Deep Foundations

2.7. Laterally Loaded Pile (Principle of Foundation Engineering, Alemayehu Teferra)

8.3 Laterally Loaded Piles
8.3.1 General
In the design of laterally loaded piles there are basically three approaches. These are
a. The classical earth pressure theory
b. The method of modulus of subgrade reaction
c. A method which combines the results of theoretical and experimental investigations.
The first approach is not used, since it assumes the mobilization of active and passive pressures
which as a matter of fact does not occur except at complete failure.
The second method, even if it does not give an exact solution, is used for preliminary design.
Here a modulus of subgrade reaction which varies with depth is frequently used.
The third method gives a relatively reliable result. Tables and diagrams for the design of
laterally loaded piles are given. Their application is however limited to the conditions in which
they are tested.
In the following pages, the last two methods will be discussed in some detail.
8.3.2 Method of Modulus of Subgrade Reaction
In the design of laterally loaded piles, two types of piles are identified according to this method.
These are short piles and long piles.
8.3.2.1 Design of Short Piles
Short piles are the categories of piles in which l/d<10[40]. Where d is the diameter of the pile
and l is the embedment length. These piles may be considered as rigid columns embedded in an
elastic medium.
According to the method of modulus of subgrade reaction, the intensity of the pile load p in
kN/m would be
p K sh y d

(8.45)

where
Ksh = horizontal modulus of subgrade reaction
y = horizontal displacement
d = diameter of pile.
If one considers a short pile subjected to a horizontal force H and a moment Mo, the horizontal
displacement y, due to the load H at any depth z (Fig. 8.26a), will be
(8.46)
y yo m z
m tan
Lecture Note - By Alemayehu Teferra. ( Prof.)

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Mo

yo

Ksh

Qo

Mo

a
_

y = yo - mz
m = tan a

Ksh = C.z

_
zo

(i)

( ii )

( iii )

( iV )

(V)

( iV ) Shear stress distribution

( i ) Rigid pile rotation

( V ) Bending moment
distribution

( ii ) Modules of subgrade reaction

( iii ) Contact pressure distribution

a) - Short piles

M
H

H
zo

zo

Fixed - end

a) Long piles

Free - end

Fig. 8 . 26 : Analysis of laterally loaded piles according to

the method of modulus of subgrade reaction

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Inserting the value of y in Eq. (8.45),
p K sh ( y o mz )d

(8.47)
If Ksh varies with depth according to the relationship Ksh = Cz(Fig. 8.26a), then the intensity at
depth z would be
p ( z ) Cz ( y o mz )d
p ( z ) dCzy o dCmz 2

Noting that m tan

(8.48)
(8.49)

yo
, one may write Eq. (8.49) as follows:
zo

dCy o 2
z
(8.50)
zo
The variation of the force p(z) is as indicated in the sketch of fig. 8.26a.
From Eq. (8.49), one would obtain the shear force Q(z) and moment M(z) at any depth z.
Hence
(8.51)
Q ( z ) p( z ) dz
p ( z ) dCzy o

(Czy o Cmz 2 )d dz

dCy o z 2 dCmz 3

C1
2
3

(8.52)
(8.52a)

For z = 0, Q(z) = Qo, hence C1 = Qo

dCy o z 2 dCmz 3
Q( z )

Qo
2
3

(8.53)

M ( z ) Q ( z )dz

(8.54)

dCy o z 2 dCmz 3

Qo dz
3
2

dCy o z 3 dCmz 4

Qo z C 2
6
12

(8.54a)

(8.54b)

For z = 0, M(z) = Mo, hence C2 = Mo

M (z)

dCy o z 3 dCmz 4

Qo z M o
6
12

Lecture Note - By Alemayehu Teferra. ( Prof.)

(8.55)

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Deep Foundations
The variations of Q(z) and M(z) are given in Fig. 8.26a.
For the boundary condition z = l, Q = 0 and M = 0, Eq. (8.53) and Eq. (8.55) become
dCy o l 2 dCml 3

Qo 0
2
3

(8.56)

dCy o z 3 dCmz 4

Qo l M o 0
6
12

(8.57)

From the above two equations, one may determine the values of Cyo and Cm:
dCy o

24 M o 3
Qo

4
l2 l

yo

(8.58)

24 M o 3
Qo

4
dCl 2 l

(8.58a)

Similarly,
dCm
m

12
3M o 2Qo l
l4

(8.59)

12
3M o 2Qo l
dCl 4

(8.59a)

Representative ranges of horizontal modulus of subgrade reaction are given in Table 8.12.
Table 8.12: Representative Ranges of Horizontal Modulus of Subgrade Reaction[2]
SOIL
Dense sandy gravel
Medium dense coarse sand
Medium sand
Fine or Silty sand
Stiff clay (wet)
Stiff clay (saturated)
Medium clay (wet)
Medium clay (saturated)
Soft clay

Lecture Note - By Alemayehu Teferra. ( Prof.)

Ksh
MN/m3
220 400
157 300
110 280
80 200
60 220
30 110
39 140
10 80
2 40

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Deep Foundations
8.3.2.2 Design of Long Piles
For long piles, the criterion l/d > 10 is used. Here the method suggested by Snitko[quoted in 40]
may be used. The pile is considered to be elastic, infinite in length and embedded in an elastic
medium. Using the method of modulus of subgrade reaction one may determine the deflection,
shear and bending moments. Because of the complexity of the problem, a constant modulus of
subgrade reaction is assumed. The determination of bending moments and shear forces above
point C, point of zero deflection(Fig. 8.26b), is of importance. The magnitudes of the above may
be obtained from the following equations[36].

2 z 3

Q ( z ) Qo 1 3 z 2
z
o

(8.60)

1 4
M ( z ) M o Qo z z 3
z
2 z o

(8.61)

where

2
2 2
zo 3
1/ 4

K d
s
4 EI
Ks
E
I
zo

=
=
=
=

z o3 2

modulus of subgrade reaction

modulus of elasticity of pile
moment of inertia of pile
may be calculated from the following equation:
Mo 2
6
6 M
1
zo 2 zo 2 o 0
Qo

Qo

(8.62)

To determine the location of the maximum moment, one may use the shear equation, i.e. Q(z) =
0, and obtain
z3

3
1 zo
zo z 2
0
2
2

(8.63)

The range of values of modulus of subgrade reaction Ks given in Table 8.13 may be used as a
guide.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
Table 8.13: Range of Values of Modulus of Subgrade Reaction[3]
SOIL
Loose sand
Medium sand
Dense sand
Clayey sand (medium)
Silty sand (medium)
Clayey soil:

KS
MN/m3
4.8 16
9.6 80
64 128
32 80
24 48

q a 200 kPa

12 - 24

200 < qa 800 kPa

24 - 48

qa > 800 kPa

> 48

q a = allowable bearing pressure

8.3.3 Method of Broms

Assuming different failure mechanisms consisting of plastic hinges, Broms[4] gave charts for
determining the limiting loads for restrained and free-headed piles subjected to horizontal
loadings. His analysis is governed by the following criteria:
a) The lateral deflection at working loads should not impair the proper functioning of the pile
group.
b) Complete collapse of the foundation or of the supported structure should not occur.
Broms used over-load and under-strength factors. Here the design load is multiplied by a factor
greater than one (usually 2.0), and the pertinent soil parameter, i.e. shearing strength, by a factor
less than one(usually 0.75).
The charts presented in Fig. 8.27 and 8.28 for the determination of the ultimate lateral resistance
are based on the concept that the ultimate lateral resistance at relatively small penetration depths
is governed by the passive resistance of the soil surrounding the loaded piles, and that the
ultimate lateral resistance at relatively large penetration depths is governed by the ultimate or
yield resistance of the pile section. Fig. 8.27 represents the ultimate lateral resistance for
relatively short piles, while Fig. 8.28 represents the ultimate lateral resistance for long piles. In
the figures, Pult equals Pdesign multiplied by an over-load factors , and the shear strength parameter
cu is multiplied by under-strength factor. Kp is the coefficient of passive resistance, and is the
unit weight of the soil.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

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T
( Prof.)

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Deep Foundations

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Deep Foundations

Lecture Note - By Alemayehu Teferra.

T
( Prof.)

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Deep Foundations
Broms has also provided charts for determining the lateral deflections at working loads (i.e Pult/2
or Pult/3) at the ground surface, using the modulus of subgrade reaction for both cohesive and
cohesionless soils.
For cohesive soils, the modulus of subgrade reaction is taken to be constant with depth. In Fig.
8.29a a dimensionless lateral deflection, yoKDL/P, at ground surface is plotted as a function of
dimensionless length L, in which
K D
h
4 EI

1/ 4

(8.64)

K is the appropriate coefficient of the modulus of subgrade reaction.

For cohesionless soils, the coefficient of lateral subgrade reaction is assumed to increase linearly
with depth according to

kh

where

nh z
D

(8.65)

nh = coefficient of lateral subgrade reaction for a long pile with

a width of unity at a depth of unity
z = depth below the ground surface
D = diameter or side of the loaded area.
The dimensionless lateral deflection y o [( EI ) 3 / 5 ( n h ) 2 / 5 ] / PL is plotted as a function of the
dimensionless penetration depth L, where ( n h / EI )1 / 5 (Fig. 2.29b).
In the analysis of Broms, it is assumed that for L less than 2.25, or for L less than 2.0, the pile
is considered to be infinitely stiff. Fog L greater than 2.25 or L greater than 4.0, the pile is
considered to be infinitely long.
The coefficient nh may be taken as 2.2, 6.7 and 17.9 MN/m3 for loose, medium and dense sand
respectively, when the ground water table is located below the depth L of 2.0. For the case
where the ground water table is located near or above the ground surface, 60% of the above
values should be used[4].

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

Lecture Note - By Alemayehu Teferra.

T
( Prof.)

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Deep Foundations
One may also determine the magnitude of nh from lateral loading tests by using the following
equations, provided that L is later than 4.0:
yo

2.40 P
( EI ) 2 / 5
(nh ) 3 / 5

(for free pile)

(8.66a)

yo

0.93 P
( EI ) 2 / 3
(nh ) 3 / 5

(for fully restrained pile)

(8.66b)

For a steel pile, for which ample test evidence is available, plastic hinges form when the stress at
the section of maximum bending moment reaches yield strength of the pile material.
The yield moments may be estimated from the following equations, assuming that the axial load
is of negligible importance:
a) For Circular Sections
M yield 1.3 f y Z

(8.67)

M yield 1.1 f y Z max

(8.68)

b) For H-Sections

or

M yield 1.5 f y Z min

(8.69)
if the applied load is in the direction of the maximum or minimum moment of inertia of the pile
respectively.
In the above equations:
fy = yield strength of the pile material.
The design yield strength if 0.9 times the average measured yield strength.
Z = section modulus of the pile section.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

2.8. Design of Drilled Piers and Caissons

(Principle of Foundation Engineering, Alemayehu Teferra)
8.4 Drilled Piers (Drilled Caissons)
8.4.1 General
Drilled piers or drilled caissons are deep foundations constructed by placing concrete in an
excavated (drilled) well for the purpose of transferring loads from the superstructure to loadbearing strata in the ground. They are essentially large bored piles. They may be with or
without steel reinforcements or with or without enlarged bases. The excavation may be done by
hand or by machines. Since drilled piers have numerous advantages over other types of deep
foundations, they are popularly used as deep foundations. Some of the advantages of drilled
piers are the following:
a. Drilled piers can be carried through soils that prevent penetration of piles.
b. The sides and bearing surface of the soil can easily be inspected by sending an inspector
down the pier shaft.
c. The problems of heaving or vibration of the ground which normally occur during piledriving, are eliminated.
d. Since no volume of soil is displaced, the problem of shifting and lifting of piles is eliminated.
e. Concrete caps, as for the case of piles, are not necessary, since piers may be used directly
beneath a column.
f. One may easily provide increased bearing capacity or anchorage by belling or under-reaming
the base of the pier.
8.4.2 Types of Drilled Piers
Drilled piers are best classified according to their function in connection with the type of
supporting materials and the primary components of load resistance[40]. Fig. 8.30 shows the
three main types of piers:
a. Floating piers in homogeneous soils
b. End-bearing piers in soil
c. End-bearing piers in rock.
The materials of the pier may be of concrete, concrete in steel shell, or concrete plus steel core in
steel shell. For small jobs, plain concrete may be used. Depending on the soil and loading
conditions, the piers may be reinforced either partly (upper portion) or entirely (whole length),
Table 8.14 provides useful information which may be used as design basis.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

D
L

ii) Belled or underreamed : approximate

i) Straight : approximate range
range of working load 0.5 - 5.0 MN
of working
load 0.1 - 1.5 MN
a) Floating pier in homogeneous soil
P

D
L1

Relatively soft and

compressible
soil

L2
R

i) Straight : approximate range of working

load 0.5 - 2.5 MN
P

Hard or dense
soil

Rock

ii) Belled or underreamed : approximate range

of
working load 1P - 30 MN

b) End - bearing pire in

soil

D
L

L2
R

Rock

i) End bearing in rock : approximate range

of working load 2 - 70 MN

ii) Socketed into rock : approximate range of

working load 3 - 70 MN

c) End - bearing in rock

Fig. 8 . 30 : classification of drilled piers [ 40 ]

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
Table 8.14: Design Bases for Various Classifications of Drilled Piers [40]

Design
Factor

Approximate
rang of
working
load
Usual limiting
design
criterion

Pier Classification According to Function

Floating Piers in
End-Bearing Pier in Hard
End-Bearing Pier in Rock
Homogeneous Soil
Soil
Socketed
Bearing on Socketed into
Straight
Enlarged
Enlarged
Competent
into
competent
shaft
base
base
rock
bearing
rock
stratum
0.1 -1.5 MN

0.5 -5.0 MN

0.5 2.5MN

1.0 30.0MN

2.0 70 MN

Settlement

Settlement
and
bearing
capacity

Bearing
capacity

Bearing
capacity

Shaft
concrete

End-bearing

End-bearing

End-bearing

End-bearing

Major
component
of resistance
at
working load
Major
component
of resistance
at
ultimate load
Usual method
of
obtaining
design
working load

Shaft
adhesion

Shaft
adhesion
and endbearing

Shaft
adhesion in
bearing
stratum

Shaft
adhesion

End-bearing

Shaft
adhesion
and end
bearing

Analytical
consideratio
n of
shaft
adhesion

Presumptive
bearing
stress
or analysis
of
ultimate
bearing
capacity

Presumptive bearing stress

supplemented by analysis of
ultimate bearing capacity
when
possible, or qualitative
evaluation of
bearing material

Requirement
for
down the hole
inspection

On selected
piers

Every pier

Every pier

Lecture Note - By Alemayehu Teferra. ( Prof.)

Every
pier,
probe or
core
below
selected
piers

3.0 70.0 MN
Bond between
concrete and
rock
or shaft
concrete
Shaft adhesion
in
rock
Shaft adhesion
and Endbearing

Presumptive bearing stress

plus
qualitative evaluation of rock
quality

Ever pier, probe or core

below
selected piers

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Deep Foundations
8.4.3 Bearing Capacity and Settlement
Drilled piers transfer loads from superstructures to lower soil strata by
a. skin friction (Fig. 8.30a)
b. end bearing (Fig. 8.30b)
c. a combination of skin friction and end bearing.
The magnitudes of the bearing capacity and settlement depend naturally upon the type of the soil
in which the piers are embedded. It is fitting, therefore, to consider these quantities for each soil
type separately.
8.4.3.1 Cohesive Soils
One may express the ultimate bearing capacity as follows[40]:
Pu 9 C t At C s As

(8.70)

where
Pu = ultimate bearing capacity
C t = undrained shear strength of the soil below the base of the pier (should be taken as

the average in a zone from about 1 shaft diameter above, to 1.5 shaft or base
diameter below the base}
C s = undrained shear strength of the soil along the length of the pier

At = area of the base of the pier

As = area of the periphery of the pier shaft
, = coefficients determined from field tests. Form most situations, with the exception
of London Clay, = 1.
=

0.35 to 0.40 with the limit s 100 kN/m 2

A factor of safety greater than 2 should be used to obtain the allowable working load from the
ultimate bearing capacity. In selecting the factor of safety, one should take into consideration the
expected settlement of the pier.
Long-term settlements may be calculated from consolidation theory. The soil stresses may be
calculated using the Mindlin solution[quoted in 2]. For estimating the immediate settlement one
may use the equation suggested by Burland et al[5]:

s b
where
b

=
=
=
=

(8.71)

least lateral dimension of footing

contact pressure from load
ultimate bearing pressure
settlement coefficient.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
For deep circular plate on saturated clay, the value of is given by[2]:

L 0.295cu

9
c
E
u
s

where
= submerged unit weight
L = embedment length of shaft
cu = undrained shear strength of the soil
Es = modulus of compressibility of the soil

(8.72)

8.4.3.2 Non-Cohesive Soil

For a drilled pier in non-cohesive soils (sand and gravel), the allowable bearing capacity may be
estimated, using the following equations.
A. Equation of Berenzantzev as quoted in [2]

allow B B

(8.73)

where
allow = allowable bearing capacity

= unit weight of soil

B
= base diameter of pier
B = coefficient dependent of L/B.
Berenzantzeev proposed the following equation for drilled pier resting on sand, for a settlement
ratio = s/B = 0.20:

L cos ( / 4 ) tan )
e
B 1.667

B 2 2

cos (sin cos ) 2 ( / 4 ) tan )

1 sin cos

(8.74)

where

= angle of inernal friction

L = depth of embedment
s = settlement.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

B. Empirical Equation of Terzaghi and Peck [36,37]

p allow (1)

2 2
N BRW 2(100 N 2 ) LRw
3

(8.75a)

B 1
p allow ( 2 ) 1440( N 3)
Rw
(8.75b)
2B
where
Pallow(1)
= allowable bearing pressure in
psf = 1/3 the ultimate bearing pressure
Pallow(2)
= allowable bearing pressure in
psf for a maximum settlement of one inch
N
= number of blows of SPT
B
= diameter of base of pier in ft
L
= depth of pier in ft. If L > B, use the value of B in the calculation.
Rw , Rw
= reduction factors(Fig. 8.31).
The settlements of piers founded on non-cohesive soils are mainly immediate, and their
magnitude is relatively small.
8.4.3.3 Piers in Rock
Piers on or socketed into bedrock are commonly used for supporting heavy structures like major
industrial facilities and bridges. There is no clearly established basis for design of piers on rock.
Presumptive bearing values for rocks are given in EBCS-7[14]. The difficulty in assigning a safe
bearing capacity to rock lies in the evaluation of the influence of non-homogeneity and the
microscopic geologic defects on the behaviour of rock under loading.
If a pier is socketed into rock mass the peripheral resistance is calculated from

Qs

f a As

(8.76)

where
Qs = total allowable load resisted by adhesion
fa = allowable shaft adhesion
As = peripheral area of the rock socket.
The allowable shaft adhesion is difficult to assess. In most cases it is controlled by the bond
strength between concrete and rock. Normally an allowable adhesion between 0.03 f c to

0.05 f c is used[40], where f c is the ultimate concrete strength.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

water level

L
B

La

Lb

water
? level

Reduction factor R ' w

Reduction factor Rw

1.0
0.9
0.8
0.7

1.0
0.9
0.8
0.7

0.6

0.6

0.5
0.0 0.2

0.5
0.0 0.2

0.4 0.6 0.8 1.0

0.4 0.6 0.8 1.0

Fig. 8 . 31 : Correction factor for position of water level [ 35 ]

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
8.4.4 Design of Drilled Piers
8.4.4.1 General Design Consideration
The actual design of drilled piers involves
a. decision on the depth of the pier
b. determination of the allowable bearing capacity of the system, including the adhesion and
shear resistance on the periphery of the shaft and socket for the given soil profile.
c. selection of the type and size of the pier
d. design of the elements of the pier.
8.4.4.2 Design of the Elements of the Pier
The elements of the pier are the shaft with or without a bell and the cap.
A. Pier Bells
In order to reduce the soil pressure, drilled piers are normally constructed with enlarged bases
which are called bells. The slope of the bells should not be less than 60o in order to avoid
caving-in of excavated soils. Due to practical problems, it is advisable that bell diameter should
not exceed 3 times the shaft diameter. The bell should be proportioned so that it does not break
out from the shaft.
For the convenience of design engineers, Teng[35] has presented a table listing different sizes of
bells with their capacity for different design bearing pressures.
B. Pier Shaft
Since pier shafts are laterally supported by the surrounding soil, they do not buckle. Hence they
are designed using the formulas of short columns.
For plain concrete shafts, minimum reinforcement should be provided. In the absence of
building code requirements, a minimum of 1 percent steel with appropriate ties is provided. An
allowable compressive strength of 0.18 f c ( f c being the ultimate strength of a concrete test
cylinder) may be used[35]. The total shaft load with steel core reinforcement with or without
shell may generally be expressed as follows:

AC f c

As f s Ar f r

(8.77)

where
P
fc
Ac
As
fs
Ar

=
=
=
=
=
=

total shaft load

allowable concrete stress
total cross-sectional area of concrete
cross-sectional area of steel core
allowable steel stress
cross-sectional area of steel pipe.
a reduction of 1.6m from pipe thickness should be made
when calculating the area.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
fr = allowable stress of shell.
The magnitude of the allowable stresses should be given from building codes.
In the absence of codes one may use an allowable concrete stress fc = 0.25 f c , and for steel,
allowable stress of 0.35 to 0.40 fy. fy is the yield stress of the steel in question.
8.4.5 Constructional Considerations of the Elements
The bell and the shaft of the pier are constructed monolithically, and concreting is stopped at
some distance below the top of the pier. The remaining portion is poured together with the cap,
in which one normally uses a higher grade of concrete.
The cap is usually larger than the shaft so as to allow the placement of dowels or anchor bolts
without problems. It is advisable to proportion the cap in the same manner as for the pedestal of
a footing. The height of the cap should be either at least twice the difference between the width
or diameter of the cap and the diameter of the shaft[35], or equal to the length of embedment of
the anchor bolts or column dowels. It should be borne in mind that it is through the cap that
superstructure loads are transferred to the pier. Hence the cap should be designed carefully.

8.5 Caissons
8.5.1 General
Caissons are box-type structural elements of a foundation, consisting of many cells built either of
timber, steel, concrete or a combination of them, which are wholly or partly constructed at higher
level (or at times in a different position) and sunk to their final position. They are used to
transmit large loads through water and poor material to firm strata. Major areas in which
caissons are deployed are in bridge piers, quay walls, shore protection structures, water-front
structures, etc.. Because of their construction costs, caissons are advantageously used over other
types of foundations when any or all of the following conditions exist[35]:
a. The soil contains large boulders which obstruct penetration of piles or drilled caissons.
b. A massive substructure is required to extend to or below a river bed to provide resistance
against destructive forces due to floating objects, scour, etc..
c. The foundation is subjected to large lateral forces.

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations
Basically caissons must be designed to resist two types of loading, namely permanent and
temporary loads. The permanent loads are the maximum vertical and laterally forces acting on
the caisson after it is constructed and sunk in the designated position. The vertical loads include
loads from the superstructure, and the caissons own weight minus buoyance force. The lateral
loads include force due to wind, earthquake, earth and water pressure, traction forces from
traffic, pressure from current flow. The temporary loads are those loads which subject the
caisson to large stresses during the construction period[35].
8.5.2 Type of Caisson
Caissons may be divided into three categories according to their methods of construction:
These are
a) Open caisson (Fig. 8.32a)
b) Pneumatic caissons (Fig. 8.32b)
c) Box caissons or floating caisson (Fig. 8.32c.

8.5.2.1 Open Caissons

An open caisson essentially consists of a box, open at top and bottom (Fig. 8.32a). The material
is removed by dredging or grabbing from inside the caisson. The sinking of the caisson proceeds
under the caissons own weight by overcoming the skin friction, which is assisted by the cutting
edges of the walls. Depending on the size of the caisson, its interior may be subdivided into cells
by diaphragms. The shape may be varied as desired circular, square, rectangular, oblong, etc..
After the desired level of penetration has been arrived at, concrete is poured at the bottom to
serve as a seal. After the concrete has set, the water is pumped out and cells are then filled with
concrete.
Open caissons have a relatively low cost of construction, and may be extended to great depths.
However, since the concrete seal is placed under water, its function is not as satisfactory as one
would wish it to be. The other problem associated with this method is that the soil near the
cutting edges may require hand excavation by divers.
A. Bearing Capacity
Caissons are placed in compacted sand, gravel, hard clay or bedrock, and never in soft soil or
decomposed rocks. The ultimate bearing capacity may be determined by using those bearing
capacity relationships used for mat foundations. The following relationships may be used:

Lecture Note - By Alemayehu Teferra. ( Prof.)

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Deep Foundations

Diaphragms for
stability

Cutting edge

a) - Open caisson
Air shafts
Diaphragms
for stability

Air lock

Fill

Compressed air in
working chamber

Cutting edge
b) - Pneumatic casson

c) - Box casson ( Floating casson)

Fig.8 .32 : Types of caisson

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Deep Foundations
a) Cohesive Soil[40]

ult 9 C t

(8.78)

where
C t = undrained shear strength below the base
b) Granular Soil[31]

ult 4 N 2 BRw 12(100 N 2 ) l Rw

(8.79)

where

ult
N
B
l
Rw , Rw

=
=
=
=

ultimate bearing capacity in psf

number of blows of the SPT
width of caisson in ft
depth of caisson in ft

= reduction factors (Fig. 8.31).

It would be stated at this point that the bearing pressure of caissons on bedrock should not
exceed that of the concrete seal. The bearing pressure for the seal is limited to about 350
N/cm2[35].
B. Concrete Seal
Concrete seals are placed to plug the bottom of the caisson during construction, and later they
serve as permanent base of the foundation. They may be designed as thick plates subjected to a
unit bearing pressure[2]..
a) Circular Caissons[2]
t 1.09

where

oR2
fc

(8.80)

t = thickness of seal
o = contact soil pressure or hydrostatic pressure
R = radius of caisson
fc = allowable concrete stress (0.1 to 0.2 f c ).
b) Rectangular Caissons[2]
t

6 o b 2
fc

(8.81)

where
b

= width or short side of caisson

= length or long side of caisson
coefficient depending upon /b.

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Deep Foundations

/b

1
0.048

1.2
0.063

1.4
0.075

1.6
0.086

1.8
0.095

2.0
0.102

3
0.119

0.125

C. General Design Criteria

The external walls of concrete caissons should be designed to withstand both the lateral and
vertical loads. The internal walls should be so designed as to share the vertical load with the
external walls. The construction joints should be placed at sufficient heights so that the weight
of the caissons will be sufficient to overcome the skin friction, and can sink without additional
loading.
These general design criteria also apply for steel caissons. Steel caissons consist of outer and
inner shells made of skin plates braced together with frames which provide rigidly to the walls.
The space between the shells is filled with concrete.
8.5.2.2 Pneumatic Caissons
The essential difference between open caissons and pneumatic caissons is in the provision of a
working chamber filled with compressed air (Fig. 8.32b). Here the top of the caisson is closed,
and compressed air is introduced to prevent water from entering the working chamber. The
excavation is done in dry conditions, thus giving the workers a better chance to have control over
the construction work. Placement of the seal will also be carried out in dry conditions, thus
giving a reliable quality.
It should however be clearly stated that pneumatic caissons should be deployed as a last-resort
solution, because of their very high cost. A health hazard is also associated with this method of
construction: workers can stay in the chamber for only a limited period of time. The depth of
penetration of the caisson below water is limited to a chamber pressure of about 35 N/cm2, since
the human body cannot endure higher pressure. Much of the labour time is consumed in the
compression and decompression cycles which are necessary to avoid the formation of gas
bubbles in the bloodstream of the workers, which may cause death or permanent disability.
The bearing capacity and seal thickness may be determined from equations given for open
caissons.
The following should also be considered in the overall design, in addition to what is stated for
open caissons:
i) design of the roof of the excavation chamber
ii) location of air locks and material locks
iii) provision of decompression chamber
iv) provision of means of removing excavated material.

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8.5.2.3 Box Caissons (Floating Caissons)
A box caisson, as its name implies, is basically a box with a bottom or base. Box caissons are
usually cast on land and towed to the site, and then sunk onto a previously leveled soil base (Fig.
8.32c). They may be constructed from reinforced concrete, steel or a combination of both. Such
caissons are used where the construction of an open caisson is costly or not feasible. They are
advantageously used in a site where the bearing stratum is near the ground surface. Since such
caissons are simple placed on the ground, the ground must be leveled or excavated so as to
acquire a level surface. It must also be protected against scouring.
Since box caissons are towed to the site, one should make flotation stability analysis, so that the
caisson does not overturn due to wave action.
The bearing capacity may be estimated from the equations given for open caissons. However,
sufficient soil borings should be made at the site to reliably establish the design depth. Since the
bottom of the caisson is an integral part of the caisson, one does not need a concrete seal. After
the caisson is sunk to the desired level, it is filled with sand, concrete, gravel, etc., as found
appropriate.
The general criteria that apply for the design of the walls of open caissons also apply for box
caissons.

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2.9. Piled Raft Foundation (Principle of Foundation Engineering, Alemayehu Teferra)

8.6 Piled Raft Foundation
8.6.1 Concept of Piled Raft Foundation
At the end of this chapter it would be appropriate to briefly discuss a foundation type, which has
been introduced in foundation design practice since the last 30 years, known as piled raft
foundation.
Piled raft foundation is a geotechnical composite structure in which pile and raft work in unison
to support loads imposed on them and transmit the loading to the soil. The soil structure inter
action involved is indicated in Fig. 8.33 as proposed by Hanisch et al [16].

Depending on its stiffness, the raft distributes the total structural load partly as contact pressure
to the immediate ground and the rest to the piles, generally represented by the sum of pile
resistance.
The total resistance of the piled raft system, which is a function of settlement, is made up of the
sum of the pile resistance and contact pressure of the raft.
In general
m

Rtot ,k ( s ) R pile , k , j ( s ) Rraft , k ( s )

j 1

Lecture Note - By Alemayehu Teferra. ( Prof.)

(8.82)

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Deep Foundations

tot,k

( x , y)

Rpile, k,1

Rpile, k , j

Interaction between
piled raft and soil

( x , y)

4
1

1
q (z)
s,1

2
qs , j (z)
qb , j

qb , 1
s

Interaction effects:
1 Soil - pile interaction 3 Soil - raft interaction
2 Pile - pile interaction 4 Pile - raft interaction

Fig . 8.33 : Soil - structure interaction effects for piled raft foundations [ 16 ]

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The pile resistance of an individual pile j, made up of the sum of the point resistance and skin
friction.
R pile , k , j ( s ) Rb ,k , j ( s ) Rs , k , j ( s )

(8.83)

with
Rb , k , j q b , k , j A

(point bearing)

where
qb , k , j

= bearing pressure
= cross-sectional area of the pile

Rs , k , j q s . k . j ( s , z ) S

(skin friction)

where
q s ,k , j

skin friction

S
=
surface area of the shaft
For circular piles with diameter D.

Rb ,k , j q b, j ,k

D 2
4

(8.84)

Rs ,k , j q s ,k , j ( s, z ) D dz

(8.85)
The load carrying mechanism of a piled raft is defined by the factor kpp , which indicates the
position of the settlement/resistance out of the total settlement/resistance taken up by the pile.

kpp ( s )

pile , k , j

(s)

Rtot ,k ( s )

(8.86)

The value of kpp varies from 0 for the case where the load is totally supported by the raft to 1,
for the case where the load is totally supported by the piles.
Piled raft foundations have been used in a considerable number of high-rise buildings for the last
thirty years[19]. The numerous buildings founded on piled raft have been monitored with regard
to settlement and sharing of loads between raft and pile. Systematic stress measurements on
piles and rafts of many piled raft foundation indicated that the value of kpp varied from 0.3 to
0.8[16].
8.6.2 Advantages of Piled raft Foundations
The advantages derived from piled raft foundations include the following [19]
(i) In Comparison to actually piled foundation, a significant reduction in pile length is
achieved.
(ii) Maximum total settlements and differential settlements are reduced.

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(iii) Internal stresses and bending moments in the raft are reduced by an optimal arrangement of
piles beneath the raft.
(iv) Due to the load sharing between the pile and raft the bearing capacity of shallow
foundation is improved.
(v) For eccentrically loaded rafts, centralization of the resistance of the foundation is achieved
by concentrating piles under the eccentrically loaded area of the raft.
8.6.3 Limits on Applicability of Piled Rafts
Piled rafts are general used in homogeneous clays, silt and sand. However one may cautiously
use piled rafts for other situations by considering the following points.
(i) If the soil is stratified and if the first layer immediately below the raft has a lower modulus
of Elasticity(E1) in comparison to the second layer{E2), the method is not add admissible.
(ii)

The German Code specifically suggest that if E1 / E 2 1 , one should not use the method.
10

(iii) The method is not recommended for the case where kpp > 0.9.
8.6.4 Calculation Approaches
As could be observed in Fig. 8.33, the soils structure interaction mechanism involved in
complicated. Over the last decades a great number of different calculation methods have been
developed to analyze the load bearing behaviour of piled rafts. The accuracy of the methods
depend on the constitutive laws used, assumptions made and the calculation methods. In recent
years software have been developed which use the finite element method. However, because of
their high cost, they are not yet readily assessable in consulting offices.

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