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A Case Study of Waterproofing Strategies for a Typical Mat and Deep Foundation System

May 15, 2013

A Case Study of Waterproofing Strategies
for a Typical Mat and Deep Foundation System
Andrea B. Bono, PE, LEED AP BD+C; and Stephen T. Bono, SE
Simpson Gumpertz & Heger Inc.
The Landmark @ One Market, Suite 600, San Francisco, CA 94105
Phone: 415-495-3700 • Fax: 415-495-3550 • E-mail: stbono@sgh.com
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Abstract
Current construction methods such as piles, micropiles, and tiebacks permit building of
foundations at sites that were previously impossible or impractical. Coordination of a fully
integrated below-grade waterproofing design is required to ensure successful performance
of buildings employing these structural foundation systems. As the percentage of new
construction at sites with less-than-ideal soil increases, waterproofing detailing should be
considered during the schematic phase of a project and continue throughout construction.
This presentation will include waterproofing considerations for typical structural foundation
systems through several case studies where the waterproofing was considered independent
of the foundation.
Speakers
Stephen T. Bono, SE — Simpson Gumpertz & Heger Inc. – San Francisco, CA
Stephen T. Bono, SE, is a Senior Staff I at national engineering firm Simpson
Gumpertz & Heger Inc. His experience includes both performance-based and code-based
design, evaluation, and repair of steel, concrete, and masonry low- to high-rise structures
incorporating both linear and nonlinear techniques. He specializes in evaluation and rehabilitation
of commercial and institutional facilities. He is a member of the Existing Buildings
Committee, the Building Ratings Subcommittee, and the Sustainable Design Committee of
the Structural Engineers Association of Northern California (SEAONC).
Andrea B. Bono, PE, LEED AP BD+C — Simpson Gumpertz & Heger Inc. – San Francisco, CA
And rea B. Bono, PE , LEE D AP BD+C, is a Staff II at national engineering firm
Simpson Gumpertz & Heger Inc. She has experience in the design, investigation, and rehabilitation
of commercial, healthcare, civic, and residential buildings related to below-grade
spaces, podium decks, exterior components and cladding, and roofs. Andrea works closely
with architects and consultants who specialize in the specification and design of roofing,
waterproofing, and exterior wall systems to design, analyze, and repair aspects of the building
envelope. She is the branch secretary for the U.S. Green Building Council’s Northern
California Chapter, San Francisco Bay Bridge Branch.
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INTRODUCTION
A case study of a low-rise building is
presented to illustrate that coordinating
a fully integrated below-grade waterproofing
design among all disciplines of a project
team can protect the building and its
occupants from potentially adverse site
conditions. In particular, the coordinated
effort between the structural engineer and
waterproofing consultant is discussed. As
the percentage of new construction at sites
with less-than-ideal soil increases, structural
and waterproofing integration should
occur in the schematic phase of a project
and continue throughout construction to
ensure successful building performance.
Uncertainties in Design
Prior to any new development, a site
assessment is typically performed to evaluate
a site’s above-ground and subsurface
characteristics, including its structure,
geology, and hydrology. However, due
to size, quantity, and cost constraints of
sample collection, not all site conditions
can be discovered from a site assessment.
Designers should be cognizant of these
uncertainties and understand that potential
findings during construction could impact
their design and the design of other disciplines.
If variations of the conditions do
occur and design changes are made, collaborative
coordination among all disciplines,
as well as input from the building owner,
are necessary to ensure the project objectives
are met.
To mitigate encountered design uncertainties,
a collaborative effort among all
disciplines generates the best solution to
protect the building and its occupants.
Figure 1 demonstrates how collaboration is
essential as modification to building systems
becomes significantly more challenging
and costly as construction begins and
access becomes restricted.
Common Means of Protecting Structure
Structural engineers can prolong the
service life of a building by designing the
structure against poor soil conditions such
as the presence of high and variable water
tables, liquefiable soils, corrosive and deteriorating
agents, hazardous substances,
pollutants, and/or contaminants. Common
structural protection methods include:
• Sacrificial (extra) steel
• Increased concrete cover
• E poxy coatings
A Case Study of Waterproofing Strategies
for a Typical Mat and Deep Foundation System
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Figure 1 – Below-grade waterproofing membrane under mat slab reinforcement
(shown horizontal) and concrete column reinforcement (shown vertical) with a rock
anchor centered in the column.
• P assive or active cathodic protection
These means of protection are generally
intended to preserve only the structural elements
of a building for a finite amount of
time. However, waterproofing is a nonstructural
means of protecting and extending the
life of structural elements, with the added
benefit of protecting occupants and interior
contents from uncontrolled water infiltration
and consequential damage. Waterproofing
design strategies are implemented at either
the positive or negative side of the structure
as shown in Figure 2. Positive-side waterproofing
protects a structure at the source
of hydrostatic pressure by placing a barrier
at the exterior face of the structure, whereas
negative-side waterproofing is applied at the
opposite side of the source of hydrostatic
pressure and permits water to pass through
the structure before meeting a barrier at the
interior space. Both strategies protect the
interior contents from damage; however, negative-
side waterproofing does not protect the
structure in front of the membrane. Common
methods of positive- and negative-side waterproofing
include loose-laid or adhered sheet
membranes, liquid-applied or slurry-applied
coatings, and concrete admixtures.
These waterproofing strategies require
coordination with the structural engineer.
A well-integrated and well-designed waterproofing
system can protect the structure,
its occupants, and interior contents, thus
making the integration of structural components
and waterproofing systems critical for
both building durability and performance.
Integrating for Performance
In order to design a fully integrated
waterproofing system, it is important to
identify the key persons involved in the
design of a building. These persons include
an architect, a contractor, a geotechnical
engineer, an owner or tenant, astructural
engineer, and if hired, a waterproofing consultant.
Without a waterproofing consultant
on the design team, waterproofing systems
may be selected without the full consideration
of risk of water or vapor intrusion, and
the impact of water or vapor on occupants
and the intended use of interior spaces
or structural service life. Designers can
develop appropriate design criteria based
upon the site conditions, their previous
experience, and an owner’s interpretation
of acceptable or unacceptable performance;
however, all design considerations by key
personnel should be developed concurrently
in order to satisfy and manage owner or tenant
expectations of the final design.
Case Study
The following case study demonstrates
the importance of coordination and communication
among the design team, with particular
emphasis on the interaction between
the structural engineer and waterproofing
consultant. The subject building is a
six-story, steel-framed structure over two
levels of below-grade parking supported
by a concrete foundation. The two stories
below grade are within the water table.
The site is in an industrial area, and the
former site user contaminated the soil with
single-phase hydrocarbons (SPH) and heavy
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Figure 2 – Elevation view of a foundation wall with negative-side waterproofing
and a foundation wall with positive-side waterproofing.
Figure 3 – Isometric view of foundation mat, piles, and rock anchors that support
the structure.
metals. The site was excavated to remediate
petroleum-contaminated soils and backfilled
with granular material. Due to the
site’s close proximity to a bay, the soil has
a high concentration of salts. The southern
edge of the site was previously used
as a shipping channel, creating additional
project challenges. Originally, the shipping
channel was unsystematically filled with
granular material that included fill as large
as cobbles. This filled shipping channel acts
as a direct source for water into the site. The
bay’s tidal influences and high water table
were also considerations in the below-grade
structural and waterproofing design.
Foundation
Design
As the structural
engineer
of record, we
designed a mat
foundation to
bear mostly on
soil, with the
remaining area
supported by
piles and rock
anchors socketed
into bedrock
below the basement structure. Figure 3
shows an isometric view of the foundation
mat, piles, and rock anchors and indicates
three general regions of the foundation. One
small region of the mat bears directly on
native rock. The largest region of the mat
bears on 2 ft. of engineered fill (competent
soil). The remaining region of the foundation
is supported on groups of piles at the former
shipping channel, which are socketed
into native rock. Piles are used to transfer
loads through the poor soil to the native
rock below. The piles used on this project
are 150-ton, nominal-capacity, HP steel
members (also known as bearing piles).
(Figure 4 shows the equipment used to
drive the HP members through the soil and
into the rock.) Groups of piles are placed
below basement shear walls and columns.
A thickened mat provides additional shear
and flexural resistance at the pile groups.
The remainder of the mat is nominally 2 ft.
thick. Supplemental rock anchors, used to
resist hydrostatic forces at regions of the
mat that are not supported on piles, prevent
the structure from uplifting.
During excavation of the site, secant
pile walls, with alternate piles reinforced
with steel W-section (wide flange) soldier
members, provided shoring to allow for
excavation of the site (shown in Figure
5). These secant pile walls also acted as
a dewatering cutoff to reduce the amount
of dewatering within the site. An interior
reinforced-concrete structural shear wall
was constructed inboard of the secant pile
wall and serves the following purposes:
transfer of superstructure loads to the
foundation, protection of the vertical belowgrade
waterproofing membrane, and lateral
restraint of hydrostatic pressure due to the
elevation of the water table.
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Figure 4 – Steel HP members being driven into rock.
Figure 5 – Shotcrete leveling layer with wire mesh
cast against secant auger-cast pile walls to address
out-of-plane variation and surface irregularities.
DESIGN PARAMETERS
Geotechnical Considerations and
Resulting Waterproofing Design
The elevation of the water table provided
by the geotechnical engineer indicated that
the subterranean concrete mat slab resides
in the water table. During construction, site
dewatering was required to lower the elevation
of the water table until we determined
that the building’s self-weight could resist
the hydrostatic uplift pressure. Due to the
soil characteristics on-site and the elevation
of the water table, a secant auger-cast pile
wall was selected to shore the excavation.
Site dewatering was required to capture the
inflow of groundwater into the excavation.
Structural Foundation Wall Construction
and Resulting Waterproofing Design
In general, every shoring system requires
treatment or modification to provide
a sound substrate for installation of waterproofing.
Unmodified shoring systems lead
to high probability of water intrusion into
building structures. In our case, secant
auger-cast pile walls acted as vertical shoring
and would require a leveling layer for
placement of the waterproofing. We recommended
the installation of a shotcrete
leveling layer to provide a smooth substrate
to compensate for the out-of-plane surface
irregularities, prior to application of the
waterproofing membrane (Figure 5).
Prior to determination of the basement
shear wall construction, we discussed both
structural and waterproofing concerns with
the building contractor regarding a preferred
construction method. Structurally,
the strength of either cast-in-place or shotcrete
is comparable as long as the concrete
is well consolidated. From the contractor’s
perspective, shotcrete is typically faster
and less expensive to install. From a waterproofing
perspective, “use of shotcrete with
waterproofing is currently less reliable than
cast-in-place concrete with waterproofing.”1
When utilizing cast-in-place concrete, the
placement and vibration of plastic concrete
allows it to fill the majority of voids but does
require the use of one-sided forms in shored
excavations. In contrast, when shotcreting
foundation walls, waterproofing problems
can develop because of voids and shadowing
during the placement process and from broken
penetration seals resulting from rebar
cage anchor vibration.
As the owner’s waterproofing consultants,
we defined the levels of risk for water
intrusion based on common
waterproofing product service
lives. Waterproofing performance
levels were defined
as expected system behavior—
a variable amount of
observable moisture inside
the building. For example, a
performance objective at the
highest performance level
would be negligible staining
on structural surfaces,
whereas a performance
objective at a lower performance
level would be water
flow at isolated areas: a leak.
Understanding that wellthought-
out design can limit
building damage but cannot
eliminate it, we recommended
a waterproofing system
that considered the design
water table, acceptable risk
of incident water intrusion,
and assumed construction
sequence for the foundation
and below-grade exterior
walls. The contractor priced
the different combinations of structural
and waterproofing systems. The owner then
determined their acceptable risk/cost basis
for the waterproofing and structural systems,
and we designed our waterproofing
system to the owner-accepted performance
level. At this site, the owner would accept a
level of risk for water intrusion resulting in
isolated staining.
MAT FOUNDATION SYSTEM
INTEGRATION
Mat foundations are a shallow foundation
system and generally encompass a
building’s entire footprint and consist of
heavily reinforced concrete. Mat foundations
are appropriate for the following site
conditions:
• Soil types that are susceptible to
significant differential settlements or
expansion that could cause differential
heaves
• Unpredictable structural loads and
lateral loads that are not equally
distributed
• L owest elevation of the foundation is
within the water table
Figure 6 shows a mat foundation bearing
directly on competent soil. In a mat
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Figure 6 – Mat foundation supported on soil.
Figure 7 – Mat foundation rebar.
foundation, the loads from the superstructure
are assumed to be evenly distributed
through the mat to the soil below. In the condition
where the mat foundation is in contact
with the water table, such as at this site,
waterproofing becomes an important consideration
when designing the mat foundation.
Mat Foundation Waterproofing
Recommendations
In below-grade construction, because the
waterproofing is placed below several feet of
concrete and layers of steel reinforcing, the
ability to make repairs to the waterproofing,
requiring soil excavation or concrete removal
for mitigation of leakage, is often infeasible
(as indicated by Figures 1 and 7). To minimize
leakage potential, we recommended
the following primary waterproofing
systems for blind-side, belowgrade
waterproofing in hydrostatic
conditions: (1) loose-laid sheet
membrane, (2) fully adhered sheet
waterproofing, or (3) bentonitebased
systems. (See Figures 8-10 for
examples of each type of waterproofing
system.)
Regardless of the below-grade
membrane type, we recommended
installation of an unreinforced mud
slab to provide a suitable substrate
for installation of the horizontal
below-grade membrane, similar to
the shotcrete applied to the augercast
piles. On top of the installed
waterproofing, we recommended a
4-in. reinforced protection slab to
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Figure 10 – Blindside,
below-grade
waterproofing:
bentonite-based
system.
Figure 8 – Blind-side, below-grade
waterproofing: loose-laid sheet membrane.
Figure 9 – Blind-side, below-grade
waterproofing: fully adhered
sheet waterproofing.
prevent damage to the membrane during
construction from rebar placement,
stored materials, welding, and equipment.
The three below-grade waterproofing types
as presented to the owner, as well as
their advantages and disadvantages, are
described below. Ultimately, we designed
the waterproofing system based on the
cost/risk determination of the owner.
Primary Waterproofing
Systems
Loose-Laid Sheet Membrane Systems
Traditional polyvinyl chloride (PVC) systems
could not be used at this site due to
potential SPH contamination from adjacent
sites over the life cycle of the building. While
alternate materials exist that combine the
benefits of heat-welded seams, isolation
from substrate cracking, and large sheet
installation with hydrocarbon resistance,
it would have been cost-prohibitive when
compared to the other membranes. Also,
because of its loose-laid nature, water that
bypasses the membrane through minor
defects could migrate laterally behind the
membrane, making it difficult to locate the
source of water entry.
Fully Adhered Sheet Waterproofing
Fully adhered membranes are installed
on cast-in-place concrete. The membrane
can either consist of rubberized asphalt with
a polyethylene carrier sheet for positive-side
applications or adhere to the concrete as
it is placed in blind-side applications. This
type of membrane consists of an inert highdensity
polyethylene (HDPE ) sheet with a
proprietary adhesive and acrylic binder that
bonds to plastic (wet) concrete. Leaks in the
fully adhered membrane are localized so
that repair locations can be easily identified.
However, this system has the risk that failures
could occur at membrane seams due to
incorrect installation.
Bentonite-Based Systems
Sodium bentonite is a naturally occurring
mineral that, in the presence of uncontaminated
water and confining pressure,
swells to form a waterproofing gel layer over
walls and under slabs, preventing water
infiltration. The membrane consists of a
layer of bentonite surrounded by geotextile
fabric on either side to form a membrane.
There must be adequate coverage and confining
pressure for the water-gel reaction to
be effective in waterproofing. Bentonite does
not expand in the presence of saltwater.
However, products with additives are available
that perform up to a given concentration
of salt in the water.
Based on the above considerations for
each of the systems and the owner’s cost/
risk preference, we designed a bentonitebased
system for the mat foundation’s
waterproofing. As a condition of specifying
this product, we recommended that the
groundwater be tested for chloride content
to determine if bentonite-based systems
were appropriate.
SECONDARY (BACKUP)
WATERPROOFING SYSTEMS
Due to the cost-prohibitive nature of
repairs and system failures, we recommended
including redundancy into the
below-grade waterproofing system design.
The two recommended methods of backup
waterproofing included interior drainage
and concrete admixtures.
Interior Drainage
In lieu of a drainage field below the
basement slab requiring an additional two
feet of excavation, the owner chose an
interior drainage system to collect water.
This bypasses the primary system and then
transports it to a sump location for removal
from the building. At basement slab-toexterior
wall locations, we recommended a
trough (shown in Figure 11) to intercept and
collect any wall-water leakage.
Crystalline Waterproofing Admixtures
We also recommended crystalline waterproofing
admixtures for the mat foundation.
Crystalline waterproofing admixtures can
help minimize water migration by reacting
with water to grow crystals that block passage
through the concrete pore structure.
The admixture helps the concrete resist
fluid flow of water through its own pores
and reduces the risk of interior leakage
and/or staining.
For hydrostatic conditions, we recommend
against concrete admixtures as
the primary waterproofing since concrete
admixtures are limited by the quality of the
concrete placement. Additionally, concrete
tends to crack due to shrinkage and/or
building movement, and if cracks’ widths
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Figure 11 – Perimeter waterproofing section.
exceed the waterproofing capabilities of
the concrete admixtures in the presence of
water, leaks can occur. Due to this possibility,
we considered the admixture as secondary
(backup) waterproofing. See Figure 11
for a detail indicating the structural and
waterproofing elements of the mat foundation
at a basement shear wall.
ROCK ANCHOR SYSTEM
INTEGRATION
Anchors are a deep foundation system
and are used to restrain foundations resisting
tensile forces or uplift due to hydrostatic
pressures, soil heave, or superstructure
loads. A rock anchor, shown in Figure 12,
is one type of anchor with a small-diameter,
high-capacity rod. Rock anchors are constructed
by drilling through the soil into
rock; placing the rock anchor into the hole;
grouting the anchor; tensioning the rod;
regrouting, if necessary; and locking the rod
into position. (Figure 13 shows rock anchors
resisting hydrostatic pressure in a mat
foundation.) The mat slab spans between
rock anchors and resists hydrostatic water
pressure from the underside of the mat. The
rock anchors transfer the hydrostatic water
pressure deeper into the soil, where the tension
loads can be resisted and keep the mat
from lifting up.
Rock Anchor Waterproofing
Recommendations
In terms of waterproofing, rock anchors
create a bypass in the mat foundation’s
horizontal below-grade waterproofing system
(refer to Figure 12). Rock anchors act
as “straws” reaching to below-grade depths,
into the water table, bringing perched water
to the surface from subsurface depths via
capillary force. With their irregular profile,
anchors can be difficult to detail and require
coordination between the structural engineer
and the waterproofing consultant to
ensure both adequate bearing-plate embedment
and sufficient height to install waterproofing
to the anchor.
To seal any voids between the rock
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Photo 12 – Rock anchors with lower mat reinforcing in place.
Figure 13 – Rock anchors in a foundation
resisting hydrostatic pressure.
anchors and the mat foundation pour, we
recommended installation of injection tube
waterstops. These injection tube waterstops
are in addition to the block waterstops
normally detailed as part of a bentonite
waterproofing system. Injection tube waterstops
consist of wire tubing covered by a
reinforced membrane that is injected with
polyurethane grout. See Figures 14 and 15
for a detail indicating
the structural
and waterproofing
elements
of the rock anchor. Figure 16 shows the
detailing of bentonite around the irregular
rock anchor penetration. In general, injection
tube waterstops are injected after the
concrete mat slab has sufficiently cured per
the manufacturer’s requirements but prior
to decommissioning the site dewatering
wells. On this project, injection tube waterstops
were installed as a backup means in
the event of water intrusion. Currently, the
injection tube waterstops are not grouted
and are left in place as a supplemental
waterproofing measure.
PILE SYSTEM INTEGRATION
Another deep foundation system used
on the project was piles with pile caps.
Piles are prefabricated structural members
made of wood, concrete, or steel (as in this
case) drilled or driven into the ground and
typically extended to depths on the order
of 50 ft. below the ground surface, but
that can also extend to depths of 150 ft.
or greater. The piles transfer loads from
the superstructure, through weak soil layers
that cannot support the applied loads,
to competent layers of soil. Deep foundations
are used when competent soil layers
are located well below the surface, and it
is not practical to excavate down to their
elevation. (Figure 17 shows a pile-supported
mat foundation with piles bearing directly
on rock.) A pile cap is the reinforced concrete
element that connects a column from
the superstructure to a group of piles,
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Figure 14 – 3-D rendering of waterproofing at a rock
anchor including bentonite waterproofing membrane,
bentonite waterproofing membrane patch, bentonite mastic,
block waterstop, and injection tube waterstop.
Figure 15 – Typical detailing around a rock anchor.
Figure 16 – Installed detailing around a rock anchor prior to bentonite mastic,
block waterstop, and injection tube waterstop installation.
tying them all together. Summarized from
Foundation Design: Principles and Practices,
when designing pile foundations, designers
must consider the following parameters:2
• Applied loads
• R equired diameter
• R equired length
• Availability of pile type
• Durability
• Anticipated driving conditions
• In the field, the impossibility of determining
assumed design strengths
Due to the above considerations, additional
piles may need to be installed. This
can influence construction time and cost,
along with altering building performance.
Consideration must also be given to the
waterproofing detailing of piles within the
water table.
Pile Waterproofing Recommendations
Similar to rock anchors and mat foundations,
piles are best detailed with collaborative
efforts. Deep foundations, because
they transmit some or the entire applied
load to soils well below the ground surface,
are likely to penetrate the groundwater table
and bring water to the surface through capillary
force.
On this site, we recommended waterproofing
each individual pile along with the
pile caps. To prepare the piles for installation
of waterproofing, three steel plates were
welded to the steel HP members—one at the
top end of the pile and the two welded to
opposite flanges—to form a metal cap. This
steel cap provided a suitable substrate for
installation of waterproofing at each pile’s
perimeter. See Figures 18-20 (the last of
these is a detail indicating the structural
and waterproofing elements of the typical
pile and pile cap).
SUMMARY OF WATERPROOFING
RECOMMENDATIONS
In summary, we designed the waterproofing
system based on the following
site conditions and structural foundation
system:
• Subterranean levels in the water
table
• P otential SPH contamination
• P otential saltwater contact
• Auger-cast pile shoring wall
• Mat foundation
• R ock anchors
• P iles and pile caps
Based on these design parameters, we
recommended the following installation:
• Shotcrete skim coat over auger-cast,
pile-shoring wall to act as a waterproofing
substrate
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Figure 17 – Pile-supported mat foundation with piles bearing in rock.
Figure 18 – 3-D rendering of a pile and pile cap.
• An unreinforced concrete mud slab
to provide a suitable substrate for
the sheet waterproofing
• Welded steel plates at HP members
to provide a suitable substrate to
terminate waterproofing
• Waterproofing the subterranean
level with bentonite membrane with
lapped and fastened seams and
detailed penetrations
• R einforced protection slab over the
horizontal below-grade waterproofing
to protect the waterproofing from
construction damage (not implemented)
• Crystalline waterproofing admixture
at mat slab and cast-in-place walls
• Drainage channels
• Supplemental injection tube waterstops
These recommendations were based on
the waterproofing performance desired by
the owner, cost considerations from the contractor,
available construction techniques at
the time of construction, and past experience
on similar below-grade local projects.
CONCLUSION
Design team coordination between the
structural engineer and the waterproofing
consultant led to a well-integrated structural
and waterproofing system. Without this
team effort, opportunities to select the best
waterproofing system for a building may not
have been possible once construction had
begun. However, even with coordination and
integration, conflicts and errors may not be
eliminated—but their severity is minimized,
providing the owner an economical and
suitable building that meets performance
expectations.
REFERENCES
1. D.G. Gibbons and J.L. Towle, “Waterproofing
Below-Grade Shotcrete
Walls,” The Construction Specifier, V.
62, No. 3, March 2009, pp. 48-55.
2. D.P. Coduto, Foundation Design:
Principles and Practices, second edition,
Prentice Hall, Upper Saddle
River, New Jersey, 2001.
1 3 8 • B o n o a n d B o n o 2 8 t h R C I I n t e r n a t i o n a l C o n v e n t i o n a n d T r a d e S h o w • M a rc h 1 4 – 1 9 , 2 0 1 3
Figure 20 – Waterproofing at a typical pile cap.
Figure 19 – 3-D rendering of waterproofing at a pile in a pile cap showing
bentonite waterproofing membrane, bentonite mastic, block waterstop, and
injection tube waterstop.