CHAPTER (2)

BEARING CAPACITY & SETTLEMENT

2.1 INTRODUCTION
Building loads are transmitted by columns, by bearing wall by other bearing member
to foundations. A foundation is the lower part of a structure which transmits loads to
the under-lying soil without causing a shear failure of the soil or excessive settlement.
If the soil near the surface has adequate bearing capacity to support the structural load,
it is possible to use spread foundation such as footing or raft if the soil near the surface
is incapable of supporting the structural loads, pile or piers are used to transfer the
loads to soil layer at greater depth capable of supporting such loads. The foundations
are classified as shallow and deep foundation, according to the depth of construction.

2.2 STABILITY OF FOUNDATION

To perform satisfactorily shallow foundations must have two main characteristics:

1. They have to be safe against overall shear failure in the soil that supports them.
2. They cannot undergo excessive displacement, or excessive settlement. The
excessive settlement is relative, because the degree of settlement allowed for a
structure depends on several considerations.

2.3 TYPES OF SHEAR FAILURE

Shear Failure: Also called “Bearing capacity failure” and it’s occurred when the shear
stresses in the soil exceed the shear strength of the soil.

There are three types of shear failure in the soil:

1. General Shear Failure

13
The following are some characteristics of general shear failure:
1. Occurs over dense sand or stiff cohesive soil.
2. Continuous, well defined and distinct failure surface develops between the edge of
footing and ground surface.
3. Continuous bulging of shear mass adjacent to footing is visible.
4. Failure is accompanied by tilting of footing.
5. Failure is sudden and catastrophic with pronounced peak in (P-Δ) curve.
6. The length of disturbance beyond the edge of footing is large.
7. State of plastic equilibrium is reached initially at the footing edge and spreads
gradually downwards and outwards.
8. General shear failure is accompanied by low strain (<5%) in a soil with
considerable ϕ (ϕ >36o) and large N (N > 30) having high relative density (Dr >
70%).

14
2. Local Shear Failure

This type of failure is seen in relatively loose and soft soil. The following are some
characteristics of general shear failure.

1. A significant compression of soil below the footing and partial development of

plastic equilibrium is observed.
2. Failure is not sudden and there is no tilting of footing.
3. Failure surface does not reach the ground surface and slight bulging of soil
around the footing is observed.
4. Failure surface is not well defined.
5. Failure is characterized by considerable settlement.
6. Well defined peak is absent in (P-Δ) curve.
7. Local shear failure is accompanied by large strain (> 10 to 20%) in a soil with
considerably low ϕ (ϕ < 28o) and low N (N < 5) having low relative density (Dr
> 20%).

So, local shear failure can be considered as a transitional phase between general
shear and punching shear.
- Because of the transitional nature of local shear failure, the ultimate bearing
capacity could be defined as the firs failure load (qu,1) which occur at the point
which have the first measure nonlinearity in the load/unit area-settlement curve

15
 (open circle), or at the point where the settlement starts rabidly increase (qu)
(closed circle).
- This value of (qu) is the required (load/unit area) to extends the failure surface
to the ground surface (dashed lines in the above figure).
- In this type of failure, the value of (qu) it’s not the peak value so, this failure
called (Local Shear Failure).
- The actual local shear failure in field is proceed as shown in the following
figure:

3. Punching Shear Failure

16
 This type of failure is seen in loose and soft soil and at deeper elevations. The
following are some characteristics of general shear failure:
1. This type of failure occurs in loose sand with relative density less than 35% or
clays of soft consistency.
2. Foundation penetrates into the soil without any bulging of the ground surface.
3. Failure pattern is not observed.
4. Bulging of soil around the footing is absent.
5. Failure is characterized by very large settlement.
6. Continuous settlement with no increase in P is observed in (P-Δ) curve.

2.4 DEFINITION OF SOIL BEARING CAPACITY

The maximum contact stress that can be borne by the foundation is termed the
ultimate bearing capacity of the foundation. If the contact ground stress imposed by
the structural load exceeds the ultimate bearing capacity, the shear stresses induced in
the ground would cause plastic shear deformation within the foundation zone. This
overloading condition can lead to either a global or a punching shear failure, which
would result in immediate sinking of the footing without prior warning. Therefore,
the following condition must be satisfied for safety from bearing capacity failure, the
following:
𝑃 𝑞𝑢𝑙𝑡
≤
𝐴 𝐹
where
qult = ultimate bearing capacity of the foundation (kN/m2)
P = total load at the footing level (structural + refill soil load) (kN)
A = footing area (m2)

17
 F = appropriate safety factor that accounts for the uncertainties involved in the
determination of the structural loads (P) and the ultimate bearing capacity (qult)

So, there are two definitions for the bearing capacity, which are:
Ultimate Bearing Capacity (q𝐮)
It’s the minimum load per unit area of the foundation that causes shear failure in the
underlying soil.

Or, it’s the maximum load per unit area of the foundation can be resisted by the
underlying soil without occurs of shear failure (if this load is exceeded, the shear
failure will occur in the underlying soil).

Allowable Bearing Capacity (qall)

It’s the load per unit area of the foundation can be resisted by the underlying soil
without any unsafe movement occurs (shear failure) and if this load is exceeded, the
shear failure will not occur in the underlying soil till reaching the ultimate load.

2.5 BEARING RESISTANCE OF SOIL

Bearing resistance of spread footings shall be determined based on the highest
anticipated position of groundwater level at the footing location. The allowable
bearing capacity qall. shall be taken as:
𝑞𝑢𝑙𝑡
𝑞𝑎𝑙𝑙. =
𝐹
Where:
qall = the allowable soil bearing capacity
qult. = the ultimate soil bearing capacity
F = factor of safety
The bearing resistance of footings on soil should be evaluated using soil shear strength
parameters that are representative of the soil shear strength under the loading
conditions being analyzed.
The allowable bearing capacity of footings supported on granular soils should be
evaluated for both permanent dead loading conditions and short-duration live loading
conditions using effective stress methods of analysis and drained soil shear strength
parameters. The allowable bearing capacity of footings supported on cohesive soils

18
 should be evaluated for short-duration live loading conditions using total stress
methods of analysis and undrained soil shear strength parameters. In addition, the
bearing resistance of footings supported on cohesive soils, which could soften and lose
strength with time, should be evaluated for permanent dead loading conditions using
effective stress methods of analysis and drained soil shear strength parameters.
The position of the groundwater table can significantly influence the bearing resistance
of soils through its effect on shear strength and unit weight of the foundation soils. In
general, the submergence of soils will reduce the effective shear strength of
cohesionless (or granular) materials, as well as the long-term (or drained) shear
strength of cohesive (clayey) soils. Moreover, the effective unit weights of submerged
soils are about half of those for the same soils under dry conditions. Thus, submergence
may lead to a significant reduction in the bearing resistance provided by the foundation
soils, and it is essential that the bearing capacity analyses be carried out under the
assumption of the highest groundwater table expected within the service life of the
structure.
Footings with inclined bases should be avoided wherever possible. Where use of an
inclined footing base cannot be avoided.

2.6 DETERMINATION OF SOIL BEARING CAPACITY

The ultimate bearing capacity shall be estimated using accepted soil mechanics
theories and should be based on measured soil parameters. The soil parameters used
in the analyses shall be representative of the soil shear strength under the considered
loading and subsurface conditions.
The ultimate bearing capacity of spread footings on cohesionless soils shall be
evaluated using effective stress analyses and drained soil strength parameters.
The ultimate bearing capacity of spread footings on cohesive soils shall be evaluated
for total stress analyses and undrained soil strength parameters. In cases where the
cohesive soils may soften and lose strength with time, the bearing resistance of these
soils shall also be evaluated for permanent loading conditions using effective stress
analyses and drained soil strength parameters.
For spread footings bearing on compacted soils, the ultimate bearing capacity shall be
evaluated using the following equation:

19
 𝐪𝐮𝐥𝐭 = 𝒄 𝑵𝒄𝒎 + 𝜸 𝑫𝒇 𝑵𝒒𝒎 𝑪𝒘𝒒 + 𝟎. 𝟓 𝜸 𝑩 𝑵𝜸𝒎 𝑪𝒘𝜸

In which:
𝑁𝑐𝑚 = 𝑁𝑐 𝑆𝑐 𝑖𝑐
𝑁𝑞𝑚 = 𝑁𝑞 𝑆𝑞 𝑖𝑞 𝑑𝑞
𝑁𝛾𝑚 = 𝑁𝛾 𝑆𝛾 𝑖𝛾
Where:
c = cohesion, taken as undrained shear strength (kN/m2)
Nc = cohesion term (undrained loading) bearing capacity factor as specified in
Table 2.1.
Nq = surcharge (embedment) term (drained or undrained loading) bearing capacity
factor as specified in Table 2.1.
Nγ = unit weight (footing width) term (drained loading) bearing capacity factor as
specified in Table 2.1.
γ = total (moist) unit weight of soil above or below the bearing depth of the footing
(kN/m3)
Df = footing embedment depth (m)
B = footing width (m)
Cwq , Cwγ = correction factors to account for the location of the groundwater table
as specified in Table 2.2.
sc , sγ, sq = footing shape correction factors as specified in Table 2.3.
dq = correction factor to account for the shearing resistance along the failure
surface passing through cohesionless material above the bearing elevation as
specified in Table 2.4.
ic , iγ , iq = load inclination factors.
For φof = 0
𝑛𝐻
𝑖𝑐 = 1 − ( )
𝑐𝐵𝐿𝑁𝑐
For φof > 0
1 − 𝑖𝑞
𝑖𝑐 = 𝑖𝑞 − [ ]
𝑁𝑞 − 1

20
 In which:
𝑛
𝐻
𝑖𝑞 = [1 − ]
𝑉 + 𝑐 𝐵 𝐿 cot ∅𝑓
(𝑛+1)
𝐻
𝑖𝛾 = [1 − ]
𝑉 + 𝑐 𝐵 𝐿 cot ∅𝑓
𝐿 𝐿 𝐵 𝐵
𝑛 = [(2 + )/(1 + )] 𝑐𝑜𝑠 2 𝜃 +[(2 + )/(1 + )] 𝑠𝑖𝑛2 𝜃
𝐵 𝐵 𝐿 𝐵𝐿

Hence, the allowable bearing capacity is:

𝑞𝑢𝑙𝑡
𝑞𝑎𝑙𝑙. =
𝐹
qall. = allowable bearing capacity.
qu = ultimate bearing capacity
F = Factor of safety for bearing capacity ≥ 3

Table 2.1: Bearing Capacity Factors Nc (Prandtl, 1921), Nq (Reissner, 1924), and Nγ
(Vesic, 1975)
φo NC Nq Ny φo NC Nq Ny

0 5.14 1.0 0.0 22 16.9 7.8 7.1

2 5.6 1.2 0.2 24 19.3 9.6 9.4

4 6.2 1.4 0.3 26 22.3 11.9 12.5

6 6.8 1.7 0.6 28 25.8 14.7 16.7

8 7.5 2.1 0.9 30 30.1 18.4 22.4

10 8.4 2.5 1.2 32 35.5 23.2 30.2

12 9.3 3.0 1.7 34 42.2 29.4 41.1

14 10.4 3.6 2.3 36 50.6 37.8 56.3

16 11.6 4.3 3.1 38 61.4 48.9 78.0

18 13.1 5.3 4.1 40 75.3 64.2 109.4

20 14.8 6.4 5.4 42 93.7 85.4 155.6

Table 2.2: Coefficients Cwq and Cwγ for Various Groundwater Depths
Dw Cwq Cwγ Where the position of groundwater is at a depth less
0.0 0.5 0.5 than 1.5 times the footing width below the footing
Df 1.0 0.5
>1.5B + Df 1.0 1.0 base, the bearing resistance is affected. The highest
anticipated groundwater level should be used in design.

21
 Table 2.3: Shape Correction Factors sc, sγ, sq
Factor Friction Angle Cohesion Term (sc) Unit Weight Term (sγ) Surcharge Term (sq)

Shape φof = 0 𝐵 1.0 1.0

1+( )
Factors 5𝐿
sc, sγ, sq φof > 0 𝐵 𝑁𝑞 𝐵 𝐵
1 + ( )( ) 1 − 0.4 ( ) 1+[ tan 𝜙𝑓 ]
𝐿 𝑁𝑐 𝐿 𝐿

Table 2.4: Depth Correction Factor dq

Friction Angle,
The depth correction factor should be used
φof (degrees) Df / B dq
1 1.20 only when the soils above the footing bearing
32 2 1.30 elevation are as competent as the soils beneath
4 1.35
8 1.40 the footing level; otherwise, the depth
1 1.20 correction factor should be taken as 1.0.
37 2 1.25
Linear interpolations may be made for
4 1.30
8 1.35 friction angles in between those values
1 1.15 shown in Table 2.4.
42 2 1.20
4 1.25
8 1.30

For eccentrically loaded footings, a reduced effective area, L' and B' within the confines
of the physical footing shall be used in geotechnical design for settlement or bearing
resistance. The point of load application shall be at the centroid of the reduced effective
area.

22
 The reduced dimensions for an eccentrically loaded rectangular footing shall be taken
as:
𝐵′ = 𝐵 − 2𝑒𝐵
𝐿′ = 𝐿 − 2𝑒𝐿
where:
eB = eccentricity parallel to dimension B (m)
eL = eccentricity parallel to dimension L (m)

2.7 SETTLEMENT OF SHALLOW FOUNDATIONS

The vertical downward load is usually the greatest load acting on foundations, and the
resulting vertical downward movement is usually the largest and most important
movement. We call this vertical downward movement settlement.
Although foundations with zero settlement would be ideal, this is not an attainable goal.
Stress and strain always go together, so the imposition of loads from the foundation
always cause some settlement in the underlying soils. Therefore, the question that faces
the foundation engineer is not if the foundation will settle, but rather defining the amount
of settlement that would be tolerable and designing the foundation to accommodate this
requirement. Structures can settle in many different ways, as shown in the following
figures.
- Sometimes the settlement is uniform, so the entire structure moves down as a unit.
In this case, there is no damage to the structure itself, but there may be problems with
its interface with the adjacent ground or with other structures.

- Another possibility is settlement that varies linearly across the structure as shown in
figure (b). This causes the structure to tilt.

23
 - Finally, figure (c) shows a structure with irregular settlements. This mode distorts
the structure and typically is the greatest source of problems.

The settlement of a shallow foundation can be divided into two major categories:
(a) Elastic, or immediate settlement.
(b) Consolidation settlement.
Immediate, or elastic, settlement of a foundation takes place during or immediately after
the construction of the structure. Consolidation settlement occurs over time. Pore water
is extruded from the void spaces of saturated clayey soils submerged in water. The total
settlement of a foundation is the sum of the elastic settlement and the consolidation
settlement.
Consolidation settlement comprises two phases: primary and secondary. Primary
consolidation settlement is more significant than secondary settlement in inorganic clays
and silty soils. However, in organic soils, secondary consolidation settlement is more
significant.

2.7.1 Total Settlement

The total settlement, 𝛿t , is the change in foundation elevation from the original unloaded
position to the final loaded position. The next table presents typical design values for the
allowable total settlement, 𝛿all. These values already include a factor of safety, and thus

24
 may be compared directly to the predicted settlement. The design meets total settlement
requirements if the following
condition is met: ST ≤ Sall
ST = total settlement of foundation.
Sall. = allowable total settlement.

Typical allowable total settlements for foundation design

Type of structure Typical allowable total settlement, 𝛿all mm
Office buildings 25 mm on sand
40 mm on clay
Heavy industrial buildings 40 mm on sand
60 mm on clay
Bridge 60 mm on sand
80 mm on clay

2.7.2 Settlement calculation

Total foundation settlement consists of two parts:
S T = Si + Sc
Where: ST = total settlement
Si = immediate settlement
Sc = settlement due to consolidation of saturated clay

2.7.3 Immediate Settlement Calculation

Elastic compression and plastic soil mass deformation immediately upon load
application without change in water content volume.

2.7.3.1. Immediate settlement in granular formation

1−ν2
Si = 4 q B’ Is
Es
1−2ν
Is = I1 + I2
1−ν

Where: q= contact pressure intensity Es = soil elastic modulus

B’ = half footing width Is = shape influence factor.
ν = Poisson’s ratio. I1 & I2 from tables

25
26
27
2.7.3.2. Immediate settlement in saturated clay formation
𝑞∗𝐵
Si =𝐴0 𝐴1 G.E. BARNES, 1995
𝐸𝑢

Where: q = contact pressure intensity

B = footing width
Eu = Undrained deformation modulus
15000 ∗ 𝐶𝑢
𝐸𝑢 = (IEG, 2011)
𝑃𝐼
For Practical design,
𝐸50 = 250 * 𝐶𝑢

28
 A0, A1 = Factors for depth of embedment and thickness of soil layer beneath
the foundation
H = clay layer thickness

2.7.4 Consolidation Settlement Calculation

Spread footings in which cohesive soils are located within the zone of stress influence
shall be investigated for consolidation settlement. Elastic and secondary settlement
shall also be investigated in consideration of the timing and sequence of construction
loading and the tolerance of the structure to total and differential movements.
Where laboratory test results are expressed in terms of void ratio, e, the consolidation
settlement of footings shall be taken as:
- For Normally consolidated clay where Ϭ’pc = Ϭ’o,

𝑯𝒄 𝝈′𝒐 + ∆𝝈′
𝑺𝒄 = 𝑪 𝒍𝒐𝒈
𝟏 + 𝒆𝒐 𝒄 𝝈′𝒐

Where: Cc= compression Index

𝜎𝑜′ = overburden Pressure
∆𝜎 ′ = increase in effective stress
𝑒𝑜 = initial void ratio
H = clay layer thickness

29
- For Over consolidated clay where Ϭ′𝒑𝒄 > Ϭ′𝒐
a. If (𝝈𝒐, + 𝜟σ´ ) < Ϭ′𝒑𝒄

𝑯𝒄 𝝈′𝒐 + ∆𝝈′
𝑺𝒄 = 𝑪 𝒍𝒐𝒈
𝟏 + 𝒆𝒐 𝒓 𝝈′𝒐

b. If (𝝈𝒐, + 𝜟σ´ ) > Ϭ′𝒑𝒄

S = S 1 + S2

𝑯𝒄 𝝈′𝒑𝒄 𝝈′𝒐 + ∆𝝈′

𝑺𝒄 = [𝑪 𝒍𝒐𝒈 ′ + 𝑪𝒄 𝒍𝒐𝒈 ]
𝟏 + 𝒆𝒐 𝒓 𝝈𝒐 𝝈′𝒑𝒄

30
2.7.5 Differential Settlement
Causes of differential settlements may related to one or more of the following
reasons:
1. Variation of soil strata.
2. Variation in foundation loading
3. Large loaded areas on flexible foundations.
4. Differences in time of construction of adjacent parts of the structure.
5. Variation in site conditions.

31