ODA BULTUM UNIVERSITY CIVIL ENGINEERING DEPARTMENT

CHAPTER THREE
FOUNDATIONS ON EXPANSIVE SOILS

3.1. Introduction

The problems associated with expansive soils were not recognized in Ethiopia for many years for the
obvious reason that most of the structures built were not founded on expansive soils. In the last thirty
years, however, residential buildings were erected in areas where expansive soils are predominant.

Swelling soils, which are clayey soils, are also called expansive soils. When these soils are partially
saturated, they increase in volume with the addition of water. They shrink greatly on drying and
develop cracks on the surface. These soils possess a high plasticity index. Black cotton soils found in
many parts of Ethiopia belong to this category. Their color varies from dark grey to black. It is easy
to recognize these soils in the field during dry or wet season. Shrinkage cracks are visible on the ground
during dry seasons. During rainy seasons, these soils become very sticky and difficult to traverse.

If one measures the water content of expansive soils with respect to depth during dry and wet seasons,
the variation is similar to the one shown in Fig. 3.1.

Figure 3.1: Moisture content variation with depth below the ground surface (Chen, 1988)

During dry seasons, the natural water content at the surface is practically zero and the volume of soil
reaches shrinkage limit. The water content increases with depth and reaches a value wn at a depth of
Dus, beyond which it remains almost constant. During the wet season, the water content increases and
reaches a maximum at the surface. The water content decreases with depth from a maximum of wmax
at the surface to a constant value of wn at almost the same depth Dus. This indicates that the intake of
water by the expansive soil into its lattice structure is maximum at the surface and nil at the depth Dus.
This means that the soil lying within the depth Dus is subjected to drying and wetting and hence cause
considerable movements in the soil. The movements are considerable close to the ground surface and
decrease with depth. The cracks that are developed in the dry seasons close due to lateral movements
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during the wet seasons. The moisture profile depicted by curve 1 is applicable for covered areas below
the building where there will be very little change in moisture content.

The zone which lies within the depth Dus may be called the unstable zone (or active zone) and the one
below this the stable zone. Structures built within this unstable zone are likely to move up and down
according to seasons and hence suffer damage if differential movements are considerable.

If a structure is built during dry season with the foundation lying within the stable zone, the base of
the foundation experiences a swelling pressure as the partially saturated soil starts taking water during
the wet season. This swelling pressure is due to constraints offered by the foundation for free swelling.
If the imposed bearing pressure on the foundation by the structure is less than the swelling pressure,
the structure is likely to be lifted up at least locally which would lead to cracks in the structure. If the
imposed bearing pressure is greater than the swelling pressure, there will not be any problem for the
structure. If, on the other hand, the structure is built during wet season, it will definitely experience
settlements as the dry season approaches, whether the imposed bearing pressure is high or low.
However, the imposed bearing pressure during the wet season should be within the allowable bearing
pressure of the soil. The better practice is to construct a structure during the dry season and complete
it before the wet season.

Structures crack, if their foundations are not adequately design to withstand the stresses and strains
caused by alternate heaving and shrinkage of the foundation soil. Cracks do not only affect the
structural safety and aesthetics of the building but also bring about additional financial burden to the
owners for repair if the structure is to be salvaged at all.

3.2. Origin, Mineralogical Composition and Characteristics of Expansive Soils

Expansive soils are residual soil which are the result of weathering of the parent rock. The parent
materials of expansive soils may be classified into two groups. The first group comprises the basic
igneous rocks such as basalt, dolerite sills and dykes, gabbros, etc., where feldspar and pyroxene
minerals of the parent rocks decompose to form montmorillonite – the predominant mineral of
expansive soil – and other secondary minerals. 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.

It is a known fact that the three most important groups of clay minerals are montmorillonite, illite,
and kaolinite, which are crystalline hydrous aluminosilicates. The kaolinite group of minerals are the
most stable of the group of minerals. The kaolinite mineral is formed by the stacking of the crystalline
layers of about 7Ao thick one above the other with the base of the silica sheet bonding to hydroxyls
of the gibbsite sheet by hydrogen bonds. Since hydrogen bonds are comparatively strong, the kaolinite
crystals consists of many sheets stackings that are difficult to dislodge. The mineral is, therefore, stable
and water cannot enter between the sheets to expand the unit cells.

The structural arrangement of the montmorillonite group is composed of units made of two silica
tetrahedral sheets with a central alumina-octahedral sheet. The silica and gibbsite sheets are combined
in such a way that the tips of the tetrahedrons of each silica sheet and one of the hydroxyl layers of
the octahedral sheet form a common layer. The atoms common to both the silica and gibbsite layers
are oxygen instead of hydroxyls. The thickness of the silica-gibbsite-silica unit is about 10Ao thick
structural units. The bonds are comparatively weak, and water can enter between the sheets causing
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them to expand readily. When the water is removed from the boundary, the sheets contract. Thus,
soils containing a considerable amount of montmorillonite minerals will exhibit high swelling and
shrinkage characteristics. Experience shows that swelling problems arise when soils contain more than
20% montmorillonite mineral.

The illite group of minerals has the same structural arrangement as the montmorillonite group. The
presence of potassium as the bonding materials between the units makes the illite minerals swell less.

3.3. Identification of Expansive Soils

In addition to visual identification, laboratory tests are necessary to assess the swelling potential of the
clay. The degree of expansiveness of clay soils can be investigated by conducting some tests or by
using correlations. However, before discussing the tests or the correlations, it is worth defining some
terms related to expansive soils.

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 7kPa after being compacted to maximum
dry density at optimum moisture content according to the AASHTO compaction test.

Swelling pressure - is defined as the pressure required for preventing volume expansion in
soil in contact with water. 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 less
than the one measured in the laboratory.

Free swell - is defined as the percentage of volume change of a dry soil.

Activity - is defined as the ratio of the plasticity index to the percentage of the clay fraction (minus
2 micron size) present in the sample.

a. Swelling Potential from Direct Tests

The direct tests which are used for the evaluation of the swelling potential of expansive soils are
atterberg limit tests, linear shrinkage tests, swelling pressure tests and colloid content tests.

Atterberg limit. Holtz and Gibbs (1956) demonstrated that the plasticity index, Ip, and the
liquid limit, wl, are useful indices for determining swelling characteristics of most clays. Since the
liquid limit and the swelling of clays both depend on the amount of water the clay tries to absorb, it is
natural that they are related. Table 3.1 gives the relationship between the swelling potential of
clays and the plasticity index.

Table 3.1: Relationship between swelling potential and plasticity index

Plasticity Idex, Ip (%) Swelling Potential
0-15 Low
10-35 Medium
20-55 High
>55 Very High

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Linear Shrinkage. The swell potential is presumed to be related to the opposite property of
linear shrinkage measured in a very simple test. Altmeyer (1955) suggested the values given in table
3.2 as a guide to the determination of potential expansiveness based on shrinkage limits and linear
shrinkage.

Table 3.2: Relationship between swelling potential, linear shrinkage and shrinkage limits
Shrinkage limit (%) Linear shrinkage (%) Degree of expansion
<10 >8 Critical
10-12 5-8 Marginal
>12 0-5 Non-critical

Colloid content. There is a direct relationship between colloid content and swelling potential
of as shown in Fig. 3.2. For a given clay type, the amount of swell will increase with the amount
of clay present in the soil.

Figure 3.2: Relationship between percentage of swell and %age of clay sizes for experimental soils.

Swelling Pressure. ASTM defines swelling pressure as the pressure which prevents the
specimen from swelling or the pressure which is required to return the specimen to its original state
(void ratio, height) after swelling. In stress controlled swelling pressure test, the conventional
oedometer is used. The samples are placed in the consolidation ring trimmed to a suitable height.
The samples are subjected to a vertical pressure equivalent to the pressure expected for the field
condition. On the completion of consolidation, water is added to the sample. When the swelling
of the sample has ceased, the vertical stress is increased in increments until it has been compressed to
its original height. The stress required to compress the sample to its original height is known as
zero volume change swelling pressure. Vijayvergiya and Gazzaly (1973) suggested the following
relationship between the swelling pressure and percent swell.
Table 3.3: Relationship between swelling pressure and percent swell
Swelling pressure (ton/sq. ft) Percent swell (%)
<0.3 <1
0.3-1.25 1-4
1.25-3 4-10
>3 >10
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b. Swelling Potential from Indirect Tests

By utilizing various parameters, the swelling potential can be evaluated without resorting direct
measurement.

Activity Method. Based on their activity, the swelling potential of clay soils can be investigated
by using an activity chart or activity vs. clay fraction graph. The activity chart is a plot of plasticity
index versus clay fraction. De Bruyn et al 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. The second
chart is presented by Seed et al, where activity versus clay fraction is presented (Fig. 3.4). Using
these information judiciously, one would get a fair idea of the degree of potential expansiveness
of any soil under consideration.

Figure 3.3: Activity Chart

Figure 3.4: Classification chart for swelling potential.

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3.4. Methods of Preventing Damage

In order to minimize or eliminate the danger of damage to buildings because of heave and shrinkage,
the following methods have been used:

a. Moisture control
b. Soil stabilization and
c. Structural measures.

3.4.1. Moisture control

The main cause of heaving and shrinkage is the fluctuation of moisture under and around the structure
in question. In any site, depending upon the topographical, geological and weather conditions, the
natural ground water fluctuates. In a country like Ethiopia, where there are distinct dry and wet
seasons, the fluctuation of the ground water table during these periods is large. Each site has its own
characteristic active zone. In addition to the fluctuation of the ground water, one should also consider
free water which may seep under foundations, or the effect of evaporation which would cause
moisture migration.

Hence, a satisfactory solution to the problem would be to devise an economical way of stabilizing the
soil moisture under and around buildings. It doesn’t matter whether the moisture content is high or
low, as long as it can be maintained constant throughout the year.

Depending upon the existing conditions, some prefer to keep the soils as wet as possible throughout
the year. Based on this approach, two methods have been presented by Deb and Chandra. These
methods consist of providing either sand drains or a flexible water-proof apron with sand drains. The
second method was found to be more effective and applied with reasonable success. Here auger-bored
holes of 20cm in diameter and 2m depth are drilled at 2m center-to-center all around the building at
a distance of about 1m. The holes are filled with coarse sand and are connected by surface drains. A
water tight apron of 1m width is built around the building.

The other approach is to prevent the migration or flow of water to the vicinity of the building by
providing horizontal and vertical moisture barriers, and also subsurface and surface drainage.
Horizontal moisture barriers are installed around a building in the form of membranes. The purpose
of the horizontal barriers is to prevent excessive intake of surface moisture. Widely used horizontal
membranes are polyethylene membrane, concrete aprons and asphalt membrane, extending beyond
the limits of the backfill.

Vertical moisture barriers are used around the perimeter of the building to cut off the source of water
that may enter the under slab soil. To serve as barriers in this category, one may use polyethylene
membrane, concrete or other durable impervious material. The depth of the barriers should be equal
to or greater than the depth of moisture fluctuation. Backfill materials may be used as vertical moisture
barriers provided they are well compacted.

The subsurface drainage system is used to intercept the gravity flow of free water, to lower the ground
water or perched water, and to arrest the capillary moisture movement. For this purpose, intercepting
and peripheral drains are installed. It should be borne in mind that positive outlets should be provided
for subsurface drainage.
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For proper surface drainage, the ground surface around the building should be graded so that surface
water will drain away from the structure in all directions. Roof downspouts must be directed away
from the structure so that water does not seep into the foundation soil. They should extend well
beyond the perimeter of the foundation and should be properly drained away.

3.4.2. Soil Stabilization

Soil stabilization consists of one of the following operations:

a. Prewetting or flooding the in-situ soil to achieve swelling prior to construction

b. Compaction control, i.e., decreasing the density of the foundation soil;
c. Soil replacement, i.e., replacing the swelling soil by non-heaving soil;
d. Chemical stabilization, i.e., changing the swelling characteristics of the soil by addition of
chemicals.

a. Prewetting or flooding

This is an old established procedure. The reasoning behind this operation is that, by completely
flooding the site under consideration the site under consideration prior to construction, the soil will
heave and a potential danger of cracking after the structure is erected will be eliminated.

Prewetting may produce successful results if the depth of the active zone is not too large and if the
moisture migration is controlled. Experience has shown that it is extremely difficult to saturate high
plasticity clays within a reasonable period of time. Expansion of partially saturated clays may continue
after completion of the structure for many years. One should also bear in mind that prewetting may
reduce the bearing capacity of the soil and may also be responsible for causing settlement. Prewetting
has been effectively used for stabilizing soil beneath floor slabs, pavement or canal linings. However,
its application for building foundations is still questionable and risky.

b. Compaction control

Investigations have revealed that expansive clays expand very little when compacted at low densities
and high moisture, but expand more when compacted at high densities and low moisture. Hence, the
approach to compact swelling clays at moisture content slightly above their natural moisture content
and at low density should give good results. The main advantage of using this approach is that the
swelling potential can be reduced without the negative effects caused by introducing excessive
moisture into the soil, in which moisture migration to the underlying moisture-deficient soil takes
place. Even though the required depth of compaction depends on the potential expansiveness of the
soil and on the magnitude of the structural load, it may in general be adequate to compact to a depth
of 1.5 to 2 meters.

c. Soil Replacement

Soil replacement is the simplest and easiest solution for slabs and footings founded on expansive soils.
The expansive foundation soils are replaced by non-heaving materials. The strength of the method
lies in the selection of the replacement material and the depth of replacement.

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If the active zone is very deep, it is not desirable that moisture migrate to the underlying expansive
soil. For such condition, material selected for replacement should be impervious non-expansive soil.
Engineering judgment should be used in deciding on the thickness of the replacement. It should
always be remembered that the replaced soil serves as a cushion, and even if the deep-seated soil
swells, the movement due to heave will be regulated.

A combination of soil compaction and soil replacement may be economical if the depth of
replacement is large. The area of replacement should extend beyond the perimeter of the envisaged
structure.

The required degree of compaction of the replaced soil depends on the type of structure. 90% of
standard proctor density should be adequate for slabs. For footings, the degree of compaction of 95%
to 100% should be achieved.

Soil replacement provides the safest method for slab-on-ground constructions. The slab should be
separated by slip joints from the rest of the structure. Surface drainage should be properly provided.

d. Chemical Stabilization

By chemical stabilization is meant the process of mixing additives like lime, cement, organic and
inorganic chemicals to expansive soils, so as to retard their potential expansiveness.

The addition of lime reduces the plasticity of the soil and hence its swelling potential. Lime has been
used as a stabilizing agent for centuries. The amount of lime required to stabilize expansive soils ranges
from two to eight percent by weight. Its relative abundance makes its use popular. It is often used
successfully in the construction of highways and airports.

The action of cement on clay minerals is to reduce the liquid limit, plasticity index and the potential
volume change. Tests indicated that the effect of cement and of lime was about the same in reducing
soil expansion, but the shrinkage of air-dried specimens was reduced from 25% to 50% with cement
stabilization. Even though cement stabilization has been mainly used in highway construction, it
appears to have also a great potential for use to stabilize the under slab soil in structures.

Some organic and inorganic chemicals have also been tested for their effectiveness in stabilizing
expansive soils. Most of the chemicals were tested in laboratories. Their economical us in the field has
not yet been reported.

3.4.3. Structural Measures

The structural measures that should be undertaken in order to minimize or, if possible, to eliminate
damages of structures due to heaving are dependent on the design of the structure. One may opt for
one of the following three methods, depending upon the site and architectural conditions.

The methods are:

a. Floating foundation;
b. Reinforcement of brick walls and
c. Foundation on piles.
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a. Floating Foundation

The term floating foundation is used in a broad sense. In this category included are stiffened slabs,
rigid rafts and flexible rafts. The types of foundations in this category that have been tried in Ethiopia
are the stiffened slab and rigid rafts. Flexible rafts have not yet been used and will not be discussed
here.

Stiffened slab foundations are essentially slab-on-ground construction with main beams supporting
the wall loadings.

The slab and beam rest on compacted, non-heaving material. The non-heaving material that is
frequently used and which is abundantly available in Ethiopia is red volcanic ash.

The slabs are designed assuming that they are anchored (fixed) in the beams and that a pressure of
20kPa acts from the soil. This magnitude is indeed small when considering that swell pressures varying
from 300 to 500kPa are commonly found. The beams are designed as beams on an elastic foundation,
using the appropriate modulus of subgrade reaction.

Before the slab and beams are cast, about one meter of the expansive soil is removed from the plan
area of the building. The soil is flooded with adequate water, and sufficient time is given for it to swell.
For practical reasons, it is preferred to continuously saturate the foundation soil rather than prevent
the migration of moisture. On top of the expansive soil, the compacted red ash is placed at high water
content. Sand drains are also provided around the plan area of the building. The sand drains are 20cm
in diameter and 2m deep and spaced at an interval of 2m center-to-center and at about 1m away from
the whole perimeter of the building. The holes are filled with coarse sand and are connected by surface
drains. A watertight apron of 1m width is paved around the building. It is provided with a gradient
sloping away from the building so that the accumulated water will be directed into the surface drains.
It is suggested to cover the surface drains with perforated precast concrete slabs in order to retard
evaporation. At times, it may be necessary to add extra water to keep the sand drains saturated all the
time.

Before deciding on this method, the engineer should get sufficient information regarding topography,
ground water level if available, drainage and depth of expansive soil.

The other type of flowing foundation that has been used in the design of dwellings on expansive soils
is a rigid mat. A heavily reinforced rigid mat is placed on levelled soil. The walls and columns are thein
built on the foundation. The rationale in this design is that the rigid mat will eliminate any differential
heave, and the structure will “ride on” without suffering any internal distress. Cost-benefit analysis
should be made before deciding on such a design.

b. Reinforcement of Brick Walls

Investigations in South Africa indicate that reinforced brick walls seem to offer the most satisfactory
and economical solution to the problems of heaving. Experiments show that houses can be made as
flexible as possible by not joining the internal walls to the external walls, and by having breaks in the
brickwork at most of the internal door-ways. Stability against overturning can also be achieved by
breaking the internal walls into smaller units, preferably of either “T” or “L” shapes.

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The two recommended ways of forming open joints in the brickwork are either to leave straight
vertical gaps of approximately 1.5cm width in the brick work, with no mortar, piping, conduit, wood
or other materials in the gap; or to construct certain internal doorways so that they act as open joints.
To form an open joint at an internal doorway, the door frame must go up to the ceiling level with no
brickwork over the frame; the area above the door can either be fitted with a fanlight or be closed in
with a cardboard panel.

Provision of steel bars at selected locations in a brickwork also helps to minimize the effect of heaving
on buildings. For instance, provision of horizontal steel bars at the top and bottom of wall, above
openings and vertical steel bars at the end of walls and on each side of all openings improves the
resistance of buildings against heaving.

c. Foundation on Piles

Pile foundations provide a suitable solution for a variety of structures located on heaving soils. They
may prove economical in areas where considerable heave is to be expected, and the additional cost
can be balanced against the saving in future maintenance. In the category of pile foundations, one of
the following may be used:

a. Straight bored piles for foundations in shallow expansive soils

b. Belled or single under-reamed piles for foundations of light structures in deep layers of
expansive soils.
c. Double under-reamed piles for foundations of heavier structures in deep layers of expansive
soils.

The piles should be placed well below the active zone where the seasonal fluctuation of the moisture
content is minimum. Depending upon the depth at which the moisture content is constant, one opts
for one of the above three methods.

In the design of the pile foundation in expansive soils, two factors should be considered. These are:

(i) The design bearing capacity

(ii) The tensile stress developed along the shaft as a result of heaving

The design bearing capacity may be determined by using eq. (1.13). In calculating the skin friction
component, the friction over the first two meters’ length of piles at the top should be neglected since
over this length, generally, major shrinkage cracks exist.

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