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RECOMMENDATIONS FOR MARITIME WORKS Geotechnical recommendations for the Design of Maritime and Harbour works ROM 0 . 5 - 05 S E R IE S 0 D e s c r i p t i o n a n d C h a r a c t e r i s a t i o n o f D e s i g n F a c t o rs

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RECOMMENDATIONS FOR MARITIME WORKSGeotechnical recommendations for the Designof Maritime and Harbour worksROM0.5-05SERIES0DescriptionandCharacterisationofDesignFactorsRECOMMENDATIONS FOR MARITIME WORKS SERIE 0Description and Characterisation of Design FactorsJanuary 2008PRLOGUE 5CAPTULO I GENERAL 1CAPTULO II GEOTECHNICAL INVESTIGATION 29CAPTULO III GEOTECHNICAL CRITERIA 123CAPTULO IV PARTICULAR GEOTECHNICAL ASPECTS 491OF DIFFERENT TYPES OF MARITIMEAND HARBOUR WORKSGENERAL INDEXPVP: 50 Geotechnical recommendations for the designof maritime and harbour worksROM0.5-05English versionJanuary 2008EDITOR:Puertos del EstadoDRAFTING COMPOSITION:Antonio Soriano PeaUNIVERSIDAD POLITCNICA DE MADRIDINGENIERA DEL SUELO S.L.English version of this ROM0.5-05:Marion BaileyManuel Valderrama CondeINGENIERA DEL SUELO S.L.INTERIOR AND COVERDESIGN:Emilio Pieiro DazPUERTOS DEL ESTADOPRINTER:V.A. Impresores S.A.I.S.B.N.:978-84-88975-62-2LEGAL DEPOSIT:M-21328-2008 Puertos del EstadoPRICE:50 (VAT included)Geotechnical recommendations for the Designof Maritime and Harbour works0.5-05The current ROM Programme comprises a variety of studies and debate activities for developing the setof reflections released as the Recommendations for Maritime Works. This series of publications set up apermanent framework of technical regulations in harbour and coastal engineering that is dependant on the PublicAdministrations that have competence over ports of general interest for the State.The ROM programme is aimed at consolidating the extensive Spanish experience in this field and to establishthe various standards of Reliability, Serviceability and Operability to which each Project should conform. Insummary, it will foster a higher quality in the performance of all the stages of Harbour Works from their planning,design, construction and first operation to their maintenance and potential repairs or dismantlement.This regulatory Programme of Recommendations was started in 1987, by the then called Ministry of PublicWorks, through the General Directorate of Coasts and Ports. The programmes activities have continued eversince, in a constant evolution that has materialised in a set of publications of wide applicability.They have receivedgeneral praise in Spain and abroad as excellent technical tools for the design and construction of harbourinfrastructures.These documents are the outcome of continuing processes of discussion and subsequent agreementsbetween the different technical viewpoints existing in this field.They go through various Working Groups madeup of experts, collaborating with the main document proponent- and several extended Committees for revisingthe drafts from the future users perspective. This procedure is and will be the best guarantee of thepublications technical rigour and applicability, as they incorporate a critical revision of the latest techniquesemployed and valuable experience gained by Spanish port engineers, both from practical applications andtheoretical developments.The publications now included in the ROM Programme can be grouped according to several subjects: Series 0: Description and characterization of the factors of projects of maritime and port works. Series 1: Works providing shelter against sea oscillations. Series 2: Works inside the sheltered port areas. Series 3: Planning, management and operation of port areas. Series 4: Superstructures and land facilities in port areas. Series 5: Maritime and port works in the surroundings of the coastal area. Series 6: Technical, administrative and legal provisions. E/ROM discussion forum: Scientific and technical studies and analyses on the ROM Guidelines.The first one, geared toward characterising the works site and design factors in maritime and harbour works,includes some Recommendations already approved and released: on Use and Operation Factors: Actions inDesign (ROM 0.2-90), Climate Agents I: Sea Level Oscillations (ROM 0.3-91), Weather Agents. AtmosphericProcesses: wind (ROM 0.4-95) and Geotechnical Recommendations for Maritime Structures (ROM 0.5-94) andthe last one on General Procedure and Requirements in the Design of Harbour and Maritime Structures, Part I(ROM 0.0). Some documents are still being prepared, like those on Construction Materials (ROM 0.1), Seismicagents (ROM 0.6) and Measurement and Monitoring Systems (ROM 0.7).So, back in 1994, Series 0 included a fist publication on Geotechnical Recommendations for the Design ofMaritime and Harbour Works (ROM 0.5-94). After more than a decade in force, they have proved to be very usefuland influential in improving harbour designs in the geotechnical field. Today, these recommendations have beenrevised and updated taking into account the results of their application, the new developments and the latestexperience in order to keep this text permanently in line with current needs and best practise.ForewordForeword 5This new ROM 0.5-05 therefore is the first finished revision or update of one of the Recommendations forMaritime Works previously released. Some revisions of current documents will follow suit.The procedure for preparing the present Recommendations has been the one adopted for the regulatoryROM Programme. It has been drawn up under the responsibility and the supervision of Puertos del Estado, withthe participation of the following people: ROM Programme Director:Jos Llorca Ortega, Puertos del Estado. Main proponent for ROM 0.5-05:Antonio Soriano Pea, Universidad Politcnica de Madrid. Working Technical Committees:Germn Burbano Juana, DRAGADOS-ACS.Antonio Capote del Villar, FERROVIAL-AGROMAN.Luis Casero Mejas, INTECSA.Francisco Esteban Lefler, FCC.Jos Luis Fernndez Martn, Autoridad Portuaria de Sevilla.Luis Fort Lpez-Tello, NECSO.Gonzalo Gmez Barqun, Puertos del Estado.Miguel ngel Gmez Caldito, ALATEC.Ramiro Gmez Escoubes, IBERINSA.Jess Gonzlez Galindo, INGENIERA DEL SUELO, SAJuan Ignacio Grau Albert, Puertos del Estado.Miguel ngel Losada Rodrguez, Universidad de Granada.David Marcano Ceballos, Autoridad Portuaria de Santander.Claudio Olalla Maran, Laboratorio de Geotecnia del CEDEX.Eloy Pita Carpenter, Puertos del Estado.Csar Sagaseta Milln, Universidad de Cantabria.Carlos Sanchidrin Fernndez, PROES.Juan Carlos Su Recio, Autoridad Portuaria de la Baha de Algeciras.Javier Uzcanga Salas, Autoridad Portuaria de Barcelona. Chairman of the Working Group for ROM 0.5-05:Francisco Esteban Rodrguez-Sedano [ 2006], Puertos del Estado. ROM Programme General Coordinator:Francisco J. Gonzlez Portal, Puertos del Estado.The Expert Groups work finished on July 2005 and the Document was approved unanimously by the extendedTechnical Committee.The President of Puertos del Estado ratified it on November that year.This new version of the Geotechnical Recommendations for Maritime and Harbour Works (ROM0.5-05) distinguishes itself from the previous one in the adoption of the new General and Calculation Procedurethat the ROM 0.0 (2001) established for all Ports Works specially its new requirements on Safety and workscapability for Service and Use or Operation. Moreover, this version includes new contents in the light of newtechnological developments and knowledge gathered in recent years. In this respect, it is worth noting apreliminary approach to the influence that dynamic agents earthquakes, wave action or other sea-leveloscillations may have on saturated soil behaviour and, consequently, on the verification for various geotechnicalfailure modes affecting harbour works.6 ForewordNevertheless, these new updated Recommendations keep the essential goal of the preceding version, whichis no other than combining methodological, regulatory and technological aspects in a true Guide modern, wide-ranging and comprehensive for providing technical assistance in everything affecting, conditioning or involved inports infrastructure from the geotechnical point of view. For that reason, ROM 0.5-05 includes the following: Definitions of programmes and techniques for Geotechnical Investigation. Setting up of Design Criteria for choosing geotechnical parameter values, verification procedures andsafety requirements against failure modes. Coverage of specific geotechnical problems in different types of maritime and ports works, withrecommended analysis methods and solutions for each one.Any comments, suggestions, requests for clarification or other contributions that may arise about thecontents of this new ROM 0.5-05, as well as on the practical results of its application, will be welcome.They shallbe taken into account in future revisions of this document. The entire ROM 0.5-05 can be downloaded from http://www.puertos.es Please send comments to the ROM Programme Coordinators, at [email protected] 7Index 9FOREWORD ................................................................................................................................................................................................................... 5PART I. GENERAL1.1. SCOPE AND FIELD OF APPLICATION ............................................................................................................................................ 311.2. CONTENTS ......................................................................................................................................................................................................... 311.3. SAFETY CRITERIA ............................................................................................................................................................................................ 311.4. RELATION TO STRUCTURAL EUROCODES ............................................................................................................................... 321.5. DEFINITIONS ...................................................................................................................................................................................................... 351.6. SYSTEM OF UNITS ......................................................................................................................................................................................... 401.7. NOTATIONS ........................................................................................................................................................................................................ 401.8. DOCUMENTARY REFERENCES ............................................................................................................................................................. 47PART II. GEOTECHNICAL INVESTIGATION2.1. INTRODUCTION ............................................................................................................................................................................................ 552.2. GROUND PROPERTIES ............................................................................................................................................................................... 552.2.1. Grading................................................................................................................................................................................................. 552.2.2. Void Ratio and Porosity ............................................................................................................................................................ 562.2.3. Moisture Content and Saturation Level ......................................................................................................................... 572.2.4. Densities and Specific Weights ............................................................................................................................................. 572.2.5. Plasticity .............................................................................................................................................................................................. 582.2.6. Permeability ...................................................................................................................................................................................... 582.2.7. Drained and Undrained Behaviour .................................................................................................................................... 592.2.8. Soil Strength .................................................................................................................................................................................... 592.2.8.1. Strength Parameters in Effective Pressures .......................................................................................... 602.2.8.2. Unsaturated Soils ................................................................................................................................................. 612.2.8.3. Undrained Shear Strength .............................................................................................................................. 612.2.9. Rock Strength ................................................................................................................................................................................. 622.2.9.1. Average Distance between Joints .............................................................................................................. 632.2.9.2. Number of Joints per Unit Volume ........................................................................................................... 632.2.9.3. Discontinuity Persistence ................................................................................................................................. 642.2.9.4. Joint Apertures ...................................................................................................................................................... 642.2.9.5. Roughness ................................................................................................................................................................ 652.2.9.6. Unconfined Compressive Strength ............................................................................................................ 652.2.9.7. Weathering Degree ............................................................................................................................................ 652.2.10. Ground Deformability ............................................................................................................................................................... 662.2.10.1. The Elastic Model ................................................................................................................................................ 662.2.10.2. The Oedometric Model .................................................................................................................................. 672.2.10.3. The Winkler Model ............................................................................................................................................. 682.2.10.4. Other Ways of Considering Ground Deformation ......................................................................... 692.2.11. Other Characteristics ................................................................................................................................................................. 69Index2.3. OBJECTIVE AND STAGES OF GROUND INVESTIGATION ............................................................................................. 702.4. PRELIMINARY STUDY ................................................................................................................................................................................. 722.4.1. Existing Information ..................................................................................................................................................................... 722.4.2. Preliminary Geotechnical Report ....................................................................................................................................... 732.4.3. Preliminary Geotechnical Parameters .............................................................................................................................. 752.5. INVESTIGATION PROGRAMME .......................................................................................................................................................... 762.6. GEOPHYSICAL EXPLORATION .......................................................................................................................................................... 772.7. BOREHOLES ...................................................................................................................................................................................................... 782.7.1. Drilling Boreholes ......................................................................................................................................................................... 782.7.2 Investigation Depth ..................................................................................................................................................................... 802.8. WELLS, TRIAL PITS AND TRENCHES ............................................................................................................................................... 822.9. IN SITU TESTING ............................................................................................................................................................................................ 832.9.1. Standard Penetration Test, SPT ............................................................................................................................................. 832.9.2. Dynamic Penetrometers .......................................................................................................................................................... 862.9.3. Static Penetrometers .................................................................................................................................................................. 882.9.4. The Piezocone. CPTU ............................................................................................................................................................... 902.9.5. Correlation between Penetration Tests ........................................................................................................................... 922.9.6. Pressuremeters and Dilatometers ..................................................................................................................................... 922.9.7. Vane Tests .......................................................................................................................................................................................... 952.9.8. Plate-bearing Tests ........................................................................................................................................................................ 952.9.9. Permeability Tests in Boreholes and Trial Pits ............................................................................................................... 962.9.10. Field Tests and Other in Situ Tests ...................................................................................................................................... 962.10. SAMPLING ........................................................................................................................................................................................................... 972.11. LABORATORY TESTS ................................................................................................................................................................................... 982.11.1. Soil Identification Tests ............................................................................................................................................................... 982.11.2. Unconfined Compression Tests in Soils ........................................................................................................................... 992.11.3. Direct-shear Tests on Soils, Gravels and Fine Rockfills ............................................................................................ 992.11.4. Soil Triaxial Test .............................................................................................................................................................................. 992.11.5. Oedometer Tests .......................................................................................................................................................................... 1002.11.6. Compaction Tests ......................................................................................................................................................................... 1012.11.7. Permeability ...................................................................................................................................................................................... 1012.11.8. Dynamic Tests ................................................................................................................................................................................. 1012.11.9. Tests in Rocks ................................................................................................................................................................................. 1012.11.10. Other Laboratory Tests ............................................................................................................................................................ 1022.12. INTENSITY OF GEOTECHNICAL INVESTIGATION .............................................................................................................. 1022.12.1. Types of Investigation ................................................................................................................................................................. 1042.12.2. Number of Exploration Points in Detailed Investigations .................................................................................... 1042.12.3. Small-scale and Minimum Investigations .......................................................................................................................... 1072.12.4. The Number of Laboratory Tests ....................................................................................................................................... 1082.13. GEOTECHNICAL REPORT ...................................................................................................................................................................... 1092.13.1. Fieldwork Annex ........................................................................................................................................................................... 1092.13.2. Laboratory Testing Annex ....................................................................................................................................................... 1102.13.3. Main Section of the Report ................................................................................................................................................... 1102.14. GEOTECHNICAL INVESTIGATION FOR CATEGORY-A WORKS OR PROJECTS ............................................ 1112.14.1. Identifying Different Types of Ground .............................................................................................................................. 1112.14.2. Common Geotechnical Parameters ................................................................................................................................. 1122.14.3. Variability of Geotechnical Parameters ............................................................................................................................ 1132.14.4. Recommended Probability Functions ............................................................................................................................... 1142.15. COST OF GROUND INVESTIGATIONS ........................................................................................................................................ 115ROM 0.5-05Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works10 IndexROM 0.5-05Index 11Geotechni cal recommendati ons for the desi gn of mari ti me and harbour worksAPPENDIX 1. FORMULAE FOR INTERPRETING PERMEABILITYTESTS IN WELLS AND BOREHOLES ........................................................................................................................... 115A1.1. INTERPRETING PERMEABILITY TESTS IN BOREHOLES ..................................................................................................... 115A1.1.1. Lefranc Tests .................................................................................................................................................................................... 115A1.1.2. Lugeon Tests .................................................................................................................................................................................... 115A1.1.3. Falling-Head Tests .......................................................................................................................................................................... 116A1.2. INTERPRETING PUMPING TESTS ....................................................................................................................................................... 117A1.2.1. Steady State Tests ......................................................................................................................................................................... 117A1.2.2. Transient State Tests .................................................................................................................................................................... 117A1.2.3. Inverting the Pumping Test ...................................................................................................................................................... 119A1.2.4. Water Level inside Wells ......................................................................................................................................................... 119PART III. GEOTECHNICAL CRITERIA3.1. GENERAL ASPECTS ...................................................................................................................................................................................... 1293.2. SAFETY, SERVICEABILITY AND OPERABILITY CRITERIA .................................................................................................... 1293.2.1. Reliability against Ultimate Limit States ........................................................................................................................... 1303.2.2. Serviceability. Limit States of Serviceability .................................................................................................................... 1323.2.3. Operability. Limit States of Operational Stoppage ................................................................................................... 1333.3. DESIGN CALCULATIONS ........................................................................................................................................................................ 1333.3.1. Ultimate Limit States (ULS) ................................................................................................................................................... 1333.3.2. Serviceability Limit States (SLS) ........................................................................................................................................... 1343.3.3. Operational Stoppage Limit States (OSLS) .................................................................................................................. 1353.3.4. Calculation Methods ................................................................................................................................................................... 1353.3.5. Defining Design Situations or States ................................................................................................................................. 1373.3.5.1. Defining Geometrical Parameters .............................................................................................................. 1393.3.5.2. Defining Ground Properties .......................................................................................................................... 1413.3.5.3. Defining Actions .................................................................................................................................................... 1413.3.5.4. Defining Combinations of Actions and Other Design Factors ................................................. 1433.3.5.5. Considering Short-Duration States or Situations ............................................................................. 1463.3.6. Partial Factors for Actions ....................................................................................................................................................... 1473.3.7. Partial Factors for Ground Resistance ............................................................................................................................. 1483.3.8. Safety Factors .................................................................................................................................................................................. 1483.3.8.1. Minimum Safety Factors ................................................................................................................................... 1483.3.8.2. Minimum Safety Factors Associated with Other Failure Probabilities .................................. 1493.3.9. Using Numerical Models .......................................................................................................................................................... 1503.3.10. Reliability in Geotechnical Engineering ............................................................................................................................ 1543.3.10.1. Sources of Uncertainty and Their Measurement .............................................................................. 1553.3.10.2. The Reference Calculation ........................................................................................................................... 1573.3.10.3. One-dimensional Sensitivity Analyses ...................................................................................................... 1573.3.10.4. Combining One-dimensional Sensitivities ............................................................................................. 1583.3.10.5. Centred Value of the Safety Factor ........................................................................................................... 1583.3.10.6. Calculation for the Quasi-permanent Combination ....................................................................... 1583.3.10.7. Calculating Each One of the Fundamental Combinations .......................................................... 1593.3.10.8. Calculating Accidental or Seismic Combinations .............................................................................. 1613.3.10.9. Confidence Index and Failure Probability .............................................................................................. 1623.3.10.10. Verifying Safety ....................................................................................................................................................... 1623.4. SEEPAGE AND CONSOLIDATION .................................................................................................................................................... 1633.4.1. Most Common Geotechnical Problems ......................................................................................................................... 1633.4.2. Drawing Flownets ........................................................................................................................................................................ 1643.4.2.1. Homogeneous and Isotropic Ground. Two-dimensional Problems ........................................ 1643.4.2.2. Anisotropic Ground ........................................................................................................................................... 1643.4.2.3. Heterogeneous Ground .................................................................................................................................. 1653.4.2.4. Three-dimensional Problems ........................................................................................................................ 1653.4.3. Seepage Discharge Rates ......................................................................................................................................................... 1663.4.3.1. Problems in Two-dimensional, Isotropic and Homogenous Ground ..................................... 1663.4.3.2. Anisotropic Ground ........................................................................................................................................... 1663.4.3.3. Heterogeneous Ground .................................................................................................................................. 1663.4.3.4. Three-dimensional Problems ........................................................................................................................ 1663.4.4. Porewater Pressures on Structures ................................................................................................................................... 1673.4.4.1. External Water Levels and Saturation Lines in Natural Ground and Fills .......................... 1683.4.5. Seepage Forces .............................................................................................................................................................................. 1713.4.6. The Problem of Bottom Heave ........................................................................................................................................... 1733.4.7. Using Wells to Lower the Groundwater Table ........................................................................................................... 1753.4.8. Particle Entrainment and Internal Erosion ..................................................................................................................... 1763.4.9. Entrainment, Scour and Other Types of External Erosion ................................................................................... 1773.4.10. Soil Consolidation ........................................................................................................................................................................ 1783.4.10.1. Basic Formulation ................................................................................................................................................. 1783.4.10.2. Excess Porewater Pressure ............................................................................................................................ 1793.4.10.3. Subsidence Created by Dewatering ......................................................................................................... 1803.4.10.4. Consolidation Settlement ................................................................................................................................ 1813.4.11. Porewater Pressures Generated by Waves and Other Sea Level Oscillations ....................................... 1823.4.11.1. Porewater Pressure Distribution in Seabeds ....................................................................................... 1823.5. SHALLOW FOUNDATIONS .................................................................................................................................................................. 1883.5.1. Foundation Types .......................................................................................................................................................................... 1883.5.2. Failure Modes ................................................................................................................................................................................. 1893.5.2.1. Ultimate Limit States .......................................................................................................................................... 1893.5.2.2. Limit States of Serviceability .......................................................................................................................... 1903.5.2.3. Other Problems of Shallow Foundations .............................................................................................. 1903.5.3. Foundation Characteristics ..................................................................................................................................................... 1903.5.3.1. Geometrical Configuration ............................................................................................................................. 1903.5.3.2. Actions ....................................................................................................................................................................... 1913.5.3.3. Ground Characteristics ..................................................................................................................................... 1933.5.4. Verifying Safety against Bearing Failure ............................................................................................................................ 1933.5.4.1. Verification Methods .......................................................................................................................................... 1933.5.4.2. Verification Based on Dependable Local Experience ..................................................................... 1943.5.4.3. Verification Based on SPT Results .............................................................................................................. 1953.5.4.4. Verification Based on Pressuremeter Tests ............................................................................................ 1963.5.4.5. Method Based on Static Penetration Tests ............................................................................................ 1973.5.4.6. Methods Based on Other Field Tests ....................................................................................................... 1983.5.4.7. Bearing Capacity in Firm Cohesive Soils and Rocks ....................................................................... 1983.5.4.8. Analytical Calculation of Bearing Capacity ............................................................................................ 2003.5.4.8.1. Polynomial Formula ..................................................................................................................... 2003.5.4.8.2. Correction Factors ...................................................................................................................... 2033.5.4.8.3. Shallow Foundations on Heterogeneous Ground .................................................... 2063.5.4.8.4. Berm Foundations on Cohesive Soils .............................................................................. 2073.5.4.9. Required Safety against Bearing Failure .................................................................................................. 2093.5.5. Verifying Safety against Sliding ............................................................................................................................................... 2103.5.5.1. Preliminary Remarks .......................................................................................................................................... 2103.5.5.2. Calculating Procedure ....................................................................................................................................... 2103.5.5.3. Safety against Sliding ........................................................................................................................................... 212ROM 0.5-05Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works12 Index3.5.6. Verifying Safety against Overturning ................................................................................................................................. 2123.5.6.1. Rigid Overturning ................................................................................................................................................ 2133.5.6.2. Plastic Overturning ............................................................................................................................................. 2143.5.6.3. Safety against Plastic Overturning .............................................................................................................. 2173.5.7. Settlement and Other Foundation Movements ......................................................................................................... 2173.5.7.1. Isolated Footings ................................................................................................................................................... 2173.5.7.2. Strip Foundations ................................................................................................................................................. 2193.5.7.3. Settlement for Slabs and Spread Loads .................................................................................................. 2193.5.7.4. Allowable Settlement ........................................................................................................................................ 2213.5.8. Comments on Structural Design ........................................................................................................................................ 2223.6. DEEP FOUNDATIONS ................................................................................................................................................................................ 2223.6.1. General Aspects ............................................................................................................................................................................ 2223.6.1.1. Types of Ground .................................................................................................................................................. 2233.6.1.2. Types of Piles .......................................................................................................................................................... 2243.6.2. Most Common Failure Modes ............................................................................................................................................. 2253.6.2.1. Ultimate Limit States .......................................................................................................................................... 2253.6.2.1.1. Ultimate Limit States of Geotechnical Type (GEO) ................................................ 2253.6.2.1.2. Ultimate Limit States of Structural Type (STR) .......................................................... 2253.6.2.2. Limit States of Serviceability .......................................................................................................................... 2263.6.2.2.1. Other Failure Modes in Deep Foundations ................................................................. 2263.6.3. Defining Design Factors ............................................................................................................................................................ 2273.6.3.1. Geometrical Configuration ............................................................................................................................. 2273.6.3.2. Ground Characteristics ..................................................................................................................................... 2283.6.3.3. Actions ....................................................................................................................................................................... 2283.6.3.4. Parasitic Effects ...................................................................................................................................................... 2293.6.3.4.1. Negative Skin Friction ................................................................................................................ 2293.6.3.4.2. Horizontal Earth Pressure Caused by Vertical Surface Overburdens ........... 2303.6.3.4.3. Earth Pressure on Piles Installed in Slopes ................................................................... 2333.6.3.5. Effects of Cyclic or Alternating Loads ...................................................................................................... 2353.6.4. Calculating Bearing capacity with Static Formulae .................................................................................................... 2393.6.4.1. Basic Formulation ................................................................................................................................................. 2393.6.4.2. Bearing Capacity from SPT Values ............................................................................................................. 2413.6.4.3. Bearing Capacity Based on Continuous Dynamic Penetration Tests ..................................... 2423.6.4.4. Bearing Capacity Based on Static Penetrometer Tests ................................................................... 2433.6.4.5. Bearing Capacity Based on Pressuremeter Tests ............................................................................... 2433.6.4.6. Pile Foundations on Rock ............................................................................................................................... 2443.6.4.7. Methods Based on Analytical Solutions .................................................................................................. 2443.6.4.7.1. Granular Soils ................................................................................................................................. 2453.6.4.7.2. Cohesive Soils ................................................................................................................................ 2463.6.4.7.3. Cohesive Layers Underlying Pile Tips ............................................................................... 2473.6.4.8. Ultimate Load Tests ............................................................................................................................................. 2473.6.5. Bearing Capacity from Dynamic Formulae ................................................................................................................... 2483.6.5.1. Dynamic Formulae for Pile Driving ........................................................................................................... 2493.6.5.2. The Wave Equation ............................................................................................................................................ 2513.6.5.3. Monitoring Pile Driving ..................................................................................................................................... 2533.6.6. Evaluating Safety against Bearing Failure ......................................................................................................................... 2573.6.6.1. Bearing Failure in Individual Piles ................................................................................................................ 2573.6.6.2. Ultimate Bearing Capacity of Pile Groups ............................................................................................ 2583.6.6.3. Minimum Safety Factors against Bearing Failure ................................................................................ 259ROM 0.5-05Index 13Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works3.6.7. Verifying Safety against Uplift ................................................................................................................................................. 2593.6.7.1. Individual Piles ........................................................................................................................................................ 2593.6.7.2. Considering the Group Effect ...................................................................................................................... 2603.6.7.3. Safety against Uplift ............................................................................................................................................. 2603.6.8. Verifying Safety against Ground Failure Owing to Horizontal Pull or Pressure ...................................... 2613.6.8.1. Individual Piles ........................................................................................................................................................ 2613.6.8.2. Consideration of the Group Effect ........................................................................................................... 2633.6.8.3. Safety Factor against Horizontal Ground Failure .............................................................................. 2643.6.9. Verifying Limit States of Serviceability .............................................................................................................................. 2643.6.9.1. Settlement ................................................................................................................................................................ 2643.6.9.1.1. Settlement of Isolated Piles .................................................................................................... 2653.6.9.1.2. Considering the Group Effect .............................................................................................. 2653.6.9.2. Horizontal Movements and Structural Analysis ................................................................................. 2653.6.9.2.1. Simplified Method ........................................................................................................................ 2663.6.10. Considerations on Structural Failure Modes ............................................................................................................... 2683.6.10.1. Load Distribution in Pile Groups ................................................................................................................ 2693.6.10.2. Structural Strength .............................................................................................................................................. 2703.7. EARTH RETAINING STRUCTURES .................................................................................................................................................... 2713.7.1. Types .................................................................................................................................................................................................... 2713.7.1.1. Gravity Walls ........................................................................................................................................................... 2713.7.1.2. Diaphragm Walls .................................................................................................................................................. 2723.7.1.3. Shoring ....................................................................................................................................................................... 2723.7.2. Limit Values of Earth Pressure .............................................................................................................................................. 2723.7.3. Simplifications Required for Earth Pressure Calculations ..................................................................................... 2743.7.3.1. Geometry of the Wall Back Face ............................................................................................................... 2743.7.3.2. Heterogeneous Ground .................................................................................................................................. 2763.7.3.2.1. Fills on Slopes ................................................................................................................................. 2773.7.3.2.2. Fills in Narrow Bands ................................................................................................................. 2793.7.3.3. Earth Pressure Inclination ................................................................................................................................ 2793.7.4. General Method for Calculating Active Earth Pressure ........................................................................................ 2803.7.4.1. Geometry of the Problem ............................................................................................................................. 2803.7.4.2. Flownet ...................................................................................................................................................................... 2803.7.4.3. External Loads ....................................................................................................................................................... 2813.7.4.4. Ground Data .......................................................................................................................................................... 2813.7.4.5. Calculation Sections ............................................................................................................................................ 2813.7.4.6. Calculating the Earth Pressure in Each Section ................................................................................. 2833.7.5. Methods Based on the Coefficient of Active Earth Pressure ............................................................................ 2863.7.5.1. Concept of the Active Earth Pressure Coefficient ........................................................................... 2863.7.5.2. Value of the Coefficient of Active Earth Pressure ............................................................................ 2893.7.5.3. Calculating the Effective Earth Pressure Due to Ground Weight ........................................... 2923.7.5.4. Water Pressures ................................................................................................................................................... 2933.7.5.5. The Effect of Cohesion .................................................................................................................................... 2953.7.5.6. Effect of Overburdens ....................................................................................................................................... 2963.7.5.6.1. Extensive Vertical Uniform Overburdens ....................................................................... 2963.7.5.6.2. Uniform Vertical Overburdens of Limited Extent ..................................................... 2973.7.5.6.3. Linear or Concentrated Vertical Overburdens ........................................................... 2983.7.5.6.4. Other Overburdens ................................................................................................................... 2993.7.6. General Method for Calculating Passive Earth Pressure ....................................................................................... 3003.7.6.1. Data Required ........................................................................................................................................................ 300ROM 0.5-05Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works14 Index3.7.6.2. Failure Line ............................................................................................................................................................... 3013.7.6.3. Calculating Passive Earth Pressure ............................................................................................................. 3013.7.7. Methods Based on the Coefficient of Passive Earth Pressure ........................................................................... 3023.7.7.1. Concept of the Passive Earth Pressure Coefficient ......................................................................... 3023.7.7.2. Value of the Coefficient of Passive Earth Pressure .......................................................................... 3033.7.7.3. Calculating Passive Earth Pressure ............................................................................................................. 3063.7.8. Calculating Earth Pressure at Rest ..................................................................................................................................... 3083.7.9. Comments on Some Special Cases .................................................................................................................................. 3103.7.9.1. Active Earth Pressure on Parallel Walls .................................................................................................. 3103.7.9.2. Buried Anchor Walls .......................................................................................................................................... 3113.7.9.3. Piles in the Backfill of Walls ............................................................................................................................ 3113.7.9.4. Silo Effect .................................................................................................................................................................. 3133.7.10. Earth Pressure in Braced Excavations .............................................................................................................................. 3153.7.11. Most Common Failure Modes in Retaining Structures ......................................................................................... 3153.7.11.1. Ultimate Limit States .......................................................................................................................................... 3153.7.11.1.1. Characterising Design Situations ......................................................................................... 3203.7.11.1.2. Verifying Safety against Overturning in Gravity Walls.............................................. 3213.7.11.1.3. Verifying Safety against Ground Failure in Diaphragm Walls ................................. 3233.7.11.1.4. Verifying Safety against Bottom Heave in Braced Excavations .......................... 3263.7.11.2. Serviceability Limit States ................................................................................................................................ 3273.7.11.2.1. Displacements in Gravity Walls ............................................................................................ 3273.7.11.2.2. Displacements in Diaphragm Walls ................................................................................... 3273.8. SLOPE STABILITY ............................................................................................................................................................................................ 3303.8.1. Introduction ..................................................................................................................................................................................... 3303.8.2. Most Common Failure Modes of Slopes Associated with Ultimate Limit States .................................. 3313.8.2.1. Loss of Overall Stability .................................................................................................................................... 3313.8.2.2. Deformations ......................................................................................................................................................... 3313.8.2.3. Erosion ........................................................................................................................................................................ 3313.8.3. Most Common Failure Modes of Slopes Associated with Limit States of Serviceability .................. 3333.8.4. Overall Stability Analysis in Soils .......................................................................................................................................... 3333.8.4.1. Types of Slide ......................................................................................................................................................... 3333.8.4.2. Characterising Design Situations ................................................................................................................. 3343.8.4.3. General Principles of Calculation ............................................................................................................... 3373.8.4.4. Indefinite Plane Sliding ....................................................................................................................................... 3383.8.4.5. Study of Circular Sliding ................................................................................................................................... 3393.8.4.5.1. Friction Circle Method .............................................................................................................. 3393.8.4.5.2. Taylors Stability Charts ............................................................................................................. 3413.8.4.5.3. Method of Slices. Circular Lines ........................................................................................... 3413.8.4.6. Analysis of Non-Circular Sliding .................................................................................................................. 3453.8.4.6.1. Method of Slices, Non-Circular Lines ............................................................................... 3453.8.4.6.2. The Wedge Method ................................................................................................................... 3463.8.5. Calculating Overall Stability in Rocks ................................................................................................................................ 3473.8.5.1. Types of Instability ................................................................................................................................................ 3483.8.5.2. Characterising the Design Situation .......................................................................................................... 3493.8.5.3. General Principles of Calculation ............................................................................................................... 3503.8.6. Minimum Safety Factors against Loss of Overall Stability ................................................................................... 3523.8.7. Comments on Deformations ................................................................................................................................................ 3533.9. GROUND IMPROVEMENT ...................................................................................................................................................................... 3533.9.1. General Aspects ............................................................................................................................................................................ 353ROM 0.5-05Index 15Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works3.9.2. Preloading ......................................................................................................................................................................................... 3543.9.2.1. Improvements Resulting from Preloading .............................................................................................. 3543.9.2.2. Types of Preloading ............................................................................................................................................. 3553.9.2.3. Prior Investigation ................................................................................................................................................ 3553.9.2.4. Design of Preloads .............................................................................................................................................. 3563.9.2.5. Monitoring the Treatment ............................................................................................................................... 3563.9.3. Deep Compaction ....................................................................................................................................................................... 3583.9.3.1. Treatment Types .................................................................................................................................................... 3583.9.3.2. Potential Improvements ................................................................................................................................... 3593.9.3.3. Control Procedures ............................................................................................................................................ 3593.9.4. Dynamic Compaction ................................................................................................................................................................ 3603.9.5. Explosive Compaction ............................................................................................................................................................... 3623.9.6. Rigid Inclusions ............................................................................................................................................................................... 3623.9.6.1. Dimensioning Inclusions ................................................................................................................................... 3643.9.7. Grouting ............................................................................................................................................................................................. 3663.9.7.1. Permeation Grouting ......................................................................................................................................... 3663.9.7.2. Compaction Grouting ....................................................................................................................................... 3663.9.7.3. Fracture/Claquage Grouting ........................................................................................................................... 3673.9.7.4. Jet Grouting ............................................................................................................................................................. 3683.9.8. Other Procedures ........................................................................................................................................................................ 3683.10. DYNAMIC EFFECTS ...................................................................................................................................................................................... 3693.10.1. General Considerations ............................................................................................................................................................ 3693.10.2. Undrained Dynamic Behaviour ............................................................................................................................................ 3703.10.2.1. Generation of Pore Water Pressures ....................................................................................................... 3703.10.2.2. Undrained Dynamic Strength ....................................................................................................................... 3713.10.2.3. Strains under Cyclic Loads in Undrained Conditions ..................................................................... 3723.10.3. Drained Dynamic Behaviour .................................................................................................................................................. 3733.10.4. Soil Behaviour under Seismic Action ................................................................................................................................ 3763.10.4.1. Characterising Seismic Events ....................................................................................................................... 3763.10.4.1.1. Magnitude ......................................................................................................................................... 3763.10.4.1.2. Intensity .............................................................................................................................................. 3773.10.4.1.3. Ground Acceleration ................................................................................................................. 3773.10.4.1.4. Response Spectrum .................................................................................................................... 3783.10.4.2. Soil Liquefaction Due to Seismic Action ................................................................................................ 3793.10.4.3. Seismic Loads Transmitted to Foundation Ground through a Resistant Structure ....... 3823.10.5. Dynamic Analysis of SoilStructure Interaction .......................................................................................................... 3833.10.5.1. Dynamic Analysis of Foundations ............................................................................................................... 3853.10.5.2. Pseudostatic Analysis of Foundations ....................................................................................................... 3863.10.5.2.1. Static Loads Equivalent to Wave or Wind Action .................................................... 3863.10.5.2.2. Static Loads Equivalent to Seismic Action ..................................................................... 3873.10.5.2.2.1. Equivalent Static Forces Acting on Foundations ............................ 3873.10.5.2.2.2. Equivalent Static Forces for Verifying Failure Modes of Loss of Overall Stability ................................................................................................ 3873.10.5.2.3. Equivalent Earth Pressures on Retaining Structures ................................................ 3883.10.5.2.3.1. Active Earth Pressure .................................................................................... 3893.10.5.2.3.2. Passive Earth Pressure ................................................................................... 3913.10.5.2.4. Equivalent Static Forces for Checking Slope Stability............................................... 391ROM 0.5-05Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works16 IndexPART IV. PARTICULAR GEOTECHNICAL ASPECTS OF DIFFERENT TYPESOF MARITIME AND HARBOUR WORKS4.1. INTRODUCTION ........................................................................................................................................................................................... 3994.2. GRAVITY QUAYS WALLS ......................................................................................................................................................................... 3994.2.1. Natural Ground. Site Investigation ..................................................................................................................................... 4004.2.2. Source and Quality of Materials .......................................................................................................................................... 4004.2.3. Ultimate Limit States .................................................................................................................................................................. 4014.2.3.1. Verifying Safety against Sliding between Concrete and Support Berm ............................... 4024.2.3.2. Verifying Safety against Sliding in the Contact between Berm and Natural Ground .... 4034.2.3.3. Verifying Safety against Bearing Failure .................................................................................................... 4044.2.3.4. Verifying Safety against Plastic Overturning .......................................................................................... 4054.2.3.5. Verifying Safety against Overall Instability .............................................................................................. 4064.2.3.6. Verifying Safety against Internal Erosion of the Backfill .................................................................. 4064.2.3.7. Verifying Safety against Scour at the Wall Toe .................................................................................... 4074.2.3.8. Summary of Minimum Safety Factors ...................................................................................................... 4094.2.4. Limit States of Serviceability .................................................................................................................................................. 4094.2.5. Other Recommendations ........................................................................................................................................................ 4104.3. PILED QUAYS AND JETTIES ................................................................................................................................................................... 4114.3.1. Natural Ground. Site Investigation ..................................................................................................................................... 4124.3.2. Choice of Pile Type ...................................................................................................................................................................... 4134.3.3. Source and Quality of Materials .......................................................................................................................................... 4144.3.4. Actions on Piles ............................................................................................................................................................................. 4154.3.5. Ultimate Limit States .................................................................................................................................................................. 4164.3.5.1. Verifying Safety against Bearing Failure or Extraction of Piles ................................................... 4164.3.5.2. Verifying Safety against Horizontal Ground Failure .......................................................................... 4164.3.5.3. Verifying Safety against Slope Erosion ...................................................................................................... 4174.3.5.4. Verifying Safety against Slope Surface Slide .......................................................................................... 4184.3.5.5. Verifying Safety against Overall Instability .............................................................................................. 4184.3.5.6. Verifying Safety against Internal Erosion and Entrainment ........................................................... 4204.3.5.7. Verifying Safety against Scour ........................................................................................................................ 4204.3.5.8. Summary of Minimum Safety Factors ...................................................................................................... 4214.3.6. Serviceability Limit States ........................................................................................................................................................ 4224.3.7. Other Recommendations ........................................................................................................................................................ 4224.4. QUAYS WITH DIAPHRAGM WALLS ................................................................................................................................................ 4244.4.1. Basic Types ........................................................................................................................................................................................ 4244.4.2. Ground Data ................................................................................................................................................................................... 4254.4.3. Source and Quality of Materials .......................................................................................................................................... 4254.4.4. Structural Behaviour ................................................................................................................................................................... 4264.4.4.1. Tension in the Tie-back ..................................................................................................................................... 4264.4.4.2. Stress Resultants in Diaphragm Walls ...................................................................................................... 4264.4.5. Ultimate Limit States .................................................................................................................................................................. 4274.4.5.1. Verifying Safety against Rotation about the Anchor ........................................................................ 4274.4.5.2. Verifying Safety against Rotation around the Wall Toe .................................................................. 4304.4.5.3. Verifying Safety against Failure of the Ground Surrounding the Anchor ............................ 4324.4.5.4. Verifying Safety against Combined Sliding ............................................................................................. 4334.4.5.5. Verifying Safety against Overall Instability .............................................................................................. 4364.4.5.6. Verifying Safety against Vertical Instability ............................................................................................... 4364.4.5.7. Verifying Safety against Internal Erosion ................................................................................................. 4364.4.5.8. Verifying Safety against Scour ........................................................................................................................ 4374.4.5.9. Summary of Minimum Safety Factors ...................................................................................................... 437ROM 0.5-05Index 17Geotechni cal recommendati ons for the desi gn of mari ti me and harbour works4.4.6. Limit States of Serviceability .................................................................................................................................................. 4384.4.7. Other Recommendations ........................................................................................................................................................ 4394.5. QUAY WALLS MADE OF SHEETPILE CELLS ............................................................................................................................... 4394.5.1. Types .................................................................................................................................................................................................... 4394.5.2. Design Factors ................................................................................................................................................................................ 4414.5.2.1. Ground Data .......................................................................................................................................................... 4414.5.2.2. Source and Quality of Materials ................................................................................................................. 4414.5.2.3. Water Levels ........................................................................................................................................................... 4424.5.3. Ultimate Limit States .................................................................................................................................................................. 4424.5.3.1. Verifying Safety against Sliding ...................................................................................................................... 4444.5.3.1.1. Shallow Foundations ................................................................................................................... 4444.5.3.1.2. Embedded Foundations ........................................................................................................... 4454.5.3.2. Verifying Safety against Bearing Failure .................................................................................................... 4474.5.3.3. Verifying Safety against Overturning ......................................................................................................... 4484.5.3.4. Verifying Safety against Cell Failure ............................................................................................................ 4514.5.3.5. Verifying Safety against Local Instability of the Toe ........................................................................... 4534.5.3.6. Verifying Safety in Respect of Sheetpile Vertical Equilibrium ...................................................... 4564.5.3.7. Verifying Safety against Loss of Overall Equilibrium ........................................................................ 4574.5.3.8. Verifying Safety against Internal Erosion ................................................................................................. 4574.5.3.9. Verifying Safety against Scour ........................................................................................................................ 4574.5.3.10. Summary of the Minimum Safety Factors ............................................................................................. 4584.5.4. Ultimate Limit States of Structural Failure ..................................................................................................................... 4584.5.5. Serviceability Limit States ........................................................................................................................................................ 4594.5.6. Other Recommendations ........................................................................................................................................................ 4614.6. DRY DOCKS AND LOCKS ...................................................................................................................................................................... 4624.6.1. Classification .................................................................................................................................................................................... 4624.6.2. Geotechnical Investigation ....................................................................................................................................................... 4634.6.3. Gravity Dry Docks ...................................................................................................................................................................... 4654.6.3.1. Verifying Safety against Dock Flotation Due to Uplift .......................................................................... 4654.6.3.2. Verifying Safety against Longitudinal Sliding .......................................................................................... 4654.6.3.3. Verifying Safety against Structural Failure of the Base Slab ......................................................... 4654.6.3.4. Verifying Safety in Side Walls ......................................................................................................................... 4664.6.3.5. Movements .............................................................................................................................................................. 4664.6.3.6. Verifying Safety against the Effects of Seepage ................................................................................... 4664.6.4. Dry Docks with a Drained Base Slab .............................................................................................................................. 4674.6.4.1. Reducing Uplift. Verifying Safety against the Effects of Seepage ............................................... 4674.6.4.2. Verifying Safety against Structural Failure of the Base Slab ......................................................... 4684.6.4.3. Verifying Safety of Side Walls ........................................................................................................................ 4684.6.4.4. Movements .............................................................................................................................................................. 4684.6.5. Dry Docks with an Anchored Base Slab ........................................................................................................................ 4694.6.5.1. Verifying Safety against Base Slab Heave ................................................................................................ 4704.6.5.2. Verifying Safety against Structural Failure of the Base Slab ......................................................... 4704.6.5.3. Verifying Safety of the Side Walls ...............................................................................................


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