
Evd requires establishing a clear correlation with
standard parameters obtained according to tests
conducted with the use of the VSS plate, where
the E1, E2 parameters are determined. This issue
is addressed by various researchers (Elhakim et al.
2014, Hossain & Apeagyei 2019, Kumor & Kumor
2016, Lee & Salgado 2000, Łupieżowiec & Syma
2014, Tompai 2008).
According to some sources (Gorączko 2014,
Nagórski 2009, Szpikowski 2005) and PN-S-02205:
1998 “Motor roads. Earthworks, requirements and
tests”, it is reasonable to determine static relation-
ships between E2 and Evd. Both parameters are
related to stiffness and deformation. It is impracti-
cal to compare the dynamic modulus Evd with the
deformation index J0 and compaction index Is.
REFERENCES
Elhakim, A.F., Elbaz, K. & Amer, M.I. 2014. The use of
light weight deflectometer for in situ evaluation of sand
degree of compaction. HBRC Journal 10 (3): 298–307.
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tions between compaction parameters for a road bed
made of crushed aggregate [Korelacje parametrów
zagęszczania podbudowy drogowej z kruszywa
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reports/pdf/10-r6.pdf.
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Środowiska 4: 271–279.

449
Kumor, Ł.A. & Kumor, M.K. 2016. Changes in mechani-
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tional compaction of embankment. Transportation
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plate in acceptance of road bed and road pavement
layers’ construction works [Wykorzystanie płyty
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warstw nawierzchni konstrukcji drogowej]. Magazyn
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Nagórski, R., Prengere, A., Pujol, F. & Styk, S. 2009.
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Szpikowski, M., Dreger, M. & Przygoda, M. 2005. Tests
and determination of correlations to assess compac-
tion and bearing capacity of non-cohesive (loose)
soils using the dynamic plate [Badaniae i ustalenie
zależności korelacyjnych dla oceny stanu zagęszczania
i nośności gruntów niespoistych płytą dynamiczną.
Instytut Badawczy Dróg i Mostów]. Warsaw: Institute
of Geotechnics.
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plate light falling weight deflectometer. Periodica Pol-
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Concerning the use of soil deformation modulus in geotechnical design

E.S. Utenov & A.T. Mukhamedzhanova

Karaganda State Technical University, Karaganda, Republic of Kazakhstan

S.K. Abildin
KaragandaTekhnoServis LLP, Karaganda, Republic of Kazakhstan

ABSTRACT: Results of a critical analysis of existing approaches to selection of soil deformation mod-
ulus used in calculation of settlements in designed foundations are presented. The importance of increas-
ing accuracy of its determination to ensure reliability, efficiency, and safety of buildings and structures
being erected is shown. Main reasons for divergence between compression and plate deformation moduli
of soil are examined. It is noted that uncertainty of traditional methods in selection of adjustment factors
between their values contributes to the risk of emergency situations at constructed facilities. To improve
accuracy of determining deformation modulus, an idea of harmonizing calculation models of soil behav-
ior in an oedometer and at the foundation base is proposed. A fundamentally new calculation model for
the foundation–base interaction mechanism, which allows determining settlements in designed buildings
without the use of soil deformation modulus by the virgin compression line, is presented. A comparison
of the results of conducted field experiments and studies, as well as test problems shows high efficiency
of the method without the use of deformation modulus not only for calculation of foundation settle-
ments but also for adjustment of compression deformation modulus values. An analysis of the results of
verification calculations regarding values of deformation modulus for regional soils, differing in genesis
and density–moisture state, confirms high efficiency of the proposed method for check determination of
refined values of compression deformation modulus at the stage of engineering and geological surveys.

1 INTRODUCTION modulus to plate deformation modulus due to

During geotechnical design, an analysis of soil
bases according to deformations is carried out to
prevent excessive foundation displacements lead-
ing to violations of normal operation or a decrease
in durability of buildings and structures. All exist-
ing methods for determination of foundation set-
tlements, regulated by national and international
standards, use deformation modulus as a defor-
mation parameter of base soil. Therefore, reliabil-
ity, efficiency, and safety of constructed facilities
mainly depend on accuracy of determining true
values of this parameter.
However, in global construction experience, this
problem remains a matter of discussion addressed
by various specialists and scientists (Abelev et al.
2018, Dyba et al. 2011, Grabovets 2014, Kashirsky
2014, Lushnikov 2011, Ng et al. 2006, Pilyagin
2013, Polishchuk et al. 2007, Pronozin et al. 2015,
White et al. 2001, Ziangirov & Kashirsky 2005).
Pilyagin (2013) considers deformation modulus
to be not a physical characteristic of soil, but a
parameter connecting stresses and strains. There-
fore, it is incorrect to set conversion factors allow-
ing transferring from compression deformation
differences in types of the stress state of soil ana-
lyzed. According to Lushnikov (2011), divergence
between compression and plate deformation mod-
uli corresponds approximately to the correlation
between settlement diagrams obtained according
to the elasticity theory solution and measurement
data. It was noted that according to the results of
eluvial soils tests, no approximation of stabilo-
metrical deformation moduli to plate deforma-
tion moduli was observed. In their paper, Abelev
et al. (2018) mentioned common mistakes made
in reports on engineering surveys and related to
determination of soil deformation modulus.
Thus, despite the fact that the risk of emergency
situations at constructed facilities depends on
accuracy of determining values of soil deforma-
tion modulus, as for selection of this parameter,
some uncertainty exists due to significant diver-
gence between its values determined by laboratory
and field methods.
It is known that compression tests of soil are
simple, labor-saving and cost-efficient (State
Standard GOST 12248-2010). However, in
accordance with the requirements of standards
(Regulations SP 22.13330.2016) for structures of

451
geotechnical categories 2 and 3, the E value accord-
ing to the data of compression tests for each layer
of soil should be adjusted based on their compari-
son with the results of plate, pressuremeter tests
conducted simultaneously, characterized by high
cost and labor intensity. Standards for determi-
nation of settlements in structures of category 1,
erected on Quaternary cohesive soils, allow using
compression deformation modulus, adjusting its
value with multiplying coefficients mk = 2–6 (Regu-
lations SP 5.01-102-2013), mk = 1.2–3 (Regulations
SP 22.13330.2016). Regional standards of Tomsk
(Polishchuk et al. 2007) for clay soils recommend
the following values: mk = 1.2–2.6. It follows from
the comparison of those data that there is still no
certainty in selection of the adjustment factor mk.
Thus, to date, the issues of determining true val-
ues of soil deformation modulus has not been stud-
ied sufficiently and needs further investigation.
2 PROBLEM STATEMENT
Based on comprehensive studies of the foundation–
soil base interaction mechanism, the authors
developed a fundamentally new calculation model
which allows determining settlements in designed
buildings without the use of soil deformation
modulus. A comparison of the results of con-
ducted field experiments and studies, as well as
test problems shows high efficiency of the method
without the use of deformation modulus not only
for calculation of foundation settlements but also
for adjustment of compression deformation mod-
ulus values with regard to base soil (Utenov, 2013,
Utenov et al. 2017).
According to the method (State Standard GOST
12248-2010), in the course of processing the results
of compression tests, the E value is conditionally
determined regardless of the actual stress state of
base soil as a constant for a segment of the com-
pression curve with a given range of compression
loads p1 = 0.1 MPa and p2 = 0.2 MPa, taking into
account only one factor—the angle of the secant
line which significantly differs from the actual law
(compression curve) with regard to soil analyzed.
Our studies with application of the method for
determination of settlements without the use of
deformation modulus showed that rectification
of the compression curve in the area of compres-
sion loads p1 and p2 led to significant errors. For
example, in case of a base composed of medium
sandy loam, such distortion leads to 28% decrease
in the foundation settlement and 20–51% base
deformation within its active area, depending on
the stress state (Utenov 2013). According to the
method described by standards, the following is
obtained: for samples of loam at natural moisture
452
Enat= 5.4 MPa and in a water-saturated state
EW = 5.5 MPa, which is not the case since the coef-
ficient of soil deformation modulus variation with
account for the watering factor is as follows:
Kw = Enat/EW = 5.4/5.5 = 0.97 < 1. It turned out
that moistening of base soil almost did not affect
compressibility (quality) of clay soil (Utenov 2004).
As known, the calculation models of methods
for determination of settlements, presented
in construction standards (Regulations SO
22.13330.2016) in the form of a linearly-
deformable half-space and a linearly-deformable
layer of finite thickness, do not correspond to
the mechanical scheme of sample testing in a
compression device. In an oedometer, soil is com-
pacted under compression load, without the pos-
sibility of lateral expansion in a confined space.
Therefore, many researchers believe that the
scheme of soil testing using field methods more
closely corresponds to the calculation models
of existing methods for determination of settle-
ments, which explains transfer from compres-
sion deformation modulus to plate deformation
modulus in determination of settlements in the
base of the designed foundation. However, if we
harmonize the calculation models of soil behavior
(deformation) in an oedometer and at the base of
the plate (experimental foundation), it is possible
to determine settlement in the designed founda-
tion with acceptable reliability using the virgin
compression line. This problem was solved by
the authors during development of a method for
determination of settlements without the use of
deformation modulus.
3 SCIENTIFIC RATIONALE OF THE
PROPOSED METHOD
A comparison of the volumes of the total stress
system (in the form of an ellipsoid of principal
stresses) and its first component (in the form of
a sphere of average stresses) and the coefficient of
lateral pressure of soil ξ, corresponding to differ-
ent stress states, made it possible to conclude that
the volumetric settlement of soil in a stress state
according to the compression scheme is greater
than the volumetric settlement of the same soil
in a stress state according to the triaxial compres-
sion scheme (in a stabilometer or at the base of the
foundation according to the solution of the theory
of linearly-deformable bodies) (Utenov 2013).
Therefore, the effect of compressive principal
stresses σ1 > σ2 > σ3 can be replaced by the effect of
compressive principal stresses σ1 > σ2 = σ3, occur-
ring in soil compression, which will significantly
simplify the method for determination of founda-
tion settlements.
 The authors developed a fundamentally new
calculation model based on the idea of volumet-
ric compression of soils under the influence of
the greatest principal normal stresses forming the
actual compacted (active) area at the base of a
strip foundation (Fig. 1a). To plot isobars σ1, hav-
ing the shape of a circle, recommendations by N.N.
Maslova were used (Utenov 2013). According to
the presupposition of the method for determina-
tion of settlements without the use of deformation
modulus, foundation settlement is considered as the
Figure 1. Calculation model of the method for deter-
mination of foundation settlements without the use of
deformation modulus: a – calculation model for the
base and foundation; b – accounting for compressibility
of soils according to the proposed method: 1 – experi-
mental curve of soil compression during a compression
test; 2 – rectification of the experimental curve accord-
ing to the existing method to determine secant modulus
of soil deformation; • – points of the experimental curve
used in calculation of settlements according to the new
method.
453
sum of volumetric compression of soils in a closed
volume under the influence of the greatest principal
normal stresses σ1, occurring in different zones of
the active area of the base and directed radially to
the center of the applied load p0, to point C.
Thus, the principle of the new approach to
improvement of the method for determination of
settlements is to harmonize soil behavior (defor-
mation) at the base of a designed foundation and
in a compression device.
The use of the proposed calculation model makes
it possible to simulate volumetric radial compres-
sion of soils in a closed volume in different areas
of the base (I, II, III) using a compression test, and
introduce the results into calculation of foundation
settlement without the use of deformation modu-
lus. It is shown in Figure 1b, where all points used
in calculation of settlements according to the new
method are located on experimental curve 1.
Considering the condition of equality between
the volumes of solid mineral particles of soil before
and after its compaction within each of the distin-
guished areas I, II, III ... i, the authors obtained
the following equation to determine settlement in
a strip foundation:
1 i= n  1+ e2ia 
S= ⋅∑  Via ⋅ (1− ) (1)
Af i = 1  1+ e1 
where i and n – number and quantity of selected
compacted areas of the base; Af – area of the
foundation bottom; Via – volume of the i-th com-
pacted area of the base; e1 – porosity factor of soil
of natural composition; e2ia – the same, but for soil
compacted under the action of compressive stress
∆σ1ia occurring in the i-th area from the external
load.
The proposed method for determination of set-
tlements without the use of deformation modulus
can also be used to calculate settlements in founda-
tions, having the bottom in the form of a circle,
square, or rectangle, by the following equation:
Sisp = ki ⋅ Si2 D , (2)
where ki – conversion coefficient for transition
from the spatial problem to the two-dimensional
problem, determined as the ratio of the areas of σ1
diagrams plotted by the center of the foundation
bottom; Siar – settlement obtained conditionally
for a strip foundation according to equation (1).
In order to assess accuracy of the results of set-
tlement calculation without the use of deforma-
tion modulus, a comparison with the data of the
field geodetic instrumental observations over soil
deformations at the base of a 12-storied apartment
block was carried out (Utenov 2013).
 The strip foundation has the following param-
eters: b = 2 m; d = 2.08 m; base load = 65 t/m; soil-
medium sandy loam. Settlements were determined
according to the new method at base load pstep =
0.25 ξ p0, which corresponded to construction of
the last three floors of the facility analyzed.
A comparison of the calculated and experimen-
tal values of layer-by-layer displacements of soil in
different areas of the building foundation showed
high accuracy of the new method for determina-
tion of settlements without the use of deformation
modulus (Table 1).
An analysis of the results of the test problem to
determine the actual depth of the compressed base
Ha of the strip foundation with width b using different
methods also confirmed the universal nature of the
new method (Utenov et al. 2017): according to Regu-
lations, Ha = 4.2b (method of layer-by-layer summa-
tion) and Ha = 6b (linearly-deformable layer method);
according to the equivalent layer method, Ha = 5.2b,
and according to the new method, it is significantly
less: Ha = 2.2b, which is confirmed by the results of
83 field experiments (plate load tests) (Utenov et al.
2017) and field studies (Konovalov 1988).
Based on mathematical model (1), the follow-
ing analytical expressions were obtained (Utenov
2013) to determine settlement of the strip founda-
tion (Fig. 1a):
a. according to areas I, II, III of the foundation:
S = SIA + SIIA + SIIIA;
b. according to layers hI, hII, hIII of the foundation:
S = ShI + ShII + ShIII.
Settlement of the strip foundation at b = 2 m,
p0 = 0.2 MPa and the base composed of medium
sandy loam, determined using the new calculation
model (Fig. 1) amounted to:
a. according to areas I, II, III of the foundation:
S = SIA + SIIA + SIIIA = 3.03 + 1.9 + 0.59 = 5.53 cm.
b. according to layers hI, hII, hIII of the founda-
tion: S = ShI + ShII + ShIII = 3.85 + 1.46 + 0.23 =
5.54 cm.
Table 1. Comparison of calculated and experimental
values of layer-by-layer displacements of soil in different
areas of the building.
Layer-by-layer displacements of soil in different areas of
the strip foundation, mm.
As seen, the results obtained by those two meth-
ods almost coincided.
4 METHOD TO ASSESS ACCURACY
OF CALCULATING COMPRESSION
DEFORMATION MODULUS
According to the proposed method, the refined
value for deformation modulus of soil analyzed is
determined in the following order.
1. With the help of the compression curve for soil
analyzed and the method without the use of
deformation modulus, valid settlement Sval is
determined for a conditional strip foundation at
b = 2 m; d = 2.6; p0 = 0.2 MPa, and soil base with
the strength of structural bonds under compres-
sion σstr = 0.054 MPa.
2. Settlement in a conditional strip foundation on
a homogeneous base composed of soil analyzed,
using the method of layer-by-layer summation,
with account for the initial data presented in
clause 1, is determined. For that purpose, it is rec-
ommended to use a simplified method to determine
settlement according to the handbook by Yurik
(1971), where the tables show the values of settle-
ments S0 in cm for foundations of different shapes,
sizes and depths at different base loads. The tables
are drawn up for soils with deformation modulus
E = 10 MPa. The values of settlements in founda-
tions on homogeneous bases at any other values
of deformation modulus Ecs are determined by
the following equation:
SCS = ( 10 ⋅ S0 ) ECS (3)
where Scs – settlement in a conditional foun-
dation, determined by the method of layer-
by-layer summation; S0 – settlement in cm at
deformation modulus of 10 MPa, taken from
the reference table, with account for the initial
data of the problem; Ecs – deformation modu-
lus of soil analyzed, determined by the method
described by construction standards by rectifi-
cation of the compression curve in the range of
compression loads p1 and p2; 10 – soil deforma-
tion modulus, MPa.
3. Using the analog method, we will obtain the
following based on equation (3):

I II III IV Sval = ( 10 ⋅ S0 ) Eval (4)

acc. acc. acc. acc. acc. acc. acc. acc.

Let us find valid deformation modulus of soil
to to to to to to to to
exp. calc. exp. calc. exp. calc. exp. calc. analyzed:

28.8 31 16.8 15.8 6.5 7.4 0 0 Eval = ( 10 ⋅ S0 ) Sval (5)

454
 where Sval – valid settlement of a conditional
strip foundation, determined by the method for
determination of settlements without the use of
deformation modulus, using the actual law of
soil compaction, i.e. the compression curve with
account for the stress state of the compressed
areas I, II, and III (Fig. 1).
Example
According to the method described by stand-
ards, in the course of surveys, the following was
found: for samples of loam with natural moisture,
Enat = 5.4 MPa, and in water-saturated state, EW =
5.5 MPa.
Let us determine the coefficient of deformation
modulus variation:
Kw = Enat/EW = 5.4/5.5 = 0.97. As seen, the results
are doubtful, as soil watering did not affect its
quality.
Let us check the results using the proposed
method. Valid values of settlements, determined
according to the method without the use of defor-
mation modulus for those soil samples were as
follows: 7.8 cm and 11.0 cm; the refined values of
deformation modulus found by equation (5) were
as follows:
Eval,nat = (10 ⋅ 5.5)/7.8 = 7.1 MPa;
Eval,w = (10 ⋅ 5.5)/11.0 = 5.0 MPa.
The coefficient of deformation modulus varia-
tion is equal to:
Kw = Enat/EW = 7.1/5.0 = 1.42, which confirms soil
weakening during watering.
In order to assess accuracy of the proposed
method for check determination of refined values
of soil deformation modulus, comparative calcula-
tions (Table 2) for soils of different origin with the
use of archive materials of previously conducted
surveys (Utenov 2013) were performed.
Analysis of the data in Table 2 shows that check
determination of refined values of soil deforma-
tion modulus using the new method will allow
avoiding gross errors at the stage of engineering
surveys. For example, the E values determined by
the method described by construction standards
essentially do not depend on the state of loam
moisture (Table 2, row 1): 5.4 MPa and 5.5 MPa;
and according to the new method, we obtained
the following: 7.1 MPa and 5.0 MPa, which con-
firms soil weakening during watering. The overes-
timated E values obtained by the new method for
loams e (C) – 15.3 MPa and 9.82 MPa (Table 2,
rows 6 and 7) – are consistent with the results of
plate load tests – 13.1 MPa and 14.1 MPa. As for
highly-compressible clay aQ, the understated value
of 5.1 MPa was obtained by the new method and
the overestimated value of 7.81 MPa (Table 2, row
4) was obtained by the method described by con-
struction standards.
In general, the values of the proposed adjust-
ment factors mk,val, obtained by the authors for
loams (Table 2) are close to the values recom-
mended by Regulations SP 22.13330 and regional
standards of Tomsk within the range of 1.1–1.9.

Table 2. Comparative calculations for soils of different origin with the use of archive materials.

Soil Deformation
characteristics modulus, MPa mk,val
Sampling
No. Soil W, % e depth, m Ecs Eval Eval/Ecs

1 Loam 7.4 0.61 2.5 5.4 7.1 1.3

21.0 5.5 5.0 0.9
2 Sandy 10.1 0.61 2.0 20.0 17.0 0.85
loam 18.0 12.5 8.9 0.7
3 Loam 15 0.69 1.5 12.2 12.0 0.98
aQ
4 Clay 10.8 1.1 1.0 7.81 5.1 0.65
aQ
5 Clay 31 0.66 10.0 6.49 9.8 1.5
e(C)
6 Loam 21.2 0.66 10.0 7.81 15.3 1.96
e(C)
7 Loam 22.8 0.67 13.0 6.1 9.82 1.61
e(C)
8 Loam 26.9 0.74 11.5 11.63 12.2 1.1
e(C)

455
 Thus, the proposed method makes it possible
to assess compressibility of soils more accurately
not only when calculating foundation settlements
without the use of deformation modulus but also
when determining deformation parameters of soils
based on the results of compression tests at the
stage of engineering and geological surveys.
5 CONCLUSION
1. Based on the comprehensive studies of the
foundation–soil base interaction mechanism,
the fundamentally new calculation model which
allows determining settlements in designed
buildings without the use of soil deformation
modulus was developed.
2. The comparison of the results of conducted
field experiments and studies, as well as test
problems showed high efficiency of the method
without the use of deformation modulus not
only for calculation of foundation settlements
but also for adjustment of compression defor-
mation modulus values.
3. Based on the method of settlement determi-
nation without the use of deformation modu-
lus, the method to assess accuracy of the
values of compression deformation modulus
was developed.
4. The analysis of the results of the compara-
tive calculations showed high efficiency of the
proposed method for check determination of
refined values of compression deformation
modulus at the stage of engineering and geo-
logical surveys.
REFERENCES
Abelev, M.Yu., Averin, I.V., Bakhronov, R.R. & Kopteva,
O.V. 2018. Experimental deformability characteristics
studies in laboratory and field conditions. Industrial
and Civil Engineering 4: 28–32.
Dyba, V.P., Galashev, Yu.V. & Osipova, O.N. 2011.
Improvement of foundation settlement calculation
methods based on tray and in situ data experiments.
Soil Mechanics and Foundation Engineering 3: 23–26.
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Grabovets, O.N. 2014. About determination of defor-
mation characteristics of dispersed soil with transfer
compression values in Kvazistamp. Journal of Geol-
ogy, Geography and Geoecology 22 (3/2): 167–170.
Kashirsky, V.I. 2014. Comparative analysis of deforma-
tion characteristics of the foundations carried out
with the help of laboratory and field methods. Geo-
technics 05/06: 32–45.
Konovalov, P. A. 1988. Bases and foundations of buildings
being reconstructed. Moscow: Stroyizdat.
Lushnikov, V.V. 2011. Building deformation measure-
ments for estimation of eluvial deposits character-
istics. Soil Mechanics and Foundation Engineering 3:
16–23.
Ng, A., Yeung, A., Lee, P. & Tham L. 2006. Design, fab-
rication, and assembly of a large oedometer. Geotech-
nical Testing Journal 29 (4): 298–305.
Pilyagin, A.V. 2013. Determinations of the overall com-
pression modulus of soils from test data. Soil Mechan-
ics and Foundation Engineering 2: 25–28.
Polishchuk, A.I., Fursov, V.V. & Balyura, M.V. 2007.
Recommendations for determination of the deforma-
tion modulus of soils based on results of compres-
sion tests using regional adjustment factors. Regional
town-planning standards of the Tomsk Region. Tomsk:
Administration of the Tomsk Region.
Pronozin, Ya.A., Naumkina, Yu.V. & Rachkov, D.V.
2015. Forecasts for shallow slab foundation settings.
Akademicheskij vestnik UralNIIproekt RAASN 3:
82–86.
Utenov, E.S. 2013. Design of bases for buildings being
reconstructed. Karaganda: Publishing House of the
Karaganda State Technical University.
Utenov, E.S., Zhusupbekov, A.Z., Sotnikov, S.N.,
Mukhamedzhanova, A.T. & Kolganova B.O. 2017.
Interaction analysis of adjacent foundations of reno-
vated buildings. Soil Mechanics and Foundation Engi-
neering 1: 9–15.
White D.J., Take W.A. & Bolton M.D. 2001. Measuring
soil deformation in geotechnical models using digital
images and PIV analysis. In: 10th International Con-
ference on Computer Methods and Advances in Geo-
mechanics, Tucson, Arizona, 997–1002. Rotterdam:
Balkema.
Yurik, Ya.V. 1971. Tables for determination of foundation
settlements: a guide to design bases according to defor-
mations. Kiev: Budivelnik.
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deformation properties of the dispersive soils by tak-
ing the data of static sounding. Soil Mechanics and
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0

Effectiveness of geotechnical curtain of loose pile rows as design for

cast-in-place trench walls

V.V. Znamenskiy & E.B. Morozov

Moscow State University of Civil Engineering (National Research University), Moscow, Russia

ABSTRACT: The article explores the effectiveness of a geotechnical curtain of loose pile rows as a
means of reducing the settlement of built-up areas adjacent to deep excavations shored with ferrocon-
crete, cast-in-place trench wall in cluttered urban environment. The excavation of pit and trench for the
wall is found to cause settlements in the adjacent buildings as high as 50% of the total settlement due
to excavation work. For the purpose of analysis of the effectiveness of geotechnical curtain of loose
pile rows as a means to reduce the settlement of adjacent development, we introduced the coefficient of
effectiveness (Ke), which is the difference between the settlements occurring with the curtain installed and
without it. Dependency is modelled between the coefficient of effectiveness (Ke) and the depth of curtain.
Depending on its parameters, the curtain is found to generate a 50% to 60% reduction in the settlement
of the adjacent development caused by digging of the trench. Dimensions are determined at which the
geotechnical curtain of loose pile rows achieves its maximum performance. The article gives a practical
case of using the pile curtain as a means to prevent above-limit settlements of the adjacent buildings due
to excavation work. Modelling was performed with MIDAS GTS NX software. In general, the numerical
modelling has shown that the geotechnical curtain of loose pile rows is an effective means of reducing the
settlements of the adjacent buildings due to installation of a cast-in-place, trench wall.

1 INTRODUCTION Geologically, its construction site has a 3.7 thick

An important task before development projects in
cluttered urban environments is reducing the effect
of the construction operations, and, particularly,
pit excavation and shoring, on adjacent develop-
ment and underground utilities. This effect is meas-
ured with the use of 3D or 2D numerical modelling
with dedicated software. However, in the majority
of cases the effect of pit excavation is estimated in
a very general way, where shoring does not consti-
tute a separate stage of calculations. At the same
time, practice shows that for the most part the set-
tlements of adjacent development occur during the
shoring of excavation, especially if the shoring is
a ferroconcrete cast-in-place trench wall—a fact
to be considered at the design stage so that each
specific project could use measures to ensure that
that the settlement of the adjacent development
does not exceed the allowed limit. One such meas-
ure consists in placing between the shoring and the
adjacent buildings of a curtain of loose pile rows.
We can demonstrate this with an example below.
A 7-storey building with design dimensions
24 m × 61 m and two-level underground parking
has its 9.4 m deep pit shored with a cast-in-place
trench wall with a thickness of 600 mm and two-
tier restraining system (Fig. 1).
filled-up layer of sandy-argillaceous soil. Under-
neath it, and across the depth of the trench wall,
are sandy soils of various composition and density,
underlain by semi-solid clay (Fig. 1). The ground-
water runs at a depth of 7.2. m from the surface.
3 m away from the edge of the pit is a 7-storey
administrative building of rigid design with outer
and internal walls made from brick. The prelimi-
nary calculations showed that the new develop-
ment would cause this building to settle deeper
than the prescribed limit. For this reason, a study
was conducted to find out whether the geotechni-
cal curtain of loose pile rows could be a measure to
prevent the above-limit settlement of the adjacent
building. The study was also designed to identify
the depth of curtain and the axial spacing of piles,
at which the curtain would be most effective.
2 MATERIALS AND METHODS
Our study relied on the results of two calculation
analyses. One was to measure the effect the ben-
tonite slurry trench would have on the settlement
of the adjacent building when the curtain was
installed, prior to filling of the wall with concrete,
and the other—without the curtain.

457
Figure 1. Cross section of the pit of the development
project.
The numerical modelling made use of finite ele-
ment method and MIDAS GTS NX, developed
by Korea’s MIDAS Information Technology Co.,
Ltd. (MIDAS IT).
When creating the FEM models we made use
of the original, real-life data and parameters. Soil
modeling made use of modified Mohr–Coulomb
elastoplastic model. The obtained were projected
in a 3D format.
Stage one involved modelling the settlement
when the trench wall was installed without the cur-
tain. Figure 2 shows the results of the modelling in
the form of isofields of deformations along axis Z.
The calculation has shown that the option where
the trench was installed without the curtain, would
produce the settlement equaling S = 17 mm.
Stage two involved modelling the settlement
when the trench wall installation involved the pro-
tective curtain of loose rows of piles with varying
458
Figure 2. (a) Design diagram of the curtainless option.
(b) Isofields of deformations along axis Z.
parameters—depth of curtain (L ), pile diameter
(d) and pile spacing-to-diameter ratio (a/d). These
parameters had the following ranges:
– depth of curtain depth L : 16; 17; 18, 20; and
22 n;
– pile diameter d: 300; 400; 500; and 600 mm;
– a/d ratio: 2; 2,5; 3; 3,5; and 4.
The design diagrams based on different param-
eters of the geotechnical curtain are shown in
Figure 3.
Stage two involved modelling the settlement
when the trench wall installation involved the pro-
tective curtain of loose rows of piles with varying
parameters—depth of curtain (L ), pile diameter
(d) and pile spacing-to-diameter ratio (a/d). These
parameters had the following ranges:
 Figure 4. (a) Isofields of deformations along axis Z.
(b) Isofields of deformations along axis X.

Figure 3. Design diagram of the option with the cur-

tain installed.

– depth of curtain depth L : 16; 17; 18, 20; and 22 n;

– pile diameter d: 300; 400; 500; and 600 mm;
– a/d ratio: 2; 2,5; 3; 3,5; and 4.
The design diagrams based on different param-
eters of the geotechnical curtain are shown in
Figure 3.

3 RESULTS

The example of calculation results representation

in the form of isofields of vertical and horizontal
deformations is shown in Figure 4.
The comparison of the two options (with and
without the curtain) has shown that the one that
employs a curtain of loose pile rows lead to lower Figure 5. Excavation-induced settlement graphs
settlement of the adjacent building. (curtain parameters: d = 0.4 m; a/d = 2; and L = 18 m).

459
 Figure 5 shows the settlement graphs plotted for
two options, one involving the curtain of loose pile
rows as a protection from the influence of trench
wall installation, and the other not.
As can be from the graphs, the shoring of exca-
vation, i.e. the installation of the cast-in-place
trench wall, may induce in the adjacent building
the settlement as high as 40% to 50% of the total
settlement due to shoring, whereas the geotechni-
cal curtain is able to produce a 50% reduction in
this settlement.

= (S – S )/S, (1)

where S = settlement of building without the

geotechnical curtain installed; S = settlement of
building with the geotechnical curtain installed.
The examples of the graphs of coefficient as
a function of the pile parameters in question are
shown in Figures 6–8.
It can be seen from the graphs that:
Figure 7. = f (L ) graph at a/d = 2.
− the coefficient of effectiveness of the geotechni-
cal curtain of loose pile rows, which is designed
to reduce the settlement of the adjacent devel-
opment caused by installation of a cast-in-place,
ferroconcrete trench wall, tends to decrease as
the relative axial spacing of pile rows increases
(Fig. 6), to increase with an increase in the depth
of curtain (Fig. 7), and to decrease with an
increase in pile diameter (Fig. 8).
That decreases with an increase of pile
diameter can be explained by the fact that the
performance of the curtain is largely influenced
by clear spacing, which tends to increase with an
increase in pile diameter;
− depending on the parameters of piles, the
curtain enables an average reduction of the

Figure 8. = f (d) graph at a/d = 2.

settlement of the adjacent building, caused by

installation of cast-in-place trench wall of new
development, of 50%–60% (maximum effective-
ness). With pile diameter of 300–400 mm, the
most optimum axial spacing is not more than
3d;
− the curtain shows maximum effectiveness when
its depth is 1–2 m deeper than that of the trench.
Embedding deeper than that does not seem to
be adding to the protective properties of the pile
curtain.
Similar performance was shown by the curtain
Figure 6. = f (a/d) graph at L = 18 m. under other parameter settings.

460
4 CONCLUSIONS
1. The analysis has shown that the settlements
of buildings adjacent to the new development,
caused by installation of a cast-in-place trench
wall, may reach 50% of the total settlement due
to excavation work.
2. The numerical modelling has shown that the geo-
technical curtain of loose pile rows is an effec-
tive means of reducing the settlements of the
adjacent building due to installation of a cast-
in-place, trench wall for the new development.
3. The modelling has shown that the settlement
of the building adjacent to the pit, induced by
shoring of the pit with cast-in-place, ferrocon-
crete trench wall, can be as high as 40%–50%
of the total settlements due to excavation work,
whereas the geotechnical curtain of loose pile
rows is able to produce a 50%–60% reduction in
this settlement.
4. The effectiveness of the geotechnical curtain of
loose pile rows, which is described by coefficient
, tends to decrease with an increase in rela-
tive axial spacing of piles, to increase with an
increase in the depth of curtain, and to decrease
with an increase in pile diameter.
5. Depending on the parameters of piles, the curtain
enables an average reduction of the settlement of
the adjacent building, caused by installation of
cast-in-place trench wall of new development,
of 50%–60% (maximum effectiveness).
6. The curtain of 300–400 mm diameter piles
shows maximum effectiveness when the axial
spacing of its piles is not more than 3d and
when its depth is 1–2 m deeper than that of the
trench. Embedding deeper than that does not
seem to be adding to the protective properties
of the curtain.
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 Geotechnics Fundamentals and Applications in Construction – Mangushev et al. (Eds)
Author index
Abildin, S.K. 451
Afonina, M.I. 324
Al Kodsi, S.A. 26
Aleksandrov, A.V. 430
Alekseev, A.E. 129
Alexandrov, A.V. 1
Altukhov, F.V. 363
Altynbekov, S. 6
Ananyev, A.A. 10
Anshukova, E.A. 54
Antipov, V.V. 16
Anzhelo, G.O. 384
Awwad, L. 21
Awwad, T. 21, 26
Aysin, N.N. 197
Banerjee, S. 86
Barari, A. 30
Belash, T.A. 36
Belentsov, Y.A. 135
Bellendir, E.N. 1
Bogov, S. 390
Boominathan, A. 86
Borozenets, L.M. 44
Boyarintsev, A.V. 49
Bragar, E.P. 290
Bugunov, S.A. 145
Bushuev, N.S. 341
Chekaev, M. 21
Chekaeva, R. 21
Chistyakov, E.Yu. 250
Chunuk, D.Y. 441
Corvette, N.G. 425
Dashko, R.E. 329
Datciuk, T.A. 54
Denisenko, V.V. 161
Denisikhina, D.M. 54
Derendyaev, A.V. 150
Dhanya, J.S. 86
Efimov, V.O. 220
Emelyanov, S.G. 363
Epifantseva, L.R. 284
Ermolaev, V.A. 216
© 2019 Taylor & Francis Group, London, ISBN 978-0-367-17983-0
Erofeev, M.N. 145
Evseev, N.A. 396
Evstratov, A.V. 150
Evtiukov, S.A. 347
Evtushenko, S.I. 335
Fomenko, I.K. 59, 225
Gabibov, F.G. 65
Gaido, A.N. 402
Gaisin, A.Z. 77
Galay, B.F. 69
Galay, O.B. 69
Geydt, A.V. 312
Glazachev, A.O. 77
Glukhov, V.S. 74
Glukhova, M.V. 74
Gorobtsov, D.N. 225
Gotman, A.L. 77
Grishina, A.S. 82
Ibsen, L.B. 30
Igoshin, M.E. 93
Ishizuka, M. 98
Ivanishchev, V.B. 109
Iwasaki, Y. 98
Kalach, F.N. 109
Kalafatov, D.A. 335
Kaliakin, V.N. 435
Karpov, V.V. 114
Kasharin, D.V. 124
Kasharina, T.P. 120
Kazakov, Yu.N. 129
Kharitonov, A.M. 135
Kirillov, V.M. 165
Kiselev, N.Y. 139
Kizinievic, O. 407
Kleveko, V.I. 280
Kolchedantsev, L.M. 402
Kondratieva, L.N. 150, 220
Konyushkov, V.V. 165
Korolev, E.A. 157
Koroleva, I.V. 193
Kotenko, Z.I. 145
Kravchenko, P.A. 93
463
Kudryavtsev, S.A. 145
Kurguzov, K.V. 59
Kuzhelev, A.I. 216
Lanko, S.V. 49, 150
Latypov, A.I. 157
Lyashenko, P.A. 161
Malaiskiene, J. 407
Mangushev, R.A. 165, 172
Manyakhin, I.V. 172
Matsiy, S.I. 178
Maximov, F.A. 274
McCarthy, R. 98
Mezhakov, A.S. 265
Mikhailov, V.S. 210
Mikhaylov, A.N. 351
Minaev, O.P. 182, 187
Mirsayapov, I.T. 193, 197
Morozov, E.B. 441, 457
Morozov, V.I. 254
Moshkevich, M.L. 363
Mukhamedzhanova, A.T. 451
Nakagawa, T. 98
Naumkina, Yu.V. 284
Nevzorov, A.L. 202
Nikiforova, N.S. 205
Nikitin, A.V. 202
Nikitina, N.S. 274
Nikulina, M.E. 225
Nizovtsev, S.I. 301
Nozdrya, V.I. 109
Nuzhdin, L.V. 210
Ofrikhter, V.G. 16
Omarov, A.R. 435
Osokin, A.I. 109, 216, 220
Paramonov, M.V. 93
Paronko, A.A. 312
Pekin, D.A. 441
Pendin, V.V. 225
Perminov, A. 231, 240
Perminov, N. 231, 240, 245
Perov, S.V. 235
Perov, V.P. 235
Petrova, T.M. 250
Petukhov, A.A. 259
Plyusnin, M.G. 254
Polishchuk, A.I. 259, 265,
274
Polyakov, S.V. 270
Ponomarev, A.B. 378
Ponomaryov, A.B. 82, 280
Popov, V.M. 254
Poroshin, O.S. 284
Pronozin, Ya.A. 139, 284, 290,
296
Pushkarev, A.E. 270, 347, 351
Rajczyk, J. 447
Rajczyk, M. 447
Rybak, G.I. 357
Saenko, Yu.V. 202
Sakharov, I.I. 301, 307
Salnyi, I.S. 296
Samokhvalov, M.A. 312
Sapin, D.A. 318
Seisekeeva, A. 21
Semenov, A.A. 114
Serbin, V.V. 69
Serov, A.D. 324 Vaiciene, M. 407
Shagina, A.I. 368 Valtseva, T.U. 145
Shalginov, R.V. 259 Van-Hoa, N. 205
Shashkin, A.G. 329 Vanna, L. 98
Shashkin, K.G. 329 Vasenin, V.A. 396
Shashkin, M.A. 301 Vaver, P.A. 1
Shutova, M.N. 335, 368 Verstov, V.V. 402
Simutin, A.N. 1, 430 Vidyushenkov, S.A. 341
Sirotkina, O.N. 59 Vlasov, A.N. 413
Smirnov, V.I. 341 Vlasov, D.A. 413
Sobolev, E.S. 384 Volosyuk, D.V. 296
Soeur, S. 98 Vorontsov, V.V. 93
Sokolov, N.S. 347, 351 Voznesenskaya, E.S. 420
Sokolova, N.I. 145
Stepanov, M.A. 357 Yankovskaya, I.D. 210
Stupishin, L.Yu. 363 Yudina, A.F. 402
Subbotin, A.I. 368
Sukhlyaeva, L.A. 178 Zavodchikova, M.B. 425
Sychkina, E.N. 280, 374 Zerkal, O.V. 59
Zertsalov, M.G. 413, 430
Tatiannikov, D.A. 378 Zhussupbekov, A.Zh. 435
Ter-Martirosyan, Z.G. 384 Znamenskiy, V.V. 441, 457
Tikhonov, Y.M. 135
Ulitsky, V. 390
Usmanov, R.A. 165
Utenov, E.S. 451
464
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