10.

1 INTRODUCTION
A bearing capacity failure is defined as a foundation failure that occurs when
the shear stresses in the soil exceed the shear strength of the soil. Bearing
capacity failures of foundations can be grouped into three categories, as discussed
in Table 10.1 and Figs. 10,la to 10.1~. Compared to the number of
structures damaged by settlement, there are far fewer structures that have
bearing capacity failures (see Tables 10.2 and 10.3).

10.2 BEARING CAPACITY FOR SHALLOW FOUNDATIONS

As indicated in Table 1.2, common types of shallow foundation include
spread footings for isolated columns, combined footings for supporting the
load from more than one structural unit, strip footings for walls, and mats or
raft foundations constructed at or near ground surface. Shallow footings often
have an embedment that is less than the footing width. The Terzaghi bearing
capacity equation is discussed in Table 10.4 and the bearing capacity factors
are presented in Table 10.5 and Figs. 10.2 and 10.3. The bearing capacity
analysis for shallow foundations on cohesionless (nonplastic) and cohesive
(plastic) soils are discussed in Tables 10.6 and 10.7, respectively. Other
10.2 GEOTECHNICAL ENGINEERING
design considerations, such as footings subjected to lateral loads and eccentric
loads, are discussed in Table 10.8.

10.3 BEARING CAPACITY FOR DEEP FOUNDATIONS

Deep foundations are used when the upper soil stratum is too soft, weak, or
compressible to support the foundation loads. Deep foundations are also used
when there is a possibility of the undermining of the foundation. For example,
bridge piers are often founded on deep foundations to prevent a loss of
support due to flood conditions which could cause river bottom scour.
Common types of deep foundations and design criteria are discussed in
Tables 10.9 and 10.10. The bearing capacity analysis for deep foundations in
cohesionless soil (Table 10.11 and Fig. 10.4) and cohesive soil (Table 10.12
and Figs. 10.5 and 10.6) are discussed in this section. Example problems are
presented in Table 10.13.

TABLE 10.11
Bearing Capacity of Deep Foundations in Cohesionless Soil
Topic Discussion
(1) (2)

End-bearing For an end-bearing pile or pier, the bearing capacity equations can be used
pile or pier to determine the ultimate bearing capacity q,,,. As mentioned in Table 10.4,
the original Terzaghi bearing capacity equation has been revised and used
for square footings. Assuming a pile that has a square cross section (i.e.,
B = L) and since c = 0 (cohesionless soil), the bearing capacity equation for
square footings (Table 10.4) reduces to:
In comparing the second and third terms in this equation, the value of B
(width of pile) is much less than the embedment depth Df of the pile.
Therefore, the first term in the equation can be neglected.
The value of y D in the equation is equivalent to the total vertical stress
If
U,, atthe pile tip. For cohesionless soil (effective stress analysis), the
groundwater
table must be included in the andysis and the vertical effective stress
U',, can be substituted for U, and the equation reduces to:
For end-bearing piles having a square cross section:
For end-bearing piles or piers having a circular cross section:
where q,,, = the ultimate bearing capacity of the end-bearing pile or pier
(kPa or psf)
Q, = point resistance force (W or lb)
B = width of the piles having a square cross section (m or ft)
r= radius of the piles or piers having a round cross section
(m or ft)
U', = vertical effective stress at the pile tip (@a or psf)
 Nq = dimensionless bearing capacity factor
For drilled piers or piles placed in predrilled holes, the value of Nq can be
obtained from Table 10.5 on the basis of the friction angle 4 of the
cohesionless
soil located at the pile tip. However, for driven piles, the values of
Nq listed in Table 10.5 are generally too conservative. Figure 10.4
presents
a chart prepared by Vesic (1967) that provides the bearing capacity factor
Nq
from several different sources.
Note in Fig. 10.4 that at 4, = 30°, Nq varies from about 30 to 150, while
at 4 = 40°, Nq varies from about 100 to 1000. This is a tremendous
variation
in Nq values and is related to the different approaches used by the various
researchers, where in some cases the basis of the relationship shown in
Fig. 10.4 is theoretical, while in other cases the relationship is based on
analysis of field data such as pile load tests.
There is a general belief that the bearing capacity factor Nq is higher for
driven piles than for shallow foundations. One reason for a higher N, value

TABLE 10.11
(Continued)
BEARING CAPACITY ANALYSES
Bearing Capacity of Deep Foundations in Cohesionless Soil

Topic Discussion
(1) (2)

End-bearing is the effect of driving the pile, which displaces and densifies the
pile or pier cohesionless
(Continued) soil at the bottom of the pile. The densification could be due to both the
physical process of displacing the soil and the driving vibrations. These
actions would tend to increase the friction angle of the cohesionless soil in
the vicinity of the driven pile. Large-diameter piles would tend to displace
and densify more soil than smaller diameter piles.
Thc ultimate end-bearing capacity Qp of the pile is divided by a factor of
safety (usually F = 3) to obtain the allowable end-bearing capacity (Q,,,).

Friction As the name implies, a friction pile develops its load-carrying capacity
piles from
the frictional resistance between the cohesionless soil and the pile
perimeter.
Piles subjected to vertical uplift forces would be designed as friction
piles because there would be no end-bearing resistance as the pile is pulled
from the ground.
On the basis of a linear increase in frictional resistance with confining
pressure, the average ultimate frictional capacity q,,, can be calculated as
follows:
For piles having a square cross section:
q,,, = = c',, tan = U'$ tan h
4BL
For piles or piers having a circular cross section:
q, = = a',, tan +,, = d,k tan +,v
2nrL
where qu,,= average ultimate frictional capacity for the pile or pier (kPa
or
psf)
Q,= ultimate skin friction resistance force (kN or lbs)
B = width of the piles having a square cross section (m or ft)
r = radius of the piles or piers having a round cross section (m or
ft)
L = length of the pile or pier (m or ft)
utl1= average horizontal effective stress over the length of the pile or
pier (kPa or psf)
ofl,=a verage vertical effective stress over the length of the pile or
 pier (kPa or psf)
k = dimensionless parameter equal to dl1di vided by d, (i.e., similar
to k,; see Table 6.3). The equations fork,, in Table 6.3 can
be used to estimate the value of k for sand deposits. Because
of the densification of the cohesionless soil associated with
driven displacement piles, values of k between 1 and 2 are
often assumed.
+,= friction angle between the cohesionless soil and the perimeter
of the pile or pier (degrees). Commonly used friction angles
are +,, = ?$$ for wood and concrete piles and c$, = 20' for
steel piles.

TABLE 10.11 Bearing Capacity of Deep Foundations in Cohesionless Soil

(Continued)

Topic Discussion
(1) (2)

Friction Note in the above equations that the term 4BL (for square piles) and 2~1-L
piles (for circular pilcs) is the peritneter surface area of the pile or pier. In the
(Contirt~led) above equations, the term U',, tan $,,, equals the shear strength between
the pile or pier surface and the cohesionless soil. This term is identical to
shear strength equation (equation in Table 7.2 with c' = 0). i.e., T! = U',,
tan
4'. Thus the frictional resistance force Q, in the above equations is equal to
the perimeter surfacc area times the shear strcngth of the soil at the pile or
pier surface.
The ultimate skin friction rcsistance force Q, is divided by a factor of safety
(usually F = 3) to obtain the allowable skin friction resistancc force Qall.

Combincd For piles and piers subjected to vertical compressivc loads and embedded in
end-bearing a deposit of col~esionlesss oil, they are usually treatcd in the design
and friction analysis
piles ss coinbined end-bearing and friction piles or piers. This is because the
pile or pier can develop substantial load-carrying capacity from both
endbearing
and frictional resistance. To calculate the ultimate pile or pier
capacity for a condition of combined end-bearing and friction, the value of
Q,> is added to the value of Q, (see above equations). This value of Q,, plus
Q, is divided by a factor of safety (usually F = 3) to obtain the allowable
combined end bearing and frictional resistance force QaI,.

Pile groups The previous discussion has dealt with the Ioad capacity of a single pile in
cohesionless soil. Usually pile groups are used to support the foundation
elements, such as a group of pilcs supporting a spread footing (pile cap) or
a mat slab. In loose sand and gravcl deposits, the load-carrying capacity of
each pile in the group may be greater than a single pile because of the
densification
effect due to driving the piles. Because of this densification effect,
the Ioad capacity of the group is often taken as the load capacity of a single
pile times the number of piles in the group. An exception would be a
situation
where a weak layer underlies the cohesionless soil. In this case, group
action of the piles could cause them to punch through the cohesionless soil
and into the weaker layer or cause excessive settlement of the weak layer
located below the pile tips.
In order to determine the settlement of the stratum underlying the pile
group, the 2: 1 approximation (see Table 6.5) can be used to determine the
increasc in vertical stress (An,,) for those soil layers located below the pile
rip. If the piles in the group are principally end bearing, then the 2: 1
approximation
starts at the tip of the piles (L = length of the pile group, B = width
of the pile group, and = depth below the tip of the piles; see Table 6.5). If
the pile group develops its load-carrying capacity principally through side
friction, then the 2:l approximation starts at a depth of % D, where D =
depth of the pile group.
TABLE 10.12 Bearing Capacity of Deep Foundations in Cohesive Soil

Topic Discussion
(1) (2)

General The analysis of load-carrying capacity of piles and piers in cohesive soil is
discussion more complex than that for cohesionless soil. Some of the factors that may
need to be considered in the analysis are as follows (AASHTO 1996):
l. A lower load-carrying capacity of a pile in a pile group compared to
that of a single pile.
2. The settlement of the underlying cohesive soil due to the load of the pile
group.
3. The effects of driving piles on adjacent structures or slopes. The ground
will often heave around piles driven into soft and saturated cohesive
soil.
4. The increase in load on the pile due to negative skin friction (i.e.,
downdrag
loads) from consolidating soil.
5. The effects of uplift loads from expansive and swelling clays.
6. The reduction in shear strength of the cohesive soil due to construction
techniques, such as the disturbance of sensitive clays or development of
excess pore water pressures during the driving of the pile. There is often
an increase in load-canying capacity of a pile after it has been driven
into a soft and saturated clay deposit. This increase in load-carrying
capacity with time is known asfieeze or setup and is caused primarily
by the dissipation of excess pore water pressures.
7. The influence of fluctuations in the elevation of the groundwater table
on the load-carrying capacity when analyzed in terms of effective
stresses.

Total The ultimate load capacity of a single pile or pier in cohesive soil is often
stress determined by performing a total stress analysis. This is because the critical
analysis load on the pile, such as from wind or earthquake loads, is a short-term
loading
condition and thus the undrained shear strength of the cohesive soil will
govern. The total stress analysis for a single pile or pier in cohesive soil
typically
is based on the undrained shear strength S, of the cohesive soil or the
value of cohesion c determined from unconsolidated undrained triaxial
compression tests (i.e., I$ = 0 analysis; see Table 7.5).
The ultimate load capacity of the pile or pier in cohesive soil would equal
the sum of the ultimate end-bearing and ultimate side adhesion components.
In order to determine the ultimate end-bearing capacity, the Terzaghi
bearing
capacity equation (Table 10.4) can be utilized with B = L and 4 = 0,
in
which case Nc = 5, NY = 0, and Nq = 1 (Table 10.5). The term y,DA
=
yp/ (for 4 = 0) is the weight of overburden which is often assumed to be
balanced by the pile weight, and thus this term is not included in the
analysis.
Note in Table 10.4 that the term cN, (1 + 0.3B/L) = c (5)(1.3) =
6.5~
(or Nc = 6.5). However, Nc is commonly assumed to be equal to 9 for deep
foundations (Mabsout et al. 1995). Thus the ultimate load capacity Q,,, of a
single pile or pier in cohesive soil equals:
Q,,, = end bearing + side adhesion = cNc (area of tip) + cA (surface area)
or
Q,,,, = c9(nR2) + cA(2nRz) = 9acRZ + hcA&
TABLE 10.12 Bearing Capacity of Deep Foundations in Cohesive Soil
(Continued)

Topic Discussion
(1) (2)

Total where Q,,, = ultimate load capacity of the pile or pier (kN or kips)
stress c = cohesion of the cohesive soil at the pile rip (kPa or psf).
analysis Because it is a total stress analysis, the undrained shear
(Continued) strength (S,, = c) is used, or the undrained shear strength is
obtained from unconsolidated undrained triaxial compression
+
tests (i.e.. = 0 analysis, c = peak point of Mohr circles, see
Fig. 7.7).
R = radius of the uniform pile or pier (m or ft). If the pier bottom
is belled or a tapered pile is used, then R at the tip would be
different from the radius of the shaft.
z = embedment depth of the pile (m or ft)
cA = adhesion between the cohesive soil and pile or pier perimeter
(kPa or psf), Figure 10.5 can be used to determine the value
of the adhesion (cA) for different types of piles and cohesive
soil conditions.
If the pile or pier is subjected to an uplift force, then the ultimate capacity
T,,, for the pile or pier in tension is equal to:
Tul=, 2.rrcARz
where cA is the adhesion between the cohesive soil and the pile or pier
perimeter
(Fig. 10.5). In order to determine the allowable capacity of a pile or pier in
cohesive soil, the values calculated from the above equations would be
divided
by a factor of safety. A commonly used factor of safety = 3.

Effective For long-term loading conditions of piles or piers, an effective stress

stress analysis
analysis could be performed. In this case, the effective cohesion c' and effective
friction angle 4' would be used in the analysis for end bearing. The
location
of the groundwater table would also have to be considered in the
analysis. Along the pile perimeter, the ultimate resistance could be based
on the effective shear strength between the pile or pier perimeter and the
cohesive soil.

Pile The bearing capacity of pile groups in cohesive soils is normally less than
groups the
sum of individual piles in the group, and this reduction in group capacity
must
be considered in the analysis. The group eficiency is defined as the ratio of
the ultimate load capacity of each pile in the group to the ultimate load
capacity
of a single isolated pile. If the spacing between piles in the group are at a
distance that is greater than about 7 times the pile diameter, then the group
efficiency is equal to one (i.e., no reduction in pile capacity for group
action). .
The group efficiency decreases as the piles become closer together in the
pile
group. For example, a 9 X 9 pile group with a pile spacing equal to 1 .S
times
the pile diameter has a group efficiency of only 0.3. Figure 10.6 can be used
to determine the ultimate bad capacity of a pile group in cohesive soil. The
ultimate load capacity of the pile group is divided by a factor of safety
(usually
F = 3) to obtain the allowable group pile capacity Q,],.
TABLE 10.12 Bearing Capacity of Deep Foundations in Cohesive Soil (Continued)

Topic Discussion
(1 (2)

Pile 1 load-carrying capacity principally by end bearing in cohesive soil, then

(Conrinued) the
2: 1 approximation starts at the tip of the piles (L = length of the pile group,
B = width of the pile group, and z = depth below the tip of the piles; see
Table 6.5). If the pile group develops its load-cartying capacity principally
1 through cohesive soil adhesion along the pile perimeter, then the 2:l
I approximation starts at a depth of %D, where D = depth of the pile group.