CIVL 3740 - Geotechnical Analysis and Design

Chapter 4
Shallow foundations

SO, Pui San

Published by Building department (BD) Published by geotechnical engineering office (GEO),
civil engineering and development department (CEDD)
 Course Contents

4.1 General behavior and design principles

4.2 Terzaghi’s general ultimate bearing capacity
theory
4.3 Other bearing capacity theories
4.4 Vertical stress distributions below shallow
foundations
4.5 Settlements of shallow foundations
4.1 General behavior and design principles
Foundations
 The lowest part of a structure generally is
referred to as the foundation.
 A foundation is that part of a structure which
transmits loads directly to the underlying soil
 A process known as soil-structure interaction

Reducing the pressure on the

ground by using a larger area

Overstressing the soil can result in

either excessive settlement or shear
failure of the soil, both of which
cause damage to the structure.
Thus, geotechnical and structural engineers who design foundations must evaluate the bearing
capacity of soils.
 Types of shallow foundations
 A spread footing is simply an enlargement of a load-bearing wall or column that
makes it possible to spread the load of the structure over a larger area of the
soil. In soil with low load-bearing capacity, the size of the spread footings
required is impracticably large.
 In that case, it is more economical to construct the entire structure over a
concrete pad. This is called a mat foundation.
 Shallow foundations are foundations that have a depth-of-embedment-to-width
ratio of approximately less than four (**D/B<4) .

Spread footing Mat foundation

Common types of shallow foundation - Footing

Wall footing (strip footing/continuous footing):

supporting a load-bearing wall
Common types of shallow foundation - Footing

Individual footing (pad footing): supporting a single column

 Typical mobile jackup unit courtesy of Keppel Offshore and Marine Ltd
(after Reardon, 1986)

Spudcan
https://www.youtube.com/watch?v=4oRpR_bbVGs
Common types of shallow foundation - Footing

Combined footing: supporting a closely spaced group of

columns
Common types of shallow foundation – Mat/Raft

Mat/Raft foundation: using a relatively large single slab,

supporting the structure as a whole
 Types of deep foundations
 When the depth-of-embedment-to-width ratio of a foundation is greater than four
(**D/B>4), it may be classified as a deep foundation.
 Pile and drilled shaft foundations are used for heavier structures when great
depth is required for supporting the load. Piles are structural members made of
timber, concrete, or steel that transmit the load of the superstructure to the lower
layers of the soil.
 In the case of drilled shafts, a shaft is drilled into the subsoil and then is filled
with concrete.

Pile foundation Drilled shaft foundation

Common Types of Shallow Foundations - Summary

 A footing is relatively small slabs giving independent

support to part of the structure
• Individual footing
• Combined footing
• Strip footing
 A raft is a relatively large single slab, usually stiffened
with cross members, supporting the structure as a
whole, used mostly for buildings on soft clay (low load-
bearing capacity)
 General design philosophy

 Ultimate limit state - collapse or suffer major

damage: (strength parameters)

 Serviceability limit state - unacceptable

deformation, loss of function or cause excess
maintenance (stiffness parameters)
Classical bearing capacity failure

Transcona Grain Elevators, 1913

Differential settlement
Interaction between soil and foundation: Load vs. Settlement
Typical requirements for a shallow foundation

1) Ultimate condition:
• Applied stress < allowable bearing
capacity/resistance
F.S. ≃ 2.5 3.0
2) Serviceability condition:
• Induced settlement, particularly differential
settlement < allowable values, which will not
cause any unacceptable damage nor interfere
with the function of the structure.
 Three failure modes of shallow foundations
General shear failure
At a certain point: when the load per unit area on the foundation (q) equals
qu, a sudden failure in the soil supporting the foundation will take place, this
load per unit area qu, is usually referred to as the ultimate bearing capacity of
the foundation

(a) General shear failure likely on dense sand or stiff clay

(soil with low compressibility)

https://www.youtube.com/watch?v=qoJNmaOIf0w
(After Vesic, 1973) Das (2012)
Local shear failure
When the load per unit area on the foundation equals qu(1),movement of the
foundation will be accompanied by sudden jerks. qu(1) is referred as the first
failure load.
Beyond point of qu, an increase in load will be accompanied by a large
increase in foundation settlement.

(b) Local shear failure likely on medium dense sand or

medium clay (soil with medium compressibility)

(After Vesic, 1973) Das (2012)

Punching shear failure
The failure surface in soil will not extend to the ground
surface. Beyond the ultimate failure load, the load–
settlement plot will be steep and practically linear.

(c) Punching shear failure likely on loose sand or soft clay

(soil with high compressibility)
https://www.youtube.com/watch?v=HkjVWkyLfig (After Vesic, 1973) Das (2012)
Three failure modes of shallow foundations

(a) General shear failure likely

on dense sand or stiff clay

(b) Local shear failure likely on

medium dense sand or medium
clay

(c) Punching shear failure likely

on loose sand or soft clay

(After Vesic, 1963) Das (2012)

Influence of relative density and foundation depth on failure mode
On the basis of experimental results, Vesic (1973) proposed a relationship for
the mode of bearing capacity failure of foundations resting on sands

emax − e
Dr =
emax − emin

2 BL
B =
* Equivalent width
B+L (assume square base)

B = width of foundation
L = length of foundation > B
Df = depth of foundation
measured from the ground
surface

Nodes of foundation failure in sand (after Vesic, 1973)

Influence of density and stress on soil behavior

e  A and B: A is looser
(smaller OCR)
 B and C: C is looser
A
(smaller OCR)

B C NCL

CSL

ln(p')
Soil state (dense or loose, OCR) depends on two factors:
(1) Relative density (void ratio); (2) Stress level
 • When relative density increases
(void ratio decreases) at a given
foundation depth, soil OCR
increases, soil compressibility
becomes smaller, so that failure
modes changes from punching
shear failure to general shear failure

• When foundation depth (stress

level) increases at a given relative
density, soil OCR decreases, soil
compressibility becomes larger, so
that failure mode changes from
Nodes of foundation failure in sand general shear failure to punching
(after Vesic, 1973)
shear failure
4.2 Terzaghi’s general ultimate bearing capacity theory (1943)
Assumptions in Terzaghi’s general ultimate bearing capacity theory

• Consider a rough strip shallow footing

Long wall footing: L/B>5

Df ≤ B

The weight of soil above the

base of the footing may be
replaced by a uniform
surcharge

• General shear failure mode

• Isotropic and homogeneous soil
 Zone I - Elastic zone: ABJ immediately under the foundation (the angle between
the foundation base and AJ, BJ are equal to soil friction angle φ’)
 Zone II - Radial shear zones: JAE and JBD with the curves JE and JD being arcs
of a logarithmic spiral
 Zone III - Rankine passive zone: BDF and AEG
 DF and EG are straight lines. AE, BD, EG, and DF make angles of 45-φ’/2
degrees with the horizontal
 The equation of the arcs of the logarithmic spirals JD and JE:
How to obtain the equation of qu
Consider the free-body diagram of the wedge ABJ (Force equilibrium)

C = c’b/cos(φ’)
How to find Pp (similar to passive lateral earth pressure)

(a) Contribution of soil weight to Pp (b) Contribution of surcharge to Pp

Passive force distribution on the wedge face BJ is the

sum of the contribution of the weight of soil γ, cohesion
c’, and surcharge q.

where Kr, Kc and Kq are function of φ’

(c) Contribution of cohesion to Pp
 The terms Nc, Nq, and Nγ are, respectively,
the contributions of cohesion, surcharge,
and unit weight of soil to the ultimate load-
bearing capacity. Terzaghi used an
approximate method to determine
the ultimate bearing capacity:

By the method of superimposition

This is the
Terzaghi’s bearing
capacity equation.
 Derivations of Nc, Nq and Nγ (or Kc, Kq and Kγ )
[For your information, will not be examined!!!!]

Key principle: moment equilibrium of cbjf, considering the following forces:

 Along line bc: cohesive force; passive force Pp
 Along arc cf: cohesive force; frictional and normal force
 Along line bj: the surcharge
 Along jf: Rankine’s passive pressure, function of surcharge, cohesion and
friction
 Will not be
Any forces induced by surchage examined
 Consider the free body
diagram of the soil wedge
bcfj, the center of the log
spiral (of which cf is an
arc) will be at point b.
 The forces per unit length
of the wedge bcfj due to
the surcharge q are:
According to the property of a log spiral defined by the equation
The radial line at any point makes an angle φ with the normal; hence, the line of
action of the frictional force F will pass through b
Taking the moment of all forces about point b

Will not be
examined
Combining all equations above

Considering the stability of the elastic wedge abc under the foundation

a b

Will not be
examined
 Will not be
Any forces induced by cohesion examined
 From the free body
diagram for the wedge
bcfj. Same as in the case
of Ppq, the center of the
arc of the log spiral will
be located at point b.
 The forces on the wedge
are due to cohesion c:
Taking the moment of all the forces about point b Will not be
examined
Considering the equilibrium of the soil wedge abc Will not be
examined

We know that

Combine all above

 Will not be
Any forces induced by self-weight of soil examined
 Unlike the free body
diagrams before, the centre
of the log spiral of which bf is
an arc is at a point O along
line bf and not at b. This is
because the minimum value
of Ppγ has to be determined
by several trials. Point O is
only one trial center.

 The forces per unit length of

the wedge that need to be
considered are
Taking the moment of all forces about O
Will not be
examined

If a number of trials of this type are made by changing the location of the center of
the log spiral O along line bf, then the minimum value of Ppγ can be determined

Considering the stability of wedge abc

Kpγ is Passive earth

pressure coefficient
Terzaghi’s general ultimate bearing capacity theory

Bearing capacity of the ground (per unit area):

1
qu = qc + qq + qγ = cN c + qN q + γBN γ
2

where

Effective stress analysis: use c’, φ’ and effective stress

Total stress analysis: use cu, φu and total stress

Terzaghi’s general ultimate bearing capacity theory
Modification of Terzaghi’s bearing capacity theory

How to release two assumptions of Terzaghi’s

bearing capacity theory
 Strip footing
 General shear failure mode
Modifications to the theoretical solution by using
some semi-empirical factors
 Modification of Terzaghi’s bearing capacity theory-
Foundation shape
STRIP footing
Terzaghi’s Bearing Capacity Factors from Kumbhojkar (1993)
Terzaghi and Peck (1967): proposed semi-empirical SHAPE factors
applied to the solution for a STRIP footing

Circular foundation

Square foundation

Rectangular foundation

B B
qu = cN c (1 + 0.3 ) + qN q + 0.5γBN γ (1 − 0.2 )
L L
 Modification of Terzaghi’s bearing capacity theory-
Failure mode – related to foundation depth
Terzaghi’s bearing capacity theory for general shear failure
1
qu = qc + qq + qγ = cN c + qN q + γBN γ
2
Revising the general equation for local shear failure (Terzaghi, 1943)
2 2
Assume c1 = c tan φ1 = tan φ
3 3
1
Strip footing qu1 = c1 N c1 + qN q1 + γBN γ 1
2

Circular footing qu = 1.3c1 N c1 + qN q1 + 0.3γBN γ 1

Square Footing qu = 1.3c1 N c1 + qN q1 + 0.4γBN γ 1

B B
Rectangular footing qu = c1 N c1 (1 + 0.3 ) + qN q1 + 0.5γBN γ 1 (1 − 0.2 )
L L
Example 1
A 2m-wide (B = 2 m) wall footing is to be founded at a depth of 1m (Df = 1 m) below
the surface of a deep stratum of soft saturated clay (Saturated unit weight = 20
kN/m3). Assume water table stay at ground surface. Soil parameters are as follows:
(1) Short term, φu= 0°, cu = 24kPa; (2) Long term, φ’=25°, c’=0.
Determine the short term and long term bearing capacity per unit area.
Assume general shear failure mode.
Solution:

 Short-term bearing capacity: it is assumed that immediately after

construction the clay will be in an undrained state. Pore water pressure
and effective stress is unknown, so choose total stress analysis. The
relevant soil parameters are φu = 0°, cu = 24 kPa. Therefore, Nc = 5.7, Nq
= 1.0, Nγ = 0. For a strip footing, the bearing capacity is
Total stress
qu = cN c + qN q = 24 × 5.7 + 20 ×1×1 = 157 kN/m 2
analysis

 Long-term bearing capacity: it is assumed that excess pore water pressure

is fully dissipated (drained condition) and water table is at the ground
surface. The relevant soil parameters are φ’ = 25°, c’ = 0. So, Nc = 25.1, Nq =
12.7, Nγ = 9.7. For a strip footing, the bearing capacity is
Effective
qu = (20 − 9.8)×1×12.7 + × (20 − 9.8)× 2 × 9.7 = 228 kN / m 2
1 stress
2 analysis
Example 2
A 2m-wide (B = 2 m) wall footing is to be founded at a depth of 1m (Df = 1 m) below
the surface of a deep stratum of soft saturated clay (Saturated unit weight = 20
kN/m3). Assume water table stay at ground surface. Soil parameters are as follows:
(1) Short term, φu= 0°, cu = 24kPa; (2) Long term, φ’=25°, c’=0.
Determine the short term and long term bearing capacity per unit area.
Assume local shear failure mode.
 2 2
Solution: Local shear failure Assume c1 = c tan φ1 = tan φ
3 3
 Short-term bearing capacity: it is assumed that immediately after
construction the clay will be in an undrained state. Pore water pressure
and effective stress is unknown, so choose total stress analysis. The
relevant soil parameters are φu = 0°, cu = 24 kPa, so φu1 = 0°, cu1 = 16 kPa.
Therefore, Nc = 5.7, Nq = 1.0, Nγ = 0. For a strip footing, the bearing
capacity is
qu = cN c1 + qN q1 = 16 × 5.7 + 20 ×1×1 = 111 kN/m 2 Total stress
analysis
 Long-term bearing capacity: it is assumed that excess pore water pressure
is fully dissipated (drained condition) and water table is at the ground
surface. The relevant soil parameters are φ’ = 25°, c’ = 0, so φ’ =tan-1(
2/3*tan25°)=17°, c’ = 0. Hence, Nc1 = 14.6, Nq1 = 5.45, Nγ1 = 3.5. For a strip
footing, the bearing capacity is
Effective
qu = (20 − 9.8)×1× 5.45 + × (20 − 9.8)× 2 × 3.5 = 91 kN / m 2
1 stress
2 analysis
 Effects of water table on bearing capacity
(for effective stress analysis)

 When ground water table is close to the footing, some modifications are
required (this is essentially important for effective stress analysis)
 The modifications are applicable to all bearing capacity theories
1
qu = cN c + qN q + γBN γ
2
Modifications of bearing capacity equations for water table
1) Surcharge (q) contributed by soil with thickness of Df
2) Unit weight of soil (γ)
Modification of bearing capacity equations for water table

Df is the distance between topsoil and the bottom of a foundation

1
qu = cN c + γ ' D f N q + γ ' BN γ
2

[ ]
qu = cN c + γ d + (D f − d )γ ' N q + γ ' BN γ
1
2
 Consider a thickness of B below the bottom of a foundation

d
𝐵𝐵𝛾𝛾̅ = 𝐵𝐵 − 𝑑𝑑 − 𝐷𝐷𝑓𝑓 𝛾𝛾 ′ + (𝑑𝑑 − 𝐷𝐷𝑓𝑓 )𝛾𝛾
d-Df
1 WT
qu = cN c + γD f N q + γ BN γ
2 B-(d-Df)

1
qu = cN c + qN q + γBN γ
2
Example 3 Smith (1998)

A footing 2.25 m × 2.25 m (B × B) is located at a depth of 1.5 m (Df = 1.5m) in a sand,

the shear strength parameter to be used in the design being c’ = 0 and φ’ = 38°. The
unit weight of the sand above the water table is 18 kN/m3. The saturated unit weight
is 20 kN/m3. Using the Terzaghi’s theory to determine the ultimate bearing capacity
per unit area:
(a) If the water table is well below the foundation level (very deep);
(b) If the water table is at the ground surface.

d=0 WT

d > Df + B

WT
 Smith (1998)

Solution: Square foundation

We are given φ’ = 38°, from the design chart Nq = 62 and Nγ = 75. For a square
footing with c’ = 0:
(1) When water table is well below the foundation level,

qu = qN q + 0.4γBN γ = γ D f N q + 0.4γBN γ

qu = 18 ×1.5 × 62 + 0.4 ×18 × 2.25 × 75 = 2889 kN m 2

(2) When water table is at the ground surface

qu = cN c + γ ' D f N q + 0.4γ ' BN γ

qu = (20 − 9.8)×1.5 × 62 + 0.4 × (20 − 9.8)× 2.25 × 75 = 1637 kN m 2