ARTICLE IN PRESS

Computers & Geosciences 34 (2008) 993–1004

www.elsevier.com/locate/cageo

A case study for mapping of spatial distribution of free surface

heave in alluvial soils (Yalova, Turkey) by using GIS software
Is-ık Yilmaz
Department of Geology, Faculty of Engineering, Cumhuriyet University, 58140 Sivas, Turkey
Received 12 December 2006; received in revised form 30 May 2007; accepted 11 June 2007

Abstract

A procedure for producing a surface heave map using GIS package in clayey alluvial soils is proposed. An active zone
was first defined, and the layers in the active zone were subdivided according to their swelling characteristics. The free
surface heave values for each cell of the digitized map of the study area were calculated by using the available equation in
the literature, and a spatial distribution map was then constructed interpolating the data belonging to each borehole
location. Soils having a high swelling capacity are widely distributed in the study area, and will cause serious heave
problems on light structures. Clayey soils in the study area have generally moderate–very high swelling potentials, and
swell pressures in many locations are much higher (up to 98 kPa) for low-rise structures. Moreover, differential movements
sourced from surface heave are also expected in many locations. It was calculated that the minimum expected heave was
0.00 cm while the maximum was 12.24 cm, indicating ‘‘very severe’’ differential movement. The results obtained in this
paper can be used as basic data to assist surface heave hazard management and land use planning. The information derived
from this study also has a special importance for assessing the probable deformations on intended light construction
applications in Yalova city. The methods used in this study will be valid for generalized planning and assessment purposes;
although they may be less useful on the site-specific scale, where local geology and geographic heterogeneities may prevail.
r 2007 Elsevier Ltd. All rights reserved.

Keywords: Clay; GIS; Spatial distribution; Swell percent; Swell pressure; Surface heave; Turkey

1. Introduction buildings and other structures on the sites in

Many buildings are constructed with foundations
that are inadequate for existing soil conditions.
Because of the lack of suitable land, homes are often
built on the marginal land that has insufficient
bearing capacity to support the substantial weight
of a structure. Land becomes scarce with city
growth and it often becomes necessary to construct
Tel.: +90 346 2191010x1305; fax: +90 346 2191171.
E-mail address: iyilmaz@cumhuriyet.edu.tr
unfavorable conditions. The most important char-
acteristic of clayey soils is their susceptibility to the
volume change from swelling and shrinkage. Such
volume changes can give rise to ground movements
that may result in damage to buildings (Bell and
Jermy, 1994; Bell and Maud, 1995). The clays most
prone to swelling and shrinkage are over-consoli-
dated clays (Dhowian et al., 1985) and tertiary and
quaternary alluvial/colluvial soils (Donaldson,
1969). Swelling potential of expansive clayey soils
is due to reductions of overburden stress, unloading

0098-3004/$ - see front matter r 2007 Elsevier Ltd. All rights reserved.
doi:10.1016/j.cageo.2007.06.008
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994 I. Yilmaz / Computers & Geosciences 34 (2008) 993–1004
conditions, or exposure to water and increase in
moisture content. Bell and Maud (1995) suggest
that low-rise buildings are particularly vulnerable to
ground movements as they generally do not have
sufficient weight or strength to resist such move-
ment. Geotechnical engineers have long recognized
that swelling of expansive soils caused by moisture
variation may result in considerable distress and
consequently in severe damage to the overlying
structures (Basma, 1991). If the substrata are not
heavily loaded, structures on the surface will be
affected by heave. As reported by Bell et al. (1993)
depending on the catalog of Burland (1984), the
annual cost of the problem in the USA and Sudan
in the mid 1980s was $6–8 billions and $6 millions,
respectively.
A great deal of structural movement has been
unduly blamed on expansive soils. Many floor slabs,
constructed in an expansive soil area, crack and
sometimes heave due to improperly designed con-
crete. It is a well-known fact that the improper
curing of concrete, in addition to the lack of
expansion joints, will cause cracking (Chen, 1975).
In order to avoid the problems related to the
subsurface and thus save property and money,
detailed geoscientific data should be collected and
used in urban development plans. The main topic
providing the integrated information for urban
development is engineering geology. Engineering
geological maps contain information mainly on the
physical–mechanical properties of soils, shallow
groundwater levels, potential hazardous processes,
etc. The systematized information provided by the
engineering geological map are used for (a) evalua-
tion and planning of urban areas according to the
engineering conditions; (b) elaboration of project
planning documents for construction; (c) selection
of the optimum range of engineering geological
investigations in particular areas of construction;
(d) selection of a suitable foundation type and
construction design; (e) prognosis of changes of
engineering geological conditions and prediction of
hazardous geological phenomena.
Geographic information systems (GIS) are cap-
able of capturing, storing, analyzing and managing
data and associated attributes that are spatially
referenced to the earth GIS technology can be used
for scientific investigations, resource management,
asset management, environmental impact assess-
ment, urban planning, cartography and route
planning. Many papers have reported on the use
of GIS-based protocols in the earth sciences. Hoyos
et al. (2006) developed a spatial analysis procedure
for assessing and mapping potential hazards to
infrastructure from heave based on soil plasticity
index values, swell-shrink potentials, and soluble
sulfate contents in a pilot DFW metroplex area, In
order to produce maps showing mineral potential
distribution, Bonham-Carter et al. (1989), Asadi
and Hale (2001) and Zhou et al. (2007) also used
GIS technology. GIS-based models have also been
used for aspects of environmental science, hydro-
geology, and land use, by many researches such as
Muttiah et al. (1996), Robertson and Saad (2003),
Forte et al. (2006), Wang and Qin (2006) and Sener
et al. (2006). Many papers related to hazard and risk
assessment have also been published (e.g. Brabb
et al., 1972; DeGraff and Romesburg, 1980; Carrara
et al., 1991; Jade and Sarkar, 1993; Irigaray, 1995;
Chung and Fabbri, 1999; Barredo et al., 2000; Van
Westen et al., 2000; Van Westen and Lulie, 2003;
Fernández et al., 2003; Ercanoglu and Gokceoglu,
2004; Yilmaz and Yavuzer, 2005; Gomez and
Kavzoglu, 2005; Kolat et al., 2006; Ma et al.,
2006; Yilmaz and Bagci, 2006; Yilmaz and Yıldırım,
2006; Yilmaz, 2007).
In recent years, GIS technologies have the
potential to address a wide range of problems in
disaster management and hazard mitigation, and
are increasingly playing an important role in spatial
planning and sustainable development. However,
GIS tools in this area are still largely in the test
phase and no international standards have been
issued particularly for engineering geological map-
ping. Another problem with the maps produced is
their usefulness to geotechnicians, urban planners
or civil engineers, as the maps are often clear to
these users. Such maps should be clarified by having
uncomplicated, standard and realistic hazard-prone
zones.
In this study, swelling potentials for the Yalova
City (Fig. 1) were evaluated, and their spatial
distributions were presented using GIS software.
The investigation involved three stages: field work,
laboratory testing and computational analyses.
Initially, geological mapping was carried out, and
155 disturbed and undisturbed samples were col-
lected from 88 drill holes (Fig. 2). Grain size
distribution, Atterberg limits, swelling percent and
pressures were evaluated by means of laboratory
testing. Swelling characteristics of the study area’s
soils were reviewed, and parameters obtained from
laboratory tests were assessed from an engineering
perspective. In the final stage of the study, maps
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Fig. 1. Location map of study area.

Fig. 2. Documentation map of study area (Yilmaz and Yavuzer, 2005).

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996 I. Yilmaz / Computers & Geosciences 34 (2008) 993–1004
showing the spatial distribution of free surface
heave and swell pressure were produced using GIS
software (ArcGIS 9.0).
GIS also enable programmable data manipula-
tion and selective information extraction for plan-
ning and project assessment. The maps produced in
this study will be important layers for future work
involving the preparation of land-use maps and an
engineering geological map for the study area. The
information derived from this study has a special
importance for assessing the probable deformations
of the intended light construction applications in
Yalova City. Low-rise buildings are widespread in
Yalova City because of the active seismic character-
istic of the region. National laws and codes also
limit the number of floors and heights of the
buildings. Low-rise buildings are especially vulner-
able to the ground movements since they generally
do not have sufficient mass or strength to resist such
forces. The surface heave map and swell pressure
map produced in this study will inform differential
movements and the comparison of swell pressure
with building surcharge pressure. The paper will
help civil and geotechnical engineers, as well as
engineering seismologists, architects and urban
planners to make rational decisions in the design
of new construction projects in Yalova City.
2. Hydrological conditions
The main drainage system is dominated by the
Safran creek. From the available records of the
boreholes drilled in different locations throughout
the study area, it is evident that the groundwater
table is generally very shallow. The groundwater
level is closely associated with the amount of
precipitation and may be quite high when the
monthly precipitation is high (Yilmaz and Yavuzer,
2005). Groundwater levels are especially shallow in
the locations near the Marmara Sea. The ground-
water level generally fluctuates between 0.5 and
3.0 m below the surface as seen in the static
groundwater depth map (Fig. 3). These high
groundwater levels may contribute to the creation
of conditions favorable to the occurrence of swelling
of clays.
3. Swelling characteristics of clayey soils
In order to determine the swelling parameters of
the soils, experimental tests were first carried out on
disturbed and undisturbed soil samples. These tests
consisted of grain size distribution, Atterberg limits,
swell pressure and percent.
The grain size distribution of the soils was
determined by both sieve and hydrometer analysis.
The grain size distribution analyses showed that the
fine-grained soils are composed, on average, of 12%
gravel, 19% sand, 22% silt and 47% clay-size
particles (Fig. 4). Results of sampling indicated a
general distribution above the A-line of the plasti-
city chart (Fig. 5). According to this distribution,
76% of the samples are identified as CH group
(inorganic clay, high plasticity), 33% are CL group
(inorganic clay, low plasticity), 21% of samples are
MH group (inorganic silt, high plasticity) and 7% of
samples are ML group (inorganic silt, low plasticity)
soil for the whole area, according to the Unified
System of Soil Classification (USBR, 1974). In
order to predict the potential swelling of clayey
soils, activity is the most widely used property. The
method developed by Van Der Merwe (1964) is
based on plotting the plasticity against percentage
clay fraction. Distribution of the samples on the
swelling potential chart of Van Der Merwe (1964)
(Fig. 6) indicated that 11% of the samples have low
swelling potential, 30% have moderate swelling
potential, 43% have high swelling potential and
16% have very high swelling potential.
In order to determine the swelling pressure and
percentage of the soils, undisturbed soil samples
were taken from the boreholes and swelling tests
were carried out in accordance with the appropriate
international standard (ASTM D-4546, 1994). A
7 kPa pre-loading pressure and samples with a
radius of 5.0 cm were used in our tests. Whereas
the swelling pressure value varied from 0 to 98 kPa
with an average value of 12.9 kPa, the swelling
percentage was found to have an average value of
1.1%, varying from 0% to 6.1% (Table 1).
As noted, many plastic clayey soils swell con-
siderably when water is added to them and then
shrink with loss of water. Constructions on these
types of clays are subjected to large uplifting forces
caused by swelling. These uplift forces will cause
heaving, cracking and break up of them. Differences
in the distribution and amount of precipitation and
evapo-transpiration are the principal factors influ-
encing the swell–shrink response of clayey soils
beneath a building. Therefore seasonal moisture
content changes are very important, and should be
taken into consideration. The depth in a soil to
which periodic changes of moisture occur is usually
referred to as the active zone. The active zone depth
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Fig. 3. Groundwater depth (in meters) map of study area.

is defined as the depth within which seasonal
changes in moisture content can occur. The depth
of the active zone varies, depending on location
(Das, 1995). Observations and measurements of the
seasonal changes of groundwater table depth had
also showed that the highest groundwater table
depth was 4 m. The active zone depth in the study
area was approximately determined as 4 m (Fig. 7)
due to the reasons mentioned above.
Activity is the property most widely used to
predict the swell potential of clays. Van der Merwe
(1964) developed a method for obtaining the
amount of heave based on a plot of clay fraction
versus plasticity index (Eq. (1)):
Heave ¼ F expð0:377DÞðexp½0:377T  1Þ, (1)
where D is the thickness of an overlying non-
expansive layer, T is the thickness of the expansive
layer and F is a factor that depends on the degree of
expansion.
Unfortunately, Van Der Merwe’s method did not
take into account the initial moisture content or
void ratio of the soil, two important parameters
influencing soil heave. Vijayvergiya and Ghazzaly
(1974) analyzed various soil test results and
proposed a correlation chart of the free swell, liquid
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998 I. Yilmaz / Computers & Geosciences 34 (2008) 993–1004

Fig. 4. Grain-size distribution of soil samples.

Fig. 5. Distribution of samples on plasticity chart.

limit and natural water content (Yilmaz, 2006).

Brackley (1975) and Weston (1980) also proposed
an empirical relationship for swelling, which in-
volved the initial void ratio of the soil, initial
moisture content, plasticity index or liquid limit and
external loads. Thereafter, O’Neil and Poormoayed
Fig. 6. Distribution of soil samples on ‘‘swelling potential’’ chart.
(1980) developed a relationship (Eq. (2)) for calcu-
lating the free surface heave.
Brackley (1980), Snethen and Huang (1992), three-dimensional heave. They suggested that the
McKeen (1992) incorporated soil suction into the negative pore-water pressure (i.e., soil suction) can
assessment of swell potential; however, soil suction be estimated through a saturated–unsaturated
is not easy to measure accurately, and some authors seepage analysis. Other authors used the results of
suggested relationships for the calculation of max- the seepage analysis as an input for the prediction of
imum movement due to swelling beneath a building. displacements sourced from heave. Allen and
Vu and Fredlund (2004) proposed a methodology Gilbert (2006) developed a laboratory test method
that can be used for the prediction of one-, two- or in order to determine the relationship between
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Table 1 Table 2
Statistical results of clayey soils in study area Classification of differential ground movement (Anonymous,
1981)
Minimum Maximum X Sx Sx1
Differential movement (mm) Classification
Liquid limit (%) 28 87 61 2.8 2.5
Plastic limit (%) 20 42 26 3.2 2.9 0–5 Very good
Plasticity index (%) 9 59 33 5.6 5.3 5–10 Good
Swell percent (%S) 0 6.1 1.1 11.8 11.7 10–25 Moderate
Swell pressure (Psf), kPa 0 98 12.9 17.4 17.3 25–50 Severe
450 Very severe
X ¼ Arithmetic mean value, Sx ¼ Standard deviation, Sx1 ¼
Standard error.

Poormoayed, 1980):
X
n
DS u ¼ ½SPp %ðH i Þð1=100%Þ, (2)
i¼1

where DSu is surface heave, SPp is swell percent of

each layer, Hi is the thickness of layer i, n is the total
number of subdivided layers in the active zone
beneath the location.
Differential movements sourced from the settle-
ment or heave causes damage to the structures on
the ground surface. In each location of the study
area, surface heave values were calculated by using
the above formula. Results of the calculations
showed that the lowest free surface swell was
0.00 cm while the highest was 12.24 cm. Differences
between the maximum and minimum surface heave
values mean ‘‘very severe’’ according to the classi-
fication of differential ground movements proposed
by Anonymous (1981) (Table 2).

4. Method of map production

The existing topographic map of the study area

Fig. 7. Variation of seasonal water content showing active zone
depth in study area.
vertical movement and water content of an ex-
pansive soil. The test method involved cyclically
wetting and drying of the soil under a normal
compressive load to develop the relationship be-
tween vertical movement and water content. Testing
was accomplished using a conventional oedometer
with a modified loading cap that allows for forced
air circulation to accelerate the shrinking phase.
In this study, the surface heave or uplift, DSu, was
calculated for each level in each location and then
summed up over layers as follows (O’Neil and
was first digitized, and borehole locations were then
extracted into GIS as a point shape file using the
ArcGIS 9.0 package. The overall study area was
subdivided into 5 008 982 cells (2497 rows and 2006
columns) each having 1 m resolution. Each type of
data collected from laboratory tests, and the bore-
hole logs were then entered into GIS as a descrip-
tion of the borehole feature. The flowchart for the
computer model of analysis can be seen in Fig. 8.
Swell parameters describing the subsurface soils
and their effects at surface were evaluated in terms
of quality of data, spatial distribution, representa-
tiveness of a certain unit, common practices in
engineering geological mapping and usability by
end-users. For the analyses, the swell percent and
swell pressure map was first prepared using ArcGIS
(9.0), and involved interpolating the swell percent
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1000 I. Yilmaz / Computers & Geosciences 34 (2008) 993–1004

Fig. 8. Model used for mapping procedure.

Fig. 9. Maps of subdivided layers in active zone.

and pressure values of the subdivided layers for 88
borehole locations.
Thickness of the layers shows variations in each
locations of the study area as seen in Fig. 9. In order
to obtain a realistic and representative underground
condition and soil distribution, 88 borehole logs
were used. Soils in the active zone depth (first 4 m)
beneath each borehole were first subdivided accord-
ing to their type such as clayey–silty sand, clayey silt
and clay, and then then types of soils were obtained.
They were digitized as three layers, and each layer
was interpolated (Fig. 9). Grid files of the swell
percent distribution in each layer were produced by
interpolation (Fig. 10). Grid files of the swell
percent and subdivided layer thickness maps were
then converted into data files (ASCII format). As a
last stage of analyses, the final output file (out-
put.dat) was created by calculation of DSu (surface
heave, Eq. (1)) of each cell using the computer
program written in Q-Basic, and the surface heave
map was then produced converting them into the
grid file in ArcGIS (Fig. 11).
5. Results and discussions
This paper presents a GIS approach for mapping
the surface heave distribution in a given region. The
results were found to be valuable for planning
future urban development schemes.
Soils having a high swelling capacity are widely
distributed in the study area, and will be a serious
cause of heave problems on light structures. Clayey
soils in the study area have generally moderate–very
high swelling potential, and swell pressures in many
locations are very high (up to 98 kPa) for low-rise
structures. Relatively more stable regions in the
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Fig. 10. Swell percent maps of subdivided layers in active zone.

Fig. 11. Map of free surface heave. Fig. 12. Swell pressure distribution map of study area.

study area are distributed along the Marmara Sea frequently observed (Fig. 12). Moreover, differential
coast. A derivative swell pressure distribution map movements due to surface heave are also expected in
prepared from swelling pressure tests showed that many locations. The resultant damage estimates
locations with swell pressures higher than 40 kPa are demand the use of more flexible materials to reduce
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1002 I. Yilmaz / Computers & Geosciences 34 (2008) 993–1004
potential damage from the differential movement of
structures. It is proposed that the low-rise structures
and their environs should be very well drained and
protected from leakage. As concluded by Gromko
(1974), adequate design of structures on expansive
soils can be obtained by observing a few simple
rules. First, from a comprehensive subsoil and site
investigation, a determination of the magnitude of
the heave can be made if expansive soils are present.
Second, the relative costs of alternative designs
should be determined for the preceding investiga-
tion and evaluated in terms of the risks involved.
Two successful designs are reinforced: waffle, rigid
concrete slabs, and reinforced concrete pier and
grade-beam construction.
In order to reduce or eliminate ground move-
ments sourced from underlying swelling soils, one of
the following remediation measures should be taken
into consideration when the light structures are
built.
1. As a simple method, replacement or partial
replacement of expansive soils with non-expan-
sive soils. The materials replaced should have a
minimum thickness of 1 m.
2. The amount of heave of expansive soils can also
be reduced significantly, if they are compacted at
low densities and high moisture content.
3. Many chemical stabilization methods can be
applied in order to reduce the expansiveness of
clayey soils. A well-known chemical stabilization
method is lime stabilization. Lime stabilization
of expansive soils can minimize the amount of
shrinkage and swelling.
The results obtained in this paper can be used as
basic data to assist surface heave hazard manage-
ment and land use planning. The methods used in
this study are also valid for generalized planning
and assessment purposes, although they may be less
useful at the site-specific scale, where local geology
and geographic heterogeneities may prevail.
Acknowledgement
Author is deeply grateful to the anonymous
reviewers for their careful review, contributions
and critics that led to the improvement of the
manuscript.
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