Bearing Capacity

Sam Bulolo
Learning Outcome

Upon completion of the topic, students should be

able to understand the importance of site
investigation and proper evaluation of design soil
parameters, and will develop an appreciation of
the modes of failure of foundation supports, the
design philosophy and the process involved in a
foundation project, and be able to design simple
foundation systems.

2
Overview of shallow and deep foundations
Bearing capacity of shallow foundations
Settlement of shallow foundations
Recommended Text

Knappett, J.A. and Craig,

R.F., “Craig’s Soil
Mechanics” 8th edition,
Spon Press, 2012.
3
Recommended Text

Coduto, D.P., Kitch, W.A.,

and Yeung, M.R.
“Foundation Design,
Principles and
Practices”, 3rd edition,
Prentice Hall, New
Jersey, 2016.

4
OVERVIEW OF SHALLOW AND DEEP
FOUNDATIONS
What are foundations?
Why do we need foundations?
What are the types of foundations?
What are shallow foundations?
What are deep foundations?

5
What are foundations?
A foundation is part
of a structure
which transmit
loads directly to
the underlying soil,
a process known
as soil-structure
interaction.

6
Why do we need foundations
Foundations transmit building loads to the soil safely.

Structural elements in buildings are typically made of steel or

concrete. These materials have high strength, about 100 or
1000 times that of soils.

P = 200 kN
A = 0.5 m2

 = P/A = 200/0.5 = 400 kPa

Grade 30 Concrete – 30 MPa

Steel ~ 400 MPa

7
Relationship between consistency of cohesive soils and
undrained shear strength (from Coduto 2001)

Consistency Undrained shear Visual Identification

strength (kPa)
Very soft <12 Thumb can penetrate more than 25 mm

Soft 12-25 Thumb can penetrate about 25 mm

Medium 25-50 Penetrated with thumb with moderate effort

Stiff 50-100 Thumb will indent soil about 8 mm

Very stiff 100-200 Thumb will not indent soil, but readily indented
by thumbnail
Hard >200 Indented by thumbnail will difficulty or cannot
indent with thumbnail

8
Why do we need foundations
Foundations transmit building loads to the soil safely.
To perform in a satisfactory way, the foundation must meet
two principal performance requirements (known as limit
states), namely:

Strength – The capacity or resistance must be sufficient to

support the loads (actions) applied (i.e. so that it doesn’t
collapse)

Serviceability - Excessive deformation must be avoided

under these loads, which might damage the supported
structure or lead to a loss of function.

Other performance requirements: cost and constructibility

9
What are the types of foundations?

Foundations Types

Shallow Deep
Foundations Foundations

Spread Mat Driven Piles Drilled Shafts

Footings Foundations

Examples

10
Figure 10.1 Foundation systems: (a) pads/strips, (b) raft, (c) piled, (d) piled raft

11
 66-stories

30-Stories

Podium
Diaphragm
wall
Fill
Marine clay Raft
Residual soil Bored piles

Caissons Bouldery clay

What are shallow foundations?
If a soil stratum near the surface is capable of
adequately supporting the structural loads it is
possible to use shallow foundations.

Arbitrary definition: Shallow foundations

refer to those where d/B < 1 or when d < 3m
(according to CP4).

13
What are shallow foundations?
Examples of shallow foundations:
■ Spread footings

A footing
supporting a
single column
is referred as A strip footing
an individual supports a load
footing or bearing wall.
pad.

14
What are shallow foundations?
Examples of shallow foundations:
■ Combined footings
A combined footing
support more than
one load bearing
structural elements.
They are used
where there is
space constraint or
near a property
line.

15
What are shallow foundations?
Examples of shallow foundations:
■ Raft/mat foundations
A mat foundation is a
large spread footing used
to support more than one
load bearing structural
elements in several lines.
Usually it encompasses
the entire footprint of the
structure.

16
What are shallow foundations?
Examples of shallow foundations:
■ Raft/mat foundations

17
What are deep foundations?
If the soil near the surface is incapable of
supporting the structural loads, piles, or other
forms of deep foundations such as piers or
caissons, are used to transmit the applied loads to
suitable soil (or rock) at greater depth where the
effective stresses (and hence shear strength) are
larger.

18
What are deep foundations?
If the soil near the surface is incapable of
supporting the structural loads, piles, or other
forms of deep foundations such as piers or
caissons, are used to transmit the applied loads to
suitable soil (or rock) at greater depth where the
effective stresses (and hence shear strength) are
larger.

Why are the stresses of these soils at deeper

depths larger?

19
Which sample has a higher shear strength? Why?

Sample A

Sample B

Homogeneous clay

20
What are deep foundations?
Examples of deep foundations:

(a) Precast RC pile

(b) Steel H-pile
(c) Steel tubular pile (d) Shell pile (e) CFA pile (d) Under-reamed bored pile

21
Shallow vs Deep Foundations

In shallow In deep foundations, side

foundations, load resistance becomes the
transfer is by dominant load transfer
lateral spreading mechanism compared to
i.e. end bearing end bearing.
through passive
resistance of soil

(Coduto 2001)

Deep foundations transfer most of the applied structural loads to deeper strata
22
 Foundation Design Process
1. Establish requirements for structural
conditions and site characterization

2. Preliminary Study: Obtain general site geology,

Collect foundation experience from the area

3. Plan and execute subsurface investigation

4. Evaluate information and select foundation

system: Deep Foundation or Shallow Foundation
(see performance requirements)
23
 Shallow Foundations

Bearing capacity (qf) is defined as the

pressure which would cause shear failure of
the supporting soil immediately below and
adjacent to a foundation. 24
Soils generally fail in shear:

25
Modulus of Elasticity E, Shear Modulus G

1
x  'x 'z   xz   zx  G xz
E
1
 z  'z ' x 
E
26
Typical Values of Poisson’s Ratio for Soils and Rocks

27
28
Bearing Capacity
Three distinct modes:

General shear

Local shear

Punching shear

29
Bearing Capacity Typical of soils of low
compressibility i.e.
dense coarse-grained
General Shear: or stiff fine-grained
soils.

qf

Continuous failure surfaces develop between the edges

of the footing and the ground surface. As the pressure is
increased towards the value qf a state of plastic
equilibrium is reached initially in the soil around the edges
of the footing, which subsequently spreads downwards
and outwards. Ultimately, the state of plastic equilibrium is
fully developed throughout the soil above the failure
surfaces. Heave of the ground surface occurs on both
sides of the footing, although in many cases the final slip
movement occurs only on one side, accompanied by
tilting of the footing, as the footing will not be perfectly
leveled and hence will be biased to fail towards one side.

30
Bearing Capacity
Local Shear:

qf = ?

There is significant compression of the soil below

the footing, and only partial development of the state
of plastic equilibrium. The failure surfaces, therefore,
do not reach the ground surface and only slight
heaving occurs. Tilting of the foundation would not
be expected.
Local shear failure is associated with soils of high
compressibility and is characterized by the
occurrence of relatively large settlements (which
would be unacceptable in practice) and the fact that Acceptable
qf is not clearly defined. settlement

31
Bearing Capacity
Punching shear:

Punching shear failure occurs when there is

relatively high compression of the soil under the
footing, accompanied by shearing in the vertical
direction around the edges of the footing. There is qf = ?
no heaving of the ground surface away from the
edges, and no tilting of the of the footing. Relatively
large settlements are also characteristic of this
mode and again qf is not well defined.
Punching shear failure will also occur in a soil of low
compressibility if the foundation is located at
considerable depth.

32
Leaning Tower of Pisa

33
Leaning Tower of Pisa
Height: ~56 m
Weight: ~14,500 tons

34
35
36
Common cause of foundation problems
Lack or inadequate
site investigation

In case of the leaning tower of Pisa where

inadequate soil tests were performed,
even though they might have saved
money in the process, it jeopardized the
stability of the structure and therefore led
to the ultimate loss of levelling.

Such practice can seriously lead to a

complete collapse of a structure.

37
 Leaning Tower of Pisa
Height: ~56 m
Weight: ~14,500 tons

Diameter of base: ~ 15.5 m

38
Gross bearing pressure, q
For leaning Tower of Pisa, P + Wf = 14,500,000 kg x 9.81 m/s2
P = 142,245 kN

Wf  Fy  0
P  Wf
q q
A
P  Wf 142245
q    754 kPa
A 15.52

39
Evaluate information and select foundation type.
What are the design criteria?
To perform in a satisfactory way, the foundation must
meet two principal performance requirements (known
as limit states), namely:

1.The capacity or resistance is sufficient to support

the loads (actions) applied (i.e. so that it doesn’t
collapse) –
2.Avoid excessive deformation under these loads,
which might damage the supported structure or lead
to a loss of function -

40
Is shallow foundation suitable?
Gross bearing pressure of 754 kPa is excessive.

Both strength and serviceability performance

requirements will not be satisfied.

Is deep foundation suitable?

Deep foundation can transfer the load to the
deeper stronger soil layers e.g. the sand layer.

Both strength and serviceability performance

requirements will be satisfied.
41
What happens if the leaning Tower of
Pisa is embedded at a depth of 40 m?
Net bearing pressure, qn

 = 17 kN/m3

z0  d
P+ Wf
d = 40 m

qn
42
Net Bearing Pressure and
Compensated Foundations
If weight of the soil removed totally offset the
weight of the building, qn = 0.

The foundation is said to be a fully compensated

foundation. Sometimes these foundations are also
called “floating” foundations.

43
Ultimate Bearing Pressure/Capacity, qf
- Maximum bearing pressure that the soil can
sustain before bearing capacity failure.

The resistance for the general shear bearing

capacity failure can be derived
44
Plasticity Theory
The bearing capacity problem can be considered in terms
of plasticity theory by assuming that the stress strain
behavior of the soil is represented by the rigid-perfectly
plastic idealisation in which both yielding and shear failure
occurs at the same state of stress: unrestricted plastic flow
takes place at this stress level.

45
Plasticity Theory
Plastic collapse occurs after the state of plastic equilibrium
has been reached in part of a soil mass, resulting in the
formation of an unstable mechanism: that part of the soil
mass slips relative to the rest of the mass.

The applied load system, including body forces, for this

condition is referred to as the collapse load.

46
Shallow Foundations

Bearing Capacity and Limit Analysis

Shallow vs Deep Foundations

In shallow In deep foundations, side

foundations, load resistance becomes the
transfer is by dominant load transfer
lateral spreading mechanism compared to
i.e. end bearing end bearing.
through passive
resistance of soil

(Coduto 2001)

2
Upper Bound (UB) Theorem
If a kinematically admissible mechanism of plastic collapse is
postulated and if, in an increment if displacement, the work
done by a system of external loads is equal to the dissipation
of energy by the internal stresses, then collapse must occur;
the external load system thus constitutes an upper bound to
the true collapse load.

Lower Bound (LB) Theorem

If a state of stress can be found which at no point exceeds
the failure criterion for the soil and is in equilibrium with a
system of external loads, then collapse cannot occur; the
external load system thus constitutes a lower bound to the
true collapse load.
3
Rankine Method is a lower bound solution
– It overestimates active pressure and
underestimates passive pressure.

Coulomb Method is an upper bound solution

– It underestimates active pressure and
overestimates passive pressure.

4
Shear strength – undrained, drained

Undrained: cu, or su

Drained: c’, ’

5
Bearing Capacity in Undrained Materials
Undrained material – considers only
undrained shear strength of soil i.e. cu or su.
Analysis using the upper bound theorem
For undrained conditions the failure mechanism
within the soil mass should consist of slip lines
which are either straight lines or circular arcs
(or a combination).
6
Upper bound approach, mechanism UB1

Proposed mechanism UB1

A C (Plane strain)

Slip velocities

Dimensions

7
Bearing Capacity Failure
Bearing pressure, q

Overburden pressure or surcharge, q

8
Upper bound approach, mechanism UB1

Proposed mechanism UB1

(Plane strain)

Slip velocities

Dimensions

9
Upper bound approach, mechanism UB1

Energy dissipated due to shearing at relative

velocity vi along slip line of length Li :
Ei  f  Li  vi

Work done Wi by a pressure qi acting over an

area per unit length Bi moving at velocity vi :
Wi  qi  Bi  vi

10
Upper bound approach, mechanism UB1
Hodograph

11
 Upper bound approach, mechanism UB1
Energy dissipated:
Slip line Stress fi Length Li Relative velocity vi Energy dissipated Ei
OA cu B/2 2v cuBv

OB cu B 2v 2cuBv
OC cu B/2 2v cuBv
AB cu B/2 2v cuBv
BC cu B/2 2v cuBv
Total Energy Dissipated, Ei = 6cuBv

-v

12
 Upper bound approach, mechanism UB1
Energy dissipated:
Slip line Stress fi Length Li Relative velocity vi Energy dissipated Ei
OA cu B/2 2v cuBv

OB cu B 2v 2cuBv
OC cu B/2 2v cuBv
AB cu B/2 2v cuBv
BC cu B/2 2v cuBv
Total Energy Dissipated, Ei = 6cuBv

Work done:
Component Pressure pi Area Bi Relative velocity vi Work done Wi
Footing qf B v qfBv
pressure
Surcharge q B -v -qBv
Total Work Done, Wi = qfBv-qBv
13
Upper bound approach, mechanism UB1

 Wi   Ei
 
qf  q Bv  6cu Bv
q f  6cu  q

14
Upper bound approach, mechanism UB2
A more efficient mechanism:

15
Upper bound approach, mechanism UB2
Slip line Stress fi Length Li Relative velocity vi Energy dissipated Ei
OA cu B/2 2v cuBv

Fan zone cu R=B/2 vtan = 2v cuBv

OC cu B/2 2v cuBv
Total Energy Dissipated, Ei = (2+)cuBv

 Wi   Ei
q   Bv  2  c Bv
f q u

q f  2  cu  q
16
Bearing Capacity in Undrained Materials
Analysis using the lower bound theorem
In the lower bound approach, the conditions of equilibrium
and yield are satisfied without consideration of the mode of
deformation.

q f  z  2cu  q  z  2cu
 q f  4cu  q 17
Lower bound approach, stress state LB2

cu

1 = f + z
3 = q + z

q f  z  cu    q  z  cu   cu
18

 q f   2    cu  q
Comparing Upper and Lower Bounds qf

Upper Bound Lower Bound

1 6cu  q 4cu  q

2 2  cu  q 2  cu  q

19
Bearing Capacity Factors (Undrained)
General form of bearing capacity of a shallow foundation
on an undrained material may be written as:

qf  sc Nccu  q
Where sc = shape factor, for strip footing = 1.0
Nc = bearing capacity factor = (2 + )

d q  d

Founding plane

20
Bearing Capacity Factors(Undrained)
Salgado et al.(2004) :
Nc = 9.0
 d 
Nc  2  1 0.27 Eqn (a)
 B 


Eurocode 7 :
B
s c  1  0.2 Eqn (b)
L
a and b
BL

In practice, Nc is limited at a value

of 9.0 for a deeply embedded
square or circular foundation.

21
Terzaghi’s Bearing Capacity Formula
for undrained material
qf  sccu Nc  q
Nc = 5.7 – different assumptions

Footing shape sc
Continuous 1.0
Square 1.3
Circular 1.3

22
Bearing Capacity Factors (Undrained)
For two layer soil,

Merifield et al. (1999) Merifield and Nguyen (2006)

Solid lines for UB, dashed lines for LB for square footings

Note: in calculating qf, cu = cu1

23
Bearing Capacity Factors (Undrained)
For strip footing close to a slope,

Georgiadis (2010)
Lowest upper bound solution
Not the exact solution

24
Bearing Capacity Factors (Undrained)
For Gibson’s soil: cu (z)  cu0  Cz

Davis and Booker (1973)

 CB 
q f   2    cu   Fz
 4 

25
Bearing Capacity Factors (Undrained)

Bearing capacity is affected by:

(a)Equation used
(b)Depth of embedment
(c)Layered soil
(d)Proximity of slope

26
Example 1
A strip foundation 2.0 m wide is located at a depth of 2.0 m
in a stiff clay of saturated unit weight of 21 kN/m3. The
undrained shear strength is uniform with depth, with cu =
120 kPa. Determine the undrained bearing capacity of the
foundation under the following conditions:

(a) The foundation is constructed in level ground;

(b)A cutting at a gradient of 1:2 is subsequently made
adjacent to the foundation, with the crest 1.5 m from the
edge of the foundation.

27
 Solution (1a)

d = 2.0 m

q  d  21kN / m3 2.0m
 42 kN / m2

Founding plane

cu = 120 kPa B = 2.0 m

d 2.0
  1.0
B 2.0
Using Skempton's values, Nc  6.4
For strip footing, sc 1.0

6.4 qf  sc Nccu  q
 1.0 x 6.4 x 120 42
 810 kPa
28
 Solution (1b)
B = 1.5 m

d = 2.0 m

q  d  21kN / m3 2.0m
 42 kN / m2
1
2 Founding plane

cu = 120 kPa B = 2.0 m 1.5

  0.75
2.0
1
1
  tan    26.6 o
2
cu 120
  2.9
4.7 B 212.0
Interpolating, Nc  4.7

qf  sc Nccu  q
 1.0 x 4.7 x 120 42
 606 kPa 29
Bearing Capacity in Drained Materials
Drained material – considers effective shear strength
parameters of soil i.e. c’ and ’.

Analysis using the upper bound theorem

For drained conditions, the slip surfaces within a
kinematically admissible failure mechanism should consist
of slip lines of either straight lines or curves of a specific
form known as log spirals (or a combination).

Log spiral, r  r0e tan 

30
Upper bound approach, mechanism UB-1

31
The Direct Shear Test
 = dilation angle
Associative flow rule
For the special case,  = ’ (normality principle)

32
Upper bound approach, mechanism UB1
Work done:
Component Pressure pi Area Bi Relative velocity vi Work done Wi
Footing qf B V qfBv
pressure

Surcharge q tan '
  '  

tan '  ' 
   ' 
 'q Bve  tan ' tan 2   
Be 2 tan   ve 2 tan 
4 2
4 2 4 2

As a result of the normality principle,  Ei  0.

  Wi  0.
  ' 
 qf Bv  'q Bve  tan ' tan 2     0
4 2
   '  
q f  e  tan ' tan 2    'q  N q' q
  4 2 

33
Lower bound approach, stress state LB1

qf

1- sin'  e  tan '
1 sin' 'q
 1 sin '  tan ' 
q f   e  'q
 1 sin ' 

     2    '   tan ' 
2   tan  e  'q
(8.26)   4 2  
 Nq'q

Same qf as upper bound approach!

34
General Bearing Capacity for Drained Materials
qf  sc Ncc'sq Nq'q 0.5Bs N

d
’q

(Coduto 2001)
35
 General Bearing Capacity for Drained Materials

qf  scdc Ncc'sqdq Nq'q 0.5Bsd N

Nq 
1+ sin 
e tan B
1- sin  Sq  1+ sin
L
Nq 1
Nc  Sq N q  1
tan As ' 0, Nc  2   Sc 
Nq  1
 
N   Nq 1 tan1.32' (Salgado 2008) B
S  1- 0.3
N   2 Nq  1tan' (EC 7) L

36
 General Bearing Capacity for Drained Materials

qf  sc Ncc'sq Nq'q 0.5Bs N

Nq 
1+ sin 
e tan B
1- sin  Sq  1+ sin
L
Nq 1
Nc  Sq N q  1
tan As ' 0, Nc  2   Sc 
Nq  1
 
N   Nq 1 tan1.32' (Salgado 2008) B
S  1- 0.3
N   2 Nq  1tan' (EC 7) L

dc, dq, d – depth factors. EC 7 does not recommend the use of depth factors i.e.
dc = dq =d =1.0

37
General Bearing Capacity for Drained Materials

d
Case 1: ’q

Case 2:

Case 3:

Unit weight to be used 0.5Bs N

Case 1: dw  d '    w
Case 2: d < dw < d+B   d  d 
     w 1   w 
  B 
Case 3: d+B  dw '  38

dw = depth of groundwater table

Example 2
A footing 2.25 m x 2.25 m is located at a depth of 1.5 m in a sand for
which c’ = 0 and ’ = 38o. Determine the bearing resistance for:
(a) if the groundwater table is well below the foundation level, and
(b) if the groundwater table is at the ground surface. The unit weight of
the sand above the groundwater table is 18 kN/m3; the saturated unit
weight is 20 kN/m3.

For ' 38o , B

Sq  1+ sin
Nq 
1+ sin 
e tan  49 L
1- sin Sq N q  1
Nq  1 Sc  (not used as c'  0)
Nc  (not used as c'  0) Nq  1
tan
B
N   2 Nq  1 tan = 75 S  1- 0.3
L
= 0.7

39
Solution 2(a)
(a) if the groundwater table is well below the foundation level

qf  sq Nq'q 0.5Bs N
 sq Nqd  0.5Bs N Case 3

 1.62 x49 x 18 x 1.5 0.5x 18 x2.25 x0.7 x75

 3206 kPa
(b) if the groundwater table is at the ground surface

qf  sq Nq'q 0.5Bs N Case 1

 sq N q 'd  0.5'Bs N
 1.62 x49 x 20 - 9.81 x 1.5 0.5x 20  9.81 x2.25 x 0.70 x75
1815 kPa
40