D21FE Foundation Engineering

D21FE
FOUNDATION ENGINEERING
W. John McCarter
School of the Built Environment

Heriot-Watt University 2009
Foundation Engineering, Heriot-Watt University
Address for correspondence:

Heriot-Watt University,
Riccarton,
Edinburgh
EH14 4AS
UK
Tel.: +44 (0) 131-451-3866
Fax.: +44 (0) 131-451-4617
Module Author and Leader:
Professor W. J. McCarter
Heriot-Watt University,
Tel.: +44 (0) 131-451-3318
Fax.: +44 (0) 131-451-4617
e-mail: w.j.mccarter@hw.ac.uk
'.. and we can save 700 euros

by not taking soil tests...'
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CONTENTS
STUDY GUIDE 5
(i) Overview and Objectives 5
(ii) Understanding, Knowledge and Subject-Specific skills 5
(iii) Learning Materials 5
(iv) VISION 6
(v) Study methods 6
(vi) Assessment 7
(vii) Assistance and Feedback 7
(viii) Text books 7
1. OVERVIEW OF FOUNDATION TYPES 9
1.1 Introduction 9
1.2 Shallow Foundations 10
(a) Pad footings (See also BS 8004: 1985 Section 3.2.4) 10
(b) Strip footings (See also BS 8004: 1985 Section 3.2.5) 11
(c) Piers 12
(d) Raft (See also BS 8004: 1985 Section 3.2.6 and 4.3.3.2) 12
1.3 Deep Foundations (See also BS 8004: 1985: Chapter 7) 14
1.3.1 Pile Types 14
1.3.2 Materials and Construction 15
1.3.3 Pile Loading Tests 18
1.3.4 Action of Friction Piles driven into Sensitive Clay 20
1.3.5 Negative Skin Friction 22
1.3.6 Design Procedure for Piled Foundations 22
2. STRESSES UNDER LOADED AREAS 24
2.1 Introduction 24
2.2 Stress/Strain Relationship for Soil 24
2.2.1 An overview of the design process 25
2.3 Boussinesq Equations for a Point Load 26
2.4 Stresses produced by uniformly loaded areas 28
2.4.1 Circular Loaded Area 29
2.4.2 Rectangular Loaded Area 33
2.4.3 Stress increase by simple dispersion 37
2.5 Stress below loaded areas: Summary 38
Worked Example 2.1: Stress Distribution 39
Stress Analysis Examples 42
3. DEFORMATION DUE TO SURFACE LOADING 45
3.1 Introduction 45
3.1.1 Settlement without drainage 45
3.1.2 Consolidation Settlement 45
3.1.3 Secondary Consolidation 48
3.2 Elastic Settlement 49
3.2.1 Surface settlement due to a point load. 49
3.2.2 Surface settlement due to U.D.L. on circular area 50
3.2.3 Surface settlement due to U.D.L. on Rectangular area 51
3.2.4 Elastic displacement of a clay layer on a rigid base 53
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3.3 Flexible and Rigid footings Average settlement 56

3.4 Undrained Elastic Modulus 57
3.6 Brief revision of total and effective stresses 60
Worked Example 3.1: Elastic Settlement 62
Worked Example 3.2: Elastic Settlement 65
Elastic Settlement Examples 67
Total and Effective Stress Examples 70
4. CONSOLIDATION SETTLEMENT: The Consolidation Test 72
4.1 Introduction 72
4.2 Terzaghi's Piston and Spring Analogy for Consolidation (Terzaghi, 1943) 72
4.3 The One-Dimensional Consolidation Test 74
4.3.1 Method 1 (BS 1377-5, 1990) 77
4.3.2 Method 2 80
4.4 Summary 82
4.4.1 Primary Consolidation 82
4.4.2 Secondary Consolidation (not developed in this module) 82
4.4.2 Total settlement 82
5. CONSOLIDATION SETTLEMENT: Ultimate Consolidation Settlement 83
5.1 Introduction 83
5.2 Ultimate consolidation settlement of a clay layer 84
5.3 Coefficient of volume compressibility (mv) 89
5.4 Consolidation settlement using the Compression Index 92
5.5 Normally consolidated and Over-consolidated clays 93
5.7 Allowable settlement for structures 95
5.8 One-Dimensional Consolidation Summary 97
6. BEARING CAPACITY 109
6.1 Introduction 109
6.1.1 Permissible Stress 109
6.1.2 Limit State 110
6.2 Historical Review 110
6.2.1 Rankine: active and passive pressures 111
6.2.2 Slip Circle Methods 118
6.2.3 The Plate Loading Tests 120
Example: 121
6.2.4 Methods based on plastic failure 123
(i) Prandtl's Analysis 123
(ii) Terzaghi's Theory 126
(iii) General Bearing Capacity Equation 130
6.3 Shear strength parameters: Drained and Undrained conditions 135
6.3.1 Granular Soil: 135
6.4 Bearing Capacity equation for Clay under undrained conditions (u = 0) 138
6.5 Modification of Bearing Capacity Equations for Water-Table 140
6.6 Factor of Safety: Permissible Stress Approach 142
6.7 Partial Factors and Eurocode 7 143
Worked Example 6.1: Bearing Capacity 145
Worked Example 6.2: Bearing Capacity 152
Bearing Capacity Examples 1 154
Bearing Capacity Examples 2 156
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7. PILED FOUNDATIONS: SINGLE PILES 157

7.2 Ultimate Base Resistance, Qb 158
(i) Granular soil: drained analysis ( cd = 0 ) 159
(a) Meyerhof 159
(b) Berezantzev 161
(ii) Cohesive soil: undrained analysis ( u = 0 ) 163
(iii) Effective stress analysis (c' and ') 165
7.3 Ultimate Shaft Resistance, Qs 166
(i) Cohesive soil: undrained analysis ( u = 0 ) 167
(ii) Granular soil: drained analysis ( cd = 0 ) 168
(iii) Effective stress analysis (c' and ') 170
7.4 Factors of Safety and Partial Factors 171
(i) Permissible Stress (BS 8004) 171
(ii) Partial Factors (Eurocode) 172
7.5 Eurocode Design Approaches 172
(i) Design Approach 1 (DA1) 172
(ii) Design Approach 2 (DA2) 173
(iii) Design Approach 3 (DA3) 173
8. PILED FOUNDATIONS: PILE GROUPS 177
8.2 Pile Groups in Clay (u = 0) 177
8.3 Pile Groups in Granular soil (c' = 0) 180
8.4 Settlement of Pile Groups 180
(a) Friction Piles 180
(a) End-Bearing Piles 181
8.5 A Note on Negative Skin Friction 181
Worked Example 8.1: Piles and Pile Groups 184
Piles and Piling Examples 1 195
Piles and Piling Examples 2 197
REFERENCES 199
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STUDY GUIDE
(i) Overview and Objectives
To impart a knowledge and understanding of the geotechnical design process.
To equip the student with additional methods of analysis.
(ii) Understanding, Knowledge and Subject-Specific skills
On completion of the module, the student should have an appreciation of the design/decision
making process in the selection of shallow. (S)he should also be able to,
distinguish between different types of foundations;
examine appropriate National and Euro- codes and implications in geotechnical design.
apply parameters obtained from site investigations to design situations;
estimate deformations under service load conditions;
design shallow / deep foundations to carry ultimate load;
explain the difference between drained and undrained response;
recognise mechanisms which contribute to generating deformations and load capacity;
(iii) Learning Materials
The majority of the materials required for this module are provided here.
All text-based material will be available as colour pdf files downloadable from the VISION
(see below). These will be useful if you need to find words or phrases via the search
function. Details of the VISION and how to register will be provided with the module.
Should you spot any errors in the course please let us know. Any changes to the course
materials will be posted online.
Additional resources and links may also be provided online or can be accessed via the library.
The library does not offer a postal service to distance learners but there are many resources
available electronically. As a Heriot-Watt University student you will have free access to
electronic materials by using the Athens password and registration information you should
have received at the start of your course. Distance Learning students will need to request
Athens registration from the School student office each year.
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(iv) VISION
The Universitys virtual learning environment VISION can be found on

https://vision.hw.ac.uk/. You should be able to login in to this site with your HW email
username and password but, as it is currently in development, you will probably not see all
the modules for which you are enrolled.
Distance learning students should have their accounts already activated and their login details
and computing information forwarded to them by our Student Office when they first begin
the course. If this is your first module on the course you will need to work this out to log in.
If you have already used it before and your registration details are correct on our database
then you should see this module automatically. If you know that material is available on
VISION for modules you are studying, but still cannot see them then you need to check with
your course leader that your module registration is correct. On-campus students will need to
follow the computing guidelines provided at the induction session to set up their HW email
accounts.
Please note that you can subscribe to receive messages on the discussion boards forwarded to
your HW email account. It is then possible to set up a forward of HW email (using the web-
based exchange account access) to any other email you wish see
http://www.hw.ac.uk/webmail/ .
(v) Study methods
We recommend that you first work through the text. Some of the material will become much
clearer once you try working with it yourself. In places we recommend that you read through
the material quickly to get a rough idea of the content and then return to it in more detail, as
necessary, when doing the exercises.
The revision questions are meant to be reminders of the subject matter and types of exam
questions. Some are small reminders of the material covered in the preceding text whereas
others will require deeper consideration. In all these cases we would strongly recommend you
contact your fellow students for discussion of these subjects to broaden your thinking. Many
of these questions will benefit from this group work and should help you gain alternative
perspectives as well as prepare you for the exam. We have not provided answers to the
simpler questions because these should be found easily in the text and the more discursive
questions may have many right answers.
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Most sections also have a summary that should help remind you of the content of that section
but these summaries may not include all the material you will need to know.
We hope to run a discussion board on VISION (see above) so that you can easily
communicate with others. You can also use VISION to communicate to individuals but feel
free to release further contact information so that you can, if you wish, communicate privately
in small groups. Heriot-Watt University cannot release any personal data about you to others
without your permission.
(vi) Assessment
The course is assessed by means of a two hour exam. The main focus of the exam will be
knowledge based covering the topic areas in the module. We hope the exam will test your
understanding of the main principles of the module and not just your abilities at remembering
specific details.
(vii) Assistance and Feedback
The module leader, Prof. John McCarter, will answer any questions relating to the academic
content of this module. For any difficulties you have with the administration or running of the
course please contact the School Office or your Course Leader.
John McCarter will be assessing your work and may provide guidance through the work. He
is always willing to help with any problems you may have and provide feedback on your
progress where appropriate. The best method of contacting him is by e-mail (listed inside the
front cover). Note also that all communication from the module leader will be through your
HW email account as most HW staff do not have any access to alternative e-mail addresses.
He will try and respond to any queries as quickly as possible but be patient; if you do not get
a reply, please try again in case your message did not get through.
You may also contact the School Office or your Course Leader if you have any difficulties or
cannot get a response. They will then follow up your query on your behalf. Any questions
raised and responses provided that might be of wider interest will be circulated to all studying
the module via VISION.
(viii) Text books
The following general texts are a good basis for exploring the subject area in detail. All are
available in the University library.
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These books contain a lot of detail on every aspect of geotechnical engineering much more
than is covered in this module:
1. Tomlinson, M. J., 'Foundation Design and Construction', Longman Scientific and

Technical, 6th Edition, 1995 (ISBN 0-582-22697-X).
2. Bowles, J. E. 'Foundation Analysis and Design', 5th Edition. McGraw-Hill International,

N.Y., USA, 1996 (ISBN 0-07-912247-7).
3. Terzaghi, K. Peck, R. B. and Mesri, G., 'Soil mechanics in Engineering Practice', John
Wiley and Sons Inc., New York, 3rd Edition, 1996 (ISBN 0-0471-08658-4).
The following are 'student friendly' containing the essential detail and lots of examples.
1. Scott, C. R., 'An introduction to Soil Mechanics', E & FN Spon Press, London, 3rd
Edition, 1994 (ISBN 0-419-16040X).
2. Whitlow, R., 'Basic Soil Mechanics', Longman Scientific and Technical, 3rd Edition,
1995 (ISBN 0-582-23631-2).
3. Das, B. M., 'Principles of Foundation Engineering', PWS-ITP Publishing Company,

Boston, USA, 4th Edition, 1998 (ISBN 0-534-95179-1).
4. Craig, R. F., 'Craig's Soil Mechanics', E & FN Spon Press, London, 7th Edition, 2004
(ISBN 0-415-32703-2)
5. Smith, I., 'Smiths Elements of Soil mechanics', Blackwell Publishing, 8th Edition, 2006
(ISBN 1-4051-3370-8).
All British Standards and European Standards cited within the text can be accessed via your
Athens account.
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1. OVERVIEW OF FOUNDATION TYPES
1.1 Introduction
The foundation of a structure is defined as that part of the structure in direct contact with the
ground and which transmits the loads of the structure into the ground [Tomlinson, 1995] with
due regard to settlement and bearing capacity; the type of superstructure (e.g. beam and
column, wall and slab) will also influence foundation design. Foundations can be divided
into two broad groupings, namely, shallow footings and deep footings.
Shallow footings are formed at a level close to ground surface where there is adequate soil
strength and settlement is within tolerable limits; such footings include pad, strip and raft, the
latter can also be formed at depth so as to provide a basement to the structure. The classic
definition of a shallow footing states that a footing is considered as shallow if the founding
depth (D) is less than its width (B) (see Fig. 1.1). Deep footings include piled foundations
and various forms of caissons and piers. Such footings transfer their loads at a much greater
depth than shallow footings and would be used in situations where adequate bearing capacity
cannot be obtained in the soil layers near the surface and/or settlement would be excessive in
these upper layers.
B
Fig. 1.1 A shallow footing where D/B < 1
Generally, footings must be founded:
Below top-soil or organic matter. The topmost 150-300mm of soil is unsuitable

material on which to place a footing - it has been weathered, is loose and contains
decayed organic matter and is, as a consequence, soft and highly compressible; before
construction begins this layer of soil is removed.
Below frost line to avoid problems of frost heave. Generally, the minimum depth of a
foundation in UK is 600mm below ground level to avoid problems due to frost heave
although in clays it is more usual to go to 1m.
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Below zones of high volume change due to moisture fluctuations, such moisture
changes can cause both swelling (an increase in soil volume due to an increase in
moisture content) and shrinkage (a reduction in soil volume due to a reduction in soil
moisture content). Clays are particularly susceptible to such problems.
Below zones of seasonal moisture movement. If the water-table fluctuates, this will
change the effective stress within the soil which, in turn, can change the bearing
capacity of the soil (as we will see later on).
The two broad groupings of footings noted above shallow and deep - can be further sub-
divided and an overview of each is presented below.
1.2 Shallow Foundations
Shallow foundations represent the simplest form of transferring load from a structure into the
ground. They are typically constructed with generally small excavations into the ground, do
not require specialized construction equipment or tools, and are relatively inexpensive. In
most cases, shallow foundations are the most cost-effective choice for support of a structure.
(a) Pad footings (See also BS 8004: 1985 Section 3.2.4)
These are used where columns are widely spaced and the bearing capacity of ground at 1.0 m
S
depth or so is adequate to restrict their size to B < (square) where S = column spacing (see
2
Fig. 1.2).
If the size is greater than this, a cost comparison should be made with a continuous strip or
raft foundation. In connection with the design and construction the following should be
B
Fig. 1.2. Schematic of pad footings
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noted:
A blinding layer of high slump concrete is placed on the soil at founding depth (50-
75mm). This gives a firm level surface for placement of reinforcement.
A uniform base pressure can be assumed
The moment at face of column (see, for example, BS8110-1: 1997: Section 3.11.2.2) is
used to obtain main tension steel and the bas is reinforced in both directions.
Need to check shear and punching shear on critical shear perimeter (see, for example,
BS8110-1:1997 Section 3.7.7)
Need to check that no tension exists on the base (middle third rule) else there could be
lifting of the footing.
Fig. 1.3 below shows a typical layout of pad footings for a low-rise structure.
Fig. 1.3 Pad footings under columns
(b) Strip footings (See also BS 8004: 1985 Section 3.2.5)
Invariably used for walls and for columns which are closely spaced in one direction (Fig.
1.4). They are popular because of their ease of construction particularly excavation. Again,
adequate bearing capacity within 1.0m depth or so of ground level is required. Strip footings
are also useful in reducing differential settlement if this could be a problem
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(a)
(b)
Fig. 1.4 Schematic showing strip footing for (a) wall and (b) column loading
(c) Piers
If the ground is not satisfactory at 1.0 to 1.5m depth, then mass concrete fill may be put under
the bases of type (a) or type (b) footings discussed above. See Fig. 1.5
If more than 1.0m

3.0m check
cost with raft Mass concrete
Mass or piled
concrete foundation Safe
bearing
stratum Stratum 'stepped'
Fig. 1.5 Pier footing
(d) Raft (See also BS 8004: 1985 Section 3.2.6 and 4.3.3.2)
When size of depth of types (a)(c) above foundations gets towards maximum a raft
foundation may be used (Fig. 1.6); due to its large plan area, it is also useful for foundations
in soils of low bearing capacity, which will have to support high wall or column loads. A raft
is particularly useful if it also forms the ground floor slab. Rafts are designed as flat slabs.
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Fig. 1.6 Schematic showing a raft foundation
A variation of the raft is the buoyant raft, or, more correctly, a compensated raft foundation
(see Fig. 1.7). In this, the weight of the structure and substructure, including any imposed
loading, balances the total weight of the excavated soil and water such that the net increase in
pressure at founding depth is zero and is then said to be fully compensated. When the gross
load exceeds the weight of the excavated soil, as is generally the case, the foundation is
partially compensated, the degree of compensation being expressed by the ratio of the total
excavated weight to gross load.
Fig. 1.7 Sectional view of a compensated or buoyant raft foundation.
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1.3 Deep Foundations (See also BS 8004: 1985: Chapter 7)
Although this group comprises piles, caissons and piers, only an overview of piles will be
presented.
The function of a pile is to carry the load from a structure to a level at which it can be borne
safely and economically. Piles fall into two main types:
(1) End bearing: The pile passes through weak material and its point is embedded in a
firm stratum. Note: in connection with driven piles, you will need to check by
levelling that heaving of soft soil during subsequent pile driving does not lift adjacent
piles already driven - if it does, then redriving of effected piles is necessary.
(2) Friction: The load on the pile is, predominantly, transmitted to the soil by skin
friction mobilised along the sides of the pile. Piles in clay soil generate much of their
capacity by side friction. However, in soft clays, the value of friction piles is doubtful
in many cases because of time-consolidation effects.
Although the design of piled foundations is not developed in this module, for informative
purposes, a summary of pile construction is presented below. This overview is by no means
definitive and the reader is directed towards more specialist technical literature for further
details (e.g. Tomlinson, 1996; http://www.geoforum.com/info/pileinfo ).
1.3.1 Pile Types
Piles types and construction techniques are varied and include, for example,
(i) Driven piles: timber, precast reinforced concrete, precast prestressed concrete, steel)
(ii) Driven, cast-in-place concrete
(iii) Bored, cast-in-place concrete: small diameter up to 600mm; large diameter 750-
1500mm.
Table 1.1 below presents some of the advantages and disadvantages of the different
construction techniques.
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Type Advantages Disadvantages

(i) Compacts loose sands. May reduce shear strength of sensitive clays.
Quality of pile known (before driving) Heads to be trimmed level.
Can usually be loaded immediately. Large headroom and piling frame required.
Good for marine work. Vibrations to adjacent buildings during
driving.
(ii) Compacts loose sands. Disturbs sensitive clays.
Lengths easily adjusted Quality of piles less certain.
Cannot be loaded immediately.
May be damaged by driving adjacent piles.
Vibrations during driving.
(iii) No vibrations during construction. No compacting effect.
No heaving during construction. Cannot be loaded immediately.
Lengths easily adjusted. Problems of pile integrity.
Enlarged base can be formed. Large piling rig may be required.
Bearing stratum can be inspected. May require bentonite or permanent casing
Boulders can be chiselled through. in poor ground.
Can form retaining walls (secant, contiguous) Load testing expensive
Table 1.1 Advantages and disadvantages of different pile construction techniques.
1.3.2 Materials and Construction
Type (i)
Timber piles: Relatively inexpensive in some areas and easy to handle - jarrah, greenheart
and teak are very good; pine is also commonly used. Timber, however, is liable to rot,
especially if subjected to conditions which are subjected to cyclic wetting and drying.
Consequently, it may be advantageous to locate the foundation completely below ground
water level. Timber is also liable to insect attack by: ants and marine borers (limnoria
lignorum or the gribbles). Chelura terebrans, Terado Navalis (the shipworm). Limited
protection is given by pressure creosoting.
Precast Piles: Commonly 300-450mm square, hexagonal or octagonal and 5-30m long. For
very long lengths hollow type gives greater stiffness for same volume of concrete. Good for
marine work and where the pile sticks above ground as a column.
Steel: Steel H or box piles (channels welded together). The latter are useful for very long end-
bearing piles and are usually coated with acid-free tar because of danger of corrosion.
Cathodic protection is also possible.
Type (ii)
A steel tube with a steel shoe or plug of concrete at the bottom is driven to the required depth.
A pile is then formed within the tube which may, or may not, be withdrawn. If it is
15
withdrawn then care must be taken to prevent the inflow of soil and water during
construction.
For example, a steel tube with a steel or cast iron shoe at the bottom is top-driven to the
required depth. Concrete is then placed within the tube which is vibrated loose before the
concrete sets. During extraction, the vibration ensures that the concrete will flow and compact
(Fig. 1.8). See http://www.geoforum.com/info/pileinfo/view.asp?ID=59
Fig. 1.8 Formation of a cast-in-situ pile.
In the formation of a Franki pile, a tube is bottom-driven with a plug of dry concrete to seal
the bottom end (Fig. 1.9). A hammer dropped within the tube compacts this concrete plug
and friction between this plug and the tube then drags the tube into the ground. When the
required depth is reached the tube is suspended and part of the plug is driven out into the
ground. A bulb of concrete is usually formed at the bottom which is useful for increasing the
end-bearing capacity of the pile. More concrete is added as the tube is gradually withdrawn.
See http://www.geoforum.com/info/pileinfo/view.asp?ID=45
Fig. 1.9 Formation of a Franki pile.
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A variation is the Raymond pile where a tapered steel shell is driven into the ground. This
tube is filled with concrete and is left in the ground. The taper is more useful for friction than
for end-bearing piles. Typically 200mm diameter at the base increasing by 10mm per metre
length. See http://www.geoforum.com/info/pileinfo/view.asp?ID=41 .
In the formation of a West's shell pile, a precast concrete shoe and 1.0m long concrete
cylinders (shells) are sleeved onto an inner steel mandrel and driven into the ground and left.
The inner steel mandrel is withdrawn and concrete and reinforcement are placed in the core
(Fig. 1.10). For deep piling, the pile can go askew with consequent difficulty in withdrawing
the inner mandrel.
Fig. 1.10 Construction of a West's shell pile
See http://www.geoforum.com/info/pileinfo/view.asp?ID=58 .
Type (iii)
Construction is undertaken using a 'shell and auger' technique. A steel cylindrical tube is
sunk into the ground and the soil excavated by an auger within it (Fig. 1.11). This continues
to the required depth. A steel reinforcing cage is then lowered into the pile and shaft
concreted while, at the same time, the steel lining tubes are withdrawn. If the pile bore
becomes filled with water, a tremie would be needed to place the concrete; further, in adverse
groundwater conditions (e.g. flowing water), the steel liner may have to be left in place to
protect the concrete. Bentonite may also be used to support the pile bore during construction.
See http://www.geoforum.com/info/pileinfo/class_list.asp?Method=1
Continuous flight auger (CFA) is also a popular pile installation system. See
http://www.geoforum.com/info/pileinfo/view.asp?ID=8 .
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Fig. 1.11 Shell and auger technique used in the construction of cast-in-situ piles.
1.3.3 Pile Loading Tests
These are expensive, but the bearing capacity of a pile under static load cannot be reliably
estimated in any other way. Loading tests are very good for end bearing piles or friction piles
Concrete blocks
Ensure c.g. of
kentledge
coincides with
Steel beams axis of pile
Crib supporting
kentledge
>1.3m
Pile head: capped and

(a) prepared
>3
>2m
(b)
Fig. 1.12 Pile load testing systems (a) kentledge-reaction, and (b) anchor pile
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in sand. In clays, it would really be necessary to test a group of piles and to maintain the load
over a long period of time to determine time-consolidation effects.
If possible, piles should left for 2-3 days (in granular soil) or one month (in clay) after
driving, before applying the test load to allow dissipation of excess pore water pressure
generated during driving. Load can be applied by:
(a) a loading platform with weights greater than test load supported on ground well clear or
pile then load pile by jacking against this (kentledge reaction, see Fig. 1.12(a)); or
(b) jacking against a pair of adjacent piles (anchor pile system, see Figs. 1.12(b) and. 1.13).
Pile under
test Reaction frame
Anchor
pile Anchor
pile
Fig. 1.13 The anchor pile test system.
The load is applied in increments of about 5 tonnes with about 2 hours allowed between each
increment or sufficient time for settlement to cease. The load is applied to ultimate bearing
capacity (i.e. when settlement continues without increase in load or when settlement exceeds,
say, 150mm) or to twice the proposed working load.
The load versus settlement (to 0.5mm) response is recorded. Typical plots are presented in
Fig. 1.14 (a) and (b) below.
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Load Load
settlement
settlement
(a) (b)
Fig. 1.14 Typical load/displacement response for (a) friction or end

bearing pile in sand and (b) friction pile in clay
For Fig. 1.14(a), the permissible load may be taken as half the load which produces a given
settlement, for example, 50mm. For (b), the permissible load equals the failure load divided
by factor of safety, normally between 2-3.
For end-bearing piles driven through soft clay to a firm stratum it is important to estimate the
bearing capacity of the point without any skin friction effect as the load will, ultimately, be
transmitted entirely through the point in this case. Two methods of doing this are:
(a) Drive two piles, one stopping in the clay just above the firm stratum and the other
driven into it. Load both simultaneously. The difference in the resistances to
penetration will be approximately equally to the point resistance.
(b) Drive a special pile with an inner tube to enable the test load to be transmitted to the
point only.
1.3.4 Action of Friction Piles driven into Sensitive Clay
On remoulding a clay loses part of its shear strength; the ratio of the undisturbed shear
strength to its remoulded shear strength is defined as its sensitivity,
Undisturbed shear strength

Sensitivity, St = (1.1)
remoulded shear strength
This value can vary from 1 (insensitive clays) up to values in excess of 100 (quick clays).
During driving, the dynamic resistance to penetration may be considered, but during loading
test or under structural load it is the static resistance which is important. These resistances
are different because of time consolidation effects in clays. During driving a volume of clay
approximately equal to the volume of the pile must be displaced laterally and undergoes
20
remoulding (see Fig. 1.15). If displacement is considered in the horizontal direction, the
movement may be sketched as shown in Fig. 1.15 with the soil element undergoing
displacement and large shearing strains. This leads to a loss of shear strength of the soil near
the pile and, consequently, a loss of skin friction during driving.
Diameter of pile = D Lateral displacement

of soil
D/2
probable zone of
disturbance
Fig. 1.15 Zone of disturbance to soil around a pile during driving.
The shear strength may vary with the distance from the side of the pile and time after driving
as depicted in Fig. 1.16.
1
Shear strength of soil
Distance from pile
Fig. 1.16 Variation in shear strength of soil with distance from the
pile shaft for a driven pile.
For the schematic shown in Fig. 1.16, the numbers represent the condition:
(1) Before driving.
(2) Immediately after driving. Remoulding of the soil and high pore water pressure in soil
close to pile. Some flow of water outwards (i.e. dissipation of pore water pressure)
and consolidation begins.
21
(3) Consolidation of clay near pile leads to increased strength after a few days. This
would also result in an increased resistance to redriving.
(4) Some weeks after driving note increased shear strength, and skin friction, near pile.
Point resistance during driving is large and can be regarded as the force required to displace
the saturated soil (which is almost incompressible under dynamic loads). This implies that
the driving resistance is primarily point resistance. Later, however, if a static load is placed
on the pile, this may be considered to be transmitted through the point initially, but due to
dissipation of excess pore water pressure (i.e. consolidation) then, under load, skin friction
must be mobilised along the sides of the pile to resist the applied load i.e. the static resistance
is mainly skin friction. Hence, even if dynamic formulae truly indicated the driving
resistance (which is doubtful) this bears no relation to static resistance of friction piles in
clays.
1.3.5 Negative Skin Friction
This may occur when end bearing piles are driven through a soil layer which subsequently
consolidates and settles relative to the piles. For example:
(a) Piles driven through recently placed compressible fill or through any fill recently placed
on top of normally consolidated clay.
(b) If fill is placed around the piles after driving.
(c) If the piles are driven through highly sensitive clay.
Eventually the piles may have to support an additional load due to the whole weight of soil
within the group of piles.
1.3.6 Design Procedure for Piled Foundations
Below is an outline summary of the design process for a piled foundation:
(1) Determine the soil profile, e.g. by boring and sampling (essential).
(2) Select type of pile and length (if possible). The length may be easy to fix for end-
bearing piles but some test piles will be needed before the required length of friction
piles can be decided.
(3) Test 1 pile (or better, several piles) for ultimate bearing capacity.
(4) Decide on safe load per pile.
22
Total _ Load
Then, number of piles required =
Safe _ Load / pile
(5) Space at 2-4 pile diameters (or equivalent diameter). Find the area of foundation
required to accommodate the required number of piles. Roughly, if this is less than
half the area of the building, piled footings are likely to be economical. Otherwise
consider a piled raft.
(6) For a group of friction piles in soft clay check the factor of safety against shear failure
of the whole group (should be 23). Also check the settlement of the pile group.
23
2. STRESSES UNDER LOADED AREAS
2.1 Introduction
When a load is applied to a soil mass, everywhere within the medium will be in a state of
stress. Generally speaking, an element of soil will have nine stress components acting on it -
3 normal stresses and 6 shear stresses (see Fig. 2.1); however, due to the complementary
r
y
x
Fig. 2.1 Stresses on an element of soil
shear stress condition, only 3 shear stresses need to be found. For analysis purposes,
Eurocode7 (BS EN 1997-1, 2004) states that for 'computing the stress distribution in the
ground due to loading from the foundation; this may be derived on the basis of elasticity
theory, generally assuming homogenous isotropic soil' (the so-called Boussinesq half-space)
2.2 Stress/Strain Relationship for Soil
For a material such as mild steel, which show a well defined yield point, a typical stress/strain
curve is presented in Fig. 2.2 and the inset displays the 'idealised' stress/strain curve (tension)
used for design.
Plastic
Stress
idealised
Elastic
Strain
Fig. 2.2 Stress-strain for steel showing a well defined yield point and idealised curve for design.
24
For design purposes, we would like the material to have a definite elastic region and a
definite plastic region as depicted above. However, for soil, a typical compressive
stress/strain curve might be as presented in Fig. 2.3.
Failure
Stress
Plastic?
Elastic?
Strain
Fig. 2.3 Schematic showing typical stress-strain curve for soil.
For such a material there is no well defined elastic region; no well defined plastic region, and
no definite yield point. Consider, however, the stresses and displacements (strains) when the
soil is still elastic this approximation is only valid if the stresses are considerably below
failure stress. So, in foundation problems the following conditions are assumed to exist:
(a) for bearing capacity problems (failure or collapse condition), the induced stresses are
high enough to assume plastic failure of the soil; and,
(b) for settlement problems (serviceability), the induced stresses are low enough to assume
elastic behaviour. Terzaghi (Terzaghi, 1943) suggests, that induced stresses should not
be greater than (failure stress) and implies a factor of safety of 3 on ultimate bearing
capacity of the soil.
2.2.1 An overview of the design process
The work below has assumed that the footing rests on ground surface; generally, this is not
the case and the footing is placed at depth. In geotechnical work, the net stress increase at
founding depth is used to calculate stress increases below the footing, where,
qnet = qgross overburden stress at founding depth
The gross contact stress, qgross, is calculated using the loading from the structure divided by
the plan area of the footing. The loads used to calculate the contact stress depend on whether
a permissible / working stress approach is used (as in BS 8004) or a limit state approach is
used (as in Eurocode 7). Further, as noted above, there are two geotechnical aspects to
25
consider settlement of the foundation and shear failure of the soil beneath the foundation.
Settlement is a serviceability condition whereas shear failure of the soil due to overstressing
is a collapse or ultimate limit state condition.
With settlement problems, the working loads are used in the permissible stress approach
(working loads are the same as unfactored loads). When designing for the collapse condition
using this approach, a global factor of safety (usually between 2-3) is used on the calculated
ultimate bearing capacity of the soil to obtain a safe bearing pressure; working loads are then
used to calculate the actual bearing pressure. The safe bearing pressure must then be greater
than the actual bearing pressure due to working loads.
In the limit state approach, partial factors are used on the shear strength parameters of the soil
(c', cu, ) to calculate its design bearing resistance, the factored loadings (or actions as used in
the Eurocode) from the structure then used to calculate the ultimate limit state design
pressure. The design resistance of the soil must then be greater than the design pressure from
ultimate loads. The actions mentioned above can be permanent as in the case of dead load
or variable as in the case of imposed, wind and snow loads.
Both these approaches will be discussed later in the module.
2.3 Boussinesq Equations for a Point Load
For a point load, Q, resting on a semi-infinite elastic medium Boussinesq (Boussinesq, 1885)
derived the following set of equations for the induced stresses at any point in the medium.
The problem has radial symmetry and hence only four stresses need be found (3 normal and
one shear) as the radial stress, r, is a principal stress and no shear stresses exist on the face
on which it acts (see Fig. 2.4).
26
P
Q
Cylindrical co-
ordinates
z
r
t (tangential)
Fig. 2.4 Stress in a soil mass due to a point load on the surface. Cylindrical co-
ordinates are used.
With reference to Fig. 2.4, if is Poisson's ratio for the soil, the stresses are given by the
following expressions:

Q 3z 3
z = (2.1)
2 2 5
r +z (
2
) 2

Q 3 zr 2 1 2
r = (2.2)
2 2 5
2 2
1
(
r +z
2
) 2 2 2 2
r + z + z( r + z )

Q z 1 ( 1 2 )
t = (2.3)
2 ( r 2 + z 2 ) 3 2 r 2 + z 2 + z( r 2 + z 2 ) 12

Q 3rz 2
zr = = rz (2.4)
2 ( r 2 + z 2 ) 5 2
27
Equation 2.1 above can be rewritten,
3
Q 3z 3 Q 2
z = . 5
= 2. 5 (2.5)
2 ( r 2 + z 2 ) 2 z 2 2
r
1 +
z
Q
Z = .N B (2.6)
z2
r
Where NB is the Boussinesq coefficient and is a function of the ratio . Values are presented
z
in the Fig. 2.5 below. Note the problem when z = 0 and r = 0 i.e. immediately under the point
load.
0.5
0.4
0.3 3
NB = 2
NB
5
r 2 2
1 +
0.2 z
0.1
0
0 0.5 1.0 1.5 2.0 2.5 3.0
r/z
Fig. 2.4 The Boussinesq coefficient, NB.
2.4 Stresses produced by uniformly loaded areas
On the surface of a semi-infinite elastic mass, the Boussinesq point load result can be
integrated over the loaded area to give the stresses at any point in the medium. Presented
below are the solutions for the vertical stress increase for number of regular loaded areas; it is
assumed that the load is transmitted to the soil through a perfectly flexible footing which can
take up the shape of the deformed ground surface. The implications of this assumption will
be discussed at the end of this section.
28
2.4.1 Circular Loaded Area
To calculate the vertical stress increase below the plan centre of a circular loaded area of
radius R, consider point A at depth, z, as shown in Fig. 2.5.
q/unit area
r
R
z
A
Fig. 2.5 The stress below the centre of a circular loaded area.
The circular area is subdivided into elemental areas as indicated on Fig. 2.5. The stress
increase due to the elemental area at point A is calculated and then is summed (i.e. integrated)
over the entire area:
Elemental loaded area = r..r
Load on area = q.r..r
This can be considered as a small point load hence, according to the Boussinesq result, will
produce an incremental increase in vertical stress (z) at a depth, z, below the centre of the
footing of,

3 qr rz 3
z = (2.7)
2 ( r 2 + z 2 )52

29
Since the radius of the loaded area is R, then the stress increase at A due to the whole area is
obtained by the double integration,
2 R
3 qz 3 rd dr
z =
2
0 0 (r 2 + z 2 )
5
2
(2.8)
Performing the integration yields:
3
z
z = q 1
(2.9)
2 2
3
2
(R + z )
This can be written in a dimensionless format,

1
z
= 1
(2.10)
q 3
R 2 2

+ 1

z
Equation 2.10 is now plotted in Fig. 2.6. The horizontal stress, r, on the vertical axis can also
be evaluated and its variation with depth is presented in Fig. 2.7.
Vertical stress, z, as % of applied stress, q
0 10 20 30 40 50 60 70 80 90 100
0
1
2

3 z
= 1
1
q 3
2 2

4
R
+ 1
z
z/R
5
6 Vertical stress beneath plan centre
7
8
9
10
Fig. 2.6 Variation in vertical stress below the centre of a circular loaded area. Note:
y-axis is presented as z/R i.e. depth as multiples of the footing radius.
30
Horizontal stress, r , as % of applied stress, q.
0 20 40 60 80 100
0
2

z3
z/R
q 2(1 + )z
r = (1 + 2 ) +
2 2 2 2
1
2 2 2
3
(R + z ) (R + z )
3
Horizontal stress on axis assuming = 0.5

4
Fig. 2.7 Variation in horizontal stress below the centre of a circular loaded area.
From Figs. 2.6 and 2.7 it is evident that the vertical and, to a greater extent the horizontal,
stresses reduce rapidly with increasing depth below the footing.
The evaluation of the vertical stresses off-centre are more complex, however, the theoretical
distribution of the vertical stress increase at any point within the semi-infinite medium can be
Radius
Uniform intensity of
R
loading - q
Fig. 2.8 Bousinesq bulbs of pressure below a uniformly loaded circular footing.
31
represented by stress isobars or 'bulbs of pressure'. The isobars join up points of equal
vertical stress, as shown in Fig. 2.8; the distribution of vertical stress on any horizontal plane
below the circular loaded area can also be obtained and is presented in Fig. 2.9.
Loading intensity = q R
0.6q
R 60
R 0.3q
R 0.15q
Fig. 2.9 Stress distribution on a horizontal plane below a circular loaded area.
It is evident from the above analysis for the circular loaded area that, although, theoretically,
everywhere within the semi-infinite medium is stressed, only a relatively small volume of soil
beneath the footing is stressed to any significant extent and it is this volume of soil which will
contribute to settlement. Terzaghi (Terzagh, 1943) suggests that only soil contained within
the 20%-25% stress isobar will contribute to settlement to any significant degree. The
following should also be noted with regard to the bulbs of pressure:
(i) Bulbs of pressure for a square footing are approximately equal to those for a circular
footing of the same plan area.
(ii) Boreholes for an (isolated) footing should go down to about 1.5(width of footing) as
significant stresses go down to this level (i.e. depth to which the 20% stress isobar
penetrates).
(iii) Due to stress overlap, individual footings may act together if the distance, s, between
centres is less than approximately 3B-5B (where B is the width of individual footing).
If stresses overlap, then boreholes should be taken to a depth of 1.5L (i.e. width of
building, see Fig. 2.10).
32
s s
Fig. 2.10 Bulbs of pressure under individual footing and potential stress overlap.
2.4.2 Rectangular Loaded Area
The vertical stress increase at any depth, z, below a rectangular loaded area, z, from a
uniformly distributed load can be established by the method of superposition of stresses and
applying the Boussinesq point load equation. Steinbrenner (Steinbrenner, 1934) obtained the
vertical stress increase below the corner of rectangular loaded area as (see Fig. 2.11):
2 2
1
2 2 2 2 2
1
2
z = q 2mn(m + n + 1) (m + n + 2) + tan 1 2mn(m + n + 1)
4 ( m 2 + n 2 + m 2 n 2 + 1) (m 2 + n 2 + 1) 2
m + n 2 m 2 n 2 + 1

(2.11)
Where m = B z and n = L z in the above equation.
Fig. 2.11 Stress below the corner of a rectangular loaded area.
33
The stress increase can be written as,
z = q(influence factor, po) (2.12)
where the influence factor, po , is obtained from the chart prepared by Fadum (Fadum, 1948)
and presented in Fig. 2.12; po is related to the values of m and n.
0 .2 6
m = 3 .0 m = oc
A re a c o v e re d m = 2 .5
0 .2 4 m = 2 .0
w it h u n ifo rm m = 1 .8
n o r m a l lo a d , m = 1 .6
0 .2 2 m = 1 .4
m = 1 .2
nz q
x m = 1 .0
0 .2 0 y
mz
z m = 0 .9
m = 0 .8
0 .1 8 z = q po m = 0 .7
z
0 .1 6 m = 0 .6
Influence factor, po
N o te : m a n d n a r e in te r c h a n g e a b le m = 0 .5
0 .1 4
0 .1 2 m = 0 .4
0 .1 0
m = 0 .3
0 .0 8
m = 0 .2
0 .0 6
0 .0 4 m = 0 .1
0 .0 2
m = 0 .0
0
0 .0 1 2 3 4 5 0 .1 2 3 4 5 1 .0 2 3 45 10
n
Fig. 2.12 Fadum's chart based on Steinbrenner's solution
With reference to Fig. 2.13 to obtain po the chart is operated as follows: the values of m and n
are computed for the particular rectangular area. Having obtained the m and n values, the
value of n is located on the x-axis and a vertical line drawn to intersect the curve for the
appropriate m value. A horizontal line is drawn at this intersection point and where this cuts
the vertical axis obtains the value of po. Interpolation by 'eye' will be required for values of m
lying in-between those presented in the chart. It is also important to note that m and n are
34
interchangeable, in other words, the x-axis could equally represent values of m and the curves
values for n.
Influence Factor, po
0.175 m (or n) = 1.0
1 n (or m)
Fig. 2.13 Operation of Fadum's chart; in this particular example n = 1and m = 1
The following should also be noted:
1
(i) if m and n < the Boussinesq point load expression (equation 2.6 above) gives
3
approximately the same answer,
(ii) if m or n > 3, the result is approximately equal to that of an infinitely long strip load (a
L
strip footing is one where > 10).
B
(iii) The principle of superposition can be used to obtain z at other points not under a
corner i.e. a point within or outwith the foundation. With reference to Fig. 2.14,
consider a rectangular area dimensions L (length) B (breadth) loaded with q
units/m2 (i.e. the red rectangle KMHF). Note: L is always taken as the greater of the
two plan dimensions and B the lesser.
To calculate the stress increase below point A which lies within the area perimeter, the
rectangle can be subdivided into four rectangles each with a common corner over the
point below which the vertical stress, A , is required and each loaded with q units/m2.
Hence,
35
A = q (p o ,KPAR + p o ,PANM + p o ,ANHG + p o , AGFR ) (2.13)
Where po,KPAR etc. represents the influence value for the respective rectangle.
To calculate the stress increase below a point outwith the loaded area, for example
point C on Fig. 2.14, the loaded area is extended to form a rectangle with a corner
over point C. The procedure would then be to 'subtract' the stresses caused by the
areas which are not loaded i.e.
C = q (p o ,DCNH p o ,DFEC p o ,JMNC + p o ,JKEC ) (2. 14)
L
D F
H
G
R
A N B
K P
J
M
C
E N
Fig. 2.14 Showing the principle of superposition for points within and
outwith the footing boundary.
The small rectangle JKEC ha been subtracted off twice, hence the reason for adding it back
on again in equation 2.14.
Using this method vertical stress isobars below the centre of a strip footing of width B can be
computed and are presented in Fig. 2.15; for comparative purposes the stress isobars for a
square footing are also presented. In the case of the strip footing, it should be noted that the
20% stress isobar, which contains the most stressed soil contributing to settlement, penetrates
to 3B.
36
Square B/2
Strip
B/2
1.5B 1B 1B 2B 3B
0.9 0.
9
vertical 0.7
stress 0.5 1B
0 .5
isobars
.3
1B 0.3 0 2B
.2
0 .2 0
3B
0.1
2B 0.1 4B
5B
3B 6B
0.05
0.05
7B
Fig. 2.15 Vertical stress isobars for a square footing (left) and strip footing (right).
Note change in horizontal and vertical scales between left and right.
2.4.3 Stress increase by simple dispersion
An approximate value for the average stress increase on any horizontal plane below a strip or
square footing can be obtained by simple dispersion methods. It is important to appreciate
that this only gives the average stress increase, it will not give the maximum value.
Consider the strip footing of width, B, as shown in Fig. 2.16, with a loading intensity of q
kN/m2. Now, if a one metre run of the footing is considered then:
Load transmitted through the area = qB1 (kN).
If the angle of load dispersion is taken as , then the dispersed area = (B + 2.z.tan)1
Hence the average stress increase, z, at depth z is
Load q B 1
z = = (2.15)
Area ( B + 2 z tan ) 1
In a similar fashion, for a rectangular footing of dimensions L B, the stress increase in

given by,
37
q BL
z = (2.16)
( B + 2 z tan )( L + 2 z tan )
The dispersion angle can be taken as approximately 30 or, more generally, 1 unit
horizontal and 2 units vertical (i.e. = tan-10.5).
1m
q kN/m2
z
B z
Fig. 2.16 Showing load dispersion for a strip footing.
2.5 Stress below loaded areas: Summary
The following methods are available for calculating vertical stress increase below shallow
footings:
Boussinesq's point load result or bulb of pressure diagrams.
Steinbrenner's method for stress below a uniformly loaded rectangular area.
Simple dispersion.
Stresses need to be examined to a depth of approximately 2.0B-4.0B (depends on whether

isolated or strip) where B is the width of footing. Below this depth stresses are not significant
and contribute little to settlement, which will be discussed in the next section.
38
Worked Example 2.1: Stress Distribution
A uniformly distributed load (UDL) of 0.2MN/m2 is applied over a rectangular raft

6.018.0m on the surface of what can be regarded as a Boussinesq half-space. As an
approximation, replace the UDL with a suitable set of point loads and use the Boussinesq
point load result to calculate the vertical stress increase (z) at 9.0m below the plan centre
(C). Compare the result with Steinbrenner's method and simple dispersion.
(i) Point load approximation
As noted above, the Boussinesq point load approximation can be used if m and n are .
Since z = 9.0m, this implies that the raft must be sub-divided into rectangles where
B 1 L 1
m= B 3 and n = L 3 . For ease, choose L = B = 3.0m, hence the area must
9 3 9 3
now be subdivided into squares each 3.0m 3.0m. This is indicated on the Figure 2.17
below; only one quadrant of the area need be considered and the final answer multiplied by 4.
3.0m
3.0m
6.0m
C
r1 r2 r3
18.0m
Fig. 2.17. Sketch of the division of UDL area into rectangles for calculating
equivalent point loads.
Each rectangle can be replaced by an equivalent point load which acts through the centre of
gravity of the rectangle:
Point load, Q = 3 3 0.2 = 1.8MN
Using the Bousinesq point load result detailed above, the vertical stress increase below point
Q
A, z,A, due to a point load, P, is given by z , A = .N B where NB is a function of both the
z2
radial and vertical distance from the point load to A. Calculate the radial distances for each
point load:
39
r1 7.65
r1 = 1.5 2 + 7.5 2 = 7.65m and = = 0.85 . This gives NB = 0.12
z 9
r2 4.74
z 9
r2 2.12
z 9
By superposition, the stress increase at point C due to one 'quadrant' of loading is:
1.8
z ,C =
92
(0.12 + 0.25 + 0.42) = 0.0176MN / m 2
Therefore the total stress increase due to the whole foundation is:
z,C = 4 0.0176 = 0.0704 MN/m2 or 70kN/m2 (to 2sf)
(ii) Using Fadum's Chart
The procedure is to divide the raft up into rectangles each with a common corner directly
above the point at which the stress is required and shown below in Figure 2.18.
B C
3m
6m A
D
9m
18m
Fig. 2.18 Division of area for use with Fadums chart.
Stress below point A, z,A = 4 stress below corner of ABCD loaded with 0.2MN/m2
B 3 1 L 9
Consider rectangle ABCD: m = = = and n = = = 1
9 9 3 9 9
From Fadum's chart, po = 0.087 and z,A = 4 0.2 0.087 = 0.069MN/m2 or 69kN/m2
40
(ii) Using Simple Dispersion
The L/B for the footing is 18/6 = 3, therefore it is not considered as a strip. If the dispersion
angle is assumed to be 30 i.e. 30 from the vertical, then the dispersed area of the rectangle
at a depth of 9.0m can be obtained.
With reference to the Figure 2.19 below:
L' = 18 + 2ztan = 18 + 29tan30 = 28.4m
B' = 6 + 2ztan = 6 + 29tan30 = 16.4m
Total .Load 0.2 18 6

Hence the stress increase, z,A = = = 0.047MN/m2 or 47kN/m2
Dispersed .Area 28.4 16.4
6
18
L'
B'
Fig. 2.19. Dispersed area for a rectangular footing.
Notice how this gives a significantly smaller value than the other two methods. Remember,
this represents an average stress increases on a horizontal plane at a depth of 9.0m, it does not
represent the maximum value.
41
Stress Analysis Examples
(all dimensions in metres unless otherwise stated)
1. A rectangular footing of dimensions 20m x 8m, which rests on the surface of what can
be regarded as an elastic half-space, has a contact stress, q = 70kN/m2. Determine the
vertical stress increase, z, at a depth of 6m below point A indicated, which lies outside
the footing boundary (Answer 4.55kN/m2).
20m
8m
10m
4m
2 For the footing below, q = 200kN/m2; determine the vertical stress increase at 10m
below corner A. (Answer 32.6kN/m2)
15m
A
5m
10m
42
3. Assuming the Boussinesq expression for a circularly loaded area, determine the vertical
stress increase at a depth 10.0m below the axis of symmetry of the loaded area shown
(hatched) below. The footing is placed at ground surface and the contact stress is
200kN/m2. Using a suitable approximation, compare your answer with that obtained
from Fadum's chart. (Answer 73kN/m2)
20m 10m
4. The figure below shows the plan of a rectangular raft foundation which transmits a
gross contact pressure of 220kN/m2 at a depth of 2.0m. Site records show that a culvert
passes under the raft at a depth to the soffit of the raft of 4.0m (fall of culvert ignored).
The soil layer can be regarded as semi infinite. Calculate the intensity of vertical stress
on top of the culvert below points A, B and C that will be induced by the raft. The unit
weight of the soil is 19kN/m3. (Answer 142 kN/m2; 71 kN/m2; 5 kN/m2). Note: use net
increase in contact pressure (net pressure = gross pressure overburden stress at
foundation level).
Line of culvert
2.5m
8m
A
(centre)
2.5
4m
15
43
3. A concentrated load of 60kN acts vertically on a horizontal surface of soil. Plot the
variation in vertical stress due to the load on two horizontal planes at depths of 1m and
5m below the soil surface.
4. What can be regarded as three point loads of 500kN, 150kN and 350kN, 2.0m apart in a
straight line, act on the surface of a soil mass. Calculate the resultant stresses produced
by these loads on a horizontal plane 1.5m below the surface, at points vertically below
the loads and also at the mid-points between them on this plane.
5. The plan of a flexible foundation is show below and rests on the surface of what can be
regarded as a semi-infinite medium. The uniform pressure exerted on the soil is
55kN/m2. Using Fadum's chart, determine the vertical stress increase in the soil due to
the foundation at a depth of 4m below point X.
8m
X 3m
6m 1m
1.5
m
6. In a city development, a large underground car park in to be constructed with 6.0m of

compacted soil over its roof. A square footing from another structure is to be placed on
the ground surface above the car park, near its centre. This foundation has dimensions
8.0m x 8.0m and will be loaded to a uniform pressure of 220kN/m2. The soil covering
the car park roof is compacted to a void ratio, e, of 0.48; a degree of saturation, Sr, of
30% and a particle specific gravity, Gs, of 2.70. (Note: bulk unit weight = w[(Gs +
eSr)/(1+e)]
Sketch the distribution of the total vertical stress on the roof on a line directly below
(i.e. 6.0m) a line joining mid-points of opposite sides of the foundation. For this,
evaluate the stresses below these points, the quarter points and the plan centre of the
foundation. (Answer 181 kN/m2 209 kN/m2, 218 kN/m2)
44
3. DEFORMATION DUE TO SURFACE LOADING
3.1 Introduction
When a saturated soil element is subjected to an increase in compressive stress, settlement

deformation of the soil mass will occur. Eurocode7 states that for the calculation of
settlements in saturated soils, the following three components of settlement should be
considered:
(a) Settlement without drainage for fully saturated soil due to shear deformation at
constant volume;
(b) Settlement caused by primary consolidation; and,
(c) Settlement caused by creep (secondary consolidation).
The overall settlement of the footing will be the sum of (a), (b) and (c). In this module, work
will focus on the calculation of (a) and (b).
3.1.1 Settlement without drainage
This is sometimes called immediate or elastic compression and occurs immediately on

application of foundation load. Water has no time to drain out of the voids so this component
of settlement occurs before any volume change in the soil. Deformation thus occurs at
constant volume; further, this displacement is recoverable on removal of the load.
Regarding this component of settlement, Eurocode 7 states, 'The short-term components of

settlement of a foundation, which occur without drainage, may be evaluated using either the
stress-strain method or the adjusted elasticity method. The values adopted for the stiffness
parameters (such as E and Poisson's ratio) should in this case represent the undrained
behaviour.' This aspect is discussed in 3.2 below.
3.1.2 Consolidation Settlement
The application of foundation load, besides causing elastic compression of the soil mass,
creates a state of excess hydrostatic water pressure in a saturated soil i.e. excess pore-water-
pressure (p.w.p). The excess p.w.p. can only be dissipated by the gradual expulsion of water
through the soil and results in a volume change which is time dependent this process is
called consolidation. In consolidation problems it is the change in effective stress which is
important so it is critical that this concept is understood.
45
Consider Fig. 3.1 which represents the situation in the soil mass before application of
foundation load. The left-hand diagram represents the total overburden stresses whereas the
right-hand diagram represents the effective overburden stresses. The total vertical
overburden stress is denoted oz, horizontal stresses also exist to maintain equilibrium but are
omitted for clarity; the pore water pressure, u, in the soil is simply the hydrostatic head of
water i.e. wh, where w is the unit weight of water and h is the depth of the soil element
below the water table (WT).
WT
oz oz
u
u = hydrostatic head Where: oz = oz u
TOTAL OVERBURDEN EFFECTIVE OVERBURDEN

STRESS STRESS
Fig. 3.1 State of stress in the soil before load application
For the purposes of this module, only the vertical stresses will be considered. By definition,
the effective stress is,
Effective stress = Total stress pore water pressure
'oz = oz u (3.1)
Effective stresses are always 'primed' as above, to distinguish them from total stresses.
Fig. 3.2 now presents the situation where load has just been applied to the ground surface.
This will cause an increase in stress within the soil mass; in this case, the vertical stress
increase due to the foundation load is denoted z and can be calculated using any of the
techniques presented in Section 2 above. The soil is, in effect, 'squeezed' and, since there is
no drainage of water out of the soil, this induces an increase in pore water pressure within the
soil element. This is denoted u and is in addition to the hydrostatic pressure i.e. u is the
excess pore water pressure. Undrained conditions exist immediately after load application.
46
Water then starts to drain from the soil and does so until all the excess pore water pressure is
fully dissipated (i.e. u = 0). This process represents primary consolidation and results in a
volume decrease in the soil element. At the end of primary consolidation, the total and
effective stresses are presented in Fig. 3.3 and, at this stage, drained conditions exist within
the soil.
oz+
z oz+

z
u+u
where: oz = oz u
z = z u
TOTAL STRESSES EFFECTIVE STRESSES
Fig. 3.2 Total and effective stresses immediately after load application
(undrained conditions).
Assuming that the water-table remains in the same position over the period of consolidation,
the change in effective stress over this period is given by,
Change in effective stress = (effective stress at end of consolidation) (effective stress at

beginning of consolidation)
= ('oz + z) ('oz + 'z)
= ('oz + z) ('oz + [z-u])
= u
Note that there is no change in total stress over the same period. In consolidation problems
we are interested in changes in effective stress and it is apparent that the pore water pressure
within the soil will play an important role in these calculations.
47
oz+
z oz+
z
u
=0
z = z u
TOTAL STRESSES
oz = oz - u
EFFECTIVE STRESSES
Fig. 3.3 Total and effective stresses at the end of primary consolidation
(drained conditions)
3.1.3 Secondary Consolidation
Secondary consolidation occurs at the end of primary consolidation and involves a volume
change that is independent of excess pore-water-pressure. In other words, this is a 'creep'
effect which occurs without any change in effective stress.
________________
The above concepts regarding settlement apply to cohesive material (i.e. clays) with primary
consolidation taking place over many years. This is as a result of the slow drainage of water
from the soil (clays have a low permeability) as the excess pore water pressure dissipates.
With granular material, however, any excess pore water pressure dissipates immediately and
the formulae developed below are not directly applicable to granular soil. For calculation of
settlements on granular material the following could be used but will not be discussed or
assessed in this module:
1. Schmertmanns Method (see, for example, Schmertmann, 1970, 1978);
2. The formulae developed below for immediate settlement but using the elastic
parameter (i.e. E, ) appropriate for the granular soil.
48
3.2 Elastic Settlement
Consider Fig. 3.4(a) in which a prismatic sample of material of length H and cross-sectional
area, A, is subjected to a compressive load, Q. The compressive strain and hence the
(immediate) elastic shortening of the material, , can be obtained and is presented in this
Figure. Below a loaded area resting on a semi-infinite, homogenous isotropic soil there is a
non-uniform stress/strain distribution (Fig. 3.4(b)). In order to evaluate the surface elastic
settlement, these strains must then be integrated over the full depth of the layer although, as
stated in Section 2 above, it is only that volume of soil within the surface 2B-4B which is
contributing to this settlement.
Elastic Area, A = BL
A rea, A settlement of q = Q/A
surface, Q
Q
= Q /A
Q
Q

H uniform
axial
stress,
infinite
non-uniform
stress field,
Q
Q
Elastic shortening, = H / E
Elastic Half-space
(a) (b)
Fig. 3.4 (a) Elastic compression of a material subjected to a uniform stress, and (b)
surface elastic settlement due to a non-uniform stress distribution beneath a loaded area.
3.2.1 Surface settlement due to a point load.
Consider Fig. 3.5. The stresses on an element of soil at a radial distance, r, and depth, z, from
the point load can be obtained and has been discussed in Section 2 above. The vertical elastic
strain, r,z , on the element at depth, z, below the surface is given by,
1
r ,z = { z ( r + h )} (3.2)
Eu
49
r, z =0 Q
r
t (tangential)
Fig. 3.5 Elastic settlement at surface due to a point load
where Eu and are the undrained elastic properties of the saturated soil. If the element is of
thickness, z, then the elastic compression of the element is given by r,z z; hence the total
vertical displacement at surface, r, z=0, is,
z =
r , z = 0 =
z =0
r , z z
= r ,z dz (3.3)
o
Since r, h and z are known (see Chapter 2, equations [2.1], [2.2] and [2.3]), the elastic
displacement at ground surface can be obtained. Performing the above integration yields the
simple solution,
1 2
r , z = o = Q (3.4)
rEu
Note the problem with the solution directly beneath the point load i.e. at r = 0.
3.2.2 Surface settlement due to U.D.L. on circular area
The elastic settlement at the centre of a flexible, uniformly loaded circular area resting on the
surface of a semi-infinite layer can be obtained by integration of the point load result.
Consider Fig. 3.6 in which the area is divided into a number of elemental loaded areas.
50
q/unitarea
r
R
r
centre
Fig. 3.6 Surface settlement below a uniformly loaded circular footing
Elemental loaded area = rr
Load on element Q = qrr
Using the point load result, the elastic displacement at centre of circular area due to elemental
load is given by,
1 2 2
centre = Q = qr 1 (3.5)
rE rE
u u
Hence, the total elastic displacement at centre of the circular loaded area due to all the
elemental areas is,
=2 r = R 2 R
1 2 2
= q 1
centre =
=0 r =0
qr
rE u

rE
u

drd
o o
(3.6)
Which yields,
1 2
centre = 2qR
(3.7)
Eu
3.2.3 Surface settlement due to U.D.L. on Rectangular area
The point load solution can be extended to obtain the surface settlement below the corner of a
rectangular loaded area. With reference to Fig. 3.7, consider an elemental loaded area at a
radial distance, r, from a corner.
51
B x
x
y
r y
O
q/unit area
Fig. 3.7 Elastic settlement below the corner of a rectangular area.
Elemental load, Q = qxy
Using the result in equation 3.4, the displacement at O, , due to elemental load is given by,
1 2
= qxy (3.8)
rEu
Displacement at O, corner, due to full load,
y=B
x=L
1 2
corner =
x =0 y =0
qxy
rE u
(3.9)
2 2
Since r = x + y , then, in the limit,
L B
1 2 dxdy
corner = q
E u o o x2 + y2
(3.10)
Performing the integration yields a solution in the form,
(1 2 )
corner = qB I (3.11)
Eu
Where I is termed the influence value and is given by,
1 L B L
I = Sinh 1 + Sinh 1 (3.12)
B L B
52
As discussed in Section 2, superposition can be used for points within or outwith the footing
boundary. Fig. 3.8 presents a graph of equation 3.12,
1.2
1.0
0.8
0.6

I
0.4
0.2
0
1 2 3 4 5
L/B
Fig. 3.8 Influence factor, I, for elastic settlement below the

corner of a uniformly loaded rectangular area.
3.2.4 Elastic displacement of a clay layer on a rigid base
Steinbrenner (Steinbrenner, 1934) developed a finite layer solution for the elastic settlement
below the corner of a uniformly loaded rectangular area resting on saturated clay layer of
thickness, D, overlying a rigid /stiff base (e.g. rockhead). A schematic of the problem is
presented in Fig. 3.9. The solution was obtained as,
B
corner = q ( 1 2 )I (3.13)
Eu
q kN/m2
O
D
Eu
Rigid Base
Fig. 3.9 Elastic settlement below the corner of a loaded area resting on a clay
layer of finite thickness.
53
Where, in this instance, the influence value, I, could be expressed as,
1 2
I = F1 + F2 (3.14)
1

F1 and F2 are a function of both the D/B ratio and the L/B ratio for the footing. Values have
been presented in Fig. 3.10 for various D/B and L/B ratios. Note that for a saturated clay
under undrained conditions Poissons ratio, , is normally assumed to be 0.5, hence the
second term in the above expression becomes zero and I = F1. As before, for points other
than the corner, superposition can be used.
Values of F1 ( ____ ) and F2 (----)

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
L/B = 1
Depth factor d = D/B
L/B = 2 F1
4
L/B = 5 F2
6
L/B = 5
L/B = 10
8
L/B = oo L/B = 2 L/B = 10
L/B = 1 L/B = oo
10
Fig. 3.10 Values, F1 and F2, for settlement beneath the corner of a uniformly
loaded rectangle on an elastic layer overlying a rigid base. The depth is
based on the depth of the rigid based below the footing.
Steinbrenner's solution can also be applied to multi-layer systems or where the clay layer is at
some depth below the footing. Consider, for example, Fig. 3.11 where two clay layers of
different stiffness overly one another. In this case, the elastic settlement below the corner can
be estimated by the following method:
1. Consider the rigid base at a depth of H1 below the footing and use Steinbrenner's
method to calculate the elastic settlement of layer 1 of stiffness Eu,1 .
54
2. Next, consider layer 2 extending up to the footing. Using Steinbrenner's method, the
elastic settlement of this layer is calculated and based on a thickness of H1+H2 and
stiffness, Eu,2 .
3. Finally, the simple addition of 1 and 2 above will still be an overestimate and the elastic
settlement of an imaginary layer of thickness H1 and stiffness Eu,2 obtained by
Steinbrenner's method must be subtracted from this value.
Layer 1 B
H1 Eu,1
Layer 2
H2 Eu,2
Rigid base
corner = corner [from: H1,Eu,1] + corner [from: (H1+H2),Eu,2] corner [from: H1,Eu,2]
Fig. 3.11 Calculation of elastic settlement in a multi-layered system.
Another technique for multi-layer systems is by replacing all the layers by a single layer with
an equivalent elastic modulus, Eu,eq , and an overall thickness equal to the sum of the
thicknesses of the individual layers. Eu,eq is simply weighted by the thicknesses of the
individual layers. For example, for the situation in Fig. 3.11, Layer 1 and Layer 2 are replaced
by a layer of thickness (H1 + H2) and equivalent elastic modulus,
( E H1 ) + ( Eu , 2 H 2 )
Eu ,eq = u ,1 (3.15)
( H 1 + H 2 )
55
3.3 Flexible and Rigid footings Average settlement
The above equations have been developed on the assumption that the footing is fully flexible.
With reference to Fig. 3.12, it is evident that the settlement at the centre of a flexible footing
will be greater than that at its edges, whereas for a rigid footing, the settlement is more
uniform. In reality, footings will be closer to rigid and, for that reason, the settlement of a
rigid footing is obtained by reducing the settlement obtained at the centre of the footing
assuming it to be flexible. A rigidity factor of 0.8 is generally applied.
Fully Flexible Fully Rigid

Elastic displacement
of ground surface
P
P
centre 0.8 centre
Rigidity factor = 0.8
Fig. 3.12 Surface settlement for a flexible and rigid footing.
Christian and Carrier (Christian and Carrier, 1978) have presented a formula for the average
immediate settlement of a footing, average. The footing is placed at depth, Df, below ground
surface; if the thickness of the compressible layer is H (see Fig. 3.13), then the average
settlement is,
BA1 A2
average = qnet (3.16)
Eu
Where: A1 is a depth factor from Fig. 3.14(a),
A2 is a factor related to the dimensions of the footing and thickness of the layer,
obtained from Fig. 3.14(b),
qnet is the net increase in stress at founding depth = qgrossoverburden stress at

founding depth,
B is the width of the footing.
56
In this equation it is assumed that the Poisson's ratio for the saturated clay is 0.5 also, there is
no need to apply a rigidity factor. This equation is similar to that presented in Eurocode 7
(Annex F) where the factors A1 and A2 are considered as a single factor, f, called a settlement
coefficient.
It should be noted that if a flexible footing has been assumed in the calculations, in addition
to the rigidity factor, the depth correction factor A1 could also be applied to the elastic
settlement.
B
qgross
Df
Rigid base
Fig. 3.13 Average immediate settlement of a footing on a
saturated clay layer overlying a rigid base.
(a) (b)
A1 A2
H/B
Df/B
Fig. 3.14 (a) A1 and (b) A2 coefficients (after Christian and Carrier, 1978)
3.4 Undrained Elastic Modulus
The undrained elastic modulus can be determined in the triaxial test under consolidated
undrained conditions; however, this can be unreliable due to sample disturbance and it would
57
be best to used field data if they are available (e.g. pressuremeter tests, plate loading tests). If
a triaxial test is undertaken (see Fig. 3.15), then the elastic modulus can be determined from
the deviator stress versus axial strain curve for the sample and is usually taken as the slope of
the line joining the origin to 65% maximum deviator stress i.e. a secant modulus (Skempton,
1951) (see Fig. 3.16(a)). EuroCode EN 1997-2: 2007 obtains the undrained elastic modulus
using one of the three definitions:
1. the tangent modulus of elasticity measured at a fixed percentage of ultimate

strength (i.e. 50 %);
2. the mean value of elastic modulus from the linear section of the axial stress vs
strain curve;
3. the secant modulus measured from zero stress to some fixed percentage of ultimate
strength (i.e. 50 %). Similar to Fig. 3.16(a) using 50%(1 3).
proving ring for

measurement of
dial gauge to
applied load
measure vertical
(
1 - 3)
movement
load frame
fluid-filled
cylindrical perspex
soil sample cell to apply
in membrane all-round
confining
pressure:
2 = 3
Fig. 3.15 The triaxial apparatus
If the stress/strain curve does not display a defined maximum (Fig. 3.16(b), then it is
necessary to define a failure point at 20% axial strain. Typical values for Eu are presented in
Table 3.1.
58
The deviator stress (denoted 13) is the additional axial stress applied to the sample i.e. in
addition to the cell pressure (3) which always surrounds the sample, and is calculated from
the applied load and the cross-sectional area of the sample. However, do remember that as the
load is applied the sample tends to 'barrel', hence its cross-sectional area is increasing and
must be considered when calculating the deviator stress (see any of the text books on page 7
for further details).
(1-3)max
(1-3)
Deviator Stress
65% (1-3)max
65% (1-3)
18-20%
Axial Strain, % Axial Strain, %
Fig. 3.16 Typical deviator stress versus strain curves for clay showing (a) a
definite failure point and (b) no well defined failure point.
Clay Type Eu (MPa)
Very soft 0.3 - 2
Soft 2-4
Firm 4-9
Stiff 9 - 20
Very stiff / hard 20 - 60
Poisson's ratio for saturated clay = 0.5 (no volume change)

Table 3.1 Undrained elastic parameters for saturated clays.
59
3.6 Brief revision of total and effective stresses
The concept of effective stress was introduced above and is fundamental to consolidation
calculations which are developed in the next section. A brief review of total and effective
stress is presented below.
The total vertical stress acting at a point below the ground surface comprises the total weight
of everything above that point which would include soil, water and surface loading (if any).
Now, consider Fig. 3.17. In this Figure, the permanent water table is at a depth hw below
ground surface; the soil above the water table will be in a partially saturated state and has a
unit weight bulk. The soil below the water table will be in a saturated sate and has a unit
weight sat . Note that depending on grain size, the soil above the water table could also be in
a saturated state due to capillary suction effects.
Ground Surface
WT bulk hw
z sat h
x x
z
Fig. 3.17 The concept of total and effective stress.
The total vertical stress, z , at a depth, h, below the water table is given by:
z = (hwbulk) + (hsat) (3.17)
This represents the total overburden stress; the effective stress, 'z, at the same point is given
by:
Effective stress = Total Stress Pore water pressure
60
'z = (hwbulk) + (hsat) (hw) (3.18)
or, 'z = (hwbulk) + h(satw) (3.19)
or, 'z = (hwbulk) + (hsub) (3.20)
where w is the unit weight of water and sub is the submerged unit weight of the soil. A
similar analysis can also be applied to multi-layered soil.
Note: Remember to use qnet to calculate the contact stress in problems where the footing is
placed at depth.
61
Worked Example 3.1: Elastic Settlement
A saturated clay layer, which can be assumed to be semi-infinite, is loaded with 0.05MN/m2
over an area 1212m. The footing is assumed to be fully flexible. If Eu = 10MN/m2 and =
0.5, calculate the surface elastic settlement at point A shown.
4 1 2
A
12
3 4
12
A q = 0.05 MN/m2
12m
= 0.5
Eu = 10MN/m2
The footing is divided up into four rectangles with each rectangle having a common corner
over the point of interest (A) as shown. The elastic settlement of the individual rectangles is
then calculated and the principle of superposition used to obtain the final settlement.
Since the footing is resting on a semi-infinite saturated clay, we can use equation 3.11 and the
influence values in Fig. 3.8. The settlement at point A is given by the summation of the
contributions from all four rectangles:
62
From equation 3.11,
4
(1 2 )
A = 1
qBI
Eu
Since q, Eu and are the same for all rectangles, then,
4
(1 2 )
A = q
Eu BI
1

Values of BI are tabulated below with the B (breadth) always taken as the lesser of the two
plan dimensions.
Rectangle L I B BI
(n) B
1 1 0.56 4 2.24
2 2 0.76 4 3.04
3 2 0.76 4 3.04
4 1 0.56 8 4.48
12.80
Table 3.2. Values for use in worked Example 3.1.
Unless otherwise stated, you can assume that the Poisson's ratio for saturated clay is 0.5,
hence,
( 1 0.52 )
A = 0.05 12.8 = 0.048m = 48mm
10
Some further analysis:
The settlement at the centre of the same footing, centre, can be found (YOU check this):
( 1 0.52 )
centre = 0.05 4 6 0.56 = 0.0504m = 50.4mm
10
Now, if the footing was rigid, its average settlement would be:
centre(rigidity factor) = 50.40.8 = 40.3mm
63
Using the method of Christian and Carrier to obtain the average settlement for a rigid footing,
BA1 A2
average = qnet
Eu
In this case:
1. Since surface footing qnet = 0.05MN/m2
2. A1 = 1.0 as Df = 0 for a surface footing
3. Since the footing is resting on a semi-infinite layer, the value of H to the rigid layer is
taken as infinite, hence the ratio H/B for the footing is also infinite. Using L/B = 1.0 for
a square footing and H/B= gives a value of A2 = 0.72, therefore,
12 1.0 0.72
average = 0.05 = 0.0432m = 43mm
10
64
Worked Example 3.2: Elastic Settlement
Using the previous example, obtain the elastic settlement at point A if there is a rigid layer at
8.0m below the footing.
D = 8m
Use Steinbrenner's method for a flexible footing with a rigid based at depth D (= 8.0m),
hence the settlement at point A is given by,
4
(1 2 )
A = q
Eu BI
1
Where, the influence value, I, is,
1 2
I = F1 + F2
1

Since = 0.5, the second term in this equation is zero, hence I = F1. Using Steinbrenner's
chart, F1 can be obtained and the contribution from each rectangle can be tabulated,
Rectangle L D F1 ( = I ) B BI
B B
1 1 2 0.29 4 1.16
2 2 2 0.29 4 1.16
3 2 2 0.29 4 1.16
4 1 1 0.15 8 1.20
4.68
Table 3.3. Data for use in Worked Example 3.2.
65
Hence,
( 1 0 .5 2 )
A = 0.05 4.68 = 0.0176 m = 17.6mm
10
Now calculate the average settlement using Christian and Carrier's method (Answer 12mm:
I use approximately, as you may read-off a slightly different values for A2).
66
Elastic Settlement Examples
1. A reinforced concrete foundation 10m x 15m exerts a uniform pressure of 150kN/m2 on

the surface of a semi-infinite saturated clay of undrained elastic modulus 40MN/m2.
Assuming a fully flexible footing, calculate the elastic settlement under the centre of the
foundation.
2. The following data were obtained from an consolidated, undrained triaxial compression
test on a sample of clay:
Axial Strain 0 1 2 3 4 5 6 7 8
%
Deviator Stress 0 61 108 143 161 170 175 176 172
(kN/m2)
Obtain an estimate of the undrained elastic modulus Eu (Answer 6MN/m2). Using this
value, determine the elastic settlement likely to occur under a 3m 3m footing that
transmits a uniform (gross) load of 2.2MN at a depth of 1.4m in a 9.0m thick layer of
this clay. The clay layer is underlain by a hard stratum. Water-table is at founding depth
and sat for the clay is 18.5kN/m3, this value can also be assumed for clay above the
water table. Assuming that the footing can be regarded as flexible, obtain the
displacement below:
(i) a corner (Answer 24mm); and,
(ii) the plan centre of the footing (Answer 67mm).
Calculate the average elastic settlement of the footing using the method of Christian
and Carrier (Answer 63mm).
3. (i) An area 22m x 14m is excavated to a depth of 5m for the construction of a basement
to a building (Fig. Q3). The clay above the water-table can be regarded as saturated
with a unit weight of 20kN/m3. Careful measurements taken during the period of
excavation indicate that point C (see Fig. Q3 below) at foundation level, rises by
150mm relative to ground surface. Assuming that this movement is due to elastic heave
as the deep clay layer is unloaded, and that Steinbrenner's Chart is applicable, estimate
the modulus of elasticity of the clay. (Answer 5.5MN/m2).
(ii) Subsequently, the foundation is completed and produces a (gross) pressure of

200kN/m2 over area A (see Fig. Q3) and 130kN/m2 over area B. If the foundation can
67
be regarded as flexible, estimate the immediate settlement at the outside corners of the
foundation. State any assumptions in your answer. (Answer 20mm, 45mm)
5m
Water-Table
Clay
24m
Rockhead
A B
6
6m C
10m 12m
Fig. Q3
4. Fig. Q4 shows the ground profile in which a large flexible raft foundation (18m x 55m)
is to be constructed at a depth of 1.5m in a granular material which can be regarded as
saturated above the water table (sat = 19.2kN/m3). The gross foundation pressure due to
service loads is estimated as 150kN/m2. An undrained triaxial test on the clay gave the
following results:
Axial Strain 0 1 2 3 4 5 6
%
Deviator Stress 0 197 315 360 381 393 394
(kN/m2)
Calculate the differential elastic settlement of the clay layer between the centre and a
corner of the raft. (Answer 43mm)
68
3m
8m Medium dense sandy gravel Water-Table
30m Soft Clay
Rockhead
Fig. Q4
69
Total and Effective Stress Examples
1. Obtain the total stress, pore water pressure and effective stresses at point A indicated on
the ground profiles below. The bulk unit weight of the soil above the water table can be
taken as, bulk = 18.5 kN/m3 and its saturated unit weight as, sat = 20 kN/m3 and.
Assume the unit weight of water, w, to be 10 kN/m3 .
(a) Ground surface

3m W.T.
5m
A
(Answer Total 155.5kN/m2, Effective 105kN/m2)
W.T. Ground surface

(b)
8m
A
(Answer Total 160kN/m2, Effective 80kN/m2)
(c) Be careful!
W.T.
4m
Ground surface
8m
A
70
(Answer Total 200kN/m2, Effective 80kN/m2. From this example you will see that changes in
water level above ground surface (e.g. sea, lakes) do not cause changes in effective stress
below ground surface).
2. A site investigation has shown that to a depth of at least 6m the following sequence of
stratification occurs:
Surface to 1.3m medium dense coarse sand, dry and not subjected to any
capillary fringing effects from the underlying water table bulk density is
1.8Mg/m3.
From 1.3m to 2.8m fine sand, with a measured bulk density of 2.0Mg/ m3. The
water table lies at 1.5m below ground surface. The fine sand is saturated above the
water table by capillary fringing.
From 2.8m to 6m a layer of saturated clay with a bulk density of 2.0Mg/m3.
Determine: (a) the total vertical stress at 2m and 4m below ground surface,
(b) the effective vertical stress at 2.8m; and,
(c) the pore-water pressure at 3.8m.
71
4. CONSOLIDATION SETTLEMENT: The Consolidation Test
4.1 Introduction
As discussed in Chapter 3.1, consolidation settlement results from the dissipation of excess
pore water pressure and results in a volume change in the soil. The dissipation of the excess
pore water pressure, hence consolidation, can take many years to go to completion.
Eurocode 7 states, 'To calculate the settlement caused by consolidation, a confined one-
dimensional deformation of the soil may be assumed and the consolidation test curve is then
used'. This statement will be examined and developed in this section.
4.2 Terzaghi's Piston and Spring Analogy for Consolidation (Terzaghi, 1943)
Consider a spring under various axial loads as presented in Fig. 4.1. Its length will depend on
the applied load; with no load, its length is L1; with, say 10 Newton's of load, its length
decreases to L2 and with 20N units of load its length decreases to L3 as depicted.
Now, put the spring in a cylinder full of water with a frictionless, but close fitting piston on
top of the spring. A load of 20N is applied to the spring as indicated in Fig 4.2. The spring
would normally shorten but it cannot unless the water escapes. Since, at this stage, the valve
on the outlet is closed no water escapes and, assuming the water is incompressible in
comparison to the highly compressible spring, no change in the length of the spring occurs
therefore it carries no load. In other words, the full load is carried by the water which induces
a water pressure. Now open the value. Water escapes and the spring shortens. The load
carried by the spring is related to the amount by which it is compressed. Hence, at any stage
after opening, the load will be shared by both the water and the spring, but, eventually, it is
10N
20N
L1
L2
L3
Compression of spring
Fig. 4.1 Compression under
of a spring various
under variousloads
loads
72
Valve shut
Valve open
20N
X
20N
20N
L1
L2
L3
W eight carried 20 10 0
by w ater
W eight carried 0 10 20
by spring
% consolidation 0 50 100
Fig. 4.2 Piston and spring analogy for consolidation settlement.
entirely transferred to the spring.
The rate of compression of the spring depends on the size of the value opening and on the
compressibility of the spring, i.e. the rate at which the water is expelled. Roughly speaking,
the spring is analogous to a small element of the soil skeleton, and the water in the cylinder is
analogous to the water within the voids between the soil particles. The size of the valve
opening corresponds approximately to the permeability of the soil and the compressibility of
the spring, the compressibility of the soil skeleton. In terms of total stress, effective stresses
Valve opened
Total stress
Pore water pressure
'
Stress ;
Pore-water-pressure
Time
Initially: u = Finally: u = 0
' = 0 ' =
Fig 4.3 Changes in total/effective stress and pore-water pressure during consolidation.
73
and pore water pressure, Fig. 4.3 displays the changes in these thee parameters during
consolidation. From Fig. 4.2 above, it can be seen that just at the beginning of consolidation
the pore water pressure (u) within the soil is numerically equal to the applied stress (), hence
the effective stress is zero (remember ' = -u and u = at the beginning); with time, the
pore water pressure dissipates (u 0) and at the end of consolidation the total stress equals
the effective stress.
If you are wondering what the soil skeleton looks like, it is described as a cardhouse-type
structure with the spaces in between the soil particles filled with water (and air if the material
is unsaturated). Fig. 4.4, presents a schematic and a photograph of the microstructure of soil
which was taken in a scanning electron microscope. The scale bar represents 40m;
generally, clay particles are defined as having particle sizes <2m so many of the particles in
the micrograph are greater that this the soil presented is a silty material.
Fig. 4.4 Schmetic diagram of cardhouse structure of clay and micrograph of card-
house microstructure.
Since the soil skeleton is not perfectly elastic and its stress-strain relationship is not perfectly
linear, on removal of load the soil does not expand sufficiently to occupy its original,
unloaded volume.
4.3 The One-Dimensional Consolidation Test
In consolidation problems we are interested in changes in effective stress - the total stress
conditions remain unchanged during consolidation as shown in Fig 4.3. If a sample of clay is
74
allowed to come into equilibrium (i.e. 100% consolidation) under a series of increasing loads,
then the consolidation test curve, referred to in the Eurocode and cited above, can be obtained
and is developed below.
The compressibility characteristics of a soil, relating both to the amount and rate of settlement
are usually determined from a consolidation test using an apparatus called an oedometer.
Reference should be made to BS 1377 (BS 1377-5, 1990). This is shown schematically in Fig
4.5. In this module we will just be evaluating the overall amount of compression i.e. the
ultimate consolidation settlement.
Water Soil sample:

20mm thk,
Porous plates 75mm dia.
Confining
ring
The oedometer cell
Fig 4.5 The consolidation test cell
The soil sample is cut from an undisturbed soil sample using the steel confining ring. The
ring also prevents lateral expansion of the sample during the test and hence deformation of
the soil will be in the vertical direction (i.e. a plain strain condition). Conditions then
represent 1-dimensional consolidation. Circular porous plates of either sandstone or sintered
bronze, which have been previously saturated with de-aired water, are placed on top and
below the sample. The sample is placed in a loading frame and a vertical static load applied.
See Fig. 4.6.
cell
Top plate Securing ring
Confining ring
Porous plate
(a) (b) (c)

Fig. 4.6 (a) Component parts of the oedometer; (b) the assembled cell; and (c) cell in loading frame
75
Once the first load is applied the cell is filled with water and the change in thickness of the
sample is measured by means of a dial gauge or displacement transducer. The resulting
compression curve is recorded until the sample has achieved full consolidation under the
load, in other words, the pore water pressure generated within the sample due to the external
load has dissipated. This usually occurs within a period of 24-hours or so for this sample
thickness. Once consolidated under the load, further load increments are applied, each being
double the previous increment. The number and value of the load increments will depend on
the type of soil and on the range of stress anticipated in the field. Typical stress increments
might be 0, 25, 50, 100, 200, 400, 800 kN/m2; after the sample has consolidated under its
final load increment, the pressure is released back to 0 kN/m2 and the sample allowed to swell
before a final moisture-content determination. This procedure is show schematically in Fig.
4.7. If the swelling characteristics of the clay are required, then the sample can be unloaded
in increments. A graph of void-ratio (e) versus consolidation pressure (effective stress, ') is
obtained.
e1
H1 e2 e5
H2 e3 e4 H5
H3
H4
1 1 1 1 1
Load applied and Load released and

left for 24-hours sample allowed to
swell for 24-hours
Load increased Load increased
Fig. 4.7 Schematic diagram showing loading sequence in a consolidation test.
With reference to Fig. 4.8, since consolidation is 1-dimensional, the pore water pressure
induced within the sample at the start of the test will be equal to the applied stress () (see
also Terzaghi's piston and spring model described above), hence the effective stress within
the sample is zero. Since the soil is saturated, it can be modelled as a two phase system
comprising solids and water as depicted in Fig. 4.8 (standard notation is used). As the
process of consolidation begins water drains from the soil the pore water pressure decreases.
At the end of each 24-hour period the pore-water pressure within the sample, u, is fully
dissipated and hence the applied stress is equal to the effective stress. Over the 24-hour
76
water e1
H1 u=
solids 1
Just after load application: u = and ' = 0
e2
H2 u=0 1
After 24-hours: u = 0 and ' =

Fig. 4.8 Schematic showing changes in sample thickness and void
ratio during consolidation under an external pressure, .
period, the sample thickness will decrease from H1 to H2 and its void ratio will decrease from
e1 to e2. In order to obtain the void ratio/effective stress curve for the clay it is required to
calculate the void ratio at the end of each loading increment.
There are two methods available to calculate the void ratio at the end of each load increment
and are presented below.
4.3.1 Method 1 (BS 1377-5, 1990)
A consolidation test is carried out as per Fig. 4.7 with the sample thickness recorded at the
beginning/end of each 24-hour period. Consider Fig. 4.9 which represents the sample of
thickness, H, at any stage during the test; since the soil is saturated, this can be envisaged as a
two-phase system comprising solids and water.
H-hs
H hs
Fig. 4.9 Soil sample and two-phase equivalent.
Let the equivalent height of the solids in the two-phase system be hs, hence the height of the
voids (i.e. water) is H-hs. By definition, the void ratio, e, is then equal to:
77
( Volume of voids ) ( H hs ) ( Plan area of sample ) ( H h s )

e= = = (4.1)
( Volume of solids ) hs ( Plan area of sample ) hs
Since there is no lateral expansion of the sample during consolidation, the plan area of the
sample remains constant throughout the testing sequence. The equivalent height of the solids
is determined as follows:
After the swelling stage, the whole sample is dried in an oven at 105C for 24-hours
and weighed. Let the dried mass be Ws grms.
The specific gravity of the soil particles will have been determined and is denoted Gs
(this value normally lies between 2.65 - 2.75 for clay particles). The volume, Vs, of
the solids can now be calculated: Vs = Ws /(Gsw) where w is the density of water.
The equivalent height, hs = Vs/A where A = plan area of sample. hs will remain
unchanged throughout test as the only volume change in the sample will due to the
drainage of water.
Presented below are typical test data used to determine hs and the loading increments used in
the consolidation test are shown schematically in Fig. 4.10. The void ratio at the end of each
load stage has been calculated using the above method and presented in Table 4.1.
Note: For a fully saturated soil (Sr = 100%), the void ratio is given by e = Gsm, where m is
the moisture content (as a decimal e.g. a moisture content of 43% = 0.43).
Site: GM
Mass of mould + wet soil before test = 240.99 grms
Mass of mould + wet soil after test = 227.56 grms
Mass of mould + dry soil = 189.03 grms.
Mass of mould = 96.26 grms.
Mass of dry soil, Ws = 92.77 grms

Mass of moisture before test = 51.96 grms
Mass of moisture after test = 38.53 grms
Initial moisture content of soil (m1) = 56% (hence initial void ratio e1 = 1.48)
Final moisture content of soil (m5) = 41.5% (hence final void ratio, e5 = 1.10)
SG of soil particles, Gs = 2.65 (previously determined)
78
Stage 1 Stage 2 Stage 3 Stage 4 Stage 5
e1
H1 e2 e5
H2 e3 e4 H5
H3
H4
1 1 1 1 1
26.83kN/m2 53.65N/m2 107.3kN/m2 Load released
Fig. 4.10 Loading increments for clay.
Volume of soil particles, Vs = Ws/(Gsw ) = 35,000 mm3

Area of sample, A = 4560 mm2
Height of soil particles, hs = Vs/A =7.675 mm
Initial thickness of sample: H1 =19.05 mm
Pressure Thickness of Height of voids, Void Ratio,

sample,
kN/m2 (Hn-hs) mm en
Hn mm (Hn-hs)/hs
0 H1 = 19.05 11.38 e1 = 1.48

26.83 H2 =16.746 9.071 e2 = 1.18
53.65 H3 = 16.096 8.421 e3 = 1.10
107.3 H4 = 15.298 7.623 e4 = 0.99
0 H5 = 16.218 8.543 e5 = 1.11
Table 4.1 Void ratios calculated using BS 1377 method (n represents the respective stage
number, see Fig. 4.10).
These data are now plotted on Fig. 4.11 to give the void ratio versus effective stress curve for
the clay.
79
1.48 X Compression
Void ratio, e 1.18 X
1.11 X
Swelling
1.10 X
0.99 X
0 26.83 53.65 107.3
Pressure (kN/m2)
Fig. 4.11 Void ratio versus effective stress (pressure) for

consolidation test data in Table 4.1.
4.3.2 Method 2
With this method, the void ratio at the end of each loading stage can be back-calculated from
the void ratio determined at the end of the swelling stage. When working back from the
swelling stage, there will be no doubt that the sample will be fully saturated.
Suppose it is required to determine the void ratio at the end of Stage 4 (e4). Laboratory tests
will have determined the moisture content of the sample after swelling hence e5 can be
evaluated (= m5Gs). Now, define the volumetric change in the sample between the Stage 4
and Stage 5 as:
(V5 V4 ) (1 + e5 ) (1 + e4 ) (e5 e4 )
Volumetric change = = =
V5 (1 + e5 ) (1 + e5 )
Where V4 and V5 is the respective sample volume at Stage 4 and Stage 5. Since the plan area
of the sample remains constant throughout the testing sequence, the volumetric change can
also be related to the sample thickness:
( H 5 H 4 ) ( Plan area of sample ) ( H 5 H 4 )

Volumetric change = =
H 5 ( Plan area of sample ) H5
Hence,
80
( e5 e4 ) ( H 5 H 4 )
=
( 1 + e5 ) H5
( H5 H 4 ) H 4
e4 = e5 ( 1 + e5 ) = e5 ( 1 + e5 )
H5 H5
Where H4 is the change in thickness of the sample between the final load stage (Stage 4)
and the end of the swelling stage (Stage 5). If n is the respective stage number (n = 1, 2, etc.),
then a generalised expression can be obtained for the void ratio, en, at the end of each load
stage based on the sample thickness at the end of the respective stage. Using this procedure,
the calculated values are obtained as follows,
For the data presented above, e5 = m5Gs = 0.4152.65 = 1.10
( H5 H n ) H n
en = e5 ( 1 + e5 ) = 1.10 ( 1 + 1.10 ) = 1.10 0.130H n
H5 16.218
Where Hn is the difference in sample thickness between the swelling stage and the
respective load stage. Void ratios calculated using this expression are presented in Table 4.2.
Pressure Thickness of Hn 0.130Hn Void Ratio

sample,
kN/m2 (mm) en
Hn (mm)
0 H1 = 19.05 H5 H1 = - 2.832 -0.368 e1 = 1.48
26.83 H2 =16.746 H5 H2 = - 0.528 -0.069 e2 = 1.17
53.65 H3 = 16.096 H5 H3 = 0.122 0.140 e3 = 1.08
107.3 H4 = 15.298 H5 H4 = 0.92 0.012 e4 = 0.98
0 H5 = 16.218 0 e5 = 1.10
Table 4.2 Void ratios calculated using Method 2.
The results from Table 4.1 and Table 4.2 compare favourably.
81
4.4 Summary
4.4.1 Primary Consolidation
This phenomenon is due to the gradual dissipation of excess pore water pressure and
results in a volume change in the soil which is time-dependent. Deformation is partially
recoverable
changes in effective stress are important for consolidation problems; furthermore,

consolidation generally results in an increase in strength of the clay as defined by the
effective stress parameters (c' and ', discussed later)).
Ultimate consolidation settlement is reasonably well estimated from laboratory tests.
The consolidation characteristics of the clay are determined in the laboratory by the
consolidation test.
4.4.2 Secondary Consolidation (not developed in this module)
This is a creep phenomenon and occurs with no pore pressure change i.e. no changes in
effective stress
Commences after completion of primary consolidation and caused by slippage and

reorientation of soil particles under sustained load and is more significant in organic
soils.
4.4.2 Total settlement
Is the sum of the deformation due to elastic, primary and secondary compression - this
addition often leads to an overestimate of the actual settlement. Because of the difficulty in
obtaining representative values for Eu for clay, and that the relative proportions of immediate
and consolidation settlement vary according to stress history and state of the soil, the
following relationships are often cited:
For soft, normally consolidated clays and silts:
Immediate settlement, i 0.1oed , where oed is the consolidation settlement obtained from
oedometer test results. The final settlement (excluding creep) is then 1.1 oed
For stiff, over-consolidated clays:
Immediate settlement, i 0.50.6oed, and the consolidation settlement is approximately 0.5-

0.4 oed. The final settlement is then oed
82
5. CONSOLIDATION SETTLEMENT: Ultimate Consolidation Settlement
5.1 Introduction
In this section, the void ratio / effective stress curve obtained from the oedometer test is now
used to estimate the ultimate consolidation settlement of a clay layer. The clay layer is
assumed to undergo 1-dimensional consolidation in accordance with Terzaghi's model
presented in the previous Section.
Consider Fig. 5.1 where the ground profile comprises a granular layer overlying a clay layer
which, itself, overlies another deep granular layer. It is the clay layer which will give the
problem of long-term consolidation settlement and needs to be estimated. Calculation of the
settlement of the granular material is not dealt with in this module. If the soil is loaded as
indicated in Fig. 5.1, excess pore water pressures (p.w.p.) will be generated within the soil.
These water pressures are in 'excess' of the hydrostatic water pressure already present.
g r a n u la r
c la y
g r a n u la r
Fig. 5.1 1-Dimensional consolidation of a clay layer where dissipation of excess p.w.p.
occurs in the vertical direction to the 'free-draining' boundary (i.e. granular soil).
The excess p.w.p. within the granular material will dissipate instantaneously due to its
relatively high permeability; however, this process takes many years within the clay. As
water drains from the clay then, as already discussed, the excess pore water pressures reduce
and the clay consolidates. Water will drain from the clay to a free-draining boundary which,
in this instance, will be the granular layer above and below the clay as in Fig. 5.1. If the
movement of the water from the clay is, for the most part, in the vertical direction, then
consolidation will be 1-dimensional. At the fringes of the load dispersion, there will possibly
be some lateral movement of water (as indicated on Fig. 5.1) so drainage is not truly 1-
dimensional.
83
Many foundation problems can be approximated to the 1-dimensional case, particularly in

situations when the dimensions of the footing are large in comparison to the thickness of the
clay layer and the clay layer is located at depth. Indeed, in general consolidation problems,
where the 1-dimensional approximation is not valid, the 1-dimensional solution still forms the
basis of the more general solution (the Skempton-Bjerrum modification) although this aspect
is not developed in this module.
5.2 Ultimate consolidation settlement of a clay layer
In order to estimate the consolidation settlement of a clay layer when subjected to loading,
this can be explained by means of an example. Consider Fig. 5.2: let the saturated unit
weight of the granular soil be 18kN/m3 and that of the clay 20kN/m3; the granular soil above
the water-table is assumed to be fully saturated and the unit weight of water is 9.81kN/m3,.
The distribution of total, effective and hydrostatic stress is presented in this Figure. The
thickness of the upper granular layer is 6.0m and the clay layer is 2.0m.
0
total stress,
hydrostatic pressure, u
granular
4 effective stress, - u
Depth (m)
clay
8
granular
12
0 50 100 150 200 250
Stress (kPa)
Fig. 5.2 The distribution of total and effective stresses and pore
water pressure (hydrostatic head).
Now if a flexible circular footing (diameter = 5.0m; contact pressure = 100kN/m2) is placed
on the surface, it is required to evaluate the ultimate consolidation settlement of the clay layer
below the centre of the footing.
As outlined in Section 3, the pore water pressure increase within the soil due to the
foundation load is an important parameter in this calculation which needs to be evaluated. If
it is assumed that drainage of water from the clay layer is in one direction as in Fig. 5.1 and
fringing effects are neglected, the conditions are similar to those in the oedometer cell. This
84
implies that the increase in pore water pressure within the clay layer will be numerically
equal to the increase in vertical stress at that point within the clay layer due to the foundation
load. The calculation of the ultimate consolidation settlement then proceeds as follows:
(i) Before load application
Although the effective stress increases over the clay layer, it is sufficient to consider the mean
increase in effective overburden stress, which is the effective stress occurring at the centre of
the layer. Let this value be '1:
'1 = (618) + (120) (59.81) = 78.95kN/m3
(ii) Immediately after load application- undrained conditions
Undrained conditions exist and there will be some elastic settlement of the layer. The vertical
stress increase below the plan centre of the footing can be obtained using equation 2.10 and is
presented in Fig. 5.3. (q is the contact stress due to working or unfactored loads).
Consider only the stress increase within the clay layer. The pore water pressure will increase
within the clay layer as a result of the loading. Since it is assumed that consolidation is 1-
Diameter = 5m
q = 100kN/m2
granular
4
Depth (m)
clay
8
granular
12
0 20 40 60 80 100
2
Stress increase due to footing (kN/m )
Fig. 5.3 Increase in vertical stress below the centre of the circular loaded area.
85
dimensional, then the pore water pressure increase (or excess pore water pressure), u, at any
point within the clay will be equal to the increase in vertical stress, z, at that point.
Although the stress varies through the clay layer, it is best to reduce this to a mean stress
increase over the layer. This can be obtained by two methods:
(a) evaluating the stress increase at the centre of the clay (i.e. z = 7.0m) and assuming this
to be the mean stress increase over the layer, z,mean. Using equation 2.10 obtains,
z,mean = 16.5 kN/m2
(b) evaluating the stress increases at the top, centre and bottom of the layer and then using
these values to obtain the mean stress increase, z,mean (similar to Simpson's rule in
integration),
1
z , mean = ( z ,top + z ,bottom + 4 z ,centre )
6
Where z,top , z,bottom ,and z,centre are, respectively, the stress increases at the top,
bottom and centre of the clay layer. Using this equation the gives a value,
1
z , mean = (21.3 + 13.0 + 4 16.5) = 16.7kN /m 2
6
In this example a value of 16.5 kN/m2 will be used for z,mean, hence the mean increase in
pore water pressure, umean will be 16.5 kN/m2 . The mean effective overburden stress over
the clay layer just before loading is '1 =78.95 kN/m2 . The mean effective stress over the
clay layer immediately after loading, and before any drainage of water from the soil can
occur, is (i.e. undrained condition, see also Fig. 3.2),
Effective vertical stress immediately after loading = '1 + (z,mean-umean ) = '1
Since 1-dimensional conditions are assumed, then z,mean=umean and the term in the
brackets is zero. In other words, the mean effective vertical stress in the clay just before
consolidation begins is just equal to the mean effective overburden stress, '1.= 78.95 kN/m2 .
Fig. 5.4 also presents the situation just after load application with the clay layer, of thickness
2.0m, represented as a two phase system having a mean void ratio of e1.
86
H1 =2.0m
water e1
H1
solids 1
Fig. 5.4 Immediately after loading and two-phase representation of clay

layer with a mean void ratio, e1.
(iii) A long time after loading- drained conditions
As consolidation begins, water will drain from the soil and the excess pore water pressure
decreases and will, eventually, become zero. This represents 100% consolidation and, since
the excess pore water is fully dissipated, primary consolidation will stop. At the end of
consolidation umean= 0, the mean effective vertical stress in the clay, '2 ,will then be,
=0
Effective vertical stress at the end of consolidation, '2 = '1 + (z,mean-umean )
'2 = '1 + z,mean
'2 = 78.95 + 16.5 = 95.45 kN/m2
It is assumed that the water table remains in the same position throughout. With reference to
Fig. 5.5, over the period of consolidation:
(a) the thickness of the clay layer beneath the centre of the footing decreases from H1 to H2,
(b) the void ratio decreases from e1 to e2, and,
(c) the effective stress increases from 78.95 kN/m2 to 95.45 kN/m2
87
It is required to calculate the consolidation settlement of the clay layer beneath the centre of
the footing, H = H1 - H2
H2
water e2
H2 solids 1
Fig. 5.5 Deformation of clay after full consolidation

and two-phase representation.
Now, since 1-D conditions prevail,
(V1 V2 ) (1 + e1 ) (1 + e2 ) (e1 e2 ) ( H1 H 2 ) H
Volumetric change = = = = = (5.1)
V1 (1 + e1 ) (1 + e1 ) H1 H1
Hence,
(e1 e2 )
Consolidation settlement, H = H1 (5.2)
(1 + e1 )
where e1 and e2 are the void ratios at the beginning and end of consolidation respectively and
can be obtained from the void ratio versus effective stress plot for the clay at effective
stresses of 78.95 kN/m2 and 95.45 kN/m2 . In equation 5.2, H1 is the original thickness of the
layer (2.0m in this case). If the consolidation curve developed from the data in Section 4 is
used then, with reference to Fig. 5.6, this would result in a settlement of,
88
(1.045 1.02)
H = 2.0 = 0.024m = 24mm (5.3)
(1 + 1.045)
1.5
1.3
Void ratio, e
1.1
0.9
0 20 40 60 80 100 120
2
Pressure (effective stress) kN/m
Fig. 5.6 Estimating the void ratios at the beginning and end of
consolidation using the previously developed test curve.
5.3 Coefficient of volume compressibility (mv)
Instead of using the void ratio / effective stress plot for the clay, its coefficient of volume
compressibility may be given. This parameter is defined as the compressibility of clay per
unit thickness due to unit increase in effective stress. Values of mv are usually quoted in
m2/MN and determined over a stress range that the soil would experience on site.
Consider Fig. 5.7, e1 and e2 are the void ratios at effective stresses '1 and '2 i.e. the
beginning and end of consolidation. The curve between these stresses is approximated to a
straight line (which is a reasonable assumption since only small changes in void ratio are
involved). The slope of the straight line is,
e 2 e1
Slope, s = (5.4)
' 2 '1
Also, for 5.2 above, the consolidation settlement of a clay layer of initial thickness, H1 is,
(e1 e2 )
(1 + e1 )
89
Slope = -av
Void ratio, e
e1
e2
'1 '2 Pressure (kN/m2)
Fig. 5.7 Evaluating mv from the consolidation test curve.
This can be written,
( e1 e2 ) ( ' 2 '1 )
Consolidation settlement , H = H 1 (5.6)
( 1 + e1 ) ( ' 2 '1 )
Introducing the slope defined above,
( s )
Consolidation settlement , H = H 1 ( ' 2 '1 ) (5.7)
( 1 + e1 )
e1 e 2
From above, s = Let this = a v ,
' 2 '1
av
Consolidation settlement, H = H1 ( '2 '1 ) (5.8)
(1 + e1 )
av
H = H1 mv ( '2 '1 ) where mv = (5.9)
(1 + e1 )
Now, since,
'2 = '1 + z,mean (5.10)
where z,mean is the mean stress increase over the layer due to the foundation load,
calculated using the methods discussed in Section 2. Equation 5.10 can be written,
Consolidation settlement , H = H 1 mv z ,mean (5.11)
90
So, if mv for the soil is known and the mean increase in stress over the layer has been
calculated, the consolidation settlement can be obtained. Typical values for mv are given in
Table 5.1 below.
Soil description mv (m2/MN)
Heavily over-consolidated boulder clays <0.05
Boulder clays and very stiff clays 0.05 0.10
Stiff clays and normally consolidated clays 0.10 0.30
Normally consolidated alluvial clays 0.30 1.50
Organic alluvial clays and peats > 1.5
Table 5.1 Typical values for mv for different types of soil.
Instead of using the void ratio versus effective stress plot to evaluate mv, a plot of sample
thickness versus effective stress can also be used (see Fig. 5.8).
Thickness, H
Void ratio, e
e1 H1
e2 H2
'1 '2 Pressure '1 '2 Pressure

(kN/m2) (kN/m2)
Fig. 5.8 mv obtained from change in sample thickness.
From equation 5.11 above, the compression of the sample over the stress range '1 '2 will
be given by,
Compression of sample, H = H 1 H 2 = H 1 mv ( ' 2 '1 ) (5.12)
( H1 H 2 ) 1
mv = (5.13)
H1 ( ' 2 '1 )
91
Where H1 and H2 is the sample thickness at the beginning and end of consolidation. The
effective stress increase for the sample would be the same as that of the for clay layer (i.e. '1
'2)
5.4 Consolidation settlement using the Compression Index
If the void ratio / effective stress (pressure) curve for a normally consolidated clay is plotted
on a semi-logarithmic axis, as in Fig. 5.9 then the resulting curve is, for the most part, a
straight line. The slope of the straight line portion is related to the compression index, Cc, of
the clay as indicated.
Slope = -Cc
Void ratio, e
Void ratio, e
e1 e1
e2 e2
'1 '2 Pressure log'1 log'2

(kN/m2)
Log[Pressure]
Fig. 5.9 Obtaining the compression index, Cc, from the consolidation test curve.
The compression index can be written,
e2 e1
Cc = (5.14)
log10 '2 log10 '1
Using the properties of logs,

e e
Cc = 1 2 (5.15)
'2
log10
'1
As previously discussed, the consolidation settlement, H, of a clay layer of initial thickness

H1, can be written,
(e1 e2 )
(1 + e1 )
92
Where e1 and e2 is the void ratio at the beginning and end of consolidation respectively.
Combining equation 5.16 with equation 5.15 gives,
'
Cc log10 2
Consolidation settlement, H = H1
'1 = H . Cc . log '2
'1 (5.17)
1 10
1 + e1 (1 + e1 )

Note: this equation is not applicable for over-consolidated clays.
Terzaghi and Peck have obtained an approximate relationship between compression index
and the liquid limit (LL%) of the clay,
Cc 0.009(LL 10%) (5.18)
5.5 Normally consolidated and Over-consolidated clays
The actions of mechanical and chemical weathering on various rocks eventually form soils.
Mechanical weathering includes such physical forces as wind, rain, frost action, temperature,
gravity, erosion, wave action, and glaciers. Chemical weathering, on the other hand, is the
process of chemical decomposition of the rock; unlike mechanical weathering whereby rock
is broken down into smaller and smaller fragments without changing their chemical
composition, in chemical weathering the original material may be changed to something
entirely different.
The particles produced by weathering action can be transported by physical processes to other
places to form 'transported soils'. In contrast, soils can stay in their place of formation and
cover the rock surface from which they derive and are called 'residual soils'. Transported
soils can be further sub-divided into three categories depending on the method of transport:
(a) Alluvial / fluvial: deposited by water from rivers, lakes etc
(b) Glacial: deposited by glacial action.
(c) Aeolian: deposited by wind action.
Clay particles are usually defined as particles <2m (210-6m), whereas granular soil
generally has a particle size > 63m (0.063mm), between these value are silts (BS 1377-1,
1990)
93
Since clays give the problem of long-term consolidation settlement it is important to

distinguish between a normally consolidated clay and an over-consolidated clay in terms of
their stress history and void ratio/effective stress curves.
As soil particles are deposited from lakes, rivers etc, the overburden stress gradually builds up
on the soil and it will consolidate. A normally consolidated clay is one which at no time has
ever been subjected to a pressure than the current overburden stress and its void-ratio /
effective pressure plot will be that presented in Fig. 5.10.
Ground surface clay consolidates as

particles are deposited
Void ratio
Current
overburden
stress
'0
Pressure
(kN/m2)
Fig. 5.10 Void-ratio/effective pressure curve for a normally consolidated clay.
An over-consolidated clay, on the other hand, is defined as a clay which, during its history,
has been subjected to pressures much greater than the current overburden pressure. This
could be as a result of erosion, or loading due to an ice sheet many metres thick covering the
land. Hence, there is a period of deposition (loading) of the soil, followed by a period of
unloading (due to erosion of the surface or retreat of the melting ice sheet), followed by a
period of deposition (reloading) to the present day. This process is depicted in Fig. 5.11.
The pressure 'p is called the preconsolidation pressure and the over-consolidation ratio
(OCR) is defined as the ratio of the preconsolidation pressure to the current overburden
pressure 'p/'o. The OCR for a normally consolidated clay = 1.0, whereas an
overconsolidated clay will have an OCR > 1.0. If an overconsolidated clay is subjected to
pressures beyond its preconsolidation pressure, it then behaves as a normally consolidated
clay.
94
Deposition and ground surface

many thousands of years ago:
loading
p'
1
1: loading
Period of erosion and removal of overburden:
Void ratio
unloading
Present day
3: reloading
e' overburden
2
2: unloading
Deposition and ground surface present day :
reloading
e' o' p'
o' Pressure (kN/m2)
3
Fig. 5.11 Loading history for an overconsolidated clay.
5.7 Allowable settlement for structures
Settlement of a structure can lead to cracking and distortion and must be limited. Cracking of
structures affects their serviceability and excessive settlement can result in additional stresses
in members which may lead to loss of stability and collapse of the structure (an ultimate limit
state condition). The total settlement of the structure must be limited and the angular
distortion between structural elements must also be controlled.
Consider the schematic presented in Fig. 5.12 whereby each column settles by an amount 1,
2 and 3 as indicated with 3,> 2 > 1.
O riginal
L L found ation
level
1
2
3
Fig. 5.12 Settlement of structural columns
95
The following terms are now defined:
(1) Greatest settlement: 3
(2) Greatest differential settlement: 3 1
(3) Greatest angular distortion / relative rotation (3 1 )/L
Values have been published on the above parameters and some of these have been
summarised below:
Description Isolated Footings Rafts
Angular Distortion 1/500 1/500
Greatest differential Clay: 40mm 40mm

settlement
Granular: 25mm 25mm
Maximum Clay: 65mm 65-100mm

Settlement
Granular: 40mm 40-65mm
Table 5.2 Limiting values for distortion and settlement for isolated and raft footings
(Skempton and MacDonald, 1956)
Eurocode 7 adopts the following values:
Description Limiting Value
Angular distortion 1/500 for serviceability

1/150 for ultimate limit state
Differential settlement 20mm
Maximum settlement 50mm
Table 5.3 Limiting values for distortion and settlement (BS EN 1997-1, 2004).
Table 5.4 presents limits for angular distortion /L in relation to various damage criteria.
96
Description Angular distortion
Limit where difficulties with machinery sensitive 1/750

to settlements are to be feared.
Limit of danger for frames with diagonals. 1/600
Safe limit for buildings where cracking is not 1/500
permissible.
Limit where first cracking of panel walls is to be
expected.
Limit where difficulties with overhead cranes are 1/300
to be expected.
Limit where tilting of high rigid buildings might 1/250
become visible.
Considerable cracking in panel walls and brick
walls.
Safe limit for flexible brick walls h/l (aspect 1/150
ratio) < .
Limit where structural damage of general
buildings is to be feared.
Table 5.4 Damage in relation to angular distortion (after Bjerrum, 1963)
5.8 One-Dimensional Consolidation Summary
The following is a summary of the developments in this section:
Consolidation settlement is due to dissipation of excess pore water pressure, hence

changes in effective stress are important in this respect. Note: ground water lowering
will also alter effective stresses
For 1-D consolidation, drainage is, essentially, in one direction and lateral effects are
neglected
The increase in pore water pressure due to the foundation load (i.e. excess p.w.p) is
equal to the stress increase due to the foundation loads
Representative samples are tested in an oedometer over a stress range that would
normally be experienced by the soil before and after construction. The initial pressure
increments in the oedometer will simply be restoring the overburden stress on the
sample.
97
The void ratio versus pressure (effective stress) plot is obtained from the 1-D
consolidation (oedometer) test.
Consolidation settlement of a clay layer of initial thickness, H, subjected to an

increase in effective stress from '1 to '2 is given by:
(e1 e2 )
Consolidation settlement, H = H1
(1 + e1 )
where e1 and e2 are the void ratios at '1 to '2 respectively - i.e. the beginning and
end of consolidation. These values are obtained from the oedometer test curve.
mv and Cc can also be used to calculate consolidation settlements.
Working or unfactored loads are used to calculate the stress increases which are used
to calculate settlements.
For footings, since the immediate settlement had a correction factor for rigidity and
depth (see A1 values in notes for elastic settlement, after Christian and Carrier), it is
logical to extend these to consolidation settlements. Hence, if a flexible footing has
been assumed,
Total Settlement= (Elastic + Consolidation) Rigidity Factor (0.8) Depth Factor (A1)
98
Example: Consolidation Settlement
Consider the following ground surface profile which comprises a granular layer overlying a
clay layer. The clay layer is underlain by a deep deposit of granular soil and permanent water
table is at ground surface.
W.T.
Granular: sat = 15.7kN/m3 6m
Clay: sat = 19.5kN/m3 3m
Granular
Due to the high water-table, the ground surface was raised by 2.5m using imported fill
compacted to a unit weight of 20kN/m3. The fill was placed over a wide area and the water
table remains at ground surface. Using void ratio versus effective stress curve developed in
Section 4, and considering the effective stress changes at the centre of the clay layer,
calculate the ultimate consolidation settlement of the clay. Assume that the unit weight of
water is 9.81 kN/m3.
Before placement of fill:
The total stress at the centre of the clay layer before any placement, 1 = 6x15.7 + 1.5x19.5 =
123.5 kN/m2
Hydrostatic head at centre of clay layer, u = 9.81 x 7.5 = 73.5 kN/m2
Effective stress at centre of clay layer, '1 = 1 u = 123.5 73.5 = 50 kN/m2
This value represents the mean effective stress increase over the layer.
Immediately after placement and compaction of the fill (Undrained conditions)
Since consolidation will be 1-dimensional, then the immediate increase in pore water pressure
(excess pore water pressure) will be numerically equal to the increase in stress due to the
loading. Consider the changes in stress at the centre of the clay layer as representing the
mean stress changes over the layer,
99
Since the fill is placed over a wide area, the total stress at the centre of the clay layer just after
placement is,
2 = 2.520 + 615.7 + 1.519.5 = 173.5 kN/m2
FILL 2.5m
Granular 6m
Clay 3m
Granular
The fill is equivalent to a surcharge on the surface of 2.5 x 20 = 50kN/m2, and results in a
stress increase, = 50kN/m2 throughout; therefore, the increase in pore water pressure due
to the fill, u = 50 kN/m2. The effective stress at the centre of the clay layer immediately
after loading will be,
'2 = ( 1u) + (-u)
'2 = ( 123.5 73.5) + (50 50) = 50 kN/m2
i.e. the effective stress in the clay layer before placement of fill.
A long time after placement (drained conditions)
As the excess pore water pressure dissipates, the clay will consolidate and at the end of
primary consolidation the excess pore water pressure is zero (u0). Since the water table
remains in the same position throughout, the effective stress at the centre of the clay layer at
the end of consolidation is,
'2 = ( 123.5 73.5) + (50 0) = 100 kN/m2
The void ratio versus effective stress graph is plotted using the data obtained previously and
the void ratios obtained at effective stresses 50 and 100kN/m2 as indicated.
100
1.5
1.3
Void ratio, e
1.1
0.9
0 20 40 60 80 100 120
2
Pressure (effective stress) kN/m
( e1 e 2 )
Consolidation settlement = H 1
( 1 + e1 )
Where H1 is the initial thickness of the clay layer.
( 1.11 1.01 )
Consolidation settlement = 3 = 0.142m = 142mm
( 1 + 1.11 )
The mv value for the clay over this stress range can be evaluated as,
av ( e1 e 2 ) ( 1.11 1.01 )
mv = = = = 0.00095m 2 / kN = 0.95m 2 / MN
( 1 + e1 ) ( 2 1 )( 1 + e1 ) ( 100 50 )( 1 + 1.11 )
If you were given this value instead of the void ratio versus effective stress plot, then the
settlement would be,
Consolidation settlement = H 1 mv ( ' 2 '1 )
0.95
Consolidation settlement = 3 ( 100 50 ) = 0.142m = 142mm
1000
101
Consolidation Settlement Examples 1
1. A horizontal layer of clay of saturated unit weight 22kN/m3 is 8.0m thick and is
overlain by a 4.0m thick granular layer (unit weight 19.5kN/m3). Ground-water level
occurs at a depth of 2.0m below the surface of the granular material.
A consolidation test carried out an a sample of the clay gave the following results:
Pressure Sample thickness

kN/m2 mm
0 19.86
25 19.50
50 19.30
100 19.02
200 18.75
400 18.56
0 19.30
After the swelling stage, the moisture content of the sample was determined as 27.2%.
If the particle specific gravity is 2.68, obtain the void ratio / effective stress plot for
the sample. A foundation is to be constructed on the surface of the sand and it is
expected that this will subject the centre of the clay layer to a vertical stress increase
of 75kN/m2. Determine the consolidation settlement of the clay (Ans: 110mm).
2. The readings below were obtained from an oedometer test on a specimen of saturated
clay. The load was held constant for 24 hours before the addition of the next
increment. At the end of the last load increment, the load was removed and the
sample allowed to swell for 24-hours, at the end of which time its thickness was
determined as 17.92mm and its moisture content found to be 31.8%. The specific
gravity of the soil was 2.66.
(a) Plot the e/p curve for this specimen.
(b) Determine the coefficient of volume compressibility for a stress range of 220-
360kN/m2. (Ans: 0.125 m2/MN)
(c) Use these data to obtain the ultimate consolidation settlement of a 4.0m thick
layer of this material when subjected to an average effective stress 220 to
360kN/m2. (Ans: 70mm).
102

kN/m2 mm
0 19.60
25 19.25
50 18.98
100 18.61
200 18.14
400 17.68
800 17.24
3. A flexible raft foundation 10m x 20m is to be constructed at a depth of 2.0m in a

granular material of thickness 10.0m, and exerts a gross contact pressure of
250kN/m2. A clay layer of thickness 2.0m is located at a depth -10.00m below ground
level (0.00m) and rockhead is located at -12.00m. Ground water level occurs at -
2.00m; the saturated unit weights of the granular soil and the clay are, respectively,
19kN/m3 and 22kN/m3, the granular soil can be assumed to be fully saturated above
permanent water table.
(i) calculate the elastic settlement of the clay layer below the plan centre of the
foundation given that Eu = 12MN/m2 (Ans: 20mm).
(ii) by considering the stress increase at the centre of the clay layer, calculate the
ultimate consolidation settlement of the clay layer below the plan centre, given
that the moisture content of the clay is 35% and the specific gravity of the clay
particles is 2.65. Cc for the clay is 0.40. (Ans: 125mm)
qB (1 2 ) I
Note: elastic settlement of a clay layer resting on a rigid base is , where I
Eu
is an influence factor (from Steinbrenner's chart) and other symbols have their usual
contextual meaning.
4. You are an engineer involved in a dewatering project. On your site is an historically

important building which is about 100 years old. It has a foundation plan area of 20m
x 15m with foundations at a depth of 1.5m below existing ground level (taken as 0.00
datum). The soil profile for the site is
Granular: 0.00m to -7.50m sat = 18kN/m3

Clay : -7.50m to -13.50m sat = 22kN/m3
103
The granular material above water table can be regarded as saturated. You estimate
that the foundation exerts a (gross) contact pressure of 230kN/m2. Representative
samples from the clay layer were tested in an oedometer and gave the following
results shown below.
It is expected that pumping operations will lower ground water level from its existing
level (-1.75m) to -7.00m. Assuming 1-D consolidation conditions prevail, determine
the consolidation setttlement that will occur at the centre of the building if the water
table remains at its new level.
Pressure kN/m2 Void Ratio

50 0.73
100 0.68
200 0.62
300 0.58
400 0.54
State any assumptions or approximations in you solution. (Ans: 85mm)
104
1. The following results were recorded from a consolidation test on a sample of saturated
clay.

kN/m2 after consolidation
mm
0 25.0
50 24.6
100 24.4
200 24.2
400 23.9
800 23.7
0 24.2
The water content at the end of the test was 23.1 % and the specific gravity of the soil
particles was 2.68. Calculate the void ratio at the end of each pressure stage, and plot
the pressure/void ratio curve. Determine the coefficient of compressibility for a
pressure range 200-300 kN/m2.
2. A flexible foundation 10m x 25m is to be constructed at a depth of 2m and exerts a

gross uniform contact pressure of 300 kN/m2. The ground conditions comprise a 6m
thick layer of sand on top of 6m of soft clay overlying rockhead. The water table is
3m below ground level. The saturated unit weights of the sand and clay are 20 kN/m3
and 22 kN/m3 respectively. From the results of laboratory tests on samples of the clay
Eu = 25 MN/m2 and mv = 7 x 10-2 m2/MN.
Calculate the final settlement of the foundation at its plan centre due to the elastic and
the consolidation compression of the clay layer.
You can assume that the clay layer undergoes 1-D consolidation and the sand above
the water table is fully saturated. Steinbrenner's Chart and Fadum's Chart apply.
3. A level site has 4.5m of granular material overlying a 1.0m thick layer of normally
consolidated clay, which, itself, overlies bedrock. The water-table is at ground level.
In order to utilise the area, the ground-water is permanently lowered by 2.0m using
land drainage. Subsequently, 1.5m of imported fill material is placed over the whole
site. The following properties have been determined from site investigation:
105
Granular: Bulk unit weight (above g.w.l) 18.5kN/m3

(below g.w.l) 20.0kN/m3
Clay: Bulk unit weight 21.5kN/m3

Initial moisture content 28%
Particle specific gravity 2.65
Compression Index 0.24
Imported Fill: Bulk unit weight 17.0kN/m3
Calculate the ultimate consolidation settlement of the clay layer which can be
anticipated from the operation. (Consolidation settlement = 36mm).
4. A sample of normally consolidated clay gave the following results when subjected to
a consolidation test, each loading increment was maintained for 24-hours.

kN/m2 mm
0 17.32
54 16.84
108 16.48
216 16.18
432 15.85
0 16.51
After the sample had been allowed to swell its moisture content was determined as
30.2%. The particle specific gravity was 2.65.
a) Plot the curves of the void ratio versus effective stress and the void ratio versus
log10(effective stress).
b) Determine the settlement of a 5.0m thick layer of the clay consolidating one-
dimensionally under a vertical pressure range of 100-200kN/m2 :
i. by the coefficient of volume compressibility [mv = 0.2m2/MN,
consolidation settlement = 100mm]; and,
ii. by the compression index [Cc = 0.124, consolidation settlement =
103mm].
106
1. A large (flexible) foundation slab is to be constructed on the surface of a stratum of

dense saturated granular soil 5.0m thick. The sand overlies a 7.0m thick clay layer,
which is resting on fissured sandstone. The bulk unit weight of the sand is 18.5kN/m3
and the saturated unit weight of the clay is 20kN/m3. Groundwater level may be
assumed to occur at the interface between the granular soil and clay. The increase in
vertical stresses at the centre of the clay layer due to the imposed foundation loads have
been calculated as:
Under slab centre: 80 kN/m2
Directly under slab corner: 35 kN/m2
Consolidation tests were carried out on representative samples of clay and gave the
following results:
Pressure kN/m2 Sample Thickness (mm)

0 19.05
50 18.78
100 18.62
200 18.42
400 18.18
Estimate the consolidation settlement at the centre and corners of the foundation.
[56mm; 23mm]
2. A 12m thick layer of normally consolidated clay has its upper surface at ground level.
Originally, the clay was completely saturated with the water-table occurring at the top
of the clay; however, due to nearby pumping operations, the water table fell by 4m and
was maintained at this level. Ground level was subsequently raised by 1.5m using
imported fill with a compacted to a bulk unit weight of 16.7kN/m3.
After some months, the upper surface of the clay was found to have experienced an
average final settlement of 550mm. The specific gravity, G, of the clay particles was
2.65 and its original moisture content was 37.8%. Assuming that the clay remained
saturated after pumping determine an approximate value for the compression index, Cc,
of the clay.
107
Note: Bulk unit weight of a soil = w(G +eSr)/(1+e) where w is the unit weight of
water. g = 9.81m/s2. [Cc = 0.25]
3. A circular grain silo, which imposes a gross stress of 150kN/m2, has a diameter of 10m
and is founded at a depth of 2m in a 17m layer of over-consolidated clay. The clay
overlies a deep granular deposit. Water-table is at founding depth and the saturated unit
weight of the clay is 20kN/m3. By sub-dividing the clay layer beneath the silo into three
equal layers, and assuming 1-dimensional consolidation conditions prevail, calculate
the magnitude of the consolidation settlement of the layer beneath the centre of the silo.
The coefficient of volume compressibility, mv , decreases with depth and is
approximated by the equation mv = (0.0650.0025z) m2/MN where z is the depth below
the foundation.
The vertical stress increase below the centre of the silo is given by:
3
2

1
z = q 1 2

R
1 +
z

where z is the vertical stress increase; R is the radius of the footing and z is the depth
below the footing. [45mm]
108
6. BEARING CAPACITY
6.1 Introduction
As was noted in Chapter 2 (section 2.2.1), there are two ways in which a foundation may fail:
(1) It may settle excessively due to deformation of the soil so that the structure suffers
damage (serviceability failure);
(2) When there is a plastic flow of soil from beneath the foundation i.e. the soil flows
laterally from under the footing, resulting from a shear failure of the soil (collapse
condition or ultimate limit state).
Depending on whether a permissible stress approach (BS 8004) or limit state approach
(BSEN 1997-1, 2004 [Eurocode7]) is used, the terminology is different.
6.1.1 Permissible Stress
The term ultimate bearing capacity is defined as the load per square metre which causes
collapse of the foundation due to shear failure of the soil. The term safe bearing pressure
refers to the ultimate bearing capacity reduced by a factory of safety (between 2-3, see
Section 2.2 above). The allowable bearing pressure used in design takes into account both
forms of failure i.e. settlement and shear failure.
(i) Ultimate Bearing Pressure, qult
is the contact stress which causes a shear failure of the soil beneath the footing and
computed by any number of methods to be discussed
(ii) Safe Bearing Pressure, qsafe
is the ultimate bearing pressure reduced by a factor of safety : qsafe = qult /FoS
(iii) Allowable Bearing Pressure, qallow
is the contact pressure used in design which takes into account settlement of the
footing. A soil may be safe with regards bearing capacity but the resulting settlement
at qsafe may be excessive, hence the allowable bearing pressure is dictated by
settlement, in which case, qallow < qsafe. For example, footings on granular soil
generally never have any problem in obtaining adequate bearing capacity and
settlement becomes the design criterion.
109
6.1.2 Limit State
In limit state design both ultimate and serviceability checks are made. The following
inequality must be satisfied for all ultimate state load cases and load combinations,
Vd Rd (6.1)
Where Vd is the ultimate design load due to 'actions' (i.e. foundation loadings) and Rd is the
design resistance of the soil. The left hand side of this equation thus represents the ultimate
limit state design loads which cause failure whereas, the right hand side represents the
available strength which acts to prevent failure.
The design values for the individual actions, Fd, which contribute to Vd are the characteristic
values for the individual action, Fk, multiplied by the appropriate partial safety factor for that
action,
Fd = Fk F (6.2)
Actions can be permanent or variable. Permanent actions include, for example, the dead load
of the structure, the weight of soil, rock or water. Variable actions include imposed and wind
loads.
The design resistance Rd is calculated using the design values for the soil properties. The
design values, Xd, for the soil properties can be assessed directly or derived from
characteristic values, Xk where,
Xk
Xd = (6.3)
m
m is the partial safety factor appropriate for the soil property (c', cu, tan') and will be
discussed in this section.
For serviceability checks, the partial safety factors are taken as unity.
6.2 Historical Review
A number of attempts have been made to predict foundation failure (i.e. ultimate bearing
capacity) and they can be classified into four groups:
(i) methods based on active and passive pressures: Rankine (1857) and Bell (1915).
(ii) Slip surface methods developed by Fellenius (1927) and Wilson (1941).
(iii) Plate loading tests developed by Terzaghi and Peck (1967).
110
khaled
(iv) methods based on plastic failure: Prandtl (1921), Terzaghi (1943), Skempton (1951),
Meyerhof (1963), Hansen (1961, 1968), for example.
6.2.1 Rankine: active and passive pressures
Consider a mass of soil which has just been deposited, either artificially or naturally, as
shown in Fig 6.1, below. The vertical stress, z, acting at any level throughout the medium
will be the self-weight of the soil above i.e. overburden. In order to maintain equilibrium a
lateral stress, h, must act on the element.
h
The ratio in this particular situation is given the symbol Ko and is called the coefficient of
z
earth pressure at rest. For example, natural deposition leads to Ko values of about 0.4 for
z z = z
h = Ko.
z
h
Fig. 6.1 Ko - the coefficient of earth pressure at rest.
loose granular soil whereas dense granular soil has a value of approximately 0.5. Artificial
compaction in layers can give Ko = 0.8. Ko is related to for the soil,
Ko = ( 1 Sin ) OCR (6.4)
where OCR is the over-consolidation ratio and discussed in Section 5.
111
Consider the following two cases:
Case 1
Imagine an element of granular soil subjected to an all round stress of 1 kN/m2 as indicated
in Fig. 6.2(a). Since there are no shear stresses on the faces on which these stresses act, then
these stresses are principal stresses (remember that principal stresses act on principal planes
and there are no shear stresses on these planes). Now, keeping the vertical stress constant,
gradually reduce the horizontal stress which will cause the soil element to expand laterally
(Fig. 6.2(b)). The vertical stress becomes the major principal stress and the lateral stress the
minor principal stress. The normal, n, and shear stress, , on any plane within the element
can be obtained by Mohr's circle as is shown in Fig. 6.3. The state of stress on any plane
, measured anticlockwise from the plane on which the major principal stress acts, will lie on
the circumference of the circle at the point which subtends an angle 2 at the centre of the
circle as indicated (i.e. measured anticlockwise from the major principal stress (1, 0).
1 1
n
1 1 2 2

1 1
(a) (b)
Fig. 6.2 State of stress in a soil element. Soil subjected to (a) all-
round stress, 1; and (b) decreasing horizontal stress, 2.
Keep reducing the lateral stress, 2. The diameter of the Mohr circles will get larger although
the point (1, 0) will remain fixed since the major vertical stress is held constant (Fig. 6.2(b)).
The shear strength envelope for a granular soil is given by the equation, = ntan where is
the angle of internal friction of the soil. As the Mohr circles increase in diameter there will
112
come a point when the circle touches the shear strength envelope for the soil (at point T on
Fig. 6.3). When this happens, the soil will be on the point of failure and failure planes, or
planes of slippage, will form within the soil. This is known as the Rankine active condition.
The angle at which the failure planes occur within the element can easily be obtained by

geometry: from triangle OTC on Fig. 6.3 since 2 = (90+), then = (45+ ) measured
2
from the major principal plane.
= ntan

T
(n, )
A 2 2 B
O X X
C
X
n
(2, 0) (2, 0) (1, 0)
The
45+/2
Fig. 6.3 Mohr's circles showing the state of stress within a soil element and the
Rankine active condition at failure. Insert shows inclination of failure planes at
(45+/2) to major principal plane
From Fig. 6.3, at the point of failure the ratio of minor principal stress, 2, to major principal
stress, 1, is given by,
CT
CT
2 OA OC AC Sin
= = = (6.5)
1 OB OC+ CB CT + CT
Sin

Since CA = CB = CT = radius of circle at failure. Hence,
113
2 1 Sin
= = K A ( = coefficient of active pressure )
1 1 + Sin
(6.6)
The failure planes within the soil element will be inclined at (45 + ) to the major
2
principal plane as shown in Fig 6.3.
Case 2
Now consider another element subjected to an initial ambient pressure of 1 kN/m2, (Fig.
6.4(a)) again keep the vertical stress constant, but this time increase the lateral principal stress
as shown on Fig. 6.4(b). As shown in Fig. 6.5, Mohr circles will now form to the right of the
point (1,0).
1
1
(b)
(a)
2 2
1 1
1 1
Fig. 6.4 Soil subjected to (a) all-round stress, 1; and (b) increasing
horizontal stress, 2
The element will compress laterally, hence expand vertically and the state of stress (n,) on
any plane within the material can be found. Now, as 3 keeps increasing, the Mohr circles
will increase in diameter and eventually will touch the shear strength envelope for the soil.
At this stage, the soil will be just on the point of failure and is known as the Rankine passive
condition, see Fig 6.5. As before, the angle at which the failure planes occur within the
element is obtained by geometry: from triangle OTC on Fig. 6.3 since 2 = (90+) , then

= (45+ ) measured from the major principal plane which, in this case, is the vertical
2

face of the element (2 > 1 ); this is the same as (45- ) to the minor principal plane
2
which is the horizontal face, as indicated on Fig. 6.5.
114
T
= ntan
A 2 B
O X
C
X
n
(1, 0) (2, 0)
45-/2
Fig. 6.5 Mohr's circles showing the state of stress within a soil element and the Rankine
passive condition at failure.
With reference to Fig. 6.5,
CT
+ CT
2 OB OC + CB Sin
= = = (6.7)
1 OA OC AC CT
CT
Sin
Since CA = CB = CT = radius of circle at failure. Hence,
2 1 + Sin
= = KP ( = coefficient of passive pressure ) (6.8)
1 1 Sin
From equations 6.6 and 6.8,
1
Kp = (6.9)
KA
Summarising, for active conditions to exist, the soil must be free to expand laterally, with the
major principal stress being vertical; for passive conditions, the soil is compressed laterally
(thereby expanding in the vertical direction) with the major principal stress being horizontal.
115
Rankine's solution for a strip footing on granular (i.e. cohesionless) soil can now be
developed. Consider Fig. 6.6 which depicts a strip footing (infinitely long into the plane of
the page) founded at a depth D in a deep layer of granular soil of unit weight, . The footing
is now loaded until the soil beneath the footing is just on the point of failure.
qult
D
0verburden stress
= D
Active Passive
Fig. 6.6 Rankine's solution for ultimate bearing capacity of a strip footing
Consider a point at the edge of the footing as indicated. Just inside the footing boundary the
vertical downward pressure of the footing is considered as a maximum principal stress, and
the lateral or minimum principal stress is the corresponding active earth pressure. The soil
will expand laterally and, since it is just on the point of failure, failure planes will form at
(45 + ) to the major principal plane, which is horizontal in this case. Rankine active
2
conditions will exist underneath the footing. Consider, now, a point just outwith the footing
boundary, the lateral stress from the active zone is, for particles just beyond the edge of the
footing, considered as a maximum principal stress, which, in turn, brings into play a vertical
minimum principal stress. The soil just beyond the edge of the footing is squeezed in the
horizontal direction and expands vertically, hence the Rankine passive conditions are
mobilised in this zone. Rankine's evaluation of the stress, qult, causing shear failure in a
cohesionless soil is developed below.
The bearing pressure, qult, produces a lateral pressure, p, at the base of the footing, and
according to the Rankine relationship,
116
p 1 Sin
= KA hence p = qult (6.10)
qult 1 + Sin
At a point just clear of the footing boundary the lateral pressure p, produces a (conjugate)
vertical stress which, for equilibrium, cannot exceed the weight of soil above base level (D)
Hence, for the passive condition just outside the footing boundary,
p 1 + Sin
= KP hence p = D (6.11)
D 1 Sin
From equations 6.10 and 6.11,
2
1 + Sin
qult = D (6.12)
1 Sin
Or, using the coefficient of passive pressure, Kp,
qult = DK 2p (6.13)
Note the problem for a surface footing using this analysis (i.e. D = 0), which implies that qult
is zero. For a soil possessing cohesion (c) as well as internal friction (see Fig. 6.7) an
analytical solution for the relationship between ultimate bearing capacity, qult, and the soil's
shear strength parameters was first derived by Bell (Bell, 1915) as,
3 1
qult = DK P 2 + 2c( K P 2 + KP 2 ) (6.14)
= c + n tan

Fig. 6.7 Shear strength envelope for a soil possessing both cohesion (c)
and internal friction ()
For a clay soil (i.e. purely cohesive soil with = 0) the ultimate bearing pressure of the soil is
given by:
117
q ult = D + 4c u (6.15)
A surface footing (D = 0) gives the solution qult = 4cu
These formulae, however, had a number of shortcomings:
They gave results lower than those obtained from experiment;
An abrupt change in stress conditions is implied below the edge of the footing i.e.
sudden change from active to passive conditions on either side of the footing
boundary; and,
Formulae are independent of the size and shape of the footing.
6.2.2 Slip Circle Methods
Fig. 6.8 presents a schematic of a slip circle failure mechanism for a strip footing of width B.
Width = B
Assumed centre
of rotation
qult C
D
A B
O
Radius = R
Fig. 6.8 Slip circle failure beneath a strip footing. Note: B = R.
If the footing is resting on a clay soil with cohesion, cu, then Fellenius's solution can be
developed for qult using the following assumptions,
(a) Failure caused by rotation along a circular slip surface
(b) Heaving up of soil mass on one side of footing only
(c) Applicable to strip footings (L/B > 10)
118
(d) Resistance mobilised over the ends of the cylindrical surface is neglected
Since the centre of rotation is about O, then it is required to calculate the overturning moment
about O due to qult and then calculate the moments of the forces trying to resist the
overturning moment.
B2
The overturning force about O is: qult L B Overturning moment about: qult L
2
The resistance mobilised by soil comprises 3 components:
2B L
1. Resistance along arc AB: cu Restoring moment about O: cu B 2 L
2
2. Resistance along BC: cu D L Restoring moment about O: cu D L B
B
3. Weight of soil above OB: D L B Restoring moment about O: D L B
2
where is the unit weight of the soil.
Since the footing is just on the point of failure, then, the restoring moments equal the
overturning moment:
DLB 2 B2
cuB 2 L + cu DLB + = qult L (6.16)
2 2
2cu D
qult = 2cu + + D (6.17)
B
Note that for a footing resting on the surface (D = 0) then qult = 2cu = 6.28cu (cf. Bell's
solution: qult = 4cu ).
The Fellenius solution has assumed that the centre of rotation was about the inside edge of the
footing. The modification by Wilson (1941) obtains the centre of rotation, O, more generally,
as a function of the width (B) and depth (D) of the strip footing and is presented in Fig. 6.9.
Note that for a footing on the surface (D = 0) for a cohesive soil gives qult = 5.52cu.
The slip circle method, although developed for cohesive material, can be adapted for granular
(i.e. frictional) material.
119
1.5
Values of y/B and x/B

x/B
qult 1.0
D
0.5 y/B
0 0.5 1.0 1.5

Values of D/B
Fig. 6.9 Wilson's modification to the Fellenius solution to obtain the centre of rotation, O.
6.2.3 The Plate Loading Tests

In this, a test carried out at foundation level on a rigid steel plate (typically, 0.305m diameter
(B), or 0.305x0.305m square) as in Fig. 6.10. Jacking against kentledge placed over the plate
can also be used; kentledge can simply be an excavator or truck. Load is applied to plate in
increments and its vertical deformation noted. There is at least one hour between load
increments to allow any excess pore water pressures to dissipate thereby ensuring that the
measured vertical displacement represents the value after any consolidation. The test is
conducted until failure to obtain a load (hence applied stress) versus settlement curve for the
plate.
In order to interpret the results to evaluate the allowable bearing capacity, which is based on
settlement (serviceability) considerations, Terzaghi and Peck (1967) have given empirical
Reaction beam
Applied stress
Jack
Settlement
Dial
Rigid Anchoring system
gauge
plate
At least
4Bp
Fig. 6.10 The plate loading test (Das, 1988)
120
relationships (in metric units) for tests on cohesive and granular soils to account for the
increase in settlement with size of footing,
B
For cohesive soil : S F = S P F (6.18)
BP
2 2
B 3.28 B P + 1
For granular soil : S F = S P F (6.19)
BP 3.28 B F + 1
Where,
SP = settlement of plate
SF = settlement of footing
BP = width / diameter of plate
BF = width of footing
When the standard 0.305m0.305m is used, these relationships simplify,
B
For cohesive soil : S F = S P F (6.20)
0.305
2
2BF
For granular soil : S F = S P (6.21)
B F + 0.305
In order to use these results to obtain a suitable bearing pressure, the engineer must decide on
a tolerable settlement for the 'full-scale' footing. Care must be exercised when using plate
loading test results and should be interpreted alongside borehole records, particularlt the
presence of layered soils and water-table these may be outwith the zone of influence of the
plate (i.e. the 20-25% stress isobar), but within the zone of influence of the footing.
Example:
A plate loading test (0.305m 0.305m plate) was undertaken on a granular soil at the
proposed footing depth and the results are presented in Fig. 6.11 (Das, 1998). The problem is
to determine the size of the size of a square footing to carry total service load, Q, of 2500kN
(inclusive of weight of footing) to ensure that the settlement will be < 25mm.
121
Pressure kN /m 2
Settlement mm
Fig. 6.11 Results from a plate loading tests
Since the test was carried out on a granular soil, the relevant formula is equation 6.21 above.
BF is then obtained using an iterative process by guessing an initial value. The contact stress,
q kN/m2, can then be calculated q = Q/ BF2 . This allows the plate settlement, SP, at this
pressure, to be found using the results in Fig. 6.11. Then, using equation 6.21, the equivalent
settlement of the footing, SF, can be obtained. This process continues until values of SF are
just < 25mm. The iteration is tabulated below,
BF q = Q/BF2 SP SF
2
(m) (kN/m ) (from Fig. 6.11) (using equation 6.12)
(mm) (mm)
Try, 4.0 as an 156 4.0 13.8
initial guess too small - try again!
3.0 277 8.0 26.4
too big - try again!
3.2 244 7.0 23.0

OK this will do!
Table 6.1 Iterative process for plate loading test results.
122
6.2.4 Methods based on plastic failure
(i) Prandtl's Analysis

The initial work was developed by Prandtl (Prandtl, 1921) while analysing problems
concerning the indentation of a flat-ended punch into a ductile metal, the latter being
modelled as a plastic half-space. The work on the metal-metal contact problem was adapted
for soil using the following assumptions,
solution based on an infinitely long strip footing;
load applied to the surface of a rigid plastic material;
smooth (frictionless) interface between footing and soil
self-weight of the soil below the footing is neglected
If the soil is loaded with a pressure, q, then a state of plastic equilibrium will exist when q is
large enough to produce three zones with different shear patterns (i.e. soil just on the point of
failure) as presented in Fig. 6.12,
1. Zone I immediately beneath footing within which the Rankine active state of stress
exists. Within Zone I, a relatively undeformed wedge of soil below the footing forms
the active zone with failure surfaces (or planes of slippage) forming at (45+/2) to
the horizontal. This wedge of soil 'punches' into the soil with the footing and results
in a lateral flow of soil from beneath the footing.
2. Zone II is a transition zone with radial shear planes which radiate from the edge of
the loaded area. Other shear surfaces are logarithmic spirals intersecting the radial
lines at (90-) and tangential to the shear surfaces in the adjacent zones.
3. Zone III outwith the footing boundary within which the Rankine passive state of
stress exists. The shear planes inclined at (45-/2) to the horizontal.
123
45+/2
45-/2
passive active
radial
Log spiral
Fig. 6.12 Failure zones beneath a strip footing
If the self-weight of the soil is neglected then the contact stress, qult, which causes failure of a
strip footing on the surface of the semi-infinite medium could be expressed as,

q ult = c .Cot ( ) tan 2 ( 45 o + )e tan 1 Note: tan 2 ( 45 + ) = 1 + Sin = K p (6.22)
2 2 1 Sin
In equation 6.22, c and are the shear strength parameters for the soil. For purely cohesive
soils ( = 0), such as clays, the solution for qult is obtained as,
qult = c (2 + ) = 5.14c (6.23)
It should also be noted that for cohesive soils, the logarithmic spirals in the transition zone
(Zone II in Fig. 6.12) become circular arcs.
This analysis was further developed (Reissner, 1924) to consider a strip footing founded at a
depth, D, in a soil. With reference to Fig. 6.13, the soil above the level of the base (i.e. the
overburden stress) was replaced by an equivalent surcharge at foundation level. If o is the
unit weight of the soil above the base, and c and are the shear strength parameters for the
soil below foundation level, then the solution was given by,

q ult = c .Cot ( ). tan 2 ( 45 o + )e tan 1 + o D .e tan tan 2 45 o + (6.24)
2 2
124
qult qult
q=oD oD
D o
Fig. 6.13 Solution for footing at depth where overburden is

replaced by an equivalent surcharge.
It is important to note that in this analysis, that part of the slip surface in Zone III through the
overburden is neglected. If the weight of soil below foundation level is included (of unit
weight 1, as shown Fig. 6.14) then the solution for a strip footing of width, B, was obtained
as (after Caquot and Krisel, 1949):

q ult = cCot ( ) e tan tan 2 ( 45 o + ) 1 + o De tan tan 2 45 o + + 0.25Be ( 3 / 2 ) tan tan 2 45 o + (6.25)
2 2 2
qult
D o
B 1
Fig. 6.14 Solution for footing where unit weight of soil below
founding depth is considered.
Equation 6.25 comprises three components: the first related to the shearing resistance of the
soil; the second related to the overburden stress at founding depth, and the third related to the
weight of the soil below the footing.
125
(ii) Terzaghi's Theory

Prandtl's theory is based on a perfectly smooth interface between the underside of the footing
and the soil on which it rests. Terzaghi, however, considered that Prandtl's analysis should be
modified to take into account frictional effects between the footing and the soil. If this is
considered then lateral expansion of the soil in Zone I, which is necessary if the soil in this
region is to reach the Rankine active state, will be prevented. Therefore the wedge of soil in
Zone I does not reach a plastic state and is assumed to behave like part of the footing, with
the soil immediately below it moving downwards i.e. the surface of sliding through the apex
d starts from a vertical tangent as shown in Fig. 6.15. Also, the upper surface (ad and bd) of
the radial shear zone is a surface of sliding. Since the surfaces of sliding intersect at 90-,

then ad and db are at to the horizontal (this was 45 + in Prandtl's analysis).
2
B
Shearing resistance
neglected on this surface qult
q=oD
D
a b 45-/2
PP PP
Fig. 6.15 Schematic diagram showing the external and internal forces in the soil for a
rough strip footing on the point of failure.
In addition, for a footing below the surface (but D < B) the shearing resistance of the soil
above the base of the footing is neglected and replaced with an equivalent surcharge (oD).
By considering equilibrium of the wedge adb with failure incipient, the forces are (unit length
of strip footing considered):
(a) the foundation load: Qu = qultB1;
126
(b) the weight of soil within wedge abd = 0.25B2tan where is the unit weight of
the soil below foundation level.
(c) the passive resistance of soil Pp on ad and db acting at to ad and db hence vertically
upwards; and,
(d) cohesive resistance of soil acting along db and da
Since the soil is just on the point of failure,
Qu + 0.25 B2tan = 2PP + cBtan
Qu = 2PP + cBtan - 0.25 B2tan
Terzaghi suggests that Pp could be found by either the friction circle method or log-spiral
method, hence Qu can be evaluated. However, such a procedure would be very time
consuming and Terzaghi provided a more convenient alternative by expressing the ultimate
bearing capacity in the form,
qult = cNc + oDNq + 0.5 BN (6.26)
where the term cNc is due to the shearing resistance of the soil along the sides of the soil
wedge; oDNq is related to the overburden surcharge at founding depth; and, 0.5 1BN is
related to the weight of the wedge of soil in Zone I. Terzaghi describes this as the General
Shear Failure equation for a shallow, continuous footing and considers it applicable to a soil
which exhibits only small strains prior to plastic failure. Nc, Nq and N are called bearing
capacity factors and are defined by the following equations:
(
N c = Cot N q 1 ) (6.27)
3
2 tan
e 4 2
Nq = (6.28)

2 cos 2 +
4 2
1 Kp
N = 2
1 tan (6.29)
2 cos
Kp in equation 6.29 is the Rankine passive earth pressure coefficient (see equation 6.8).
The bearing capacity factors defined by these equations are presented in Fig.6.16 as a
function of the soil shear strength parameter, .
127
Nc, Nq, N

Fig. 6.16 Terzaghi's bearing capacity coefficients, Nc , Nq and N.
The bearing capacity factors for a clay soil ( = 0) obtains, from Fig. 6.16, Nc = 5.7, Nq = 1.0
and N = 0, hence qult for a strip footing resting on the surface (D = 0) of a clay soil is,
qult = 5.7c (6.30)
Table 6.2 compares the various solutions developed above for this particular situation,
Source qult
Bell 4c
Fellenius 6.26c
Wilson 5.52c
Prandtl 5.14c
Terzaghi 5.7c
Table 6.2 Comparison of qult for a strip footing on the surface of a cohesive soil.
128
For some loose soils the load-settlement curve might indicate large settlements at small
values of load. In this case the lateral compression of Zone III will not be sufficient to make
it reach the Rankine passive state and local shear failure occurs beneath the footing. For this
case, Terzaghi suggests using the equation:
2
q ult = cN c' + o DN 'q + 0.5BN r' (6.31)
3
Where N'c , N'q and N' are the modified bearing capacity factors and presented in Fig. 6.17.
Vesic's modification to N'q (1963) is also given on Fig.6.17.
N'c, N'q, N'

Fig. 6.17 Terzaghi's modified bearing capacity factors, N'c , N'q and N' , for
loose soils.
The above bearing capacity equations are applicable to strip footings; however, based on
experimental (model) tests, Terzaghi proposed the following equations fro square and circular
footings,
q ult ( square ) = 1.3cN c + qN q + 0.4 BN r (6.32)
129
q ult ( circular ) = 1.3cN c + qN q + 0.3BN r (6.33)
Where B is the width or diameter of footing and q is the overburden stress (oD) at founding
depth. A more general equation was presented by Schlutze (Schlutze, 1952) for a rectangular
footing in the form,
B B
q uly = 1 + 0.3 cN c + qN q + 0.51 0.2 1 BN (6.34)
L L
where B and L are, respectively, the width and length of the footing and Nc , Nq and N are
Terzaghi's bearing capacity factors.
(iii) General Bearing Capacity Equation

The equations do not take into account shearing resistance along the failure surface in the soil
located above the bottom of the footing; in addition, there are other factors which must be
taken into account in estimating bearing capacity e.g. the loading may be inclined, the ground
surface may be sloping, The following general bearing capacity equation has been suggested
by Hansen (1961, 1968) and Meyerhof (1963), and is now generally adopted,
q ult = ( cN c s c d c i c g c bc ) + ( qN q s q d q i q g q bq ) + ( 0.5BN s d i g b ) (6.35)
Where, c = soil cohesion
q = overburden stress at foundation level
= unit weight of soil below foundation level
B = width of foundation
sc, sq, s = foundation shape factors
dc, dq, d = base depth factors
ic, isq, i = load inclination factors
gc, gq, g = ground inclination factors
bc, bq, b = base inclination / base tilt factors
Nc , Nq and N = bearing capacity factors (NOT Terzaghi's)
The bearing capacity factors generally adopted in equation 6.34 are those presented by
Hansen and Meyerhof and given by the relationships,
130

N q = tan 2 (45 + )e tan (see Prandtl) (6.36)
2
N c = ( N q 1)Cot (see Reissner) (6.37)
Equations 6.35 and 6.36 are used in the Eurocode although there is still some conjecture over
the accepted value for N . The following relationships have been presented,
N r = ( N q 1) tan(1.4 ) (Meyerhof, 1963) (6.38)
N r = 1.80 ( N q 1) tan (Hansen 1961) (6.39)
N r = 1.50( N q 1) tan (Hansen, 1970) (6.40)
N r = 2.0( N q + 1) tan (Vesic, 1973) (6.41)
N r = 2.0( N q 1 ) tan (Eurocode) (6.42)
These equations have been plotted on Fig.6.18 together with the Nc and Nq given by
equations 6.36 and 6.37 as a function of .
Shape, depth, load and base inclination factors referred to in the literature, and those used in
Eurocode, have been presented in Tables 6.3-6.9.
N - Hansen, 1970

N - Meyerhof, 1963
100
N - Vesic, 1973

N - Eurocode

N ,N ,N
q
10
N
c
N
q
1
0 5 10 15 20 25 30 35 40 45

Fig. 6.18 Bearing capacity factors used in design.
131
TYPE sc sq s
Strip 1.0 1.0 1.0
B N q B B
1+ ('>0) 1+ Sin' 1 0.4
Rectangle L N c L L
1+ 0.2 (u=0)
B
L
Circle/ Nq 1 + Sin' 0.6

1 + ('>0)

Square Nc
1.2 (u=0)
Table 6.3 Shape factors proposed by Hansen (1970)
TYPE sc sq s
Strip 1.0 1.0 1.0
Rectangle B N q B B
1+ 1+ tan' 1 0.4
L N c L L
Circle/ 1+ Nq

1 + tan' 0.6
N
Square c
Table 6.4 Shape factors proposed by De Beer, 1970 (' > 0)
132
TYPE sc sq s
Strip 1.0 1.0 1.0
Rectangle sq N q 1 1 + B Sin' 1 0.3 B

N 1 ('>0) L L
q
1+ 0.2 (u=0)
B
L
Circle/ As rectangle ('>0) 1 + Sin' 0.7

Square
1.2 (u=0)
Table 6.5 Shape factors used in Eurocode 7.
Condition dc dq d
D/B 1 1 + 0.4(D/B) 1 + 2tan'(1-Sin')2(D/B) 1.0
D/B > 1 1 + 0.4tan-1 (D/B) 1 + 2tan'(1-Sin')2 tan-1(D/B) 1.0
Table 6.6 Depth factors proposed by Hansen (1970), where D is the embedment depth of the
footing. Note: the factor tan-1(D/B) must be expressed in radians not degrees e.g. tan-1(1) =

45 = or 0.785 radians
4
Condition dc dq d
u = 0 1 + 0.2(D/B) 1.0 1.0
' 10 1 + 0.2(D/B)tan(45+'/2) 1 + 0.1(D/B)tan(45+'/2)
Table 6.7 Depth factors proposed by Meyerhof, 1963.
133
Source ic iq i
Hansen, 1970 iq N q 1 (1 0.5tan)1 (1 0.7tan)2

('>0)
Nc 1 2 < 1 < 5 2 < 2 < 5
(0.5 - 1 H ) (u=0)
B.L.cu

Eurocode 7 1 iq (1 tan)m (1 tan)m+1

iq -
('>0)
Nc tan '
H
0.5(1 + 1 ) (u=0)
B. L.cu
Table 6.8 Load inclination factors.
With reference to Table 6.8, please see Fig. 6.19 for evaluation of and the exponent m, as
before, L and B are the length and breadth of the footing, respectively. In this Figure, the
load, Q, is inclined at an angle to the vertical; H and V represent, respectively the
horizontal and vertical components of Q.
tan = [H/(V + LBc'Cot')]

V Q
H = QSin and V = QCos

m = mB = [2 + (B/L)]/[1+(B/L)] when H acts in the direction of B
H m = mL = [2 + (L/B)]/[1+(L/B)] when H acts in the direction of L

B
Fig. 6.19 Schematic for evaluation of load inclination factors
134
Source bc bq b
Eurocode 7 1 bq (1 tan')2 same as bq

bq -
('>0)
N c tan ' is in radians
2
1 ) (u=0)
(+2)
is in radians

Table 6.9 Base inclination factors.
6.3 Shear strength parameters: Drained and Undrained conditions
In the equations and Tables presented above, the terms c and have been used in a general
sense to signify the soil's geotechnical properties cohesion and internal friction, respectively.
The parameters that should be used are c', ' and u (as in Tables 6.3-6.9) and it is important
to understand these terms and under what conditions to employ them. As was discussed in
relation to consolidation, when a saturated soil is loaded, pore water pressure will be
generated within the soil (over and above the hydrostatic pressure). Immediately after
loading, undrained conditions exist; however, with time, the pore water pressure dissipates
and eventually becomes zero. The parameters c', ' and u used in bearing capacity
calculations depend upon whether the soil is in a drained or undrained, and whether it is a
granular soil or cohesive soil (clay) and if the latter is normally consolidated or
overconsolidated.
6.3.1 Granular Soil:
Due to their high permeability, granular soils such as sands and gravels, will always be in a
drained state as any excess pore water pressure induced by loading can dissipate almost
immediately. Bearing capacity calculations are made in terms of effective stress and hence
the drained shear strength parameters (cd and d) are used in equation 6.35, these are
equivalent to c' and ', with ' used to obtain the appropriate bearing capacity factors.
Generally, for granular soil, the term c' is low (c' 0) and the first term in equation 6.35 can
be neglected. Due to the nature of granular material, obtaining good quality undisturbed
samples for triaxial testing is difficult hence in-situ testing is used to evaluate this parameter.
135
Values for ' are estimated from in-situ tests such as the standard penetration test (SPT) or
cone penetration test (CPT). Having obtained the SPT or CPT value for the soil, then
established relationships between the test value and ' are used to estimate ' (e.g. see Fig.
6.20 after Peck et al, 1967).
SPT Value, N (blows/300mm)
Angle of shearing Resistance,
Fig. 6.20 Relationship between SPT value (N) and angle of shearing
resistance for granular soil (after Peck et al, 1967).
6.3.2 Cohesive Soil
The problem with cohesive (clay) soil is that it has a low permeability and drainage of water
from the soil is slow hence the dissipation of excess pore water pressure takes many years.
As discussed earlier in relation to this type of soil, after loading, the soil is initially in the
undrained state; with time, as water drains from the soil, the excess pore water pressure
dissipates. Eventually, when the excess pore water pressure has dissipated the soil will be in
a drained state.
As a normally consolidated clay drains, its strength increases with time hence it's bearing
capacity will increase. The most critical time for a normally consolidated clay, in terms of its
bearing capacity, is immediately after construction i.e. in the undrained state. In this case,
the undrained shear strength parameters of the clay are used in calculating the bearing
capacity of the soil. If it is required to check the long term bearing capacity of the clay then
the drained (effective shear) strength parameters are used.
136
The triaxial apparatus is used to obtain the undrained and drained shear strength parameters
for the clay. In an undrained triaxial test, the sample is placed in the triaxial cell and the cell
pressure is applied. The drainage channels from the triaxial cell are closed and no drainage
of the sample is allowed at any time. The sample is then loaded axially and sheared under
Total stress failure envelope:

= cu (u = 0)

cu
Fig. 6.21 Shear strength envelope for clay under undrained

conditions with Mohr circles plotted in terms of total stress.
undrained conditions. This procedure is repeated for several cell pressures and the Mohr
circles at failure plotted in terms of total stress as shown in Fig. 6.21. It is found that the
shear strength envelope (i.e. the tangent to the Mohr circles) is a horizontal line with the
result that the shear strength of the soil, = cu as u 0. The value of cohesion used in the
bearing capacity equation is denoted cu. Regarding the bearing capacity of clay under
undrained conditions, the equation and bearing capacity factors developed by Skempton can
be used and is discussed in Section 6.4 below. (See also, BS 1377-7, 1990).
To obtain the bearing capacity of cohesive soil in the drained state, then the drained shear
strength parameters are used in equation 6.35. These are obtained from samples tested in the
triaxial apparatus by undertaking a consolidated-undrained test with pore water pressure
measurement. In this test, the clay sample is first consolidated under the cell pressure by
allowing the water to drain from the sample. Once the sample has consolidated under the cell
pressure, the drainage channels on the cell are closed and an axial load applied to the sample.
The sample is the sheared under undrained conditions, however, during the loading stage the
pore water pressure is measured within the sample. The drained (effective) shear strength
parameters (c' and ') are then obtained by plotting the Mohr circles at failure in terms of
137
effective stress as shown schematically in Fig. 6.22. It can be seen from Fig. 6.22 that in the
drained state, the clay is behaving like a granular soil (c' 0). (See also, BS 1377-8, 1990).
= c + ntan

c n
Fig. 6.22 Shear strength envelope for cohesive soil tested under consolidated-
undrained conditions with Mohr circles plotted in terms of effective stress.
However, in the case of heavily over-consolidated clay, the reverse can happen, namely,
under undrained conditions this type of material is at its strongest (due to the development of
negative pore water pressures) and, as the soil drains, it becomes weaker. Hence, in the long-
term, the bearing capacity of this soil will decrease so it is essential to check the foundation
bearing capacity using the drained shear strength parameters c' and '.
The bearing capacity for clay needs to be checked under both undrained and drained
conditions using total (cu; u=0) and effective (c' and ') shear strength parameters,
respectively.
6.4 Bearing Capacity equation for Clay under undrained conditions (u = 0)
From both laboratory and full-scale observations, Skempton (1951) formed the general
conclusion that for clay soils, under undrained conditions, the coefficient, Nc, increases with
depth. He proposed that the ultimate bearing capacity for a strip footing at depth, D, is given
by,
qult = cuNc + q (6.43)
with Nq = 1, N = 0 and q is the total overburden stress at depth, D. The bearing capacity
factor, Nc, proposed by Skempton for a strip footing is presented in Fig. 6.23 and also takes
138
into account the depth of embedment depth of the footing. For a strip footing on the ground
surface (D = 0), Nc = 5.14 from Fig. 6.23. Nc increases with depth up to a maximum of about
7.5 for strip footings and 9 for square and circular footings; regarding the latter, it is
interesting to note that Nc is normally taken as 9 in the evaluation of the end bearing capacity
of a pile in saturated clay (although this is not developed in this module).
6.25
Nc
5.14
D
B
Ratio D/B
Fig. 6.23 Skempton's bearing capacity coefficient, Nc, for undrained conditions
(total stress: u = 0).
Skempton also presented the following relationship for rectangular footings,
B
Nc (rectangle) = (1 + 0.2 ) N c (strip) (6.44)
L
Equation 6.44 could be considered as a shape factor and for a square footing, B/L = 1, hence
Nc (square) = 1.2Nc (strip); see also Table 6.3 and 6.5 above. Eurocode 7 presents the
following equation for undrained conditions (u = 0),
qult = (2+)cuscbcic + q (6.45)
B
where, sc = (1 + 0.2 ) for rectangular shape and 1.2 for a square or circular shape (see also
L
Table 6.5 above). The load inclination factor (ic) and base inclination factor (bc) are given in
139
Tables 6.8 and 6.9 for u = 0 and q is the total overburden stress at founding depth; Hansen's
depth factors can also be applied (Table 6.6 with = 0). Note that the term (2+) in equation
6.45 is the same as equation 6.23 and also the same as the Skempton bearing capacity factor,
Nc, for a strip footing on the ground surface (Fig. 6.23 with D/B = 0). The Skempton values
of Nc are widely used in the permissible stress methods of foundation design (discussed later
in 6.6 below). Caution should be exercised when adopting them for design by Eurocode 7
(discussed later in 6.7 below) as the partial factors on material properties (Table 6.10 below)
have been selected by correlation of field experience with theoretical bearing capacity
obtained by the Brinch Hansen equation (i.e. equation 6.35).
6.5 Modification of Bearing Capacity Equations for Water-Table
Equation 6.35 above is based on the assumption that the water-table is well below foundation
level and can be written (drained condition),
qult = ( c' Nc sc dcic gcbc ) + ( qNq sq dqiq gqbq ) + ( 0.5BN s di gb ) (6.46)
Remember the first term is related to the shearing resistance of the soil; the second term in
equation 6.46 is related to the overburden stress at foundation level and the third term relates
to the weight of material in the active wedge of soil beneath the footing (see Fig. 6.12). Since
the second and third terms will be affected by a rise in the water-table then this must be
considered in design and is discussed below.
(i) Case 1: Water-table located at 0 < x < B
Datum in this case is taken at foundation level as shown in Fig. 6.24 and B is the width of the
footing. With the water-table in this position, the wedge of soil beneath will be influenced by
the water table. Since the third term in equation 6.46 relates to the wedge of soil, the unit
weight of the material is, in this case, replaced by the submerged, or effective, unit weight of
the soil i.e. sub, (= sat - w). The first and second terms are unaffected; hence,
qult = (c' N c sc d cic gcbc ) + (qNc sq d qiq g qbq ) + (0.5 sub BN s d i g b ) (6.47)
140
B
D
x W.L.
Fig. 6.24 Influence of water table (WT) on bearing capacity.
(ii) Case 2: Water-table located between ground level and foundation level.
As with Case 1, the unit weight in the third term is replaced by sub.; in addition, the
overburden stress at founding depth, q, is now replaced by the effective overburden stress, q',
at foundation level where (see Fig. 6.25),
q' = (.x+sub(D-x)) (6.47)
where is the unit weight of the soil above the water-table.
x
B
Fig. 6.25 Water-table located between ground surface and founding depth.
As far as cohesive soil under undrained conditions is concerned, since it is the total stress
conditions which prevail, the position of the water-table has no influence on the bearing
capacity equations given in 6.43 and 6.45, although the soil must remain in a fully saturated
state.
141
6.6 Factor of Safety: Permissible Stress Approach
The equations for qult developed above represent the gross ultimate bearing capacity or
resistance of the soil at depth D; in other words, this is the maximum pressure that can be
applied to the soil at this depth before failure. Hereinafter this will be denoted qult,gross. To
obtain the safe gross load-bearing pressure of the soil then a factor of safety (FoS) is applied
and, for foundation work, this is normally between 2-3 in the permissible stress approach.
This gives a safe, gross bearing capacity of the soil as,
q ult ,gross
qsafe, gross = (6.49)
FoS
However, some practicing engineers prefer to apply the factor of safety to the net ultimate
bearing capacity,
qult,net = qult,gross q (6.50)
where q is the total overburden stress (undrained analysis) or effective overburden stress
(drained analysis) at founding depth. Therefore,
q ult ,gross q
q safe ,gross = +q
(6.51)
FoS
The safe net bearing capacity is the safe pressure that can be supported by the soil in excess
of the overburden pressure caused by the surrounding soil.
Weight of material
Q column between founding depth
and ground surface = W
Fig. 6.26 Material above founding depth, including concrete in

footing, contributes to gross contact pressure
142
q ult ,net
q safe ,net =
(6.52)
FoS
Consider, for example, Fig. 6.26 below where a column is supported by a pad footing; after
excavation the footing is formed and backfilled to original ground level.
If the column loading is Qcolumn and the weight of material forming the footing and any
backfilled material is W, then,
Qcolumn W q ult ,net

+ = q safe ,gross = +q
(6.53)
L B L B FoS
Normally W/(LB) q (i.e. the overburden stress at founding depth before any excavation);
hence the column load, Qcolumn, that can be applied to soil at depth, D, is.
Qcolumn = q safe ,net L B (6.54)
Qcolumn represents the working or service (i.e. unfactored) column loads from the structure.
The geotechnical properties (c', ', u) used in the evaluation of qult are those obtained from
field tests or triaxial testing
6.7 Partial Factors and Eurocode 7
Eurocode 7 adopts a limit state approach checking both ultimate (collapse) and serviceability
(e.g. settlement) with partial factors applied to loadings and ground properties. Considering
the ground properties, or geotechnical parameters, the Eurocode uses design soil properties,
which are by given by:
Xk
X design = (6.55)
m
where Xk is the characteristic value of the geotechnical parameter (c', ', u) and is 'based on
results and derived values from laboratory and field tests, complemented by well-established
experience'. The characteristic value is thus a 'cautious estimate' of the ground properties.
The characteristic value for the particular geotechnical parameter can also be derived from
statistical methods 'such that the calculated probability of a worse value governing the
occurrence of the limit state under consideration is not greater than 5%'. Where insufficient
statistical data are available to establish the characteristic values of a material or product
property, nominal values may be taken as the characteristic values, or design values of the
property may be established directly.
143
Table 6.10 presents partial factors for the appropriate soil property; note that the partial factor
is applied on tan'.
Partial factors, m, on ground properties for ultimate limit state
tan' c' cu Weight density,
1.25 1.25 1.4 1.0
Table 6.10 Partial safety factors for geotechnical parameters.
Hence, using equation 6.54 above for the ultimate limit state condition,
tan k c' k c u ,k
' design = tan 1 ; c' design = ; c u ,design = (6.56)
1.25 1.25 1.4
In the Eurocode approach, these values are used with the design loadings which are the
characteristic loads (or actions) multiplied by the appropriate partial factor for the action. For
serviceability checks, the partial factors, m , are generally taken as unity.
144
Worked Example 6.1: Bearing Capacity
A strip footing of width 1.5m is founded in the soil conditions given in the Figure below
Soil 1 above foundation level and Soil 2 below foundation level. Obtain the additional safe
load, Q, per metre run of strip footing using,
(a) permissible stress approach, and
(b) limit state approach.
Factor of Safety = 2.0 (on net bearing capacity)
Partial Factors: c' = 1.25
' = 1.25 (applied on tan')
cu = 1.4
weight density = 1.0
These values have been taken from Table A4 in BS EN 1997-1: 2004 (presented below) set
M2. The unit weight of water, w, = 9.81 kN/m2 and the water table remains in the same
position throughout the design life of the structure. Assume that the soil above the water
table is fully saturated.
Width of strip = 1.5m

0.3m
Ground surface
conc =
23kN/m3 W.T. 0.4m
Soil 1
sat = 19kN/m3
0.8m
c' = 5kN/m2 ' = 30

Soil 2 cu = 45kN/m2 u = 0
sat = 20kN/m3
Fig. 6.27 Schematic for use with worked example 6.1
145
The short term (undrained: total stress condition) and long term (drained: effective stress
condition) capacity will be checked.
(a) Permissible Stress
In the calculation of the bearing capacity, Soil 2 is used since the failure surfaces will form
within this material.
(i) Drained condition (long term bearing capacity)
Use equation 6.35 using the effective stress parameters c' and '. Calculate the bearing
capacity factors using the equations 6.36, 6.37 and 6.42 and ' = 30,
' tan '

N q = tan 2 ( 45 + )e = 18.4
2
N c = ( N q 1 )Cot' = 30.14
N r = 2.0( N q 1 ) tan ' = 20.1
Since a strip footing the shape factors are all unity: sc = sq = s = 1.0
Depth factors: use Brinch Hansen for D/B 1 in Table 6.6 (also try using Meyerhof's depth
factors in Table 6.7). It is assumed that in using the depth factors Soil 1 has comparable
strength to Soil 2. Where soft or loose soil exists above foundation level, it would not be
appropriate to use depth factors.
146
dc = 1 + 0.4 = 1 + 0.4 = 1.32

D 1 .2
B 1.5
dq = 1 + 2 (1 sin ')2 tan ' = 1 + 2 (1 sin 30o ) tan 30o = 1.23

D 1.2 2
B 1 .5
d = 1.0
Note: Meyerhof's depth factors are: dc = 1.28; dq = d = 1.14
The gross ultimate bearing capacity of the soil at a depth of 1.2m is given by (remember
position of the water table),
qult , gross = (c' N c sc d c ) + (q' N c sq d q ) + (0.5 sub BN s d )
Effective vertical stress at foundation level, q' = (0.419) + (0.8[19-9.81]) = 14.95kN/m2
Hence,
qult,gross = (530.141.32) + (14.9518.41.23) + (0.5[20-9.81]1.520.11.0) = 690kN/m2
qult,net = 690 q' = 690 14.95 = 675 kN/m2
Apply factor of safety (FoS) on net capacity,
qsafe,net = 675/FoS = 675/2 = 337.5 kN/m2
qsafe,gross = 337.5 + q' = 337.5+14.95 352 kN/m2
This represents the maximum safe pressure that can be applied to the soil at a depth of 1.2m.
In other words, the total pressure due to the loading plus the concrete in the foundation itself,
must equal qsafe,gross. To calculate the additional safe load, Q, that can be applied to the
footing, consider 1.0 metre run of footing; hence,
Q
+ ( 1.5 23 ) 0.8 9.81 = qsafe , gross
1.5 1
Per metre Pressure due to Uplift effect due

run of self weight of to water pressure
footing concrete in on underside of
foundation footing
Q
= 352 [(1.5 23) (0.8 9.81)]
1.5 1
Q = 325.35 1.5 1 = 488 kN / m run of foundation
147
(ii) Undrained condition (bearing capacity just after construction)
For the undrained (total stress) condition use the Skempton equation presented in 6.43 and
Skempton's bearing capacity factors presented in Fig 6.22 (which includes a depth factor).
The shape factors are unity for a strip foundation,
qult,gross = cuNc + q (where q is the total overburden stress)
To obtain Nc, use Fig. 6.22 with D/B = 1.2/1.5 = 0.8. Nc 6.2
2
qult,gross = (456.2) + (1.219) = 302 kN/m
qult,net = qult,gross q = 302 - 22.8 = 279 kN/m2
Factor of safety (FoS) now applied on net capacity,
qsafe,net = 279/2 = 139.5 kN/m2
qsafe,gross = 139.5 + q = 139.5 + 22.8 = 162.3 kN/m2
Q
+ ( 1.5 23 ) = qsafe , gross no water pressure since undrained conditions (total stress)
1.5 1
Q
= 162.3 1.5 23 Q 192 kN / m run of foundation
1 .5 1
Hence the undrained condition gives the lower value with Q representing the total working or
service (i.e. unfactored) loads in the column.
(b) Limit State
(i) Drained condition (long term bearing capacity)
If it is assumed that the soil parameters c' , ' and unit weights given above represent a
'cautious estimate' of the soil parameters (i.e. the characteristic values) then the calculations
proceed as follows:
Calculate the design values for the soil properties.
c' k
cd' = = 4kN / m 2
1. 25
d' = tan 1
tan ' k
= 24.8
1.25
Since the partial factor for weight density is 1.0, then unit weights given in the Figure are the
design values.
148
Calculate the bearing capacity factors with d' = 24.8; this gives,
d ' tan d '

N q = tan 2 ( 45 + )e = 10.52
2
N c = ( N q 1 )Cot d ' = 20.60
N r = 2.0( N q 1 ) tan d ' = 8.80
As before, since a strip footing the shape factors are all unity: sc = sq = s = 1.0
Depth factors: use Brinch Hansen for D/B 1 in Table 6.6
dc = 1 + 0.4 = 1 + 0.4 = 1.32

D 1 .2
B 1.5
dq = 1 + 2 (1 sin d' ) tan d' = 1 + 2 (1 sin 24.8)2 tan 24.8o = 1.25

D 2 1 .2
B 1.5
d = 1.0
Note: Meyerhof's depth factors are, in this instance: dc = 1.25 dq = d = 1.13
The gross ultimate bearing capacity, or the design bearing resistance, of the soil at a depth of
1.2m is given by,
qult , gross = ( cd ' N c sc d c ) + ( q' N c sq d q ) + ( 0.5 sub BN s d )
Effective vertical stress at foundation level, q' = (0.419) + (0.8[19-9.81]) = 14.95kN/m2
as the partial factor on weight density = 1.0
qult , gross = (4 20.6 1.32) + (14.95 10.52 1.25) + (0.5 [20 9.81] 1.5 8.8 1.0)
qult,gross = 372.6 kN/m2
Q represents the design actions (i.e. factored loads) from the structure comprising permanent
and variable actions being both 'favourable' and 'unfavourable' (as defined in the Eurocode).
Concrete in the foundation would be classified as a 'permanent action' and 'unfavourable' as it
is assisting in causing failure of the soil. In this instance, the partial factor is 1.0 (see Table
A3 in BS EN 1997-1: 2004 using Set A2 and presented below, which is used in combination
with Set M2 in Table A4).
Since the water table is assumed to remain in the same position throughout the design life of
the structure then it could be regarded as a 'permanent action', although, in this case, it is
149
tending to give uplift (i.e. a relieving effect) then it would be regarded as a 'favourable' load.
The partial factor, in this instance, is 1.0. In reality, the position of the water-table could
change with time of year and over the design life of the structure and would have to be
considered as a variable action in a real design situation with a partial factor equal to zero
(see Table A3).
qult,gross =
Q
+ 1.0(pressure due to concrete) 1.0(pressure due to water)
1.5 1
Partial factor Partial factor
Q
= 372.6 [1.0 (1.5 23) 1.0 (0.8 9.81)]
1.5 1
Q 519 kN/m run of foundation.
Where, Q represents the sum of the factored loadings i.e. characteristic actions multiplied by
the appropriate partial factor. Regarding the latter, the partial factor on permanent actions
would be 1.0 and 1.3 on variable actions using set A2/M2 combination.
(ii) Undrained condition: u = 0 (bearing capacity just after construction)
Use the Eurocode 7 equation (i.e. equation 6.44). The shape factors are unity for a strip
foundation. The design value for the undrained shear strength is given by,
c u ,k
cu,d = = 32.1kN / m 2
1 . 4

150
The gross ultimate bearing capacity, or the design bearing resistance, of the soil at a depth of
1.2m is given by,
qult = (2+)cu,dscdc + q (where q is the total overburden stress)
Use Hansen's depth factors with = 0,
D 1 .2
dc = 1 + 0.4 = 1 + 0.4 = 1.32
B 1.5
dq = 1.0 (d not required)

2
qult,gross = (5.1432.11.32) + (1.219) = 240.6 kN/m
Q
+ (1.0 1.5 23) = 240.6kN / m 2 no water pressure since undrained conditions (total stress)
1.5 1
Partial factor
Q = 309 kN/m run of foundation
Again, the undrained condition gives the lower value and Q represents the sum of all the
design actions i.e. factored loadings
151
Worked Example 6.2: Bearing Capacity
A silo, 60m by 22.5m in plan, is to be constructed on a slab foundation 3m below ground

level in a uniform clay deposit with an average undrained shear strength (cu) of 75kN/m2.
The clay has a saturated unit weight of 17.2kN/m3 and the water table is located at 1.5m
below ground surface.
If the factor of safety against shear failure is to be not less than 2.0 (on net bearing capacity),
determine the additional uniform vertical load which the silo may carry, assuming the dead
weight of the completed structure to be 200MN. Neglect any soil adhesion on the walls of the
silo and assume that the soil above the water table is in a saturated condition.
22.5
200MN
1.5
3.0
Fig. 6.28 Schematic for use with worked example 6.2
Contact pressure due to dead load, qdead =

200 1000 2
= 148kN / m
60 22.5
Use Skempton's bearing capacity equation for undrained (total stress) conditions,
qult,gross = cuNc + q
B
Also, Nc (rectangle) = (1 + 0.2 ) N c (strip)
L
D 3
= = 0.13 N c ( strip ) = 5.2 ( from Fig . 6.22 )
B 22.5
0.2 22.5
N c ( rec tan gle ) = 5.2 1 + = 5.6
60
Overburden stress (total) at founding depth, q = 317.2 = 51.6 kN/m2
qult,gross = (755.6) + 51.6 = 471.6 kN/m2
qult,net = (755.6) = 420 kN/m2
152
420 2
qsafe,net = = 210 kN / m
2
qsafe,gross = 210 + 51.6 = 261.6 kN/m2
Let Qadd be the additional loading,
Qadd
148 + = 261.6
60 22.5
Qadd = 153,360 kN = 153.36 MN
153
Bearing Capacity Examples 1
1. Determine the net ultimate bearing capacity of a strip footing (in kN/m run) which is of
breadth 2.5m and is to be founded at a depth of 1.25m below the surface of a thick
stratum having the following undrained and drained shear strength parameters :
(i) cu = 88kN/m2 , u = 0 , sat = 20kN/m3
(ii) c' = 12kN/m2 , ' = 20 , sat = 22kN/m3
(Ans : 1254 kN/m , 1168 kN/m )
2. The foundation for a circular oil storage tank is to be 18m diameter and founded at a
depth of 2.5m ; the soil properties are: ' = 34 , bulk = 19kN/m3 above the water table
and sat = 21kN/m3 . Determine the net ultimate bearing capacity when the ground-water
level is :
(i) well below founding level ,
(ii) at the base of the foundation ,
(iii) at ground surface .
(Ans : 5830kN/m2 , 4374 kN/m2 , 3433 kN/m2 )
3. Determine the breadth of the strip footing required to carry a uniform load (inclusive of
weight of footing) of 600 kN/m with a factor of safety of 3.0 against shear failure for
the following undrained and drained conditions :
(a) founding depth = 0.5m , cu = 80kN/m2 , u = 0 , sat = 18kN/m3 ,
(b) founding depth = 4.5m , cu = 80kN/m2 , u = 0 , sat = 18kN/m3 ,
(c) founding depth = 0.5m , c' = 0 , ' = 30 , sat = 19kN/m3 ,
(d) founding depth = 4.5m , c' = 0 , ' = 30 , sat = 19kN/m3 ,
(Ans : 4.1m , 2.3m , 2.67m , 0.28m )
4. A small rectangular footing (800x1200mm) is cast at a depth of 1.2m in a cohesive soil

whose undrained shear strength parameters are cu = 25kN/m2 , u = 0 . Determine the
net safe bearing capacity if the factor of safety is 2.5 . (Ans :76.5kN/m2 )
154
5. A multi-storey car park is to be constructed with a 3.0m deep basement on a cohesive

soil having drained shear strength parameters c' = 5kN/m2 and ' = 25 . If the plan
dimensions of the structure are 25x50m and the ground water level is at a depth of 1.0m
calculate the total service loads which can be safely transmitted to the soil by the
structure at this depth. A factor of safety of 3.0 should be applied on net ultimate
bearing capacity and the saturated unit weight of the soil is 21kN/m3 (assume that the
soil is saturated above the water table). (Ans: 731MN).
What other check would you need to carry out to satisfy yourself that the geotechnical
design was adequate, in terms of bearing capacity.
______________________________________________________________________
The following should be used in the above questions:
General Bearing Capacity equations

Drained condition: = q ult ,gross = ( c' N c s c d c ) + ( q' N c s q d q ) + ( 0.5BN s d )
Undrained condition: qult,gross= cuNc + q (Nc after Skempton)
Bearing capacity factors (after Hansen [1968])

Nc = (Nq-1)cot' ; Nq = etan' tan2(45 + '/2) ; N = 1.8(Nq-1)tan'
Shape factors for retangular area (after De Beer, 1970):

B Nq
sc = 1 + ; sq = 1 + (B/L)tan' ; s = 1 0.4(B/L)
L N c
Depth factors (after Meyerhof, 1963) ' 10

dc = 1 + 0.2(D/B)tan(45 + '/2) ; dq = d = 1 + 0.1(D/B)tan(45 + '/2)
Assume water-table is well below foundation level and soil is fully saturated unless
otherwise stated.
155
Bearing Capacity Examples 2
(Use bearing capacity factors etc. as Bearing Capacity 1)
1. A shallow strip footing of breadth 3.5m is to be founded at a depth of 2.0m in a soil

which has the following (drained) properties c' = 12kN/m2 , ' = 25 , = 19kN/m3.
Assuming a factor of safety of 3 on net ultimate bearing capacity, determine the safe
load that can be transmitted at this depth . (Ans : 1292kN/m)
2. A strip type footing will be required to transmit a total load of 1.1MN/m (includes self-
weight of foundation) in a saturated cohesive soil having the following (drained)
properties c' =18kN/m2, ' = 26, = 19kN/m3. Determine the breadth of footing
required for a factor of safety of 3, at a depth of (a) 1.0m and (b) 2.0m . (Ans: 3.3m ,
2.5m)
3. A footing, 2.25m square, is located at a depth of 1.5m in a sandy soil, the shear strength
parameter ' = 38. Determine the (gross) ultimate bearing capacity of the soil at this
depth (a) if the water-table is well below foundation level and (b) if the water-table is at
ground surface. The unit weight of the soil above the water-table is 18kN/m3 and the
saturated unit weight is 20kN/m3 .. (Ans: 3612kN/m2, 2045kN/m2)
4. A strip footing is to be designed to carry a total load of 800kN/m at a depth of 0.7m in a

gravelly sand ('' = 40). Determine the width of the footing if a factor of safety of 3
against shear failure is specified and assuming the water-table may rise to foundation
level. For the sand sat = 20kN/m3 and above the water table bulk = 17kN/m3. (Ans:
1.47m)
5. A column is supported on a reinforced concrete pad footing 2.0m square and located at
a depth of 4.0m in a stiff clay ( sat = 21kN/m3 ). The undrained shear strength
parameters of the clay are cu = 120kN/m2 and u = 0. For a factor of safety of 3 with
respect to shear failure, what service load can the column transmit. Assume the
following: the water-table is at founding depth; the soil above the water-table is in a
fully saturated state, and the unit weight of the concrete and backfill material is equal to
that of the clay removed from the excavation. (Ans: 1.344MN).
156
7. PILED FOUNDATIONS: SINGLE PILES
7.1 Introduction
When adequate bearing capacity cannot be obtained near ground surface and / or settlement
of the structure is excessive, then piled foundations may be required. The function of a pile is
to carry load to a level at which it can be borne safely and economically. Chapter 1 (Section
1.3) detailed various types of piles; Chapter 7 now considers the load-carrying capacity of
piles and chapter 8 will deal with pile groups.
A pile resists load by two components frictional resistance mobilised along the pile shaft
and a resistance mobilised at the base of the pile. In order to mobilise shaft and base
resistance the pile must undergo a certain amount of settlement and to obtain the overall
capacity, or ultimate resistance of the pile, these two components are calculated separately
and then added together. With reference to Fig. 7.1, if the pile is just on the point of failure
then, from vertical equilibrium,
Qu = Qb + Qs = Qtop + W (7.1)
where Qu is the ultimate compressive resistance of the pile; Qtop are the ultimate loads which
can be added to the top of the pile, W is the weight of the pile; Qb is the ultimate end-bearing
resistance; Qs the ultimate frictional resistance along the pile shaft.
Qtop
Q u
W
Q s
Q b
Fig. 7.1 Forces acting of a pile
157
7.2 Ultimate Base Resistance, Qb
In order to mobilise full base capacity the pile must undergo a vertical displacement of
approximately 10% of the pile width/diameter. The failure pattern at the base of the pile will
be similar to that of a shallow footing discussed in Chapter 6, comprising active, radial and
passive shear zones. However, in the case of the pile, the failure or rupture surface in the
passive zone can extend above the base of the pile as depicted in Fig. 7.2. It is not surprising,
therefore, that the ultimate unit base resistance can be written as,
qult = cN c* + qN *q + 0.5BN * (7.2)
where N*c, N*q and N* are bearing capacity factors, but NOT the same as those for shallow
footings. Now, because the width or diameter of the pile (B) is relatively small, then the third
term in this expression - which relates to the wedge of soil in the active zone can be
neglected. Hence the base resistance can be written,
Qb = Ab qult = Ab ( cN c* + qN *q ) (7.3)
where Ab is the area of the base of the pile (in m2).
cut-off level
W
B
Depth of
embedment, D
Failure
surface
Overburden
stress at
pile base, q
Angle can vary 75

for soft clay to 105 Qb
for dense sand ()
Fig. 7.2 Failure surface at base of pile
158
Regarding equation 7.3, in order to determine the base capacity there are three situations to
consider which represent the undrained condition (immediately after loading) and the drained
condition (a long time after loading). The shear strength parameters appropriate for each
condition and soil type must be used and were also discussed in Chapter 6 in relation to
shallow footings, viz,
(i) Due to the free-draining nature of granular soil, excess pore water pressures will
dissipate 'instantaneously' and will always exist in a drained state. In this case, c = cd =
0 and d is used to determine the bearing capacity factor (Note, cd and d are generally
written as c' and ').
(ii) Due to the low permeability of clay soils, immediately after load application the soil
will exist in an undrained state, hence an undrained analysis is undertaken with u = 0.
(iii) As the pore water pressures dissipates from the clay and the soil drains, then, to
calculate the long-term bearing capacity the effective, or drained, shear strength
parameters are used and are also denoted c' and '.
(i) Granular soil: drained analysis ( cd = 0 )
In granular soils equation 7.3 simplifies to,
Qb = Ab q' N *q (7.4)
where q' is the effective overburden stress at the pile tip and N*q is a bearing capacity factor
determined from '. Regarding the latter, a number of relationships exist between ' and N*q;
the most notable being Meyerhof (1976) and Berezantzev et al (1961).
(a) Meyerhof
Fig. 7.3 presents the bearing capacity factor N*q. In order to use these values, Meyerhof
proposed that the pile must have reached a critical penetration ratio (D/B)crit in the soil, where
D is the depth of embedment and B is the width or diameter of the pile. Typical values for a
range of friction angles are,
' = 30 (loose), (D/B)crit = 7 and N*q = 59

' = 35 (medium), (D/B)crit = 11 and N*q = 130
' = 40 (dense), (D/B)crit = 17 and N*q = 330
' = 45 (very dense), (D/B)crit = 25 and N*q = 900
159
Assuming the critical penetration ratio (D/B)crit has been achieved, it will be noted in equation
7.4 that since the overburden effective stress increases linearly with depth, then the base
capacity will increase accordingly. However, Meyerhof also proposed limiting values of end
bearing resistance which could not be exceeded by the term q'N*q i.e.
Qb = Ab q' N *q Ab 50 N *q tan ' (7.5)
This equates to a maximum unit base resistance of,
' = 30 (loose), qult 1.7 MPa
' = 35 (medium), qult 4.5MPa
' = 40 (dense), qult 14 MPa
' = 45 (very dense), qult 45MPa

In practice, the ultimate base resistance should not exceed 15MPa.
N*q and N*c
' (degrees)
Fig. 7.3 Bearing capacity factors N*q (and N*c ) after Meyerhof (1976).
160
Meyerhof has presented the base capacity (in kN) in terms of the standard penetration test (N)
and cone penetration resistance (Cr ) obtained from field tests,
D
Qb = Ab 40 N 7.6
B
Where N is the average standard penetration value determined near the pile tip - over a
distance 10B above the pile tip to 4B below the pile tip.
Qb = Ab C r 7.7
Where C r is the average cone resistance (in kN/m2) over a distance 4B above the pile tip to
B below the pile tip.
(b) Berezantzev
The ultimate base capacity is written,
Qb = Ab q' N *q (7.8)
Where, q' is the effective overburden stress at pile base; N*q is Berezantzevs bearing
capacity factor obtained from Fig. 7.4 and determined from the ' value of the soil below
base-level (denoted '1); is a reduction factor and a function of the penetration ratio D/B
and the value of the soil above base-level ('o) (see also insert on Fig. 7.5). values are
1000
Qu
N*q 100
10
25 30 35 40 45
1
Fig. 7.4 Berezantzev's bearing capacity factor, N*q
161
presented in Fig. 7.5. Berezantzev's method is most commonly used.
1.0
0.8
40
0.6

35
0.4 30
25
0.2
0 20 40 60 80
D/B
Fig. 7.5 values for use in equation 7.8.

Berezantzev's bearing capacity factors have also been used in conjunction with the limiting
depth method and based on the work of Vesic (1967). With this method, it was proposed that
the effective vertical stress (q') reaches a limiting value at a certain critical depth, beyond
which there is assumed to be no increase. Vesic attributed this to arching action in the soil
and particle crushing. Fig. 7.6 presents the variation in effective stress with depth up to and
beyond the critical depth, zc.
W.T.
zc
qc
B
Fig. 7.6 Showing the limiting (or critical) depth concept.
162
The critical depth can be estimated from Fig. 7.7. Now, if the tip of the pile is above the
critical depth, then the value of q' is the effective vertical stress at that depth; if the tip of the
pile is below the critical depth, the value of q' must be limited to the effective vertical stress at
the critical depth, q'c on Fig. 7.6.
20
15
zc / B
10
0
28 33 38 43

Fig. 7.7 Evaluation of critical depth, zc.
For pile tip < zc: Qb = Ab q' N *q (7.9)
For pile tip > zc: Qb = Ab q'c N *q (7.10)
Where N*q is obtained from Fig. 7.4. Generally, the critical depth occurs between 10B-20B,
with 15B being a conservative estimate. It must be stressed that there is conjecture over the
critical depth concept so caution should be adopted (Fellenius and Altaee, 1995).
(ii) Cohesive soil: undrained analysis ( u = 0 )
Also called the total stress approach and represents the condition immediately after load
application. Since N*q will be equal to 1.0, then equation 7.3 becomes,
Qb = Ab qult = Ab (cu N c* + q ) (7.11)
where q is the total overburden stress at the pile tip. The value of N*c is normally based on
the work of Skempton (1951) and has already been presented in relation to the bearing
capacity of shallow footings. This is reproduced in Fig. 7.8. Since an individual pile will be
circular or square in cross-section, and piles will generally have a D/B ratio >4 (Fig. 7.9(a)),
then it is not surprising that Nc for a pile is normally taken as 9.0.
163
Nc
Nc (rectangle) = (1 + 0.2B/L)Nc(strip)
D
For D/B > 4, Nc = 9
B
Ratio D/B
Fig. 7.8 Skempton's bearing capacity factors (undrained analysis).
Care should be exercised when the pile penetrates into stiff clay which underlies a soft clay
layer as shown in Fig. 7.9(b). In this instance, although the physical value of D/B may be >4,
Nc is based on the depth of penetration of the pile into the stiff clay i.e. D'/B.
Soft clay
Increasing
stiffness
of clay D
D
D' Stiff clay
(a) (b)
Fig. 7.9 (a) Nc based on D/B and (b) Nc based on D'/B.
164
(iii) Effective stress analysis (c' and ')
For clays under drained conditions (i.e. a long time after construction) the base capacity, Qb,
can be obtained using the effective stress parameters c' and ',
Qb = Ab qult = Ab (cN c* + qN q* ) (7.12)
where N*c and N*q are obtained from:
(a) Meyerhof - Fig. 7.3, but also remember to apply limiting value to q'N*q component
of equation; or,
(b) Janbu's (Janbu, 1976) bearing capacity factors which have been given as:
2
N q* = tan ' + 1 + tan 2 e 2 tan (7.13)

( )
N c* = N q* 1 Cot (7.14)
These are plotted in Fig. 7.10 assuming a failure surface at the tip of the pile similar to that
shown in Fig. 7.2 where the angle can vary between 75-105
100
= 105
= 95
*
q
N and N
= 75
*
c
*
10 N
c
= 105
= 95
* = 75
N
q
1
0 5 10 15 20 25 30 35 40 45
'
Fig. 7.10 Janbu's bearing capacity factors.
165
7.3 Ultimate Shaft Resistance, Qs
As noted earlier, full base resistance is mobilised when the vertical displacement of the pile is
approximately 10% of the pile diameter. However, the frictional resistance along the pile
shaft is filly mobilised when the relative displacement between the pile and the surrounding
soil is approximately 5-10mm, irrespective of the pile length of diameter/width (Vesic, 1977,
Meyerhof, 1976). This is depicted in Fig. 7.11 which shows that maximum shaft resistance is
mobilised at much smaller settlements than base resistance hence maximum shaft resistance
would be mobilised at working / service loads.
5-10mm 10% diameter
Total
Load
Base
Shaft
Settlement
Fig. 7.11 Shaft and base components of resistance for a pile.
With reference to Fig. 7.12, the shaft resistance, Qs, can be written generally, as,
d =D
Qs = p.d . f
d =0
s (7.15)
Where p is the pile perimeter, fs is the unit shaft resistance at depth, d, and d the incremental
pile length over which p and fs are taken as constant.
d
Fig. 7.12 Calculation of shaft resistance showing
D elemental surface area.
Qs
166
(i) Cohesive soil: undrained analysis ( u = 0 )
The method for dealing with clay soil under undrained conditions is presented in BS8004,
section 7.5.3(a) (BS8004, 1986). In this method (sometimes called the -method), the unit
frictional resistance, fs, is given by:
f s = cu (7.16)
where cu is the undrained shear strength of the soil at depth d and is termed the adhesion
factor and is introduced to account for strain softening and stress release effects for bored
piles or lateral displacement of clay with driven piles. Equation 7.15 can be simplified to,
Qs = p.D. .c u = As . .cu (7.17)
where, cu is the average undrained shear strength over the length of the pile shaft and p.D is
the surface area of the pile shaft, now denoted As. If the pile goes through a uniform clay or a
clay whose shear strength increases progressively with depth, then the average value can be
evaluated. However, where the soil exists in layers of appreciably differing shear strength as
depicted in Fig. 7.13, then the side friction is calculated separately for each layer and then
summed over the length of the pile. Hence, if the adhesion factor and undrained shear
strength for the nth layer are, respectively, n and cu,n , then the total shaft resistance is,
n
Qs = pd
1
n n cu ,n (7.18)
where dn is the length of pile over which n and cu,n are applicable (see Fig. 7.13).
Cu
d1 1 ; Cu,1
d2 2 ; Cu,2
Depth
D
d3 3 ; Cu,3
dn n ; Cu,n
Fig. 7.13 Shaft resistance in a layered soil.
167
The term varies with the undrained shear strength of the soil as shown in Fig. 7.14 and is
generally taken to lie in the range 0.3<<0.6 (BS 8004, 1986). A value of = 0.5 could be
adopted unless further information is available and a maximum value of = 0.45 is normally
taken for stiff clays. The value of .cu should not be taken greater than 110kN/m2.
1.0
Cohesion Reduction Factor ,
0.8
0.6
0.4
0.2
0 100 200
Undrained Shear Strength, cu , kPa
Fig. 7.14 Variation of with undrained shear strength of clay.
(ii) Granular soil: drained analysis ( cd = 0 )
With reference to Fig. 7.12, if the lateral pressure on the pile shaft can be considered as Kqd',
where K is a coefficient (still to be determined) and qd' is the effective overburden stress at
depth, d, then the frictional resistance, F, mobilised on the surface of the element is given by,
F = K .qd' . p.d . tan (7.19)
where is the angle of friction between the pile shaft and the surrounding soil. If this is now
summed over the full length of the pile shaft, then the total frictional resistance mobilised
over the pile shaft, Qs, is given by,
d =D
Qs = K .q . p. tan .d
d =0
'
d (7.20)
The terms K, tan and p will be related to the pile type, pile material and pile geometry and
will be common for all elemental surface areas, then,
168
d =D
Qs = K . p. tan q .d
d =0
'
d (7.21)
where the term within represents the area under the effective stress versus depth profile. K
can be considered as an earth pressure coefficient and Tables 7.1 and 7.2 present values for K
as a ratio to Ko, the coefficient of earth pressure at rest. Ko has already been discussed in
relation to the bearing capacity of shallow footings and is given by the expression,
Ko = ( 1 Sin' ) OCR (7.22)
Pile Type K/Ko

Jetted 0.5 0.7
Drilled shaft (cast-in-place) 0.7 1.0
Driven pile low displacement 0.75 1.25
Driven pile high displacement 1.0 2.0
Table 7.1 Coefficient, K, for different pile types (after Kulhawy, 1983, 1991)
Pile Type K/Ko

Bored or Jetted 1.0
Driven pile low displacement 1.0 1.4
Driven pile high displacement 1.0 1.8
Table 7.2 Coefficient, K, for different pile types (after Das, 1990)
The angle of friction, , depends on the roughness of the pile and typical values have been
presented in Tables 7.3 and 7.4.
Pile Material /'

Steel = 20
Concrete 0.75
Timber 0.66
Table 7.3 Angle of friction for different types of pile material (after Broms, 1966)
169
Pile Material /'

Rough concrete (e.g. cast-in-situ) 1.0
Smooth concrete (e.g. precast) 0.8-1.0
Rough steel (e.g. corrugated) 0.7 0.9
Smooth steel (e.g. coated) 0.5 0.7
Timber (pressure treated) 0.8 0.9
Table 7.4 Angle of friction for different types of pile material (after Kulhawy, 1983, 1991)
There is still conjecture over the variation of qd' with depth for use in equation 7.20, namely
whether to use the full calculated overburden effective stress or to adopt the critical depth
approach of Vesic discussed in relation to pile end bearing resistance. Regarding the Vesic
approach, the full calculated overburden stress is used above the critical depth, zc, and limited
overburden stress below zc (see Fig. 7.6).
Meyerhof has suggested that the average unit frictional resistance, fs,ave, based on the average
SPT ( N ) for the soil over the embedded length of the pile, can be approximated as,
High displacement piles: fs,ave = 2 N (kN/m2)
Low displacement piles: fs,ave = N (kN/m2)
Hence the frictional resistance, Qs, that can be mobilised over the pile shaft is,
Qs = Asfs,ave (7.23)
Where As is the surface area of the pile shaft in contact with the soil. The cone penetration
test (CPT) results can also be used to estimate the unit frictional resistance on the pile shaft.
If Cr,ave is the average tip resistance of the cone (in kN/m2) over the embedded length of the
pile, then,
Qs = AsCr,ave (7.24)
(iii) Effective stress analysis (c' and ')
For clay soils under drained conditions the shaft resistance can be taken as a combination of
the components calculated in (i) and (ii) above using the appropriate value of c' and ' for the
clay. For soft clays, the assumption that c' 0 may be a reasonable one, however, for stiff
clay there is, generally, a small component of cohesion.
170
7.4 Factors of Safety and Partial Factors
As with shallow footing, two approaches can be adopted adopting a 'global' factor of safety
(as with BS8004) or the use of partial factors on soil properties and bearing resistance
(Eurocode). Detailed discussion is outwith the module but is briefly discussed below.
(i) Permissible Stress (BS 8004)
From equation 7.1, the ultimate loads that can be applied to the top of the pile is,
Qtop = Qb + Qs -W (7.25)
where W is the weight of the pile and is normally assumed to be equal to that of the soil
removed or displaced (Abq). Hence, for a clay soil,
Qtop = Ab (cu N c* + q ) + Qs W = Ab cu N c* + Qs (7.26)
where Qs is obtained from equation 7.17 or 7.18. To obtain the safe working load the
ultimate value calculated above is divided by a factor of safety, F. In general, an appropriate
factor of safety for a single pile would be between two and three. Low values within this
range may be applied where the ultimate bearing capacity has been determined by a sufficient
number of loading tests or where they may be justified by local experience; higher values
should be used when there is less certainty of the value of the ultimate bearing capacity
(BS8004, 1986).
1
Q safe ,top = [ Ab cu N c* + Qs ] (7.26)
F
Note: in the case of a large bored pile, particularly one with an enlarged base, it is generally
advisable to take account of the different resistance/settlement relationships of the shaft and
base (see Fig. 7.11) when calculating the working load by applying different factors to the
calculated ultimate resistance of the base (Fb) and the shaft (Fs).
Ab cu N c* Q s
Q safe ,top = + (7.27)
Fb Fs
Fb and Fs could be, typically, 3 and 1.5, respectively.
In granular soils, the ultimate load that can be applied to the top of the pile is simply the
straight addition Qb and Qs - bearing capacity is, generally, not a problem for a granular soil
and settlement (serviceability) tends to dictate design.
171
(ii) Partial Factors (Eurocode)
In this approach partial factors are applied to the ground properties (also discussed in bearing
capacity of shallow footings) to obtain the characteristic base (Rb,k) and shaft (Rs,k)
resistances; in addition, partial factors are also applied to both the characteristic end-bearing
and shaft-friction components to obtain the design resistance. Hence, the design compressive
resistance, Rc,d , of the pile is given by,
Rb ,k R s ,k
Rc ,d = + (7.28)
b s
Where b and s are the partial factors on base and shaft resistance, respectively and presented
in the National Annex to EN 1997-1:2004 and will depend on the pile installation process
driven, bored or continuous flight auger (CFA). BS EN 1997-1: 2004 (NA) also recommends
that when using the ground test results to calculate the design resistance (as detailed above), a
model factor (Rd) is applied to b and s to account for uncertainty in this method of
calculation. The model factor is taken as 1.4, which can be reduced to 1.2 if static pile load
tests are preformed to establish the load vs. displacement behaviour of the piles up to ultimate
(i.e. explicit verification of SLS); hence,
Rb ,k Rs ,k
Rc ,d = + (7.29)
b Rd s Rd
Reference should be made to BS EN 1997-1: 2004 (and National Annex) for detailed
information (see also below).
7.5 Eurocode Design Approaches
Three Design Approaches (DA) are presented in EN1991-1:2004 and detailed in section
2.4.7.3.4. with each approach adopting slightly different combinations of sets of partial
factors. This has been introduced to accommodate differences in design procedures across
Europe. For example, DA 1, for which 2 different combinations of actions must be checked,
is favoured by the UK, Denmark and Italy; DA 2 is preferred by Germany, Switzerland and
Austria, whereas DA 3 is favoured by France.
(i) Design Approach 1 (DA1)
Regarding the design of piles, section 2.4.7.3.4.2 states that for the design of axially loaded
piles and anchors, it shall be verified that a limit state of rupture or excessive deformation
will not occur with either of the following combinations of sets of partial factors:
172
Combination 1: A1 '+' M1 '+' R1
Combination 2: A2 '+' (M1 or M2) '+' R4
The '+' sign in the above combinations implies 'to be combined with'; also, A refers to
actions, M refers to material properties and R refers to resistances.
(ii) Design Approach 2 (DA2)
For this approach, section 2.4.7.3.4.3 states that it shall be verified that a limit state of rupture
or excessive deformation will not occur with the following combination of sets of partial
factors:
Combination: A1 '+' M1 '+' R2
(iii) Design Approach 3 (DA3)
In this approach (section 2.4.7.3.4.4), it is verified that a limit state of rupture or excessive
deformation will not occur with the following combination of sets of partial factors:
Combination: (A1* or A2) '+' M2 '+' R3
*on structural actions
on geotechnical actions
The partial factors for A, M and R are presented in the appropriate National Annex to EN
1997-1:2004. The Tables below present the various sets of partial factors from the UK
National Annex:
173
Table 7.5 Partial factors on actions (F) or effects of actions (E) for structural (STR) and
geotechnical (GEO) limit states verification.
Table 7.6 Partial factors for soil parameters (M) for the STR and GEO limit state
174
Table 7.7 Partial resistance factors (R) for driven piles for the STR and GEO limit states
Table 7.8 Partial resistance factors (R) for bored piles for the STR and GEO limit states.
175
Table 7.9 Partial resistance factors (R) for continuous flight auger (CFA) piles for the STR
and GEO limit states.
176
8. PILED FOUNDATIONS: PILE GROUPS
8.1 Introduction
In many instances piles are used in groups with a pile-cap cast over the pile heads. The pile-
cap is rigid to ensure an even distribution of load to the piles; some standard pile-caps are
presented in Fig. 8.1.
Pile Diameter (mm) 300 350 400 450 500 600 750
Cap Thickness (mm) 700 800 900 1000 1100 1200 1800
Fig. 8.1 Standard pile caps
This section outlines methods for estimating the capacity of piles in groups.
8.2 Pile Groups in Clay (u = 0)
With reference to Fig. 8.2, Whitaker's (Whitaker, 1957) model tests in clay indicate two types
of failure mechanism:
(i) a 'block' failure mechanism when the pile spacing, s, is small. In this mechanism,
the piles and the soil contained with the group perimeter are considered to act as a
single pile ; and,
(ii) individual pile failure when the pile spacing, s, is large.
177
Whitaker's results are summarised on Fig. 8.3 for the two cases presented in Fig. 8.2 with the
efficiency, , plotted against the ratio of the pile-spacing (s) to pile-diameter (B). The
efficiency, , of the pile group defined as,
average load / pile when group fails

= (8.1)
failure load of a single pile
Pile Cap Pile Cap
s
(a) (b)
Fig. 8.2 (a) Free standing pile-cap e.g. marine works; and (b) pile cap resting on ground
These tests indicate that when pile spacings are < 2B (Case (a)) and <3B (Case (b)) the block
7 x 7 Model Pile Group
1.0
Block Failure (b)
Individual Pile Failure
Efficiency,
0.8
0.6
Case (a)
0.4 Block Failure: Case (b)
(a) and (b)
0.2
1 2 3 4
s/B
s/D
Fig. 8.3 Whitaker's test results for piles in clay.
178
failure mechanism will need to be considered; hence block failure is unlikely to occur at pile-
spacings, s, >3B. It is understandable, then, that pile spacings are generally >3B. These
failure mechanisms are also stated in EN 1997-1:2004 section 7.6.2.1 (3).
If block capacity needs to be checked, then this is obtained by treating the block as a single
pile (EN 1997-1:2004 section 7.6.2.1 (4)). This is obtained by the sum of the perimeter
shearing resistance along the sides of the block and the end-bearing resistance of the block.
With reference to Fig. 8.4, if Lg, Bg and Dg are, respectively the length of group, width of
group and length of piles, then the side resistance, Qs,block, of the block can be written,
( )
Qs ,block = 2 D g B g + L g cu (8.2)
where cu is the average cohesion of the clay around the sides of the block (Note: no adhesion
factor, , as for single piles). The capacity of the base of the block, Qb,block, is,
Qb,block = Lg Bg N c cu ,base (8.3)
where Nc is the Skempton bearing capacity factor discussed in Section 6.4 and presented in
Lg
Bg
Dg
Fig. 8.4 Estimating block capacity of a pile group.
Fig. 6.23. The bearing capacity factor will be determined by the Dg/Bg ratio and the Lg/Bg
ratio for the group. Equation 6.45 could be used to obtain base resistance using the shape and
depth factors based on the group dimensions in Fig. 8.4
179
8.3 Pile Groups in Granular soil (c' = 0)
Using driven piles in granular soils usually results in an efficiency >1 due to compaction of
the soil. In this case, the capacity of the group is greater that the sum of the capacity of the
individual piles. The following general rules apply to piles in granular soil at conventional
pile spacings (s 3B ):
(1) for driven piles, the capacity of the group can be taken as n Qult where n in the
number of piles in the group and Qult is the capacity of an individual pile (base and
side components);
(2) for bored piles, the capacity of the group can be taken as approximately 75% of n
Qult , where Qult is the capacity of an individual pile .
8.4 Settlement of Pile Groups
Due to the complexity of the situation simplified procedures can be adopted which will
depend upon whether load transference is predominantly via end-bearing or side-friction.
(a) Friction Piles

In the case of a single pile, a relatively small volume of soil around the pile will be stressed
(Fig. 8.5(a)); however, when within a large pile group, the stressed zones of the individual
piles will overlap resulting in a considerably greater volume of stressed soil contributing to
the settlement of the group (Fig. 8.5(b)).
BS 8004: 1986 (7.3.4.4) states that 'where a significant proportion of the support is mobilized
as friction, the settlement may be estimated assuming that the foundation load is applied over
an area larger than the area of the group at the level of the pile toes it may be
assumed that the foundation load is applied over the area covered by the group at a level
one-third of the length of the piles above the pile toes'. This is shown schematically in Fig.
8.5(b) where the load, Q, on the group is now considered as a raft at a depth of Dg with
contact stress of Q/(BgLg). Conventional methods for calculating settlement can now be
used (discussed in Sections 3, 4, and 5) with the load dispersed at an angle tan-1() as
indicated to evaluate the stress distribution.
180
Stressed zone
contributing to 2D g /3
settlement
Dg
1
2
(a) (b)
Fig. 8.5 Stressed zone for friction piles (a) single pile, and (b) a pile group
(a) End-Bearing Piles

Where support is predominantly derived from end bearing, the settlement may be calculated
assuming that the foundation load applied over the area covered by the group at the pile toes
i.e. the load is assumed to act as a raft at the pile toes. This is shown schematically in Fig. 8.6.
To obtain settlements of layers beneath the pile toes, the load is, again, dispersed at an angle
of tan-1() and conventional settlement methods used.
8.5 A Note on Negative Skin Friction
When a pile is installed through a stratum which undergoes consolidation after the pile is in
place, the downward movement of the consolidating soil and of any overlying soils will cause
a drag on the shaft of the pile. This is termed negative skin friction or downdrag. The
consolidation of the soil may be caused by the self-weight of the deposit, the imposition of a
surcharge such as a loaded floor or fill, disturbance due to vibration or as a result of
remoulding during the installation of the pile. The downward drag on the pile may throw
enough additional load on the pile point or base to make the total settlement excessive
(Zeevaert, 1959; Fellenius, 1984).
181
Consider as
raft at pile tips
Dg
1
2
Fig. 8.6 End-bearing piles on firm stratum.
When piles are driven through sensitive clays the resulting remoulding may initiate local
consolidation. The negative friction force due to this consolidation may be estimated as the
cohesion of the remoulded clay multiplied by the surface area of the pile shaft. Where it is
expected that the soil around the shafts of end-bearing piles will consolidate, the skin friction
exerted by the downward moving soil should be estimated in accordance with the properties
of the materials. The downward force will need to be taken into account when the allowable
load on the pile is calculated (Fleming et al, 1985). Typical situations where negative skin
friction is likely to occur are when piles are driven through:
1. recently placed fill material.
2. fill placed on top of a normally consolidated clay.
3. sensitive clays.
As an overestimate, it the maximum negative skin frictional force is equal to the 'positive'
skin friction that could be developed within the consolidating material. Hence, if As is the
area of the sides of the pile within the soil which is consolidating around the pile (and
causing downdrag on the pile) and cu is the shear strength of the soil, then the maximum
negative skin friction would be Ascu. Johannessen and Bjerrum (1965) found that the
182
average unit negative skin friction (cneg) within soft clay can be as high as 100% of the
undrained shear strength i.e. cneg = cu
Consideration should be given to reducing negative friction by proprietary coatings or

sleeving applied to the relevant length of pile (Bjerrum et al, 1968; Claessem and Horvat,
1974; Fellenius, 1975, 1979; Clemente, 1981).
See also BS EN 1997-1: 2004: paragraph 7.3.2.2 which discusses downdrag.
183
Worked Example 8.1: Piles and Pile Groups
The subsoil conditions at a site are presented below. 16No., 400mm diameter, concrete piles
(unit weight 23kN/m3) are driven to a depth of 20m to form a 44 pile group with the centre-
to-centre (c/c) spacing of 1.5m in both directions. If cut-off level is at 1.0m and the adhesion
reduction factor, , is 0.5, estimate the capacity of the group using:
(i) Permissible stress approach using an overall factor of safety of 2.5 on base and side
resistance;
(ii) Eurocode approach.
(1) Permissible Stress Approach
The pile diameter is 400mm and the c/c spacing is 1.5m i.e. > 3 pile diameters therefore
individual pile failure will be critical. However, for completeness, I will present the capacity
of the block failure mechanism.
(a) Individual Pile Failure
(i) Base Capacity
With reference to Fig. Q8.1-1,
qbase, ult = cu Nc + q
cu N c
qbase, safe = +q
2 .5
cu N c
Qbase, safe = + q Abase Nc is taken as 9
2.5
184
0.4 2 120 9
Qbase, safe = + [(7 18) + (13 19)] = 101kN
4 2.5
(ii) Side Friction
cu As
Qside, safe = where = 0.5
2 .5
(1 20) + (5 60) + (13 120)

cu = = 99kN /m 2
19
0.5 99 19
Qside, safe = = 473kN
2 .5
QT
cut-off level = 1.0m
Qside
20m
Wp
Qbase
Fig. Q8.1-1
The side fiction can also be calculated by considering the frictional resistance mobilised
through the individual layers as presented in equation 7.18 above:
1 n =3
Qside, safe = p d n n cu , n
2 .5 1
1
Qside,safe = [( 0.4 1 0.5 20) + ( 0.4 5 0.5 60) + ( 0.4 13 0.5 120)]
2.5
185
Qside, safe = 473kN (i.e. as before!)
Total safe capacity = 473 + 101 = 574kN
Now, QT + Wp = 574 where Wp = (0.4)22023 = 58kN
Hence, the working loads, QT = 516kN/pile or 8.256MN for the group
(b) Block Failure Mechanism
The capacity of the group is calculated by considering the group failing as a 'block' and
evaluating the base capacity of the block and the frictional resistance mobilized along the
sides of the block (see Fig. Q8.1-2 below). I've omitted the inner piles in this diagram.
Lg
Bg
Dg
Fig. Q8.1-2
For this example: Bg = 31.5 + 0.40 = 4.90m
Lg = 31.5 + 0.45 = 4.90m
Dg = 20m
(i) Base Capacity
As the safe base resistance of the block is,
cu N c
Qbase, safe = + q Abase
2.5
186
Where Nc is based on the Dg/Bg and Bg/Lg ratio for the block and obtained from Fig. 7.8; Abase
is taken as LgBg .
Now, Dg/Bg = 20/4.90 = 4.1 and Bg/Lg = 1.0 (square); from Fig. 7.8, Nc = 9.0
120 9
Qbase, safe = + (7 18) + (13 19) (4.90 4.90 ) = 19328kN = 19.328MN
2.5
(ii) Side Friction
cu Asides
Qside, safe = (Note: no )
2.5
Asides = 4(4.9020) = 392m2
99 392
Qside, safe = = 15523kN = 15.523MN
2.5
Hence block capacity = 19.328 + 15.523 = 34.851MN
Now, QT + Wsoil = 34.851MN
Where Wsoil = weight of material within the block = 4.904.90{(718) + (1319)} = 8955kN
= 8.955MN (I have assumed that the unit weight of soil and concrete are the same).
group capacity for block failure = 34.851 8.955 = 25.896MN, which greatly exceeds the
group capacity for individual pile failure (8.256MN), as expected!
(ii) Eurocode approach.
As discussed above, three Design Approaches are presented in EN1991-1:2004. I shall use
DA 1 (see section 7.5(i) above) and check the geotechnical limit sate (GEO) using
Combination 2: A2 '+' M1 '+' R4
The appropriate tables from EN1997-1:2004 and the UK National Annex for the partial
factors for actions (A), material properties (M) and resistances (R) are given in Tables 7.5-7.9
above.
I will assume that the ground properties presented above represent the characteristic value or
cautious estimate of the soil parameter, cu,k.
187
The design base resistance,
Rb,k
Rb,d =
b Rd
cu , k
Rb,k = Abase(cu,design Nc + q) where cu , design =
M
M is the partial factor for the appropriate material property and presented in Table 7.6; in this
instance, the undrained shear strength, and for set M1, M = c,u = 1.0
120
Hence, cu ,design = = 120kN /m 2
1 .0
0 .4 2
Rb,k = (120 9 + [(7 18) + (13 19)]) = 183kN
4

The partial factor on base resistance, b, is taken from set R4. The piles are driven therefore
R4 on Table 7.7 is used. If I assume driven pile without explicit verification of SLS, then b,
= 1.7 and the model factor is taken as 1.4. Hence,
Design base resistance, Rb,d = 183

= 77kN
1.7 1.4
Rs , k
The shaft resistance, Rs , d =
s R,d
n =3
From equation 7.18, Rs ,k = pd c

1
n n u ,n ,design
188
Where cu,n,design is the design shear strength on layer n and given by
cu , n, k
cu , n, design =
M
Where M = c,u = 1.0 from M1 in Table 7.6.
20 60 120
Rs ,k = ( 0.4 1 0.5 1.0 ) + ( 0.4 5 0.5 1.0 ) + ( 0.4 13 0.5 1.0 =1182kN

The partial factor on side resistance, s, is taken from set R4 in Table 7.7, i.e. s, = 1.5
(without explicit verification of SLS) and the model factor is 1.4. Hence,
1182
Design side resistance, Rs,d = = 563kN
1. 5 1. 4
Total design resistance = 77 + 563 = 640kN/pile
The design loads/actions from the structure, using partial factors for set A1 on Table 7.5, will
be GGk + QQk, where Gk and Qk are, respectively, the permanent and variable characteristic
actions.
Hence, (1.0Gk +1.3Qk)/pile 640kN,
Note: Gk will include the self-weight of the pile (= 58kN).
189
Estimate the ultimate bearing capacity of a 450mm diameter driven, cast-in-place pile
founded in the ground profile presented below. The length of the pile is 15.0m with cut-off
level at 1.0m.
I shall simply calculate the ultimate base capacity and the side friction with no factors of
safety or partial factors applied.
(i) Base capacity
To calculate the base capacity I will use three methods for comparison: Meyerhof's method,
Berezantzev's method and Vesi's method.
(a) Meyerhof
Qbase = Abase q'Nq* 50Nq*Abasetan
Nq* 130 (after Meyerhof and based on at pile tip)
q' at pile tip = (316) + 12(18.5 9.81) = 152kN/m2
Qbase = 0.452152130 = 3143kN
or, Qbase = 501300.452 = 724kN
use Qbase = 724kN
190
(b) Berezantzev
Qbase = Abaseq'Nq*
For 1 = 35, Nq* = 70 (after Berezantzev, for 1 = 35 below the base)
For = 35 (above base) and D/B = (15/0.45) = 33, then = 0.65 (from Fig. 7.5)
Qbase = 0.4520.615270 = 1100kN
(c) Vesi
The limiting / critical depth zc is assumed to lie at a depth of 10B-20B from the surface.
Driving action would compact the granular material, so assume (conservatively) that zc = 15B
= 6.75m
Effective vertical stress at this depth, q' = (316) + 3.75(18.5-9.81) = 80.6kN/m2
Qbase = Abaseq'Nq* (with Nq* after Berezantzev and 1 = 35 below the base)
Qbase = 0.45280.670 = 897kN
1
Average value = (724+1100+897) = 907kN
3
(ii) Side Friction
The side friction is given by expression 7.21, i.e.
d =D
Qside = K . p. tan q .d
d =0
'
d
From Tables 7.1 and 7.3 and equation 7.22, use K = Ko = (1 Sin') = (1 Sin35) = 0.43
From Table 7.3, use /'= 0.75, hence = 0.7535 = 26
p is the pile perimeter = 0.45
d =D
The term q .d represents the area under the effective stress vs. depth diagram, which is
d =0
'
d
taken to increase up to a depth of between 10-20B and then assumed to remain constant. Foe
this example, assume a value of 15B as above; the integration can then be done numerically.
191
With reference to Fig. Q8.2, the area under 16 48 80.6 Effective Stress, q'd
the effective stress/depth diagram from cut- -1.0

A1
-3.0
off level to the pile tip is,
A2
d =15 Assumed profile
q .d = A
d =1
'
d 1 + A2 + A3
-6.75
Depth, d
A1 = (16 + 48)2 = 64 (kN/m) A3
A2 = (48 + 80.6)3.75 = 241

-15.0
A3 = (80.68.25) = 665
A1 + A2 + A3 = 970 Fig. Q8.2
Qsides = 0.430.45tan(26)970 = 287kN
Qult = Qsides + Qbase = 907 + 287 = 1194kN
Note:
If using the permissible stress approach, the safety factors would be applied to these
values of side friction and base resistance.
If using the limit state approach, the characteristic value, 'k , of the soil property would
need to be assessed. If, for the sake of argument this is 35, then the design value, 'design ,
used in the above equations (e.g. to obtain bearing capacity factors) is:
tan tan 35o

'design = tan 1 k
= tan 1 = 35o or 29o
1.0 or 1.25
'

Where the values of the partial factor, ', are taken from Table 7.6 for Design Approach
1, i.e. for set M1, ' =1.0 and for set M2, ' = 1.25 but depends on the Design Approach
and A/M/R combination being evaluated. Note that the partial factor is applied as
(tank)/' and NOT tan(k/').
192
A 350350mm precast concrete pile is driven through 7.0m of soft, saturated clay into a stiff
boulder clay with a fairly uniform undrained shear strength of 110kN/m2. Determine the
required penetration of the pile into the boulder clay to carry a working load of 350kN with
an overall factor of safety (FoS) of 2.5 (i.e. on both base and side capacity). Neglect any
support from the soft clay; assume the unit weight of both types of clay as 18kN/m3 and the
unit weight of the concrete as 23kN/m3.
Qw
Soft Clay 7.0m
Stiff Clay
L
As with all these problems, calculate the base capacity and side frictional resistance
separately.
(i) Base Capacity
Now, qult,gross = cuNc + qo
qsafe,gross = (cuNc)/FoS + qo
The factor of safety applied on net capacity. We can tacitly assume that the depth of
penetration of the pile into the boulder clay will be much greater that 4 time the width or
diameter of the pile, therefore the bearing capacity factor will be 9.
Qsafe,gross = Abaseqsafe,gross = {(1109)/2.5 + (718 + L18)}(0.350.35) = 63.9+2.2L
193
(ii) Side Friction
Now, Qsides = Asidesqsides = Asides Cu
where Cu is the average undrained shear strength along the sides if the pile. Since no value
for the adhesion reduction factor has been specified, I'll assume a value of 0.5.
Qsides = 40.35L0.5110 = 77L (kN)
Qsafe,sides = 77L/2.5 = 30.8L
Hence,
Qw + (Weight of pile) = Qsafe,base + Qsafe,sides
350 + {0.350.35(7+L)23} = (63.9+2.2L) + 30.8L
L = 10.1m (i.e. the total length of the pile should be > 17.1m.
Try and rework the above example to Design Approach 1: Combination 2: A2 '+' M2 '+'
R4 (without load test). You can assume that the shear strength of the soil represents the
characteristic value and the load of 350kN represents the design loads (i.e. factored
permanent and variable loading according to factors A2)
194
Piles and Piling Examples 1
1. A single test pile, 300mm diameter is driven into a bed of firm clay, to a depth of
10m. The clay has a uniform undrained shear strength, cu = 55kN/m2. Using your
lecture material, suggest a suitable adhesion reduction factor for this situation. Find
the service/working load on the pile if an overall factor of safety of 2.5 is applied.
[Ans: 200kN]
2. A 350 mm diameter pile is driven through 9m into a deep layer of medium-dense

granular soil (' = 40). Calculate the ultimate end bearing capacity of the pile. Use
Meyerhof's method, Berezantzev's method, and Berezantzev's method with the critical
depth concept (for the latter, you can assume that the critical depth occurs at 20B
below the surface where B is the pile diameter). Take the saturated unit weight of the
soil as 19kN/m3 and the water-table is located at ground surface. [Ans: 1211; 1074;
1114kN]
3. A building column carrying a service load of 1400kN is to be supported by a single

bored pile installed in a saturated firm to stiff clay. The undrained shear strength of
the clay is given in Fig. Q3 below. Select suitable dimensions and penetration depth to
obtain a factor of safety of 3.0 in end bearing and unity in shaft friction. Assume cut-
off level 1.0m below ground surface. (Note: You are now put into a design situation
and there are many solutions to this problem, but it might be best to used a
'reasonably' large diameter pile and then calculate the required length).
Fig. Q3
195
4. Keeping the diameter of pile obtained in Q3 above, redesign the pile using a belled
base, with the diameter of the bell twice that of the pile shaft. The bell starts 1.0m
above the base of the pile. Cut-off level is 1.0m below ground surface.
Note: Assume unit weight of concrete = unit weight of soil
5. Rework the above examples adopting Design Approach 1 as given in the Eurcode. For
this you should use Combination 2: 'A1' + 'M1' +'R4' with partial factors taken from
the appropriate Tables in your notes; values of R4 being those without SLS
verification. Use a model factor of 1.4; also, in Q1-Q4 above, for 'service load' read
'design load' and the soil parameters represent the characteristic values.
196
Piles and Piling Examples 2
1 Two independent loading tests on 300mm diameter short bored piles in saturated clay
(for which u = 0) yielded the following results:
Embedded length of pile Added load at failure
(m) (kN)
2.15 100
2.75 110
Assuming that the adhesion is effective over the whole of the embedded length,
estimate the mean cohesion of the soil and the shaft adhesion reduction factor to be
used in extrapolating the test results to larger piles. The unit weights of the soil and
concrete are 18.8kN/m3 and 23.5kN/m3 respectively.
(Ans: cu = 101kN/m2; = 0.18)
2. A 33 square group of 1.0m diameter bored piles (3.0m centres) are founded at a depth
of 20m in a deep layer of stiff, saturated clay. Quick, undrained triaxial tests carried out
on 35mm diameter samples of the clay gave shear strengths of cu = 80kN/m2 at ground
surface, increasing uniformly to 200kN/m2 at the pile base, remaining relatively
constant below this depth. Assuming an adhesion reduction factor, = 0.4 and that the
following factors of safety apply, obtain the safe capacity of the group.
(i) for individual pile failure: end-bearing = 3.0, side-friction = 1.5; and,
(ii) for block failure = 2.5 (for base and sides)
(Ans: 25.3MN)
3 A bored pile has been designed to carry a working load of 2.5MN. It is to be installed in
a uniform, saturated, clay layer with an undrained shear strength, cu, of 75kN/m2. An
adhesion factor of 0.4 can be assumed for the clay. Cut-off level is 1m below ground
surface.
197
(a) The boring equipment available limits the maximum pile shaft diameter to 1.25m
and the depth to 20m. Determine whether a straight-shaft could be formed with this
equipment which would be capable of supporting the required load. Factors of safety of
3.0 and 1.5 should be used on the end-bearing and shaft components of resistance,
respectively.
(b) An under-reaming cutter is available which can form a bell with the top of the
bell being 2.0m above the pile tip. Calculate what depth of pile is required if a 3m
diameter belled-base is formed and the pile shaft diameter is 1.25 m. Any assumptions
must be clearly stated in your answer. Use the same factors of safety as in (a).
(Ans: 18m)
You can assume that the unit weight of concrete unit weight of clay.
4. A structure is to be supported on 25No. 450mm diameter concrete piles driven in a

square grid at 2.0m centres. The soil comprises 6.0m of medium-dense granular soil
overlying a deep layer of uniform, intact clay. The unit weight of the granular soil
above and below the water table can be taken as 16kN/m3 and ' = 38, while the
undrained shear strength of the clay is 85kN/m2 (which can be assumed uniform).
Calculate the length of the pile required to support a structural working load of
11.5MN. Assume an overall factor of safety of 2.0 and that the ground-water table is
located at a depth of 2.0m below ground surface.
The frictional resistance mobilized in the granular soil is, pKtan q 'd d , where p is
the pile perimeter and q 'd is the effective vertical stress at depth, d; K is an earth
pressure coefficient which can be taken as 0.85 and is the angle of friction which is
0.80' . The critical depth for the granular material can be taken as 16B where B is the
pile diameter, and the adhesion reduction factor in the clay as 0.60. Any assumptions
must be clearly stated in your answer.
(Ans: 10m)
198
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http://www.geoforum.com/info/pileinfo
http://www.geoforum.com/info/pileinfo/class_list.asp?Method=1
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3.3 Flexible and Rigid footings Average settlement 56

7. PILED FOUNDATIONS: SINGLE PILES 157

(i) Overview and Objectives

To impart a knowledge and understanding of the geotechnical design process.

To equip the student with additional methods of analysis.

(ii) Understanding, Knowledge and Subject-Specific skills

distinguish between different types of foundations;

apply parameters obtained from site investigations to design situations;

estimate deformations under service load conditions;

design shallow / deep foundations to carry ultimate load;

explain the difference between drained and undrained response;

recognise mechanisms which contribute to generating deformations and load capacity;

(iii) Learning Materials

The Universitys virtual learning environment VISION can be found on

(v) Study methods

(vii) Assistance and Feedback

(viii) Text books

1. Tomlinson, M. J., 'Foundation Design and Construction', Longman Scientific and

2. Bowles, J. E. 'Foundation Analysis and Design', 5th Edition. McGraw-Hill International,

3. Das, B. M., 'Principles of Foundation Engineering', PWS-ITP Publishing Company,

1. OVERVIEW OF FOUNDATION TYPES

Generally, footings must be founded:

Below top-soil or organic matter. The topmost 150-300mm of soil is unsuitable

1.2 Shallow Foundations

(a) Pad footings (See also BS 8004: 1985 Section 3.2.4)

A uniform base pressure can be assumed

Fig. 1.3 Pad footings under columns

(b) Strip footings (See also BS 8004: 1985 Section 3.2.5)

If more than 1.0m

Fig. 1.5 Pier footing

Fig. 1.6 Schematic showing a raft foundation

Fig. 1.7 Sectional view of a compensated or buoyant raft foundation.

1.3 Deep Foundations (See also BS 8004: 1985: Chapter 7)

1.3.1 Pile Types

(ii) Driven, cast-in-place concrete

Type Advantages Disadvantages

Table 1.1 Advantages and disadvantages of different pile construction techniques.

1.3.2 Materials and Construction

Fig. 1.8 Formation of a cast-in-situ pile.

Fig. 1.9 Formation of a Franki pile.

Fig. 1.10 Construction of a West's shell pile

1.3.3 Pile Loading Tests

Pile head: capped and

Fig. 1.13 The anchor pile test system.

Fig. 1.14 Typical load/displacement response for (a) friction or end

1.3.4 Action of Friction Piles driven into Sensitive Clay

Undisturbed shear strength

Diameter of pile = D Lateral displacement

Fig. 1.15 Zone of disturbance to soil around a pile during driving.

Distance from pile

(1) Before driving.

1.3.5 Negative Skin Friction

(b) If fill is placed around the piles after driving.

(c) If the piles are driven through highly sensitive clay.

1.3.6 Design Procedure for Piled Foundations

Below is an outline summary of the design process for a piled foundation:

(4) Decide on safe load per pile.