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Bearing Capacity of Shallow

Foundation

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Dk Mamonai - 09CE37

BEARING CAPACITY

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If a footing is subjected to too great a load,

some of the soil supporting it will reach a
failure state and the footing may experience a
bearing capacity failure.
The bearing capacity is the limiting pressure
that the footing can support.

Provided by :
Dk Mamonai - 09CE37

Supporting soil

Foundation ?
A foundation is a structure that
transfers loads to the earth.
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Foundations are
generally broken into
two categories:
shallow foundations
and deep foundations
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Dk Mamonai - 09CE37

Shallow Foundations

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A shallow
foundation is a
type of foundation
which transfers
structure loads to
the earth very near
the surface.
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Dk Mamonai - 09CE37

Deep Foundation
A deep foundation is a type of foundation which
transfers structure loads to a subsurface layer at a
certain depth.
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Deep foundations can be used to transfer the

loading to a deeper, more competent strata at
depth if unsuitable soils are present near the
surface.
This is usually at depths >3 m below the finished
ground level.
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Dk Mamonai - 09CE37

Deep foundation includes piles, piers and

caissons and also deep pad or strip foundations.

Pile/Pier Foundation
Piles / piers are most commonly used type of
foundations for bridges.

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Piles/piers are relatively long, slender members

that transmit foundation loads through soil
strata of low bearing capacity to deeper soil or
rock strata having a high bearing capacity.

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Dk Mamonai - 09CE37

Shallow or Deep???????

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Terzaghi assumption
for shallow foundation
(DfB).

Later suggestions
(Df3 to 4 B) might be
considered as
shallow.
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Dk Mamonai - 09CE37

Definitions and Key Terms

Foundation: Structure transmits loads to the
Footing:

underlying ground (soil).

Slab element that transmit load
from superstructure to ground

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Dk Mamonai - 09CE37

Some basic definitions

Embedment depth (Df)
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Dk Mamonai - 09CE37

Embedment depth (Df) is the depth below the ground

surface where the base of the foundation rests

Ultimate bearing capacity (qu)

Ultimate bearing capacity is the maximum pressure that
the soil can support (qu)
It is the pressure at which soil fails in shear
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Ultimate net bearing capacity (qnu)

= Unit weight (Density) of
foundation soil
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Ultimate net bearing capacity (qnu) is the maximum pressure

that the soil can support above its current overburden
pressure

qnu= qu- Df

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Overburden pressure = Df

Net safe bearing capacity (qns)

It is the net soil pressure which can be safely applied
to the soil considering only shear failure.
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It would ensure a margin of safety against collapse of

the structure from shear failure.
Net safe bearing capacity is usually a fraction of the
ultimate net bearing capacity.

Factor of Safety

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Dk Mamonai - 09CE37

q nu
q ns =
F

Gross safe bearing capacity (qs)

Note the
difference

It is the maximum gross pressure (qg) which soil

can carry safely without shear failure.
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q s = q ns + D f
q nu
qs =
+ D f
F
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Dk Mamonai - 09CE37

Net safe settlement pressure (qnp)

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It is the net pressure which the soil can

carry without exceeding the allowable
settlement
The maximum allowable settlement
generally varies between 25 mm and 40
mm for individual footings
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Dk Mamonai - 09CE37

Net allowable bearing pressure (qna)

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The net allowable bearing pressure is the net

bearing pressure which can be used for the
design of foundations
The net allowable bearing pressure is also known
as

Allowable soil pressure

Allowable bearing capacity

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Dk Mamonai - 09CE37

Allowable bearing pressure

Net allowable bearing pressure (qna)

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The net allowable bearing pressure shall be

smaller of the net safe bearing capacity (qns)
and the net safe settlement pressure (qnp)

If qnp > qns, then qna=qns

and if
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Dk Mamonai - 09CE37

qns>qnp, then qna=qnp

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Df /B > 4
2-2.5
Df /B
Others
Df /B 1
D
Terzaghi

Provided by :
Dk Mamonai - 09CE37

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Provided by :
Dk Mamonai - 09CE37

How to calculate gross and net

pressures on footing?
Case 1: Foundation Backfilled
Q (Superimposed load)
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G.L.
Soil

Footing
Dc

Df

wf

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Dk Mamonai - 09CE37

Gross footing pressure (qg)

Q + Wf
qg =
A

Area of the base

of footing

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Q (D c c )A (D f D c ) A
qg = +
+
A
A
A
c= unit weight of concrete

Dc=Thickness of footing or Depth of concrete

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Dk Mamonai - 09CE37

(2400 kg/m3 , 24 kN/m3 or 145 lb/ft3)

(Approximately)

Net footing pressure (qn)

q n = q g D f
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Q (D c c )A (D f D c ) A
qn = +
+
D f
A
A
A

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Dk Mamonai - 09CE37

Q
q n = + ( c )D c
A

For simplicity
The difference between the unit weight of concrete
and unit weight of soil may be neglected
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Unit weight of concrete = 24 kN/m3

Unit weight of soil = 20 kN/m3

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Dk Mamonai - 09CE37

Q
qn =
A

What shall be the net footing pressure (qn)

for the safe design?

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Net footing pressure (qn) should be less than

or equal to the net allowable bearing pressure
(qna)

qn qna
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Dk Mamonai - 09CE37

Q/A qna

Case 2: Foundation is not backfilled

Q (Superimposed load)

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G.L.
Soil

Footing

Dc

Df

wf

B
Provided by :
Dk Mamonai - 09CE37

Gross footing pressure (qg)

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Q + Wf
qg =
A
Q (D c c )A
qg = +
A
A
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Dk Mamonai - 09CE37

Check the difference with case1

Net footing pressure (qn)

q n = q g D f
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Q (D c c )A
qn = +
D f
A
A

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Dk Mamonai - 09CE37

Q
q n = + D c c D f
A

Net footing pressure (qn)

Q
q n = + D c c D f
A
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Generally, Dc is considerably less than Df.

Therefore Dc may be neglected

Q
q n = D f
A
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Dk Mamonai - 09CE37

Compare the result with case 1

Design Requirements
1.
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2.

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Dk Mamonai - 09CE37

The foundation
must not collapse
or become
unstable under any
conceivable load
Deformation
(settlement) of the
structure must be
within tolerable
limits

Failure Modes in Shear

General Shear Failure
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Local Shear Failure

Punching Shear Failure

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Dk Mamonai - 09CE37

(a) General shear failure

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(b) Local shear failure

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Dk Mamonai - 09CE37

(c) Punching shear failure

Collapse and Failure Loads

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Local Shear
Failure

Punching Shear
Failure

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Dk Mamonai - 09CE37

General Shear
Failure

Characteristics of Each Failure

Mode
General shear (Dense sand):
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well defined failure mechanism

continuous slip surface from footing to surface
sudden catastrophic failure

Local shear (Loose sand):

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Dk Mamonai - 09CE37

failure mechanism well defined only beneath

the footing
slip surfaces do not extend to the soil surface
considerable vertical displacement
lower ultimate capacity

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Punching shear (Very Loose sand):

less well defined failure mechanism
soil beneath footing compresses
large vertical displacements
lowest ultimate capacity
very loose soils or at large embedment
depth
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Dk Mamonai - 09CE37

Guide lines to know whether

failure is local or general
(i)

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Contd

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Dk Mamonai - 09CE37

Stress-strain test: (c- soil) general shear

failure occurs at low strain, say <5 % while
for local shear failure stress-strain curve
continues to rise at strain of 10 to 20 %.
(ii) Angle of shear resistance: For > 36o
,general shear failure and < 28o local
shear failure.
(iii) Penetration test: N 30 : G.S.F
N 5 : L.S.F

Contd

(iv) Plate Load Test:

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(v) Density Index :

Shape of the load

settlement curve decides
whether it is G.S.F or L.S.F
ID > 70 G.S.F
ID < 20 L.S.F

Provided by :
Dk Mamonai - 09CE37

For purely cohesive soil, local shear failure

may be assumed to occur when the soil is
soft to medium, with an unconfined
compressive strength qu 10 t/m2 (or cu 5
t/m2).

General considerations for type of failure in

Shallow Foundations

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Shallow foundations in rock and undrained

clays are governed by the general shear
case.
Shallow foundations in dense sands are
governed by the general shear case. In this
context, a dense sand is one with a relative
density, Dr , greater than about 67%.
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Dk Mamonai - 09CE37

General Considerations for type of failure

Shallow Foundations

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Shallow foundations on loose to medium

dense sands (30% < Dr< 67%) are probably
governed by local shear.
Shallow foundations on very loose sand
(Dr < 30%) are probably governed by
punching shear.
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Dk Mamonai - 09CE37

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Dk Mamonai - 09CE37

Vesics (1963) test results for modes of

foundation failure in sand

Soil Conditions and Bearing

Capacity Failure

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Dk Mamonai - 09CE37

Foundation Requirements

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Dk Mamonai - 09CE37

1. Safe against failure (bearing capacity or

structural failure)
2. Should not exceed tolerable settlement
(probable maximum and differential settlement)
3. Its construction should not make any change to
existing structure.
4. Should be adequate depth from consideration
of adverse environment influence:

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i. Zones of high volume change due to

moisture fluctuations.
ii. Depth of frost penetration
iii. Organic matter; peat and muck.
iv. Abandoned garbage dumps or loosed fill
areas.
v. Scouring depth
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Dk Mamonai - 09CE37

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Development of Bearing Capacity

Theory

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Dk Mamonai - 09CE37

BEARING CAPACITY ANALYSES IN

SOIL-GENERAL SHEAR CASE
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To analyze spread footings for bearing capacity

failures and design them in a way to avoid such
failures, we must understand the relationship
among
bearing capacity,
load,

Provided by :
Dk Mamonai - 09CE37

footing dimensions,
and soil properties.

Various researchers have studied these

relationships using a variety of
techniques, including:

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Assessments of the performance of real

foundations, including full-scale load tests.
Load tests on model footings.
Limit equilibrium analyses.
Detailed stress analyses, such as finite
element method (FEM) analyses.
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Dk Mamonai - 09CE37

 Full-scale load tests

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Dk Mamonai - 09CE37

consist of constructing real spread footings

and loading them to failure,

most precise way to evaluate bearing capacity.

such tests are very expensive,

and thus are rarely, if ever, performed as a
part of routine design.

A few such tests have been performed for
research purposes.

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Provided by :
Dk Mamonai - 09CE37

Model footing tests

have been used quite extensively,

the cost of these tests is far below that for
full-scale tests.

Unfortunately, model tests have their
limitations, because of uncertainties in
applying the proper scaling factors.

However, the advent of centrifuge model
(Physical Modeling) tests has partially
overcome this problem.

Reasons for the physical modeling approach

Mark III Centrifuge

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The real ground condition can be simulated in a model

accelerating the gravitational field.
Long term simulation can be performed accelerating the
transport processes.

Numerical modeling to such problem is cumbersome.

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Dk Mamonai - 09CE37

Proper soil structure interaction can be simulated in the

centrifuge model

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Dk Mamonai - 09CE37

Centrifugation of the Model Ground

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Units Model:Prototype
m/s2
N
m
1/N
m2
1/N 2
m3
1/N 3
1/N 3
kg
kg/m3
1
kPa
1
%
1
1/N 2
N
1/N 2
Sec
m/s
N
m2/s
1
mg/lit
1
N.S/m2
1
o
C
1
1

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Dk Mamonai - 09CE37

Description
Gravitational acceleration
Length
Area
Volume
Mass
Density
Stress
Strain
Force
Time
Interstitial velocity
Diffusion Coefficient
Concentration
Fluid viscosity
Temperature
Porosity

 Limit equilibrium analysis

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is the dominant way to assess bearing

capacity of shallow foundations.
These analyses define the shape of the failure
surface, as shown in Figure , then evaluate the
stresses and strengths along this surface.

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Dk Mamonai - 09CE37

qult = 2su + zD

 Limit equilibrium analysis

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These methods of analysis have their roots in

Prandtl' s studies of the punching resistance
of metals (Prandtl, 1920).
He considered the ability of very thick masses
of metal (i.e., not sheet metal) to resist
concentrated loads.
Provided by :
Dk Mamonai - 09CE37

Limit equilibrium analyses usually include

empirical factors developed from model tests.

The limit equilibrium method for Bearing

capacity of Soil
The objective of this derivation is to obtain a formula for the
ultimate bearing capacity, qult ,which is the bearing pressure
required to cause a bearing capacity failure.
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Consider the continuous footing

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Dk Mamonai - 09CE37

The limit equilibrium method

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Let us assume this footing experiences a

bearing capacity failure, and that this failure
occurs along a circular shear surface as
shown.

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Dk Mamonai - 09CE37

The limit equilibrium method

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Assume the soil is an undrained clay with a

shear strength su.
Neglect the shear strength between the
ground surface and a depth D. Thus, the soil
in this zone is considered to be only a
surcharge load that produces a vertical total
stress of zDD = D at a depth D.

Provided by :
Dk Mamonai - 09CE37

 Considering a slice of the foundation of length

b and taking moments about Point A, we
obtain the following:

M A = ( qult Bb)( B / 2) ( suBb)( B ) zD Bb( B / 2)

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qult = 2 su + zD

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Dk Mamonai - 09CE37


It is convenient to define a new parameter,

called a bearing capacity factor, Nc andrewrite
Equation as:

qult = N c su + zD
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According to this derivation, Nc = 2

Equation is known as a bearing capacity
Formula, and could be used to evaluate the
bearing capacity of a proposed foundation.
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This simplified formula has only limited

applicability in practice because it considers

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only continuous footings and undrained soil

conditions ( = 0), and

it assumes the foundation rotates as the
bearing capacity failure occurs.

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Dk Mamonai - 09CE37

However, this simple derivation illustrates the

general methodology required to develop
more comprehensive bearing capacity
formulas.

Analytical Solution/Approach

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No exact analytical solution for computing

bearing capacity of footings is available at
present because
the basic system of equations describing
the yield problems is nonlinear.
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Dk Mamonai - 09CE37

Semi Empirical Solution/Approach

Terzaghi (1943) first proposed a semi-empirical
equation for computing the ultimate bearing capacity
of strip footings by taking into account .
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cohesion,

friction and

weight of soil, and
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Dk Mamonai - 09CE37

replacing the overburden pressure with an

equivalent surcharge load at the base level of the
foundation.

Semi Empirical Solution/Approach

Further Developments
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Skempton (1951)
Meyerhof (1953)
Brinch Hanson (1961)
De Beer and Ladanyi (1961)
Meyerhof (1963)
Brinch Hanson (1970)
Vesic (1973, 1975)

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Numerical Solution/Approach

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Occasionally, geotechnical engineers perform

more detailed bearing capacity analyses using
numerical methods, such as the finite element
method (FEM).

These analyses are more complex, and are
justified only on very critical and unusual
projects.
Provided by :
Dk Mamonai - 09CE37

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The ultimate bearing capacity, or the

allowable soil pressure, can be calculated
either from bearing capacity theories or from
some of the in situ tests like Plate load test.

Each theory has its own good and bad points.

Provided by :
Dk Mamonai - 09CE37

Our Approach
We will consider only
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limit equilibrium methods of bearing capacity

analyses, and

In-situ tests

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Dk Mamonai - 09CE37

because these methods are used on the

overwhelming majority of projects.

Development of Bearing Capacity

Theory
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Application of limit equilibrium methods first

done by Prandtl on the punching of thick masses
of metal.

Prandtl's methods adapted by Terzaghi to bearing
capacity failure of shallow foundations.

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Dk Mamonai - 09CE37

Vesic and others improved on Terzaghi's original

theory and added other factors for a more
complete analysis

Determination of bearing
capacity (q)

Terzaghis Bearing Capacity Theory (1943)
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Meyerhofs Bearing Capacity Theory (1963)

Hansens Bearing Capacity Theory (1970)

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Vesics Bearing Capacity Theory (1973)

Karl Terzaghi (1883-1963)

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Father of modern soil mechanics

Born in Prague, Czechoslovakia

Wrote Erdbaumechanick in 1925

Taught at MIT (1925-1929)

Taught at Harvard (1938 and after)
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Dk Mamonai - 09CE37

Karl Terzaghi at Harvard, 1940

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Provided by :
Dk Mamonai - 09CE37

Semi Empirical Solution/Approach

Terzaghi (1943) first proposed a semi-empirical
equation for computing the ultimate bearing capacity
of strip footings by taking into account .
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cohesion,

friction and

weight of soil, and
Provided by :
Dk Mamonai - 09CE37

replacing the overburden pressure with an

equivalent surcharge load at the base level of the
foundation.

Terzaghis Bearing Capacity Theory

First to develop a theory for the evaluation of the
ultimate bearing capacity of shallow foundations.
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Terzaghi assumption
for shallow foundation
(DfB).

Provided by :
Dk Mamonai - 09CE37

Later suggestions
(Df3 to 4 B) might be
considered as
shallow.

Assumptions for Terzaghi's Method

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Provided by :
Dk Mamonai - 09CE37

Depth of foundation is less than or equal to its

width

No sliding occurs between foundation and soil
(rough foundation)

Soil beneath foundation is homogeneous semi
infinite mass

Mohr-Coulomb model for soil = c + tan()

General shear failure mode is the governing
mode (but not the only mode)

Assumptions for Terzaghi's Method

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Provided by :
Dk Mamonai - 09CE37

No soil consolidation occurs

Foundation is very rigid relative to the soil

Soil above bottom of foundation has no shear
strength; is only a surcharge load against the
overturning load (Conservative approach)

Applied load is compressive and applied
vertically to the centroid of the foundation

No applied moments present

Terzaghis Bearing Capacity Theory

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Assumed failure surface in soil at ultimate load

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Dk Mamonai - 09CE37

Cohesion (c) and angle of friction () are assumed as

shear strength parameters

Terzaghis Bearing Capacity Theory

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Dk Mamonai - 09CE37

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Provided by :
Dk Mamonai - 09CE37

Terzaghi considered three zones in the soil, as

shown in Figure, immediately beneath the
foundation is a wedge zone that remains
intact and moves downward with the
foundation.
Next, a radial shear zone extends from each
side of the wedge, where he took the shape
of the shear planes to be logarithmic spirals.
Finally, the outer portion is the linear shear
zone in which the soil shears along planar
surfaces

Bearing Capacity Failure

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Provided by :
Dk Mamonai - 09CE37

Transcosna Grain Elevator

Canada (Oct. 18, 1913)
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Dk Mamonai - 09CE37

West side of foundation sank 24-ft


Strip (continuous) footing

Considerations
or limitations or
General shear failure
restrictions

Rough foundation base
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q u = cN c + D f N q + 0.5BN
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Dk Mamonai - 09CE37

where Nc, Nq, and N are the bearing

capacity factors and are only function of
the soil friction angle,

Terzaghis Bearing Capacity Theory

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Assumed failure surface in soil at ultimate load

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Dk Mamonai - 09CE37

Cohesion (c) and angle of friction () are assumed as

shear strength parameters

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q u = cN c + D f N q + 0.5BN
Refers to the vertical
stress of a soil mass
of thickness B,
below the base of
the footing

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Dk Mamonai - 09CE37

Refers to the vertical

stress of the soil
above the base of
the foundation

Terzaghis Bearing Capacity Theory

Nc = cohesion factor
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Nq = surcharge factor
N = self wt factor
= fn ()
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Dk Mamonai - 09CE37

Terzaghi Bearing Capacity Factors

Nc = 5.7 when = 0
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Nq 1
Nc =
tan

when > 0
2

a
Nq =
2
2 cos (45 + / 2)

'

= 0.75 2

Provided by :
Dk Mamonai - 09CE37

tan K p

N =
1
2
2 cos

a = exp tan '

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Dk Mamonai - 09CE37

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Dk Mamonai - 09CE37

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Dk Mamonai - 09CE37

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Dk Mamonai - 09CE37

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Dk Mamonai - 09CE37

Terzaghi developed his theory for

continuous foundations (i.e., those with a
very large L/B ratio).
This is the simplest case because it is a twodimensional problem.
He then extended it to square and round
foundations by adding empirical coefficients
obtained from model tests and produced the
following bearing capacity formulas:

Terzaghis Bearing Capacity Theory

Terzaghi developed the theory for continuous foundations
(simplest, 2D problem).

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qult = c' N c + ' zD N q + 0.5 ' BN

From model tests, he expanded the theory to:

B
B

qult = c' N c 1 + 0.3 + ' zD N q + 0.5 ' BN 1 0.2

L
L

Provided by :
Dk Mamonai - 09CE37

qult = 1.3c' N c + ' zD N q + 0.3 ' BN

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Provided by :
Dk Mamonai - 09CE37

L= Length of foundation

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Provided by :
Dk Mamonai - 09CE37

Because of the shape of the failure surface, the

values of c and only need to represent the
soil between the bottom of the footing and a
depth B below the bottom. The soils between
the ground surface and a depth D are treated
simply as overburden.

Key Points

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Terzaghi's formulas are presented in terms of

effective stresses. However, they also may be used in
a total stress analyses by substituting cT T and D
for c', ', and D

If saturated undrained conditions exist, we may
conduct a total stress analysis with the shear strength
defined as cT= Su and T= O. In this case, Nc = 5.7,
Nq = 1.0, and N = 0.0.
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Limitation for Terzaghi's Method

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Since Terzaghi neglected the shear strength

of soils between the ground surface and a
depth D, the shear surface stops at this depth
and the overlying soil has been replaced with
the surcharge pressure zD .

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This approach is conservative, and is part of

the reason for limiting the method to relatively
shallow foundations (D < B).

For local and punching shear failure

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2
c' = c
3
1
' = tan (2 / 3 tan )
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Effects of Groundwater

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q u = cN c + D f N q + 0.5BN
Refers to the vertical
stress of a soil mass
of thickness B,
below the base of
the footing

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Refers to the vertical

stress of the soil
above the base of
the foundation

Three possible conditions

C1: Groundwater level at a depth below the
base of the footing
G.L.
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Footing

Soil

No modification of
bearing capacity
equation is required

Df

B
ZB
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W.L.

Terzaghis Bearing Capacity Theory

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C2: Groundwater level within a depth B below

the base of the footing
G.L.
Footing
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Soil

W.L.

Df
Z<B

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B z + ' (B Z)

C3: Groundwater level within the embedment

depth
G.L.
Footing

Soil

W.L.

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Df

D f z + ' (D f Z)
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B ' B

Q1

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Q2. If the soil in Q1 fails by local shear failure,

determine the net safe bearing pressure.

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Q3. If the water table in Q1 rises to the ground

level, determine the net safe bearing pressure of
the footing. Assume the saturated unit weight of the
soil sat= 18.5 kN/m3
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Q4. If the water table in Q1 occupies any of the

position (a) 1.25 m below the ground level or (b)
1.25 m below the base level of the foundation,
what will be the net safe bearing pressure?
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A 2.5m wide strip footing is located at a depth of 1.5 m

from the ground surface in dense sand. The relevant
shear strength parameters are c=0, =36o. Determine
the ultimate bearing capacity of the soil. Due to the site
conditions water table may remain as below
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(i) at 5 m below the surface

(ii) at 2 m below the base of footing
(iii) at the base of the footing
(iv) at 1 m below the surface
(v) at the surface

Recommend the ultimate bearing capacity of soil

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The unit weight of soil above the water-table may be

taken as 1.8 gm/cc, and saturated weight as 2 gm/cc.

Further Developments in Terzaghi Bearing

Capacity Equation

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Meyerhof (1963)

Hansen (1970)

Vesic (1973)
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Terzaghis Bearing Capacity Theory

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Further developments (Meyerhof 1963, Hansen 1970,

Vesic, 1973)

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45+/2

Failure Geometry (Meyerhof, Hansen, Vesic )

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Meyerhof, Hansen & Vesic Bearing Capacity Factors

'

tan ,
2
N q = tan 45 + e
2

N c = ( N q 1) cot

'

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N = (N q 1) tan (1.4 )........Meyerhof (1963)

N = 1.5(N q 1) tan ...........Hansen(1970)
N = 2(N q + 1) tan ..............Vesic(1973)
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Bearing Capacity Factors

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The General Bearing Capacity Equation

suggested by Meyerhof (1963).

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Cont..

N = tan 2 45 +
2

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= inclination of the load on the foundation with respect to

vertical

Example 3

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5) Compute net allowable bearing capacity by Hansens Method

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4) Compute the net allowable bearing capacity by Meyerhofs Mehod

Skemptons Bearing Capacity Factor NC

Skempton (1951) for Saturated clay soils and strip
foundations suggested
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qu = CN c + D f
qnu = qu D f = CN c
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Skemptons Bearing Capacity Factor NC

The lowest and upper limiting values of Nc for strip and
square foundations

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For Rectangular Foundation

(N c )Re ct

= 0.84 + 0.16 (N c )Square

L

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