CHAPTER THREE

INTRODUCTION TO
FOUNDATION OF EXPANSIVE
SOILS

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 INTRODUCTION
 Expansive soils are a worldwide problem.
 Expansive soils are considered natural hazards that pose
challenges to civil engineers, construction firms, and
owners.
 In some developing countries, buildings were
constructed without any knowledge of the presence of
expansive soils. This was in part due to a lack of
historical evidence.
 With the rapid development in urban infrastructure,
expansive soil problems have become more evident.

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 … INTRODUCTION
 Expansive soils occur in many parts of the world
but particularly in arid and semi-arid regions.
 In these regions, evaporation rates are higher
than the annual rainfall so that there is almost
always a moisture deficiency in the soil.
 The addition of water will cause ground heave in
soils possessing swelling potential.
 Semi-arid regions are characterized by short
periods of rainfall followed by long periods of
draught causing cyclic swelling and shrinking
phenomena.
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 … INTRODUCTION
 The ground heave that results from soil swelling
potential is a multifactorial phenomenon that
involves
 A combination of the type of material,
 Type and amount of clay minerals,
 Microfabric,
 Initial moisture content, and
 Initial dry density.
 Expansive soils in many parts of the world pose a
significant hazard to foundations for light
buildings.

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 … INTRODUCTION
 Swelling clays derived from residual soils can exert
uplift pressures of as much as 260kN/m2, which can do
considerable damage to lightly-loaded wood-frame
structures.
 Insurance companies pay out millions of dollars yearly
to repair homes distressed by expansive soils.
 The problems associated with expansive soils were not
recognized in Ethiopia for many years for the obvious
reason that most of the modern small masonry or brick
houses built were located on sites that did not cause
foundation problems.

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 Problems in Expansive Soils

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 … INTRODUCTION
 In the field, expansive clay soils can be easily
recognized in the dry season by the deep cracks, in
roughly polygonal patterns, in the ground surface
(see Figure).
 The zone of seasonal moisture content fluctuation
can extend from three to forty feet deep (see Fig.).
 This creates cyclic shrink/swell behavior in the
upper portion of the soil column, and cracks can
extend to much greater depths than imagined by
most engineers.

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 Typical Expansive
Soils

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 Figure: Polygonal pattern of surface cracks in the dry season. These
cracks are approximately 2.5cm (one inch) wide at the top. Note sewer
manhole in background.
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 Figure: This crack is at least 80cm deep. The yardstick was easily inserted
to this depth; narrower, less straight cracks may extend much deeper.

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 Mineral Composition of Expansive Soils
 The parent materials of expansive soils may be
classified into two groups.
a) The basic igneous rocks such as basalt, gabbros, dolerite
sills and dykes etc., where feldspar and pyroxene
minerals of the parent rocks decompose to form
montmorillonite, the predominant mineral of expansive
soil and other secondary minerals.
b) The second group comprises sedimentary rocks that
contain montmorillonite, and break down physically to
form expansive soils.
 There are indications that confirm that the
expansive soils of Ethiopia are derived from both
groups.
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 Mineral Composition of Expansive Soils
 The three most important groups of clay minerals
are montmorillonite, illite, and kaolinite, which
are crystalline hydrous aluminosilicates.
 Of these groups, it is the clay mineral
montmorillonite that presents most of the
foundation problems.
 Essentially, montmorillonite (also called the
smectite group) is a three-layered mineral having a
single octahedral alumina sheet sandwiched
between two silica sheets.
 The units are stacked one above the other like
12
leaves
ASTU
of a book.
Foundation Engineering II
 Crystal structure of smectite clay minerals

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 … Mineral Composition of Expansive Soils
 The bonds are comparatively weak, and water can
enter between the sheets causing them to expand
readily.
 When water is removed from the boundary, the
sheets contract. Thus soil containing substantial
amounts of montmorillonite will exhibit high
shrinkage and swelling characteristics. Experience
shows that swelling problems arise when soils
contain more than 20% montmorillonite mineral.
 The expansive clay soils prevalent in Ethiopia are
either black (black cotton soil) or dark grey.

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 Soil Properties

 Index Properties:
 Void Ratio, (e)
 Density, (ρ)
 Specific Gravity, (Gs)
 Moisture Content, (w)
 Grain Size,
 Atterberg Limits (LL, PL, PI)
 Engineering Properties:
 Strength (Shear Parameters, c & )
 Compressibility (cv & cc)
 Permeability (k)

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 Difficult Soils/Ground
 Soft Marine Clay Deposits
 Collapsible Soils
 Expansive/Swelling Soils
 Loose Saturated Sand Deposits
 Structural fills/Municipal Landfills
 Underground Karst

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  The ground heave that results from soil swelling
potential is a multifactorial phenomenon that
involves
 A combination of the type of material,
 Type and amount of clay minerals,
 Microfabric,
 Initial moisture content, and
 Initial dry density.
 Expansive soils in many parts of the world pose a
significant hazard to foundations for light buildings.

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 Typical Void Ratio, Moisture Content & Dry Unit Weight
Type of Soil Void Ratio, Natural Moisture Dry Unit
e Content (%) in Weight
Saturated Condition (kN/m3)
Loose Uniform Sand 0.8 30 14.5
Dense Uniform Sand 0.45 16 18
Loose Angular Grained 0.65 25 16
Silty Sand
Dense Angular Grained 0.4 15 19
Silty Sand
Stiff Clay 0.6 21 17
Soft Clay 0.9 – 1.4 30 – 50 11.5 – 14.5
Soft Organic Clay 2.5 – 3.2 90 - 120 6-8

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 Specific Gravity of Soil (G)
Type of Soil G
Sand 2.64 - 2.66
Silt 2.67 – 2.73
Clay 2.70 – 2.90
Chalk 2.60 – 2.75
Loess 2.65 – 2.73
Peat 1.30 – 1.90

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 Coefficient of Permeability, k (cm/s)

Type of Soil Hydraulic Conductivity or

Coefficient of Permeability,
k (cm/s)
Medium to Coarse Gravel > 10-1

Coarse to Fine Sand 10-1 - 10-3

Fine Silty Sand 10-3 - 10-5

Silt, Clayey Silt, Silty Clay 10-5 - 10-6

Clays 10-6 - 10-8

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 Plasticity Index, PI and Consistency Index
Plasticity Index, PI = Liquid Limit – Plastic Limit

CI = 0 % ----- very soft clays

CI = 0 to 50% ----- soft clay
CI = 50 to 75% --- medium stiff to stiff
CI > 75% ---- stiff to hard
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 Activity, A

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Degree of shrinkage, Sr

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 Unconfined Compression Values

Sensitivity Values

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 Free Swell Index

To know the Degree of Severity to soil Foundations

Water Kerosene

Soil
Measuring Jars

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 Swell Pressure
The maximum force per unit area that needs to be placed over a swelling
soil to prevent volume increase is the Swelling pressure.

Expansion
Expansion

0
0
Compression
Compression

 
log 

Swelling pressure < 10 kPa ---No danger

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27 ASTU Foundation Engineering II
28 ASTU Foundation Engineering II
 Degree of Severity of Clay Soils

Liquid Limit Plasticity Free Swell Degree of Degree of

(%) Index (PI) (%) Expansion Severity

20 – 35 < 12 < 50 Low Non-critical

35 – 50 12 – 23 50 – 100 Medium Marginal

50 – 70 23 – 32 100 – 200 High Critical

70 – 90 > 32 > 200 Very High Severe

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 Collapsible Soil
Collapse Potential, CP

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 Density index (Relative Density)

Density State of
index compaction
0-15% Very loose
15-35 Loose
35-65 Medium
65-85 Dense
31 ASTU 85-100%
Foundation Engineering II Very dense
 SPT Results Interpretation for
Cohesionless Soils

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 SPT Results Interpretation for
Cohesive Soils

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 Physical Properties of Expansive Soils
Expansive soils can be classified on the basis of
certain inherent characteristics of the soil. It is
first necessary to understand certain basic
parameters used in the classification.
I. Swelling Potential: is defined as the
percentage of swell of a laterally confined
sample in an oedometer test which is soaked
under a surcharge load of 7 kPa (1 lb/in2) after
being compacted to maximum dry density at
optimum moisture content according to the
AASHTO compaction test.
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 … Physical Properties of Expansive Soils
II. Swelling Pressure:
 is the pressure required for preventing volume
expansion in soil in contact with water.
 Most of the structural damages occur when the
swelling pressure is greater than the foundation
pressure
 It should be noted here that the swelling pressure
measured in a laboratory oedometer is different
from that in the field.
 The actual field swelling pressure is always less than
the one measured in the laboratory.
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 III. Free Swell
 The free swell of an expansive soil is the increase in
volume of a soil without any external constraint when
subjected to submergence in water.
 Such soils have a possibility to damage the structure
when the ground water table reaches the influence
zone.
 The free swell test is one of the most commonly used
simple tests for estimating soil swelling potential.

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 …Physical Properties of Expansive Soils
 Free swell test is performed by pouring 10cc of dry soil,
passing through sieve no 40 (0.425mm diameter), into a
100 cc graduated cylinder. The cylinder is then filled with
distilled water and the swelled volume of the soil is
measured after the material settles within 24 hours.
𝑽𝒇 − 𝑽𝒊
𝑺𝒇 = ∗ 𝟏𝟎𝟎
𝑽𝒊
Where: Vi=initial dry volume of poured soil
Vf= final volume of poured soil

 Bentonite-clay is supposed to have a free swell value

ranging from 1200 to 2000 percent. The free swell value
37
increases
ASTU
with plasticity index.
Foundation Engineering II
 …Physical Properties of Expansive Soils
 Holtz and Gibbs suggested that soils having a free-
swell value as low as 100% can cause considerable
damage to lightly loaded structures and soils heaving
a free swell value below 50% seldom exhibit
appreciable volume change even under light
loadings.
 The swelling tendencies of expansive soils are
quantified by the swell potential and swelling
pressure parameters.
 These expansive soil parameters can be directly
estimated in the laboratory from special oedometer
38 testsFoundation
ASTU and the differential
Engineering II free swell test.
 …Physical Properties of Expansive Soils

 Apart from these direct tests, soil mechanics

practice for determining the engineering
characteristics of expansive soils is usually based on
the Atterberg Limits, sometimes in conjunction with
grain size analysis.
 However, swell potentials based on index
properties are in far excess of the oedometer swell
potentials. The soil properties, external pressure,
and wetting–drying process affect the swell
potential and swell pressure of expansive soils.
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 Evaluation of The Swelling Potential of Expansive
Soils by Single Index Method (Chen, 1988)

Simple soil property tests can be used for the

evaluation of the swelling potential of expansive soils
(Chen, 1988). Such tests are easy to perform and
should be used as routine tests in the investigation of
building sites in those areas having expansive soil.
These tests are:
1. Atterberg limits tests
2. Linear shrinkage tests
3. Free swell tests
4. Colloid content tests

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 1. Atterberg Limits
 Plasticity index, PI, and liquid limit, LL are useful
indices for determining the swelling
characteristics of most clays.
 Since the liquid limit and the swelling of clays
both depend on the amount of water clay tries to
absorb, it is natural that they are related.

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 Relation between swelling potential and plasticity index

Plasticity Index PI (%) Swelling potential

0-10 Low
10-35 Medium
20-55 High
55 and above Very High

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 2. Linear Shrinkage
 The swell potential is presumed to be related to the
opposite property of shrinkage limit measured in a
very simple test.
 Altmeyer (1955) suggested the values given below as
a guide to the determination of potential
expansiveness based on shrinkage limits and linear
shrinkage.
Table . Relation between swelling potential, shrinkage limits, and linear shrinkage

Shrinkage limit (%) Linear Shrinkage % Degree of expansion

<10 >8 Critical

10-12 5-8 Marginal
43 >12 Foundation Engineering II 0-5
ASTU Non-critical
 3. Colloid Content
 Soil colloids are minute and have a large surface
area per unit mass.
 Soil colloids also carry electrostatic charges (- and
+) that are balanced by adsorbed cations and
anions.
 There is a direct relationship between colloid
content and swelling potential
 For a given clay type, the amount of swell will
increase with the amount of clay present in the
soil.

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 Fig: Relationship between percentage of swell and percentage of
clay sizes for experimental soils (after Seed et al., 1962)

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 …Cont.
4. Plasticity chart in relation to expansive soil
 One way of using Atterberg limit test results was
developed by Casagrande (1947), (Fig.).
 Employing this plasticity chart, many authors found
that the A-line in the chart generally defines the
expansive soil, since the great majority of plots,
representing soils known to be expansive, fall
above this line. The location of the expansive soils
of Addis Ababa is also indicated in Fig. 5.

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 Plasticity chart

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 … Plasticity chart

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 …Cont.
5. Swelling potential determination using empirical
equation
 Anderson et al (1969) suggested empirical relations
from which they were able to relate the degree of
expansion with the plasticity index.
 Following their investigation they came up with the
following empirical equation:
𝑺 = 𝟎. 𝟐𝟑𝑰𝒑 − 𝟑. 𝟏𝟐
Where:
S=swelling potential
Ip=plasticity Index

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 …Cont.

Table : Relationship between Plasticity Index and Swelling Potential

Degree of Plasticity Swelling

expansion index, PI potential, S
Low <20 1.5
Medium 20 -31 1.5 -4.0
High 31 -39 4.0 -6.0
Very High >39 6

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 …Cont.
6. Activity method for the determination of
swelling potential
 Skempton(1953) defined activity by the following
expression,

𝑰𝒑
𝐀=
𝑪
Where: Ip =plasticity Index
C=percentage of clay size finer than 0.002mm
weight

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 …Cont.
 Based on activity, two different types of charts
were presented by different authors to identify
the swelling potential of expansive soils.
 The first chart, known as the Activity chart, is a
plot of plasticity index versus clay fraction.
 De Bruyn et al (1956) plotted experimental data
and found three distinct groupings according to
the activity of the soils
 The soils were classified as Bad, Medium and
Good according to their property with regard to
their effect on buildings erected on them. Here
again the location of the predominant
expansive soils of Addis Ababa are indicated
(Fig.5).
52 ASTU Foundation Engineering II
 …Cont.
 The second chart is presented by Seed et
al (1962) where activity versus clay
fraction is presented (Fig.).
 Using the above information, one would
get a fair idea of the degree of potential
expansiveness of any soil under
consideration.

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 …Cont.
Activity chart

54 ASTU Foundation Engineering II

 …Cont.
Classification chart for swelling potential according to Seed et al.

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 Foundation Damage
 The most obvious way in which expansive soils can
damage foundations is by uplift as they swell with
moisture increases.
 Swelling soils lift up and crack lightly-loaded,
continuous strip footings, and frequently cause
distress in floor slabs.
 Because of the different building loads on different
portions of a structure's foundation, the resultant
uplift will vary in different areas.
 As shown in Fig. 8, the exterior corners of a
uniformly-loaded rectangular slab foundation will
only exert about one-fourth of the normal pressure
on a swelling soil of that exerted at the central
portion of the slab.
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 Figure: A rectangular slab, uniformly loaded, will tend to lift up in the
corners because there is less confinement.

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  As a result, the corners tend to be lifted up relative
to the central portion.
 This phenomenon can be exacerbated by moisture
differentials within soils at the edge of the slab.
Such differential movement of the foundation can
also cause distress to the framing of a structure.

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 Damage to home supported on shallow piers.
(1) At the beginning of the rainy season, the piers are still
supported by friction with the soil. When it begins to rain,
water enters deep into the soil through the cracks.
(2) After 5 to 10 large storms, the soil swells, lifting the house
and piers.
(3) In the dry season, the groundwater table falls and the soil
dries and contracts. As tension cracks grow around the
pier, the skin friction is reduced and the effective stress of
the soil increases (due to drying). When the building load
exceeds the remaining skin friction or the effective stress
of the soil increases to an all-time high, adhesion is
broken by this straining, and the pier sinks.

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60 ASTU Foundation Engineering II
 Drilled pier foundations have been used since the late 1950s to
reduce expansive soil damage.
 However, these types of foundations can also be adversely
affected by expansive soil behavior if the piers are not
sufficiently deep.
 Frequently, the corner piers of a pier-supported structure are
lifted up during swelling in the wet season, and then break their
skin friction bond with the ground when the soil shrinks away
from the pier in the following dry season (Fig. ).
 Loss of this "skin friction" decreases the pier's ability to support
building loads. This straining to the soil can become great
enough that the pier falls.
 To prevent this style of damage, the piers must be drilled well
below the zone of seasonal moisture fluctuation, and they must
be designed with the assumption that the upper portions of the
pier will lose contact with the adjacent soil.

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  Shallow pipes, especially plastic pipes, buried in the zone
of seasonal moisture fluctuation, are exposed to
enormous stresses by shrinking soils. If water or sewage
pipes break, then the resultant leaking moisture can
exacerbate swelling damage to nearby structures.
 Concrete drainage devices can be adversely affected by
expansive soils. Swelling clays can lift and crack concrete
ditches, seriously impairing their ability to convey runoff.
Subsequent contraction may leave a void under the
concrete, leading to piping and erosion as runoff flows
under the ditch.
 Expansive soils pose the greatest hazard in regions with
pronounced wet and dry seasons. The annual cycle of
wetting and drying causes soils to shrink and swell each
year. Thus, the arid regions of the country are much more
susceptible to damage from expansive soils than regions
that maintain moist soil conditions throughout the year.

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  The biggest problem in expansive soil areas is that of
differential water content. Sources of water in developed
areas are not limited to temporal weather cycles, but can
be introduced by people.
 A frequent source of damage is the differential swelling
caused by pockets of moist soil adjacent to dry soil. For
example, lawn and garden watering creates a moist zone
on the exterior of a foundation, whereas the interior is
dry; this creates differential swelling pressure on
foundation elements. There is frequently a moisture
differential between the soils beneath a house and those
that are more directly exposed to changes in the weather.
Cesspools, leaky pipes, and swimming pools are other
common sources of water.
 Shallow pipes, especially plastic pipes, buried in the zone
of seasonal moisture fluctuation, are exposed to
enormous stresses by shrinking soils. If water or sewage
pipes break, then the resultant leaking moisture can
exacerbate swelling damage to nearby structures.
63 ASTU Foundation Engineering II
  Concrete drainage devices can be adversely affected by
expansive soils. Swelling clays can lift and crack concrete
ditches, seriously impairing their ability to convey runoff.
Subsequent contraction may leave a void under the concrete,
leading to piping and erosion as runoff flows under the ditch.
 Expansive soils pose the greatest hazard in regions with
pronounced wet and dry seasons. The annual cycle of wetting
and drying causes soils to shrink and swell each year. Thus,
the arid regions of the country are much more susceptible to
damage from expansive soils than regions that maintain moist
soil conditions throughout the year.
 The biggest problem in expansive soil areas is that of
differential water content. Sources of water in developed
areas are not limited to temporal weather cycles, but can be
introduced by people.
64 ASTU Foundation Engineering II
  A frequent source of damage is the differential swelling
caused by pockets of moist soil adjacent to dry soil. For
example, lawn and garden watering creates a moist zone on
the exterior of a foundation, whereas the interior is dry; this
creates differential swelling pressure on foundation elements.
 There is frequently a moisture differential between the soils
beneath a house and those that are more directly exposed to
changes in the weather. Cesspools, leaky pipes, and
swimming pools are other common sources of water.

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 Mitigation Measures
 The best way to avoid damage from expansive soils is to extend
building foundations beneath the zone of water content
fluctuation. The reason is two fold:
 first, to provide for sufficient skin friction adhesion below the zone of
drying; and,
 second, to resist upward movement when the surface soils become wet
and begin to swell.
 Successive drought years have demonstrated that the zone of
seasonal fluctuation can extend much deeper than previously
believed.
 Piers extending to depths of 2m can withstand normal annual
fluctuations, but do not appear adequate when taken over the
long haul, such as a two-year drought followed by an extremely
wet year.
 Another way of mitigating expansive soil problems is to collect
surface
ASTU
runoffEngineering
Foundation
and to II
limit surface infiltration during the rainy
66
winter months.
 Design of foundations in swelling soils
 It is necessary to note that all parts of a building will not equally
be affected by the swelling potential of the soil.
 Beneath the center of a building where the soil is protected from
sun and rain the moisture changes are small and the soil
movements are the least.
 Beneath outside walls, the movements are greater. Damage to
buildings is greatest on the outside walls due to soil movements.
 Three general types of foundations can be considered in
expansive soils. They are
1. Structures that can be kept isolated from the swelling effects of the soils
2. Designing of foundations that will remain undamaged in spite of swelling
3. Elimination of swelling potential of soil.
 All three methods are in use either singly or in combination, but
the first is by far the most widespread. Fig. 10 shows a typical
type of foundation under an outside wall. The granular fill
provided around the shallow foundation mitigates the effects of
expansion of the soils.
67 ASTU Foundation Engineering II
  All three methods are in use either singly or in combination, but
the first is by far the most widespread. Fig. below shows a
typical type of foundation under an outside wall.
 The granular fill provided around the shallow foundation
mitigates the effects of expansion of the soils.

Figure: Foundation in expansive soil

68 ASTU Foundation Engineering II
 Foundation Considerations for Expansive Soils
If a soil has a low swell potential, standard construction practices
may be followed. However, if the soil possesses a marginal or high
swell potential, precautions need to be taken, which may entail
1. Replacing the expansive soil under the foundation
2. Changing the nature of the expansive soil by:
i. Compaction
ii. Pre-wetting
iii. Installation of moisture barriers
iv. Stabilization of soil
3. Strengthening the structures to withstand heave, constructing
structures that are flexible enough to withstand the differential
soil heave without failure, or constructing isolated deep
foundations below the depth of the active zone.
 One particular method may not be sufficient in all situations.
Combining several techniques may be necessary, and local
construction experience should always be considered.
69 ASTU Foundation Engineering II