CHAPTER 13

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.1 INTRODUCTION
If the expected settlement or lateral movement for a proposed structure is too large, then different foundation support or soil stabilization options must be evaluated. One alternative is soil improvement methods, such as discussed in Chap. 12. Instead of soil improvement, the foundation can be designed to resist the anticipated soil movement caused by the earthquake. For example, mat foundations or post-tensioned slabs may enable the building to remain intact, even with substantial movements. Another option is a deep foundation system that transfers the structural loads to adequate bearing material in order to bypass a compressible or liquefiable soil layer. A third option is to construct a floating foundation, which is a special type of deep foundation in which the weight of the structure is balanced by the removal of soil and construction of an underground basement. A floating foundation could help reduce the amount of rocking settlement caused by the earthquake. Typical factors that govern the selection of a particular type of foundation are presented in Table 13.1.

13.2 SHALLOW FOUNDATIONS

A shallow foundation is often selected when the structural load and the effects of the earthquake will not cause excessive settlement or lateral movement of the underlying soil layers. In general, shallow foundations are more economical to construct than deep foundations. Common types of shallow foundations are described in Table 13.2 and shown in Figs. 13.1 and 13.2. If it is anticipated that the earthquake will cause excessive settlement or lateral movement, then isolated footings are generally not desirable. This is because the foundation can be pulled apart during the earthquake, causing collapse of the structure. Instead, a mat foundation (Fig. 13.2) or a post-tensioned slab is more desirable. This is because such foundations may enable the building to remain intact, even with substantial movements.

13.1

13.2

CHAPTER THIRTEEN

TABLE 13.1 Selection of Foundation Type Topic Selection of foundation type Discussion Based on an analysis of the factors listed below, a specific type of foundation (i.e., shallow versus deep) would be recommended by the geotechnical engineer. The foundation must have an adequate depth to prevent frost damage. For such foundations as bridge piers, the depth of the foundation must be sufficient to prevent undermining by scour. The foundation must be safe against a bearing capacity failure. The foundation must not settle to such an extent that it damages the structure. The foundation must be of adequate quality that it is not subjected to deterioration, such as from sulfate attack. The foundation must be designed with sufficient strength that it does not fracture or break apart under the applied superstructure loads. The foundation must also be properly constructed in conformance with the design specifications. The foundation must be able to resist long-term adverse soil changes. An example is expansive soil, which could expand or shrink, causing movement of the foundation and damage to the structure. The foundation must be able to support the structure during an earthquake without excessive settlement or lateral movement. The foundation may also have to meet special requirements or specifications required by the local building department or governing agency.

Adequate depth

Bearing capacity failure Settlement Quality Adequate strength

Adverse soil changes

Seismic forces

Required specifications

13.3 DEEP FOUNDATIONS

13.3.1 Introduction Common types of deep foundations are described in Table 13.3. Typical pile characteristics and uses are presented in Table 13.4. Figures 13.3 and 13.4 show common types of cast-in-place concrete piles and examples of pile configurations. Deep foundations are one of the most effective means of mitigating foundation movement during an earthquake. For example, as discussed in Sec. 3.4.2, the Niigata earthquake resulted in dramatic damage due to liquefaction of the sand deposits in the low-lying areas of Niigata City. At the time of the Niigata earthquake, there were approximately 1500 reinforced concrete buildings in Niigata City, and about 310 of these buildings were damaged, of which approximately 200 settled or tilted rigidly without appreciable damage to the superstructure (see Fig. 3.20). As noted in Sec. 3.4.2, the damaged concrete buildings were built on very shallow foundations or friction piles in loose soil. Similar concrete buildings founded on piles bearing on firm strata at a depth of 20 m (66 ft) did not suffer damage. Besides buildings, deep foundations can be used for almost any type of structure. For example, Fig. 13.5 shows concrete piles that were used to support a storage tank. The soil

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.3

TABLE 13.2 Common Types of Shallow Foundations Topic Spread footings Discussion Spread footings are often square in plan view, are of uniform reinforced concrete thickness, and are used to support a single load directly in the center of the footing. Strip footings, also known as wall footings, are often used to support load-bearing walls. They are usually long, reinforced concrete members of uniform width and shallow depth. Reinforced concrete combined footings are often rectangular or trapezoidal in plan view and carry more than one column load (see Fig. 13.1). Figure 13.1 shows other types of footings, such as the cantilever (also known as strap) footing, an octagonal footing, and an eccentric loaded footing with the resultant coincident with area so that the soil pressure is uniform. If at mat foundation is constructed at or near ground surface, then it is considered to be a shallow foundation. Figure 13.2 shows different types of mat foundations. Based on economic considerations, mat foundations are often constructed for the following reasons (NAVFAC DM-7.2, 1982): 1. Large individual footings: A mat foundation is often constructed when the sum of individual footing areas exceeds about one-half of the total foundation area. 2. Cavities or compressible lenses: A mat foundation can be used when the subsurface exploration indicates that there will be unequal settlement caused by small cavities or compressible lenses below the foundation. A mat foundation would tend to span the small cavities or weak lenses and create a more uniform settlement condition. 3. Shallow settlements: A mat foundation can be recommended when shallow settlements predominate and the mat foundation would minimize differential settlements. 4. Unequal distribution of loads: For some structures, there can be a large difference in building loads acting on different areas of the foundation. Conventional spread footings could be subjected to excessive differential settlement, but a mat foundation would tend to distribute the unequal building loads and reduce the differential settlements. 5. Hydrostatic uplift: When the foundation will be subjected to hydrostatic uplift due to a high groundwater table, a mat foundation could be used to resist the uplift forces. A continuous reinforced concrete foundation consists of bearing wall footings and a slab-on-grade. Concrete reinforcement often consists of steel rebar in the footings and wire mesh in the concrete slab.

Strip footings

Combined footings

Other types of footings

Mat foundation

Conventional slab-on-grade

beneath the storage tank liquefied during the Kobe earthquake. Concerning the performance of this deep foundation during the earthquake, it was stated (EERC 1995):
The tank, reportedly supported by 33 piles extending to depths of approximately 33 meters, was undamaged. The piles consist of reinforced-concrete sections with diameters of approximately

13.4

CHAPTER THIRTEEN

TABLE 13.2 Common Types of Shallow Foundations (Continued) Topic Posttensioned slab-on-grade Discussion Post-tensioned slab-on-grade is common in southern California and other parts of the United States. It is an economical foundation type when there is no ground freezing or the depth of frost penetration is low. The most common uses of post-tensioned slab-ongrade are to resist expansive soil forces or when the projected differential settlement exceeds the tolerable value for a conventional (lightly reinforced) slab-on-grade. For example, a posttensioned slab-on-grade is frequently recommended if the projected differential settlement is expected to exceed 2 cm (0.75 in). Installation and field inspection procedures for post-tensioned slabon-grade have been prepared by the Post-Tensioning Institute (1996). Post-tensioned slab-on-grade consists of concrete with embedded steel tendons that are encased in thick plastic sheaths. The plastic sheath prevents the tendon from coming in contact with the concrete and permits the tendon to slide within the hardened concrete during the tensioning operations. Usually tendons have a dead end (anchoring plate) in the perimeter (edge) beam and a stressing end at the opposite perimeter beam to enable the tendons to be stressed from one end. However, the Post-Tensioning Institute (1996) does recommend that the tendons in excess of 30 m (100 ft) be stressed from both ends. The Post-Tensioning Institute (1996) also provides typical anchorage details for the tendons. Because post-tensioned slab-on-grade performs better (i.e., less shrinkage-related concrete cracking) than conventional slab-ongrade, it is more popular even for situations where low levels of settlement are expected. Perimeter footings support wood beams and a floor system. Interior support is provided by pad or strip footings. There is a crawl space below the wood floor. If the expected settlement or lateral movement for a proposed shallow foundation is too large, then other options for foundation support or soil stabilization must be evaluated. Commonly used alternatives include deep foundations, grading options, or other site improvement techniques. Deep foundations are discussed in this chapter, and grading and other site improvement techniques are discussed in Chap. 12.

Raised wood floor

Shallow foundation alternatives

35 centimeters. Twelve of the 33 piles were arranged in an outer ring near the perimeter of the tank; the rest are situated closer to its center [see Fig. 13.5]. Beneath the tank, the ground had liquefied and settled 28 centimeters. Damage to the exposed portions of the piles appeared to be relatively light. Several piles contained hairline cracks in the upper meter or two. At least one pile contained intersecting cracks that could allow large pieces of concrete to spall out. The most seriously damaged piles were located along the northwestern part of the perimeter. The piles appeared repairable and thus were not classified as having failed.

For earthquake conditions, two of the most commonly used types of deep foundations are the pier and grade beam system and prestressed concrete piles. These two foundation types are described individually in the next two sections.

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.5

FIGURE 13.1 Examples of shallow foundations. (a) Combined footing; (b) combined trapezoidal footing; (c) cantilever or strap footing; (d) octagonal footing; (e) eccentric loaded footing with resultant coincident with area so soil pressure is uniform. (Reproduced from Bowles 1982 with permission of McGraw-Hill, Inc.)

13.3.2 Pier and Grade Beam Support The typical steps in the construction of a foundation consisting of piers and grade beams are as follows: 1. Excavation of piers: Figures 13.6 to 13.8 show the excavation of the piers using a truck-mounted auger drill rig. This type of equipment can quickly and economically excavate the piers to the desired depth. In Figs. 13.6 to 13.8, an auger with a 30-in (0.76-m) diameter is being used to excavate the pier holes. 2. Cleaning of the bottom of the excavation: Piers are often designed as end-bearing members. For example, there may be a loose or compressible upper soil zone with the piers excavated through this material and into competent material. The ideal situation is to have the groundwater table below the bottom of the piers. This will then allow for a visual inspection of the bottom of the pier excavation. Often an experienced driller will be able to clean out most of the bottom of the pier by quickly spinning the auger. A light can then be lowered into the pier hole to observe the embedment conditions (i.e., see Fig. 13.9). A worker should not descend into the hole to clean out the bottom; rather, any loose material at the bottom of the pier should be pushed to one side and then scraped into a bucket lowered into the pier hole. If it is simply not possible to clean out the bottom of the pier, then the pier resistance could be based solely on skin friction in the bearing strata with the endbearing resistance assumed to be equal to zero.

13.6

CHAPTER THIRTEEN

FIGURE 13.2 Examples of mat foundations. (a) Flat plate; (b) plate thickened under columns; (c) beamand-slab; (d) plate with pedestals; (e) basement walls as part of mat. (Reproduced from Bowles 1982 with permission of McGraw-Hill, Inc.)

TABLE 13.3 Common Types of Deep Foundations Topic Pile foundations Discussion Probably the most common type of deep foundation is the pile foundation. Piles can consist of wood (timber), steel H-sections, precast concrete, cast-in-place concrete, pressure-injected concrete, concrete-filled steel pipe piles, and composite-type piles (also see Table 13.4). Piles are either driven into place or installed in predrilled holes. Piles that are driven into place are generally considered to be low displacement or high displacement depending on the amount of soil that must be pushed out of the way as the pile is driven. Examples of low-displacement piles are steel H-sections and open-ended steel pipe piles that do not form a soil plug at the end. Examples of high-displacement piles are solid section piles, such as round timber piles or square precast concrete piles, and steel pipe piles with a closed end. Various types of piles are as follows: G Batter pile: A pile driven in at an angle inclined to the vertical that provides high resistance to lateral loads.

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.7

TABLE 13.3 Common Types of Deep Foundations (Continued) Topic Pile foundations
(continued)
G

Discussion End-bearing pile: This piles support capacity is derived principally from the resistance of the foundation material on which the pile tip rests. End-bearing piles are often used when a soft upper layer is underlain by dense or hard strata. If the upper soft layer should settle, the pile could be subjected to down-drag forces, and the pile must be designed to resist these soil-induced forces. G Friction pile: This piles support capacity is derived principally from the resistance of the soil friction and/or adhesion mobilized along the side of the pile. Friction piles are often used in soft clays where the end-bearing resistance is small because of punching shear at the pile tip. A pile that resists upward loads (i.e., tension forces) would also be considered to be a friction pile. G Combined end-bearing and friction pile: This pile derives its support capacity from combined end-bearing resistance developed at the pile tip and frictional and/or adhesion resistance on the pile perimeter. Piles are usually driven into specific arrangements and are used to support reinforced concrete pile caps or a mat foundation. For example, the building load from a steel column may be supported by a concrete pile cap that is in turn supported by four piles located near the corners of the concrete pile cap. Another option is a concrete-filled steel pipe pile. In this case, the steel pipe pile is driven into place. The pipe pile can be driven with either an open or a closed end. If the end is open, the soil within the pipe pile is removed (by jetting) prior to placement of the steel reinforcement and concrete. Table 13.4 provides additional details on the concrete-filled steel pipe piles. Table 13.4 presents details on typical prestressed concrete piles that are delivered to the job site and then driven into place. Table 13.4 provides additional details on various types of piles. A pier is defined as a deep foundation system, similar to a castin-place pile, that consists of a columnlike reinforced concrete member. Piers are often of large enough diameter to enable downhole inspection. Piers are also commonly referred to as drilled shafts, bored piles, or drilled caissons. Large piers are sometimes referred to as caissons. A caisson can also be a watertight underground structure within which work is carried on. If a mat or raft foundation is constructed below ground surface or if the mat or raft is supported by piles or piers, then it should be considered to be a deep foundation system. A floating foundation is a special type of deep foundation where the weight of the structure is balanced by the removal of soil and construction of an underground basement.

Concrete-filled steel pipe piles

Prestressed concrete piles Other types of piles Piers

Caissons

Mat or raft foundation

Floating foundation

TABLE 13.4 Typical Pile Characteristics and Uses Cast-in-place concrete piles (shells driven without mandrel) 45 m 925 m ACI Cast-in-place concrete piles (shells withdrawn) 36 m 812 m ACI*

Pile type Maximum length Optimum length Applicable material specifications 35 m 920 m

Timber

Steel Practically unlimited 1250 m ASTM-A36 for structural sections ASTM-A1 for rail sections fs fs 65 to 140 MPa 0.35fy0.5fy

ASTM-D25 for piles; P1-54 for quality of creosote; C1-60 for creosote treatment (standards of American Wood Preservers Assoc.) Measured at midpoint of length: 46 MPa for cedar, western hemlock, Norway pine, spruce, and depending on code 58 MPa for southern pine, Douglas fir, oak, cypress, hickory 270 kN 130225 kN Difficult to splice Vulnerable to damage in hard driving Vulnerable to decay unless treated, when piles are intermittently submerged

Recommended maximum stresses

0.33f c; 0.4f c if shell gage 14; shell stress 0.35fy if thickness of shell 3 mm

0.25f c 0.33f c

Maximum load for usual conditions Optimum load range Disadvantages

Maximum allowable stress cross section 3501050 kN Vulnerable to corrosion HP section may be damaged or deflected by major obstructions

900 kN 450700 kN Hard to splice after concreting Considerable displacement

1300 kN 350900 kN Concrete should be placed in dry hole More than average dependence on quality of workmanship

13.8

TABLE 13.4 Typical Pile Characteristics and Uses Cast-in-place concrete piles (shells driven without mandrel) Can be redriven Shell not easily damaged Cast-in-place concrete piles (shells withdrawn) Initial economy

Pile type Advantages

Timber Comparatively low initial cost Permanently submerged piles are resistant to decay Easy to handle Best suited for friction pile in granular material

Steel Easy to splice High capacity Small displacement Able to penetrate through light obstructions Best suited for end bearing on rock Reduce allowable capacity for corrosive locations

Remarks

Best suited for friction piles of medium length

Allowable load on pedestal pile is controlled by bearing capacity of stratum immediately below pile

Typical illustrations

13.9
Notes: Stresses given for steel piles and shells are for noncorrosive locations. For corrosive locations estimate possible reduction in steel cross section or provide protection from corrosion.

TABLE 13.4 Typical Pile Characteristics and Uses (Continued) Cast in place (thin shell driven with mandrels) 30 m for straight sections 12 m for tapered sections 1218 m for straight 512 m for tapered ACI Auger-placed pressure-injected concrete (grout) piles 925 m 1218 m See ACI*

Pile type Maximum length Optimum length Applicable material specifications

Concrete-filled steel pipe piles Practically unlimited 1236 m ASTM A36 for core ASTM A252 for pipe ACI Code 318 for concrete 55 m

Composite piles

Precast concrete (including prestressed) 30 m for precast 60 m for prestressed 1215 m for precast 1830 m for prestressed ASTM A15 for reinforcing steel ASTM A82 for cold-drawn wire ACI Code 318 for concrete 0.33fc unless local building code is less; 0.4fy for reinforced unless prestressed 8500 kN for prestressed 900 kN for precast 3503500 kN Difficult to handle unless prestressed High initial cost Considerable displacement Prestressed difficult to splice

1836 m ACI Code 318 for concrete ASTM A36 for structural section ASTM A252 for steel pipe ASTM D25 for timber Same as concrete in other piles Same as steel in other piles Same as timber piles for wood composite 1800 kN

Recommended maximum stresses

0.40fy reinforcement 205 MPa 0.50fy for core 175 MPa 0.33f c for concrete 1800 kN without cores 18,000 kN for large sections with steel cores 7001100 kN without cores 450014,000 kN with cores High initial cost Displacement for closed-end pipe

0.33fc; fs 0.4fy if shell gauge is 14; use fs 0.35fy if shell thickness 3 mm 675 kN

0.225f0.40 f c c

Maximum load for usual conditions Optimum load range Disadvantages

700 kN

250725 kN Difficult to attain good joint between two materials

250550 kN

350550 kN

Difficult to splice after Dependence on concreting workmanship Redriving not recommended Not suitable in Thin shell vulnerable compressible during driving soil Considerable displacement

13.10

TABLE 13.4 Typical Pile Characteristics and Uses (Continued) Cast in place (thin shell driven with mandrels) Initial economy Taped sections provide higher bearing resistance in granular stratum Auger-placed pressure-injected concrete (grout) piles Freedom from noise and vibration Economy High skin friction No splicing Patented method

Pile type Advantages

Concrete-filled steel pipe piles

Composite piles

Precast concrete (including prestressed) High load capacities Corrosion resistance can be attained Hard driving possible

Best control during installation Considerable length No displacement for can be provided at open-end installation comparatively low cost Open-end pipe best against obstructions High load capacities Easy to splice Provides high bending resistance where unsupported length is loaded laterally The weakest of any material used shall govern allowable stresses and capacity

Remarks

Cylinder piles in particular are suited for bending resistance

Best suited for medium-load friction piles in granular materials

Typical illustrations

13.11

*ACI Committee 543, Recommendations for Design, Manufacture, and Installation of Concrete Piles, JACI, August 1973, October 1974. Sources: NAVFAC DM-7.2 (1982) and Bowles (1982).

13.12

CHAPTER THIRTEEN

FIGURE 13.3 Common types of cast-in-place concrete piles. (a) Uncased pile; (b) Franki uncased-pedestal pile; (c) Franki cased-pedestal pile; (d) welded or seamless pipe pile; (e) cased pile using a thin sheet shell; (f) monotube pile; (g) uniform tapered pile; (h) step-tapered pile. (Reproduced from Bowles 1982 with permission of McGraw-Hill, Inc.)

3. Steel cage and concrete: Once the bottom of the pier hole has been cleaned, a steel reinforcement cage is lowered into the pier hole. Small concrete blocks can be used to position the steel cage within the hole. Care should be used when inserting the steel cage so that soil is not knocked off the sides of the hole. Once the steel cage is in place, the hole is filled with concrete. Figure 13.10 shows the completion of the pier with the steel reinforcement extending out the top of the pier. 4. Grade beam construction: The next step is to construct the grade beams that span between the piers. Figure 13.11 shows the excavation of a grade beam between two piers. Figure 13.12 shows the installation of steel for the grade beam. Similar to the piers, small concrete blocks are used to position the steel reinforcement within the grade beam. A visqueen moisture barrier is visible on the left side of Fig. 13.12.

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.13

FIGURE 13.4 Typical pile configurations. (Reproduced from Bowles 1982 with permission of McGraw-Hill, Inc.)

Figure 13.13 shows a pier located at the corner of the building. The steel reinforcement from the grade beams is attached to the steel reinforcement from the piers. Once the steel reinforcement is in place, the final step is to place the concrete for the grade beams. Figure 13.14 shows the finished grade beams. The steel reinforcement protruding out of the grade beams will be attached to the steel reinforcement in the floor slab. 5. Floor slab: Prior to placement of the floor slab, a visqueen moisture barrier and a gravel capillary break should be installed. Then the steel reinforcement for the floor slab is laid out, such as shown in Fig. 13.15. Although not shown in Fig. 13.15, small concrete blocks will be used to elevate the steel reinforcement off the subgrade, and the steel will be attached to the steel from the grade beams. The final step is to place the concrete for the floor slab. Figure 13.16 shows the completed floor slab. 6. Columns: When the building is being designed, the steel columns that support the superstructure can be positioned directly over the center of the piers. For example, Fig. 13.17 shows the location where the bottom of a steel column is aligned with the top of a pier. A steel column having an attached baseplate will be bolted to the concrete. Then the steel reinforcement from the pier (see Fig. 13.17) will be positioned around the bottom of the steel column. Once filled with concrete, the final product will be essentially a fixed-end column condition having a high lateral resistance to earthquake shaking. A main advantage of this type of foundation is that there are no open joints or planes of weakness that can be exploited by the seismic shaking. The strength of the foundation is

13.14

CHAPTER THIRTEEN

FIGURE 13.5 Storage tank supported by concrete piles. The soil underneath the tank liquefied during the Kobe earthquake on January 17, 1995. The soil around the piles was removed in order to observe the condition of the piles. (Photograph from the Kobe Geotechnical Collection, EERC, University of California, Berkeley.)

FIGURE 13.6

Truck-mounted auger drill rig used to excavate piers.

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.15

FIGURE 13.7

Close-up of auger being pushed into the soil.

FIGURE 13.8

Close-up of auger being extracted from the ground with soil lodged within its grooves.

due to its monolithic construction, with the floor slab attached and supported by the grade beams, which are in turn anchored to the piers. In addition, the steel columns of the superstructure can be constructed so that they bear directly on top of the piers and have fixed end connections. This monolithic foundation and the solid connection between the steel columns and piers will enable the structure to resist the seismic shaking.

13.16

CHAPTER THIRTEEN

FIGURE 13.9

A light has been lowered to the bottom of the pier to observe embedment conditions.

FIGURE 13.10 The pier hole has been filled with concrete. The steel reinforcement from the pier will be attached to the steel reinforcement in the grade beam.

FOUNDATION ALTERNATIVES TO MITIGATE EARTHQUAKE EFFECTS

13.17

FIGURE 13.11 Excavation for the grade beam that will span between the two piers.

Usually this foundation system is designed by the structural engineer. The geotechnical engineer provides various design parameters, such as the estimated depth of the bearing strata, the allowable end-bearing resistance, allowable skin friction in the bearing material, allowable passive resistance of the bearing material, and any anticipated down-drag loads that could be induced on the piers if the upper loose or compressible soil should settle under its own weight or during the anticipated earthquake. The geotechnical engineer also needs to inspect the foundation during construction in order to confirm the embedment conditions of the piers.

13.3.3 Prestressed Concrete Piles Introduction. Common types of prestressed concrete piles are shown in Fig. 13.18. Prestressed piles are typically produced at a manufacturing plant. The first step is to set up the form, which contains the prestressed strands that are surrounded by wire spirals. The