BEARING CAPACITY OF SHALLOW FOOTINGS FOR NON-

GEOTECHNICAL ENGINEERS
By Richard P. Weber

Introduction

A foundation is that part of a structure which transmits a load directly into the underlying
soil. If the soil conditions immediately below the structure are sufficiently strong and
capable of supporting the required load, then shallow spread footings can be used to
transmit the load. On the other hand, if the soil conditions are weak, then piles or piers
are used to carry the loads into deeper, more suitable soil. This course is limited to the
former and discusses the bearing capacity of shallow footings. Shallow footings are
foundations where the depth of the footing is generally less than the width (B) of the
footing.

Geotechnical engineering is the discipline that works with soil properties to establish the
allowable bearing capacity of shallow footings. Geotechnical engineers are members of
the design team who provide this information to those responsible for design. Often it is
stated that geotechnical engineering is an “art form” rather than a science. Much of the
geotechnical engineer’s guidance results from an interpretation of subsurface conditions
based on an economically reasonable number of explorations. Based on experience and
supported by theory, the geotechnical engineer interprets the information in order to
predict foundation performance. The prediction usually ends up in a recommendation
made by the geotechnical engineer in a report. Architects and structural engineers are
probably most familiar with statements such as “The recommended allowable bearing
pressure for shallow spread footings at this site is 4000 psf.” Where does this value come
from and what was considered when establishing this value?

In this course you will learn that there are two considerations for determining the
allowable soil bearing pressure:

• Calculated theoretical bearing capacity and

• Magnitude of settlement

Thus, the magnitude of settlement that a footing might experience under the design load
is an equally important criterion for establishing the allowable soil bearing pressure. In
fact for footings wider than 3 feet, settlement consideration often controls the magnitude
of pressure applied to the soil.

At the end of this course you will have learned:

• How basic engineering values of soil are obtained and used in establishing
bearing capacity.

• How the strength of soil determines bearing capacity.

• How settlement considerations determines bearing capacity.

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BEARING CAPACITY OF SHALLOW FOOTINGS FOR NON-
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Subsurface Explorations

Civil engineering projects such as buildings, bridges, earthen dams, and roadways require
detailed subsurface information as part of the design process. The ground below us
ultimately supports all structures and to be successful, the ground must not fail under the
applied structural load.

The geotechnical engineer’s task then is to explore the subsurface conditions at a project
site and determine the capacity of the soil to carry the load without collapsing or
experiencing intolerable movement.

Explorations are used to obtain samples of the soil for classification and testing purposes.
Common forms of exploration methods include:

• Soil test borings with standard penetration testing.

• Cone penetrometer soundings with cone penetration testing.

• Test pit excavations.

Testing can be conducted in the laboratory with special samples retrieved for testing
purposes. Testing completed as part of the exploration program with methods such as the
Standard Penetration Test (SPT) or the Cone Penetration Test (CPT) is used to develop
foundation design values. There is a wealth of published information that correlates the
test results obtained from the SPT or CPT to certain applicable engineering properties
and values. The results of field testing and laboratory testing, coupled with the
geotechnical engineer’s assessment and experience is usually sufficient to provide sound
advice for a successful project.

Test pit excavations are useful for viewing soil type and stratification but have severe
drawbacks. Test pits are limited to the depth that the machine can extend, they are
impractical to use for explorations below the groundwater level and they produce a large
disturbed area, often times within the proposed building footprint. Most importantly,
they do not provide penetration test results like the SPT and CPT, which are often used as
the basis for making bearing capacity recommendations.

The geotechnical engineer is interested in primarily two pieces of information from the
exploration program that can be used to develop foundation recommendations. This
information includes:

• Type of material encountered.

• Engineering values.

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The type of soil is important because it provides an indication of how the material will
react under load and whether or not the material is even sufficient to support shallow
foundations. For instance clay reacts quite differently than sand while peat or loose
miscellaneous fill lying below the foundation is not suitable for supporting foundations.

Engineering properties of the soil are important because they provide information on the
shear strength of the soil or the ability of the soil to carry the load as well as the
settlement characteristics of the soil. Much of the information that the engineer uses is
based on published values, results of past testing, empirical relationships and if
necessary, the results of project specific testing.

When explorations are conducted, the information is recorded on a log. The log is a
collection of pertinent information such as depth, description of the soil encountered,
stratification of material and penetration resistance of the soil. By reviewing all of the
logs from a particular site, the geotechnical engineer can formulate a three dimensional
picture of the subsurface conditions. Of course this is based on taking individual
explorations at specific locations on a site and interpreting soil conditions between the
explorations. This is sometimes difficult because it involves interpreting what “Mother
Nature” or others did without seeing the actual soil conditions between the exploration
locations.

In short, the purpose of the exploration program is to provide sufficient site-specific

information to enable the engineer to develop a picture of the subsurface conditions and
select appropriate soil values applicable to the soils encountered. Often, the subsurface
conditions are presented in a graphical geologic profile, which shows information from
the log, soil strata and soil description.

Figure 1 - Geologic Profile

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Bearing Capacity of Shallow Footings

The ability of soil to safely support a structure is of paramount importance. If the

capacity of the soil is not sufficient then failure will occur. Failure can be defined as:

• A sudden, catastrophic movement where the ground below the structure collapses
because its resistance to the load is less than the applied load. This relates to the
capacity of the soil to safely carry the load (Criterion 1)

• Movement that is too great for the structure to accommodate. For instance, if the
structure settles too much, cracks can develop in the frame and floor, windows
and doors may not operate and the structure can become unsafe. This relates to
the settlement potential of the soil under the applied load (Criterion 2).

Bearing capacity analysis is a two-part method used to determine the ability of the soil to
support the required load in a safe manner without gross distortion resulting from
objectionable settlement. The ultimate bearing capacity (qu) is defined as that pressure
causing a shear failure of the supporting soil lying immediately below and adjacent to the
footing. The geotechnical engineer’s task is to explore the subsurface conditions at a
project site and determine the allowable capacity that the soil can carry without
collapsing or experiencing intolerable movement. These precepts apply equally to deep
foundations as well as shallow foundations. However in this course, we will focus only
on shallow foundations.

Modes of Failure

Generally three modes of failure have been identified:

• General Shear Failure: A continuous failure surface develops between the

edge of the footing and the ground surface. This type of failure is
characterized by heaving at the ground surface accompanied by tilting of
the footing. It occurs in soil of low compressibility such as dense sand or
stiff clay.

• Local Shear Failure: A condition where significant compression of the

soil occurs but only slight heave occurs at the ground surface. Tilting of
the foundation is not expected. This type of failure occurs in highly
compressible soil and the ultimate bearing capacity is not well defined.

• Punching Shear Failure: A condition that occurs where there is relatively

high compression of the soil underlying the footing with neither heaving at
the ground surface nor tilting of the foundation. Large settlement is
expected without a clearly defined ultimate bearing capacity. Punching
will occur in low compressible soil if the foundation is located at a
considerable depth below ground surface.

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Bearing Capacity for Continuous Footings

First we will discuss calculating the bearing capacity for continuous footings using the
original equation developed for bearing capacity analysis and then we will expand this to
discuss other shapes and conditions.

The failure mechanism for a narrow, continuous footing (length is >> than width)
assumes that a wedge of soil below the footing is pushed downward by the applied load
thereby displacing soil adjacent to the wedge both laterally and upward. The ultimate
bearing capacity therefore, is a function of the shear strength of the soil and the
magnitude of the overlying surcharge due to the depth of footing (D). The ultimate
bearing capacity (qu) of soil underlying a shallow strip footing can be calculated as:

qu = 1/2γΒΝγ + cΝc + γDNq (1.0)

• Nγ, Nc and Nq are bearing capacity factors that depend only upon the soil friction
angle (φ) as shown in Figure 2. The soil friction angle is commonly assigned by
using charts or tables that correlate the penetration resistance obtained during the
exploration program to the friction angle.

Figure 2 – Bearing Capacity Factors

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[Ref: NAVFAC DM-7]

• The cohesion term “c” is obtained by laboratory or field-testing methods such as

using a Torvane. Correlations using SPT results are unreliable for assigning
cohesion.

• The unit weight of the soil (γ) is commonly based on a published correlation with
soil classification.

• The value “B” is the width of the footing and is the common symbol for the
width.

• The value “D” is the depth of the footing below the lowest adjacent backfill. If
the footing is backfilled equally on each side then D is the depth below grade. If
the footing is backfilled unequally on each side as in a basement, then D is the
lesser measurement.

Figure 3 – Depth of Footing

Expression (1.0) above shows that there are three components to bearing capacity.

• The first term (1/2γΒΝγ ) results from the soil unit weight below the footing.

• The second term (cΝc) results from the cohesive strength of the soil.

• The third term (γDNq) results from the surcharge pressure, which is the pressure
due to the weight of material between the surface and footing depth. This third
term has a significant influence on the calculated soil bearing capacity.

Modification for Shape

The original bearing capacity equation shown in Expression (1.0) applied to continuous
footings where the length L is very much greater than the width B. Since many footings
however are square, rectangular or circular, the equation for a continuous footing was
modified to account for the shape of the footing. Semi-empirical shape factors have been

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applied to each of the three components of the bearing capacity equation resulting in the
following modifications:

• Square Footing: qu = 0.4γΒΝγ + 1.2cΝc + γDNq

• Circular Footing: qu = 0.3γΒΝγ + 1.2cΝc + γDNq

• Rectangular Footing: qu =1/2(1 − 0.2B/L)γΒΝγ + 1.2cΝc + γDNq

In some publications, 1.3 replaces the factor 1.2.

General Bearing Capacity Equation

Later research improved the simple bearing capacity equations shown above by
introducing a correction factor for shape of footing with load eccentricity, depth of
footing, and inclination of load. Thus, the General Bearing Capacity Equation has
evolved as shown in Expression (2.0), which maintains the contribution from the three
components identified earlier and incorporates appropriate correction factors for each
term.

qu = 1/2γΒΝγ (FγsFγd Fγi) + cΝc(FcsFcdFci) + γDNq(FqsFqd Fqi) (2.0)

The factors beginning with “F” are the correction factors for depth (d), shape (s) and
inclination of load (i) applied to the original terms proposed in Expression (1.0).

Further refinements include correction factors for sloping ground and tilting of the
foundation base.

The calculation of bearing capacity and correction factors can become quite involved.
Since there is no clearly defined universal set of values and equations used by all
practitioners, it would not be unusual for the calculated results to vary among
practitioners even when given the same set of subsurface conditions.

The ultimate bearing capacity obtained when using the General Bearing Capacity
Expression (2.0) give bearing pressures that are too large for footings having widths (B)
greater than approximately 6 feet. Accordingly a correction factor can also be applied to
the first term of the General Bearing Capacity equation.

Groundwater and Bearing Capacity

The groundwater level affects the bearing capacity of soil. The first and third term of the
bearing capacity equation includes a factor for the unit weight of soil. A part of these
terms are shown below identified as (3.0) and (4.0).

• (1/2γΒ) (3.0)

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• (γD) (4.0)

When the groundwater level rises to a depth less than B (width of footing) below the
footing then the first term (3.0) changes. The unit weight of soil (γ) becomes affected by
the groundwater. As the groundwater level rises, the unit weight below the groundwater
level is replaced by the submerged unit weight (γ – 62.4) and a weighted average is used
to express the effective soil unit weight in term (3.0).

When the groundwater level reaches the depth of footing the value (γ) in term (3.0) is
replaced entirely by (γ’), the submerged unit weight of soil. If the groundwater level
rises above the depth of the footing, then the submerged unit weight of soil would be
used in terms (3.0) and (4.0) as appropriate. Since the submerged unit weight of soil (γ’)
is always less than the total unit weight (γ), the bearing capacity decreases. Note in
particular that:

• Term (3.0) can be reduced by up to approximately one-half of its value depending

upon the depth of the water below the footing and the assigned value of γ [1/2 (γ-
62.4) B].

• When the groundwater level rises above the depth of the footing then Term (4.0)
is also affected [(γ−62.4) D].

• These conditions reduce the bearing capacity of the soil. Therefore the future
highest groundwater level is important.

• If the groundwater level is at an intermediate depth ranging between the bottom of

the footing and depth B, a weighted average effective unit weight is used in the
bearing capacity equation [Ave γ = γ’ + d/B (γ − γ’ )] where γ’ is the submerged
(effective) unit weight of soil, B is the footing width and d is the depth of the
groundwater below the footing (i.e. d < B). .

Factor of Safety

Unlike materials such as steel or concrete, there is no code that specifies the allowable
stress or factor of safety used in design. Soil has considerable variability and structures
have a multitude of uses and design life. Although the magnitude of the safety factor can
vary depending upon uncertainty and risk, a factor of safety of 3 is commonly used in
bearing capacity analysis for dead load plus maximum live load. However, when part of
the live load is temporary such as earthquake, wind, snow, etc. then the factor of safety
can be lower. The allowable bearing pressure used for design is derived by dividing the
ultimate bearing capacity (qu) by the assigned factor of safety (FS). Often the surcharge
pressure resulting from the depth of footing (soil surcharge) is subtracted yielding the net
allowable bearing pressure.

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The factor of safety is applied to the bearing capacity at failure as presented in Criterion 1
(Page 4). Footings less than 3 feet wide are most affected by this condition. As the
footing becomes larger, the potential settlement of the footing plays a much greater role
in establishing the assigned allowable bearing pressure as presented by Criterion 2.

Presumptive Bearing Capacity

Building Codes provide the maximum allowable pressure on supporting soils under
spread footings. The BOCA National Building Code establishes the presumptive load-
bearing value of foundation material based solely on material classification. The
materials range from the weaker materials such as clay with an allowable bearing
pressure of 2000 psf to very strong material such as crystalline bedrock with an allowable
bearing pressure of 12,000 psf.

Other codes base their presumptive bearing capacity on both soil classification and
consistency in place, which is a function of the rock quality designation, unconfined
compressive strength or Standard Penetration Resistance depending upon the material.

NAVFAC Design Manual 7.2, Foundations and Earth Structures provides a

comprehensive tabulation of presumptive bearing pressures and modifications based on
size, depth and arrangement of footings as well as the nature of the bearing material. The
publication suggests the use of presumptive values for preliminary estimates or when
elaborate investigation of soil properties is not justified.

Settlement of Shallow Footings

Settlement consideration is the second of a two-part footing design process. After a

bearing capacity analysis has estimated the allowable soil pressure based upon shear
strength consideration, settlement must be studied to refine (and possibly further limit)
the assigned bearing pressure. The soil design pressure and footing geometry are
checked to assure that settlement of the footing under the prescribed load lies within
tolerable ranges for the structure.

The total settlement of a structure is not as much concern as the differential settlement
that occurs between adjacent columns and structural members. Differential settlement
between adjacent footings develops stresses in the structure causing damage. Of course if
the predicted total settlement of a structure would affect underground utilities, entryways,
building elevations etc., then total settlement is also a concern. Allowable bearing
pressures are designed to limit total settlement and by so doing, differential settlement
between adjacent footings is also limited.

Where there is a group of footings supporting a structure, it is common to select the

footing that might experience the most settlement for analysis. This could be the largest
footing because its stress influence will extend much deeper thereby encompassing more
soil or it could be the footing supported over the weakest soil at the site. In practice, it is

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common to adjust the design bearing pressure so that the footing will experience total
settlement of less than 1 inch. Using this criterion, it is generally assumed that if the
maximum settlement of footings is limited to 1-inch then the differential settlement
between adjacent footings within the group will be less than ¾inches. This magnitude of
differential movement is acceptable for most buildings. Tables and charts have been
publish which set forth tolerable settlement for various types of structures.

Methods of predicting settlement provide only an estimate of the actual expected

movement. The calculations used to estimate settlement are based upon assigned soil
properties derived from field-testing and laboratory testing methods that are in
themselves imperfect. There is wide room for variation of soil properties and error
without close attention to detail. Even under the best of circumstances, soil properties
can vary. Factors such as water content, freeze-thaw cycles, groundwater level, degree of
consolidation, rate of loading, soil stratification, degree of compaction and relative
density of the material can change the soil strength and compressibility properties.
Settlement can also occur as a result of both static and dynamic loads applied to the
foundation soil.

Components of Settlement

Settlement caused by a loading condition that increases the stress in the underlying soil
can be classified into two major components:

• Immediate settlement.

• Consolidation settlement.

Consolidation settlement can be further divided into:

• Primary consolidation

• Secondary consolidation.

Immediate settlement

Immediate settlement (elastic deformation) takes place during construction or shortly

thereafter and results from compression of the soil particles.

Primary Consolidation

Primary consolidation is a time-dependent phenomenon that occurs as water is squeezed

from the voids lying between the individual soil particles. The time required for primary
consolidation to occur is a function of how quickly the soil drains.

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Secondary Consolidation

Secondary consolidation occurs after primary consolidation has been completed. Unlike
primary consolidation, secondary consolidation does not depend upon drainage.
Secondary consolidation is caused by slippage and reorientation of soil particles (creep)
under constant load.

Each of the three components of settlement occurs to some degree in both coarse-grained
and fine-grained soil such as sand and clay respectively. Immediate settlement is most
often associated with granular, coarse-grained soil such as sand. Although consolidation
occurs in coarse-grained soil, it takes place very quickly because the material is relatively
pervious and drains quickly. Therefore consolidation is not usually distinguishable from
immediate settlement. Although secondary consolidations is thought not to occur in
coarse-grained soil, some researchers have identified additional movement (creep) that
occurs long after the load has been applied.

Primary consolidation and secondary consolidation are most often associated with fine-
grained material such as clay and organic soil. Immediate settlement occurs rapidly in
fine-grained material much more so than the time-dependent, long-term settlement
associated with primary and secondary consolidation. Primary consolidation is more
significant in clays while secondary consolidation is more significant in organic soil.

The total settlement that occurs below a footing is the sum of each of the three
components identified above:

S (total) = S (immediate) + S (primary) + S (secondary)

For coarse-grained soil, primary and secondary settlement are ignored.

Settlement of Footings Underlain by Sand

Settlement that occurs in coarse-grained soil (sand) is normally small and happens
relatively quickly. It is generally thought that little additional long-term movement
(creep) occurs after loading. However, some researchers propose that this might not be
entirely true.

Calculations performed to estimate settlement in coarse-grained material are usually

undertaken using empirical methods based on data obtained during the exploration
program. Since it is expensive and impractical to obtain “undisturbed” samples of
coarse-grained material for laboratory testing, predictions are based on field-testing
methods such as the standard penetration test (SPT), cone penetration test (CPT),
dilatometer test (DMT) and the pressuremeter test (PMT). Researchers have synthesized
information collected from testing programs and studies and have developed a number of
empirical relationships to estimate the settlement of footings underlain by granular soil.

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Geotechnical engineers have used empirical approaches based on a large number of case
studies to estimate the settlement of coarse-grained soil under sustained load. Two
widely accepted methods employ the results obtained from the SPT and CPT. Equipment
used to make these tests are readily available and relatively inexpensively to employ.
These tests are routinely conducted during the site exploration program.

There are numerous empirical relationships available for predicting settlement. Some are
apparently better than others in predicting the actual settlement based on the results of
full-scale tests conducted on five shallow spread footings under various magnitudes of
load. Some of the conclusion derived from a symposium convened during the mid 1900s
to evaluate the current industry and academic practice in spread footing design are that:

• No participant who provided a calculated prediction of settlement gave a

complete set of answers, which consistently fell within plus/minus 20% of the
measured footing settlement.

• The load required to produce 1-inch of settlement was underestimated by 27%

on average. The predicted load was on the safe side 80% of the time.

• A large variety of methods were used to calculate settlement and it was not
possible to identify the most accurate method because most participants used
published methods modified by their own experience or used a combination of
methods.

• The profession tends to be over-conservative.

One (of many) empirical methods of predicting the settlement of shallow footings
underlain by sand is illustrated below. Researchers based this method on a statistical
analysis of over 200 settlement records of foundations supported on sand and gravel. The
expression shows a relationship between the compressibility of the soil, footing width
and the average value of the penetration resistance derived from the SPT and uncorrected
for overburden pressure.

The immediate settlement prediction for sand is:

Si = qB0.7Ic (5.0)

Where:
• Ic = 1.71/N 1.4 and N is the Standard Penetration Resistance derived from the
soil test boring exploration program.
• Si is expressed in millimeters
• B (footing width) in meters
• q (foundation pressure) in kPa

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A modification can be made to this equation if the sand can be established as over
consolidated. Although it is normally assumed that settlement will stop after construction
and initial loading has been applied, the data suggests that settlement can continue. A
conservative assumption is that the settlement will ultimately reach 1.5 times the
predicted settlement (Si) after 30 years.

Settlement of Footings Underlain by Clay

The settlement prediction for footings underlain by clay usually ignores immediate
settlement. The magnitudes of primary and secondary consolidation are more important
in clay and organic soil. Primary consolidation occurs when the pore water in saturated
clay is drained (squeezed out) by the superimposed stress increase cause by the footing.
As the material drains settlement occurs.

The phenomenon of primary consolidation can be illustrated as follows. When a footing

resting above saturated clay is loaded there is a stress increase in the underlying material
equal to the amount of the increased foundation pressure. Initially, the pore water held in
the voids of the soil between the clay particles supports all of the increased stress. Since
the water in incompressible, the water pressure increases an amount equivalent to the
increased foundation pressure (excess pore water pressure). With time, the pore water
drains from the voids (decreases) thereby transferring the stress from the water to the soil
particles. As the pore water drains, settlement occurs. Primary consolidation is complete
when all of the excess pore water pressure has dissipated and the soil particles in close
contact with one another support all of the pressure.

In order to predict the amount of settlement that will occur in the clay stratum the
engineer must have knowledge of the past history and engineering properties of the clay.
This is achieved by retrieving an undisturbed sample of the clay and testing it in
laboratory to measure its consolidation characteristics. The results of the laboratory-
testing program are presented on a series of semi-log plots. One of these plots shows the
decrease in void ratio or strain (vertical axis) in relationship to the increased pressure of
load. From this data the engineer obtains important engineering properties of the soil,
which are then used to predict the magnitude of settlement.

The settlement for normally consolidated material can be expressed as:

S = (Cc H/ 1+eo ) * log ((σο’ + ∆σ)/σο’) (6.0)

Where:

• Cc is the compression index derived from laboratory testing

• H is the thickness of the clay layer under consideration
• σο’ is the effective overburden pressure
• ∆σ is the stress increase resulting from the footing
• eo is the soil void ratio obtained from laboratory testing

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A slight manipulation of this equation will provide the settlement for an over-
consolidated material.

• Normally consolidated material is material that has not experienced a load greater
than the existing (current) load.

• Over-consolidated material is material that has experienced a load in the past

greater than the existing (current) load.

An example of over-consolidated conditions might be illustrated by a 10-foot high hill

that is underlain by clay. If the hill were 20 feet high in the past, then the clay would
already have settled under the weight of the 20-foot high hill. Since over-consolidated
material is stronger than the same normally consolidated material it is less compressible
up to the point where the applied pressure is equivalent to the maximum past pressure.
Therefore, if an additional 5 feet of fill is placed over the site to a total height of 15 ft,
then the underlying clay would experience very little settlement because it had already
settled an amount equivalent to the previous 20 ft high fill.

Since manipulations are made to the equations for calculating settlement based on three
possible conditions, the geotechnical engineer must also know the magnitude of the
maximum past pressure, which can be obtained from laboratory test results. With this
information, the geotechnical engineer can now relate the pressure increase in the
underlying compressible soil resulting from the new footing to the existing overburden
pressure and the maximum past pressure of the soil. The three possible conditions are:

• Settlement lies entirely within normally consolidated clay.

• Settlement lies entirely within over-consolidated clay where the new

foundation pressure plus the existing overburden pressure is less than the
maximum past pressure.

• Settlement lies in over-consolidated clay but extend into the normally

consolidated zone where the new foundation pressure plus the existing
overburden pressure is greater than the maximum past pressure

If secondary consolidation is calculated separately, then the results are added to the
predictions for primary consolidation.

Time Rate of Settlement

Aside from predicting the magnitude of settlement that will most likely occur in fine
grained-soil, the engineer must also predict the rate at which the total settlement will
occur. There is a significant difference on performance and damage to a structure
relating to 2-inches of settlement that occurs over a 1-year period and 2-inches of

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settlement that occurs over a 50-year period. The coefficient of consolidation (cv)
required to conduct this study is also derived from laboratory test data.

In addition, the engineer must decide whether there is two-way or one-way drainage.

• Two-way drainage will occur if the clay stratum is located between two more
pervious layers of material. The last drop of water to drain from the system is
located in the middle of the clay stratum and it only has to travel one-half the
thickness of the clay stratum or less until it reaches the pervious layer.

• One-way drainage occurs if the clay is overlain or underlain by a single more

pervious stratum. In this case the last drop of water to drain lies at the bottom or
top of the clay stratum furthest from the drainage layer.

The rate of consolidation is expressed in Expression (7.0). From this expression, it

should be easy to see that two-way drainage occurs more quickly than one-way drainage
for the same thickness (H) of clay.

Time = Tv H2 /cv (7.0)

Where:

• Tv is a time factor and is obtained from published values

• cv is the coefficient of consolidation and is obtain from laboratory testing or

published values.

Sometimes the compressible material contains thin sand lenses. Since the sand lenses are
also drainage pathways, the actual rate of consolidation can be greater than predicted.

Influence Zone

Whenever a foundation is loaded, a pressure (stress) increase occurs in the underlying

soil immediately below the footing. Actually the pressure spreads laterally to a certain
degree as well. The intensity of pressure decreases with depth until it eventually
becomes too small and is of little concern.

• It is the pressure increase that causes settlement to occur in the soil below
footings.

The increase in pressure extends to a greater depth below larger footings than smaller
footings, hence the depth is influenced by the width of the footing (B). The zone where
the pressure increase is significant with respect to settlement varies with the width of the
footing. In clay, the zone is also influenced by the intensity of the effective overburden

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GEOTECHNICAL ENGINEERS
By Richard P. Weber

pressure (the pressure due to the effective weight of the soil lying above the point in
question).

In granular soils, it is generally assumed that the zone extends to a depth of twice the
footing width (2B) below the footing level. Some engineers however, prefer to use a
depth equal to three times the width of the footing (3B). Therefore, when calculating
settlement using a method such as that shown in Expression (5.0) the average N value or
lowest cumulative N value within this zone is used. The values are obtained during a soil
test boring program. For compressible soils such as clay however, the pressure increase
is considered significant until the pressure increase is less than 10% of the effective
overburden pressure. The resulting depth below the footing calculated in this manner
defines the height of the compressible layer (H) shown in Expression (7.0).

Deterministic vs. Probabilistic Analysis

The deterministic method of analysis is widely practiced in the United States. In the
deterministic method, a single set of soil properties such as friction angle, cohesion, and
unit weight are selected by the engineer based on some rational method. The ultimate
bearing capacity is calculated using these singular values and a selected factor of safety is
applied to yield the allowable bearing pressure. The deterministic method however, does
not take into consideration the possible (and likely) variability of the assigned soil values.
A primary deficiency of the deterministic method is that the parameters (material
properties, strength and load) must be assigned single, precise values when in fact the
actual (and appropriate) values might be quite uncertain.

Another approach to assessing the bearing capacity of soil is to use a probabilistic

method of analysis, which reflects the uncertainty in the assigned values. Probabilistic
methods however are not commonly used. The factor of safety concept is extended to
incorporate uncertainty in the parameters. The probabilistic approach is more meaningful
than the deterministic approach alone since the engineer incorporates uncertainty into the
analysis. Both methods of analysis can complement one another since they each have
value that enhances the other method

Other Considerations

Multilayer Soil

The discussion so far has assumed that the soil lying below the footing within the zone
stressed by the foundation is uniform. Often foundations are supported on multilayer
soils, which influence the depth of the failure surface and the calculated bearing capacity.
If the soil lying immediately below the foundation is weaker than soil at depth, then the
failure surface might lie within a zone having a depth of less than 2B. On the other hand,
if the soil is weaker at depths greater than 2B, then the failure surface might extend to
depths greater than 2B. Solutions are available for the cases of: (1) dense sand over soft
clay, (2) stiff clay overlying soft clay, and (3) soft clay overlying stiff clay.

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By Richard P. Weber

Selection of Engineering Properties

The bearing capacity calculation is very sensitive to the values assumed for the shear
strength of soil, namely the friction angle (φ) and cohesion. This is especially true at the
higher values of friction angle. Therefore, careful consideration should be given to the
values selected to define the soil shear strength.

Correction for Soil Overburden Pressure

In granular soils the effective overburden pressure affects the soil resistance. Hence a
soil having a Standard Penetration Resistance of 15 blows per foot located at a depth of 5
feet may not have the same strength (measured by φ) as the same soil having the same
penetration resistance but located at a depth of 30 feet. Therefore it is common to correct
the blow count (from the SPT test) and sounding (from the CPT test) obtained in the
field-testing program. Although this correction is common, it is not universally applied.
Various equations and curves are available to make this correction.

Depth of Footings

The depth of footings is regulated by code. Building codes require that footings extend to
the frost line of the locality of construction except when supported on solid rock or
otherwise protected from frost. Building codes also state that when footings are placed
on granular soil they shall be located so that a line drawn between the lower edges of
adjoining footings shall not have a steeper slope than 30 degrees. This prevents an
interaction between the two footings. Local building codes might modify these two
conditions.

Problematic Soils

Footings supported on soil that expands or shrinks due to changes in the moisture content
present special conditions.

Dynamic Bearing Capacity

Footings supporting dynamic loads such as machines require special consideration.

Example

Assume that a 4-foot square shallow spread footing is supported on sand at a depth of 4
feet below ground surface. The friction angle of the sand is 30-degrees, the unit weight of
soil is 120 pcf and cohesion is zero. The groundwater level can rise to the depth of the
bottom of the footing but no higher. The cumulative average standard penetration

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BEARING CAPACITY OF SHALLOW FOOTINGS FOR NON-
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By Richard P. Weber

resistance of the sand within a depth of 8 feet (2B) below the footing is 12 blows per foot.
Determine the allowable bearing capacity.

First, determine the allowable bearing capacity based on the shear strength of the soil and
the ability of the soil to resist the applied pressure.

• Select the ultimate bearing capacity expression for square footings:

qu = 0.4γΒΝγ + 1.2cΝc + γDNq

since cohesion = 0,

qu = 0.4γγ Β Ν γ + γ DNq

• For a friction angle of 30-degrees determine the bearing capacity factors from
Figure 2. Nγ = 16 and Nq = 18
• The unit weight (γ) is given as 120-pcf. However, since the groundwater will rise
to the depth of the footing, use the submerged unit weight (γ − 62.4) in the first
term. Thus, γ’ = (120 – 62.4) = 57.6 pcf.

• The ultimate bearing capacity is:

qu = 0.4γΒΝγ + γDNq

qu = (0.4)(57.6)(4)(16) + (120)(4)(18) = 10115 psf (rounded)

• For a factor of safety of 3, the allowable bearing capacity is qa = qu / 3 = 3372 psf

• If the footing were loaded to a pressure of 3372 psf (161.45 kPa ), is the
settlement within tolerable ranges?

• From Expression (5.0) with values expressed in SI units,

Si = qB0.7Ic and Ic = 1.71/N 1.4

Ic = 1.71 / (12)1.4 , Ic = 0.052

Si = (161.45)(1.219)0.7 (0.053) = 9.83 mm ( approx. 3/8-inches)

Thus the allowable bearing capacity is 3372 psf. At this pressure approximately 3/8-inch
of total settlement is expected, which is less than the 1-inch criterion.

• Assume the groundwater level never rises above a depth of B below the footing.

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BEARING CAPACITY OF SHALLOW FOOTINGS FOR NON-
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qu = (0.4)(120)(4)(16) + (120)(4)(18) = 11712 psf (rounded)

qa = 11712/3 = 3904 psf

This value is 532 psf higher and illustrates the affect of the groundwater on the calculated
theoretical bearing capacity.

Important Points

The purpose of this course is to present basic subject matter to a diverse audience in order
to convey the general concepts used when establishing the soil bearing capacity for
shallow footings. The reader should understand the following:

• The foundation is that part of a structure which transmits the load directly into the
underlying soil.

• Shallow spread footings distribute the load over a wide area so that the bearing
pressure does not exceed the capacity of the soil to carry the load without
objectionable settlement.

• Shallow footings are footings where the depth of the footing is generally less than
the width of the footing.

• If the capacity of the soil is insufficient, failure can occur as a sudden,

catastrophic movement or movement that is too great for the structure to
accommodate.

• Bearing capacity analysis seeks to prevent catastrophic movement and to limit

movement to within tolerable ranges for the structure.

• Explorations are conducted in order to present a picture of subsurface conditions

including the nature of the material and the engineering properties. Often
correlations are used between test values obtained during the exploration program
and published engineering properties of the soil.

• Empirical relationships are often used to predict the bearing capacity of the soil
and the settlement potential.

• Given the same set of soil information, different engineers can arrive at different
but equally correct values for bearing capacity.

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BEARING CAPACITY OF SHALLOW FOOTINGS FOR NON-
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By Richard P. Weber

Disclaimer

The material presented in this course is intended only for general familiarization with the
subject matter and for educational purposes. The course does not cover all aspects of the
subject. Use of this material in any manner whatsoever shall only be done with
competent professional assistance. The author provides no expressed or implied
warranty that this material is suitable for any specific purpose or project and shall not be
liable for any damages including but not limited to direct, indirect, incidental, punitive
and consequential damages alleged from the use of this material. This communication is
not intended to, and shall not be construed as, providing professional engineering in any
jurisdiction.

References

Craig, R.F., "Soil Mechanics, Sixth Edition", E & FN Spon, London, UK, 1997.

Das, Braja M., “Principles of Foundation Engineering, Third Edition," PWS

Publishing Company, Boston, MA, 1995.

Gibbens, J.B., and Briaud, J.L., Predicted and Measured Behavior of Five Spread
Footings On Sand, Results of a Prediction Symposium Sponsored by the FHWA,
Geotechnical Special Publication No. 41, ASCE, 1994.

Settlement Analysis, Technical Engineering and Design Guides" As Adapted From

the US Army Corps Of Engineers, No. 9, American Society of Civil Engineers, New
York, NY, 1994.

“Bearing Capacity of Soils, Technical Engineering and Design Guides" As Adapted

from The US Army Corps Of Engineers, No. 7, American Society of Civil Engineers,
New York, NY, 1993.

Introduction to Probability and Reliability Methods for Use in Geotechnical

Engineering, USACE, Technical Letter No. 1110-2-547, 30 September 1997.

Duncan, J. Michael, Factors of Safety and Reliability in Geotechnical Engineering.

Journal of Geotechnical Engineering and GeoEnvironmental Engineering; ASCE
Vol. 126 No. 4; April 2000; pp 307-316

Wolff, Thomas F, Geotechnical Judgment in Foundation Design; “Foundation

Engineering; Current Principles and Practice, Vol. 2; ASCE" Evanston, IL, June 25-
29, 1989, ASCE, New York, NY, pp 903 – 917.

Department of the Navy, NAVFAC, DM-7, May 1982.

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