Soil Mechanics and Foundation Design Theory

NPTEL - ADVANCED FOUNDATION ENGINEERING-1
Module 1
GEOTECHNICAL PROPERTIES OF SOIL AND OF
REINFORCED SOIL (Lectures 1 to 4)
Topics
1.1 INTRODUCTION
1.2 GRAIN-SIZE DISTRIBUTION
 Sieve Analysis
 Hydrometer Analysis
1.3 SIZE LIMITS FOR SOILS
1.4 WEIGHT-VOLUME RELATIONSHIPS
1.5 RELATIVE DENSITY
1.6 ATTERBERG LIMITS
2.1 SOIL CLASSIFICATION SYSTEMS

2.2 AASHTO System
 Unified System
 Examples and Solutions
2.3 HYDRAULIC CONDUCTIVITY OF SOIL
2.4 STEADY-STATE SEEPAGE
2.5 FILTER DESIGN CRITERIA
2.6 EFFECTIVE STRESS CONCEPT
3.1 CAPILLARY RISE IN SOIL

3.2 CONSOLIDATIONS-GENERAL
3.3 CONSOLIDATION SETTLEMENT CALCULATION
3.4 TIME RATE OF CONSOLIDATION
4.1 SHEAR STRENGTH

 Direct Shear Test
 Triaxial Tests
4.2 UNCONFINED COMPRESSION TES

4.3 COMMENTS ON SHEAR STRENGTH PARAMETERS
 Drained Friction Angle of Granular Soils

 Drained Friction Angle of Cohesive Soils
4.4 SENSITIVITY
4.5 SOIL REINFORCEMENT-GENERAL

4.6 CONSIDERATIONS FOR SOIL REINFORCEMENT
 Metal Strips
 Nonbiodegradable Fabrics
 Geogrids
PROBLEMS
REFERENCE
Module 1
Lectures 1
GEOTECHNICAL PROPERTIES OF SOIL AND OF
REINFORCE SOIL
Topics
1.1 INTRODUCTION
 Sieve Analysis
 Hydrometer Analysis
1.3 SIZE LIMITS FOR SOILS
1.4 WEIGHT-VOLUME RELATIONSHIPS
1.5 RELATIVE DENSITY
1.6 ATTERBERG LIMITS
1.1 INTRODUCTION
The design of foundations of structures such as buildings, bridges, and dams generally
requires a knowledge of such factors as (a) the load that will be transmitted by the
superstructure to the foundation system, (b) the requirements of the local buildings
code, (c) the behavior and stress-related deformability of soils that will support the
foundation system, and d the geological conditions of the under consideration. To a
foundation engineer, the last two factors are extremely important because they
concern soil mechanics.
The geotechnical properties of a soil-such as the grain-size distribution, plasticity,

compressibility, and shear strength-can are assessed by proper laboratory testing.
And, recently, emphasis has been placed on in situ determination of strength and
deformation properties of soil, because this process avoids the sample disturbances
that occur during field exploration. However, under certain circumstances, all of the
needed parameters cannot be determined or are not determined because of economic
or other reasons. In such cases, the engineer must make certain assumptions regarding
the properties of the soil. The assessment of the accuracy of soil parameters-whether
they were determined in the laboratory and the field or were assumed-the engineer
must have a good grasp of the basic principles of soil mechanics. At the same time, he
or she must realize that the natural soil deposits on which foundation are constructed
are not homogeneous is most cases. Thus the engineer must have a thorough
understanding of the geology of the are-that is, the origin and nature of soil
stratification and also the groundwater conditions. Foundation engineering is a clever
combination of soil mechanics, engineering geology, and proper judgment derived
from past experience. To a certain extent, it may be called an “art”.
When determining which foundation is the most economical, the engineer must
consider the superstructure load, the subsoil conditions, and the desired tolerable
settlement. In general, foundations of buildings and bridges may be divided into two
major categories: (a) shallow foundations and (2) deep foundations. Spread footings,
wall footings, and mat foundations are all shallow foundations. In most shallow
foundations, the depth of embedment can be equal to or less than three to four the
width of the foundation. Pile and drilled shaft foundations are deep foundations.
This chapter serves primarily as a review of the basic geotechnical properties of soil.
It includes topics such as grain-size distribution, plasticity, and soil classification
effective stress, consolidation, and shear strength parameters. It is based on
assumption that you have already been exposed to these concepts in a basic
mechanics course.
In any soil mass, the sizes of various soil grains vary greatly. To classify a properly,
you must know its grain-size distribution. The grain-size distribution of coarse-
grained soil is generally determined by means of sieve analysis. For a fine grained
soil, the grain-size distribution can be obtained by means of hydrometer analysis. The
fundamental features of these analyses are presented in this section. For detailed
descriptions, see any soil mechanics laboratory manual (for exam, Das, 1997).
1.2.1 Sieve Analysis
A sieve analysis is conducted by taking a measured amount of dry, well-pulverized

soil and passing it through a stack of progressively finer sieves with a pan at bottom.
The amount of soil retained on each sieve is measured, and the cumulative percentage
of soil passing through each sieve is determined. This percentage generally referred to
as percent finer. Table 1 contains a list of U. S. sieve number and the corresponding
size of their hole openings. These sieves are commonly used for the analysis of soil
classification purposes.
The percent finer for each sieve determined by a sieve analysis is plotted semi
logarithmic graph paper, as shown in figure1.1Note that the grain diameter D, is
plotted on the logarithmic scale, and the percent finer is plotted on the arithmetic
scale.
Figure 1.1 Grain-size distribution curve of a coarse grained soil obtained from sieve
analysis
Two parameters can be determined from the grain-size distribution curves coarse-
grained soils: (1) the uniformity coefficient (Cu ) and (2) the coefficient gradation, or
coefficient of curvature (Cz ). These coefficients are
Table U. S. Standard Sieve Sizes

Sieve no. Opening (mm)
4 4.750
6 3.350
8 2.360
10 2.000
16 1.180
20 0.850
30 0.600
40 0.425
50 0.300
60 0.250
80 0.180
100 0.150
140 0.106
170 0.088
200 0.075
270 0.053
D
Cu = D 60 [1.1]
10
D 230
Cz = D [1.2]
60 × D 10
whereD10 , D30 , and D60 are the diameters corresponding to percents fines the 10, 30,
and 60%, respectively.
For the grain-size distribution curve shown in figure 1.1,D10 = 0.08 D30 =
0.17 mm, and D60 = 0.57 mm. Thus the values of Cu and Cz are
0.57
Cu = = 7.13
0.08
0.172
Cz = = 0.63
(0.57)(0.08)
Parameters Cu and Cz are used in the Unified Soil Classification System, which
described later in this chapter.
Hydrometer Analysis
Hydrometer analysis is based on the principle of sedimentation of soil particles water.

This test involves the use of 50 grams of dry, pulverized soil. A deflocculating agent
is always added to the soil. The most common deflocculating agent used the
hydrometer is 125 cc of 4% solution of sodium hexametaphosphate. The soil is
allowed to soak for at least 16 hours in the deflocculating agent. After the soaking
period, distilled water is added, and the soil-deflocculating agent mixture is
thoroughly agitated. The sample is then transferred to a 1000-m glass cylinder. More
distilled water is added to the cylinder to fill it to the 1000-ml mark, and the mixture
is again thoroughly agitated. A hydrometer is placed in the cylinder measure-usually
over a 24-hour period-the specific gravity of the soil-water suspension in the vicinity
of its bulb (figure 1.2). Hydrometer are calibrated show the amount of soil that is still
in suspension at any given time, t. the large diameter of the soil particles still in
suspension at time t can be determined Stoke’s law:
Figure 1.2 Hydrometer analysis

18η L
D = �(G � [1.3]
s −1)γ w t
Where
D = diameter of the soil particle
Gs = specific gravity of soil solids
η = viscosity of water
γw = unit weight of water
𝐿𝐿 =effective length (that is, length measured from the water surface in the cylinder to
the centerof gravity of the hydrometer, see figure 1.2)
t = time
Soil particles having diameters larger than those calculated by equation (3) would
have settled beyond the zone of measurement. In this manner, with hydrometer
readings taken at various times, the soil percent finer than a given diameter D can be
calculated, and a grain-size distribution plot can be prepared. The sieve and
hydrometer techniques may be combined for a soil having both coarse-grained and
fine-grained soil constituents.
SIZE LIMITS FOR SOILS
Several organizations have attempted to develop the size limits for gravel, sand, silt,
and clay based on the grain sizes present in soils. Table 2 presents the size limits
recommended by the American Association of State Highway and Transportation
Officials (AASHTO) and the United Soil Classification systems (Corps of Engineers,
Department of the Army, and Bureau of Reclamation): table 2 shows that soil particle
smaller than 0.002 mm have been classified as clay. However, clays by nature are
cohesive and can be rolled into a thread when moist. This property is caused by the
presence of clay minerals such as kaolinite, illite, and montmorillon: In contrast, some
minerals such as quartz and feldspar may be present in a soil particle sizes as small as
clay minerals. But these particles will not have the cohesive property of clay minerals.
Hence they are called clay-size particles, not clay particles.
Table 2 Soil Separate Size Limits

Classification Grain size (mm)
system
Unified Gravel: 75 mm to 4.75 mm Sand: 4.75 mm to 0.075 mm Silt
and clay (fines): < 0.075 mm
AASHTO Gravel: 75 mm to 2 mm Sand: 2 mm to 0.05 mm Silt: 0.05 mm
to 0.002 mm Clay: < 0.002 mm
WEIGHT-VOLUME RELATIONSHIPS
In nature, soils are three-phase systems consisting of solid soil particles, water, an air
(or gas). To develop the weight-volume relationships for a soil, the three phases can
be separated as shown in figure 1.3. Based on this separation, the volume
relationships can be defined in the following manner.
Figure 1.3 Weight-volume relationships
Void ratio, e, is the ratio of the volume of voids to the volume of soil solids a given
soil mass, or
Vv
e= [1.4]
Vs
Where
Vv = volume of voids
Vs = volume of soil solids
Porosity, n, is the ratio of the volume of voids to the volume of the soil specimen,
Vv
n= [1.5]
V
Where V = total volume of soil
Moreover,
Vv
Vv Vv Vs e
n= =V = Vs Vv = 1+e [1.6]
V s +V v +
Vs Vs
Degree of saturation, S, is the ratio of the volume of water in the void spaces the
volume of voids, generally expressed as a percentage, or
Vw
S(%) = × 100 [1.7]
Vv
Where
Vw = volume of water
Note that, for saturated soils, the degree of saturation is 100%.
The weight relationships are moisture content, moist unit weight, dry unit weight, and
saturated unit weight. They can be defined as follows:
Ww
Moisture content = w(%) = × 100
Ws
Where
Ws = weight of soil solids [1.8]
Ww = weight of water
W
Moist unit weight = γ = [1.9]
V
Where
W = total weight of the soil specimen = Ws + Ww
The weight of air, Wa , in the soil mass is assumed to be negligible.

Ws
Dry unit weight = γd = [1.10]
V
When a soil mass is completely saturated (that is, all void volume is occur by water),
the moist unit weight of a soil [equation (9)] becomes equal to the saturated unit
weight (γsat ). so γ = γsat if Vv = Vw .
More useful relations can now be developed by considering a representation soil

specimen in which the volume of soil solids is equal to unity, as shown in figure 1.3b.
Note that if Vs = 1, from equation (4), Vv = e and the weight of the soil solids:
Ww = Gs γw
Where
Gs = specific gravity of soil solids
γw = unit weight of water (9.81 kN/m3 , or 62.4 lb/ft 3 )
Also, from equation (8), the weight of water Ww = wWs . Thus, for the soil specimen
under consideration, Ww = wWs = wGs γw . Now, for the general relation for most
unit weight given in equation (9),
W W s +W w G s γ w (1+w)
γ= = = [1.11]
V V s +V v 1+e
Similarly, the dry unit weight [equation (10)] is

Ws Ws Gs γw
γd = =V = [1.12]
V s +V v 1+e
From equations (11) and (12), note that

γ
γd = 1+w [1.13]
If a soil specimen is completely saturated as shown in figure 1.3c,
Vv = e
Also, for this case
Ww wGs γw
Vv = = = wGs
γw γw
Thus
e = wGs (for saturated soil only) [1.14]
The saturated unit weight of soil becomes

W s +W w G s γ w +eγ w
γsat = = [1.15]
V s +V v 1+e
Relationships similar to equations (11, 12 and 15) in terms of porosity can also be
obtained by considering a representative soil specimen with a unit volume.
These relationships are

γ = Gs γw (1 − n)(1 + w) [1.16]
γd = (1 − n)Gs γw [1.17]
γsat = [(1 − n)Gs + n]γw [1.18]
Table 3 provides several useful relationships for γ, γd , and γsat .
Except for peat and highly organic soils, the general range of the values of specific
gravity of soil solids (Gs ) found in the nature is rather small. Table 4 gives some
representative values. For practical purposes, a reasonable value can be assumed in
lieu of running a test.
Table 5 presents some representative values for the void ratio, dry unit weight, and
moisture content (in a saturated state) of some naturally occurring soils. Note that in
most cohesionless soils the void ratio varies from about 0.4 to 0.8. The dry unit
weight in these soils generally fall within a range of about 90 − 120 lb/ft 3 (14 −
19 kN/m3 ).
RELATIVE DENSITY
In granular soils, the degree of compaction in the field can be measured according to
relative density, Dr ,which is defined as
e max −e
Dr (%) = e × 100 [1.19]
max −e min
Where
emax = void ratio of the soil in the loosest state
emin = void ratio in the densest state
e = in situ void ratio
Table 3 Various Forms of Relationships for 𝛄𝛄, 𝛄𝛄𝐝𝐝 , 𝐚𝐚𝐚𝐚𝐚𝐚 𝛄𝛄𝐰𝐰

Given Moist unit weight, γ Relationship
w, Gs , e (1 + w)Gs γw
1+e
S, Gs , e (Gs + Se)γw
1+e
w, Gs , S (1 + w)Gs γw
wG
1+ Ss
w, Gs , n Gs γw (1 − n)(1 + w)
S, Gs , n
Gs γw (1 − n) + nSγw
Dry unit weight (γd )

γ, w γ
1+w
Gs , e Gs γw
1+e
Gs , n Gs γw (1 − n)
Gs , w, S Gs γw
wG
1 + � S s�
e, w, S eSγw
(1 + e)w
γsat , n γsat − nγw
γsat , Gs (γsat − γw )Gs
(Gs − 1)
Saturated unit weight (γsat )

Gs , e (Gs + e)γw
1+e
Gs , n [(1 − n)Gs + n]γw
Gs , Wsat 1 + wsat
� �G γ
1 + wsat Gs s w
e, wsat e 1 + wsat
� �� γw
wsat 1+e
n, wsat 1 + wsat
n� � γw
wsat
γd , e e
γd + � �γ
1+e w
γd , n γd + nγw
γd , S 1
�1 − � γd + γw
Gs
γd , wsat γd (1 + wsat )
Table 4 Specific Gravities of Some Soils

Soil type Gs
Quartz sand 2.64-2.66
Silt 2.67-2.73
Clay 2.70-2.9
Chalk 2.60-2.75
Loess 2.65-2.73
Peat 1.30-1.9
Table 5 Typical Void Ratio, Moisture Content, and Dry Unit Weight for Some
Soils
Natural Dry unit weight, γd
moisture (lb/ft 3 ) (kN/m3 )
Void ratio content in
Type of soil e saturated
condition (%)
Loose uniform sand 0.8 30 92 14.5
Dense uniform sand 0.45 16 115 18
Loose angular- 0.65 25 102 16
grained silty sand
Dense angular- 0.4 15 120 19
grained silty sand
Stiff clay 0.6 21 108 17
Soft clay 0.9-1.4 30-50 73-92 11.5-14.5
Loess 0.9 25 86 13.5
Soft organic clay 2.5-3.2 90-120 38-51 6-8
Glacial till 0.3 10 134 21
The values of emax are determined in the laboratory in accordance with the test
procedures outlined in the American Society for Testing and Materials, ASTM
Standards (1997), Test Designation D-4254).
The relative density can also be expressed in terms of dry unit weight, or
γ d −γ d (min ) γ d (max )
Dr (%) = �γ � × 100 [1.20]
d (max ) −γ d (min ) γd
Where
γd = in situ dry unit weight
γd(max ) = dry unit weight in the densest state; that is, when the void ratio is emin
γd (min ) = dry unit weight in the loosest state; that is, when the void ratio is emax
The denseness of a granular soil is sometimes related to its relative density. Table 6
gives a general correlation of the denseness and Dr . For naturally occurring sands, the
magnitudes of emax and emin v[equation (9)] may vary widely. The main reasons for
such wide variations are the uniformity coefficient, Cu , and the roundness of the
particles, R. the uniformity coefficient is defined in equation (1). Roundness is
defined as
Table 6 Denseness of a Granular Soil

Relative density, Dr (%) Description
0-20 Very loose
20-40 Loose
40-60 Medium
60-80 Dense
80-100 Very dense
minimum radius of the particle edges
R = inscribed [1.21]
radius of the entire particle
Measuring R is difficult, but it can be estimated. Figure1.4 shows the general range
of the magnitude of R with particle roundness. Figure 1.5 shows the variation of
emax and emin with the uniformity coefficient for various values of particle roundness
(Youd, 1973). This range is applicable to clean sand with normal to moderate skewed
particle-size distribution.
Figure 1.4 General range of the magnitude of R
Figure 1.5 Approximate variation of emax and emin with uniformity coefficient (based
on Youd, 1973)
Example 1
A 0.25 ft 3 moist soil weights 30.8 lb. when dried in an oven, this soil weights 28.2 lb.
givenGs = 2.7. Determine the
a. Moist unit weight, γ

b. Moisture content, w
c. Dry unit weight, γd
d. Void ratio, e
e. Porosity, n
f. Degree of saturation, S
Solution
Part a. Moist Unit Weight
From equation (9),
W 30.8
γ= = = 123.2 lb/ft 3
V 0.25
Part b. Moisture Content
Ww 30.8 − 28.2
w= = × 100 = 9.2%
Ws 28.2
Part c. Dry Unit Weight
From equation (10),
Ws 28.2
γd = = = 112.8 lb/ft 3
V 0.25
Part d. Void Ratio
From equation (4),
Vv
e=
Vs
Ws 28.2
Vs = = = 0.169 ft 3
Gs γw (2.67)(62.4)
0.25 − 0.169
e= = 0.479
0.169
Part e. Porosity
From equation (6),
e 0.479
n= = = 0.324
1 + e 1 + 0.479
Part f. Degree of Saturation
From equation (7),
Vw
S(%) = × 100
Vv
Vv = V − Vs = 0.25 − 0.169 = 0.081 ft 3
Ww 30.8 − 28.2
Vw = = = 0.042 ft 3
γw 62.4
0.042
S= × 100 = 51.9%
0.081
Example 2
A soil has a void ratio of 0.72, moisture content= 12%, and Gs = 2.72. Determine
a. Dry unit weight (kN/m3 )

b. Moist unit weight (kN/m3 )
c. Weight of water in kN/m3 to be added to make the soil saturated
Solution
Part a. Dry Unit Weight
From equation (12),
Gs γw (2.72)(9.81)
γd = = = 15.51 kN/m3
1+e 1 + 0.72
Part b. Moist Unit Weight
From equation (11),
Gs γw (1 + w) (2.72)(9.81)(1 + 0.12)
γ= = = 17.38 kN/m3
1+e 1 + 0.72
Part c. Mass of Water to be Added
From equation (15),
(Gs + e)γw (2.72 + 0.72)(9.81)

γsat = = 19.62 kN/m3
1+e 1 + 0.72
Water to be added = γsat − γ = 19.62 − 17.38 = 2.24 kN/m3

Example 3
The maximum and minimum dry unit weights of a sand are 17.1 kN/m3 and 14.2 kN/
m3 , respectively. The sand in the field has a relative density of 70% with a moisture
content of 8%. Determine the moist unit weight of the sand in the field.
Solution
From equation (20),
γd − γd(min ) γd(max )
Dr = � ��
γd(max ) − γd(min ) γd
γd − 14.2 17.1
0.7 = � ��
17.1 − 14.2 γd
8
γ = γd (1 + w) − 16.11 �1 + � = 17.4 kN/m3
100
ATTERBERG LIMITS
When a clayey soil is mixed with an excessive amount of water, it may flow like a
semiliquid. If the soil is gradually dried, it will behave like a plastic, semisolid, or
solid material depending on its moisture content. The moisture content, in percent, at
which the soil changes from a liquid to a plastic state, is defined as the liquid limit
(LL). Similarly, the moisture contents, in percent, at which the soil change from a
plastic to a semisolid state and from a semisolid to a solid state are define as the
plastic limit (PL) and the shrinkage limit (SL), respectively. These limit a referred to
as Atterberg limits (figure 1.6).
Figure 1.6 Definition of Atterberg limits
 The liquid limit of a soil is determined by Casegrande’s liquid device (AST

Testing Designation D-4318) and is defined as the moisture content at which a
groove closure of 12in. (12.7 mm) occurs at 25 blows.
 The plastic limit is defined as the moisture content at which the soil crumble
when rolled into a thread of 18 in. (3.18 mm) in diameter (ASTM Testing
Designation D-4318).
 The shrinkage limit is defined as the moisture content at which the does not
undergo further volume change with loss of moisture (ASTM Testing
Designation D-427). Figure 1.6 shows this limit.
The difference between the liquid limit and the plastic limit of a soil is define as
the plasticity index (PI), or
PI = LL − PL [1.22]
Table 7 gives some representative values of liquid limit and plastic limit for
several clay minerals and soils. However, Atterberg limits for various soils will
variable considerable, depending on the soil’s origin and the nature and amount of
clay minerals in it.
Table 7 Typical Liquid and Plastic Limits for Some Clay Minerals and Soils
Description Liquid limit Plastic limit

Kaolinite 35-100 25-35
Illite 50-100 30-60
Montmorillonite 100-800 50-100
Boston Blue Clay 40 20
Chicago clay 60 20
Louisiana clay 75 25
London clay 66 27
Cambridge clay 39 21
Montana clay 52 18
Mississippi gumbo 95 32
Loessial soils in north and 25-35 15-20
northwest China
Module 2
(Lectures 5 to 8)
NATURAL SOIL DEPOSITS AND SUBSOIL
EXPLORATION
Topics
5.1 INTRODUCTION
5.2 NATURAL SOIL DEPOSITS
5.3 SOIL ORIGIN
5.4 RESIDUAL SOIL
5.5 ALLUVIAL DEPOSITS
 Deposits from Braided Streams

 Meander Belt Deposits
5.6 GALCIAL DEPOSITS

5.7 AEOLIAN SOIL DEPOSITS
5.8 ORGANIC SOIL
5.9 SUBSURFACE EXPLORATION
5.10 PURPOSE OF SOIL EXPLORATION
5.12 PROGRAM
 Collection of Preliminary Information

 Reconnaissance
 Site Investigation
5.13 EXPLORATORY BORINGS IN THE FIELD
6.1 PROCEDURES FOR SAMPLING SOIL

 Split-Spoon Sampling
 Scraper Bucket
6.2 Thin Wall Tube

 Piston Sampler
6.3 OBSERVATION OF WATER TABLES

6.4 EXAMPLE
6.5 6.5 VANE SHEAR TEST
7.1 CONE PENETRATION TEST

7.2 PRESSUREMETER TEST (PMT)
7.3 DILATOMETER TEST
7.4 CORING OF ROCKS
7.5 PREPARATION OF BORIN LOGS
7.6 DETERMINATION OF HYDRAULIC CONDUCTIVITY IN
THE FIELD
 1.22.1Open End Test
8.1 GEOPHYSICAL EXPLORATION
 Seismic Refraction Survey

 Thickness of Layers
 Cross-Hole Seismic Survey
 Resistivity Survey
8.2 SUBSOIL EXPLORATION REPORT
PROBLEMS
REFERENCE
Module 2
(Lecture 5)
NATURAL SOIL DEPOSITS AND SUBSOIL
EXPLORATION
Topics
1.1 INTRODUCTION
1.2 NATURAL SOIL DEPOSITS
1.3 SOIL ORIGIN
1.4 RESIDUAL SOIL
1.5 ALLUVIAL DEPOSITS
 Deposits from Braided Streams

 Meander Belt Deposits
1.6 GALCIAL DEPOSITS
1.7 AEOLIAN SOIL DEPOSITS
1.8 ORGANIC SOIL
1.10 PURPOSE OF SOIL EXPLORATION
1.12 PROGRAM
 Collection of Preliminary Information

 Reconnaissance
 Site Investigation
1.13 EXPLORATORY BORINGS IN THE FIELD
INTRODUCTION
To design a foundation that will adequately support a structure, an engineer must

understand the type of soil deposits that will support the foundation. Moreover,
foundation engineers must remember that soil at any site frequently is non-homogeneous-
that is, the soil profile may vary. Soil mechanics theories involve idealized conditions, so
the application of these theories to foundation engineering problems involves judicious
evaluation of site conditions and soil parameters. To do so require some knowledge of the
geological process by which the soil deposit at the site was formed, supplemented by
subsurface exploration. Good professional judgment constitutes an essential part of
geotechnical engineering-and it comes only with practice.
This chapter is divided into two parts. The first is a general overview of natural soil
deposits generally encountered, and the second describes the general principles of subsoil
exploration.
NATURAL SOIL DEPOSITS
SOIL ORIGIN
Most of the soils that cover the earth are formed by the weathering of various rocks.
There are two general types of weathering: (a) mechanical weathering and (2) chemical
weathering.
Mechanical weathering is the process by which rocks are broken into smaller and smaller
pieces by physical forces. These physical forces may be running water, wind, ocean
waves, glacier ice, frost action, and expansion and contraction caused by gain and loss of
heat.
Chemical weathering is the process of chemical decomposition of the original rock. In the
case of mechanical weathering, the rock breaks into smaller pieces without a change of
chemical composition. However, in chemical weathering, the original material may be
changed to something entirely different. For example, the chemical weathering of
feldspar can produce clay minerals.
Soil produced by the weathering of rocks can be transported by physical processes to

other places. These soil deposits are called transported soils. In contrast some soils stay
where they were formed and cover the rock surface from which they device. These soils
are referred to as residual soils.
Based on the transporting agent, transported soils can be subdivided into three major
categories:
1. Alluvial, or fluvial: deposited by running water

2. Glacial: deposited by glacier action
3. Aeolian: deposited by wind action
In addition to transported and residual soils, there are peats and organic soils, which
derive from the decomposition of organic materials.
RESIDUAL SOIL
Residual soil deposits are common in the tropics, Hawaii, and the southeastern United
States. The nature of a residual soil deposit will generally depend on the parent rock.
When hard rock such as granite and gneiss undergo weathering, more of the materials are
likely to remain in place. These soil deposits generally have top layer of clayey or silty
clay material below which are silty and/or sandy so layers. They are generally underlain
by a partially weathered rock and then sound bedrock. The depth of the sound bedrock
may vary widely, even within a distance of a few meters. Figure 2.1 shows the log of a
boring in a residual soil deposits derived from the weathering of granite.
Figure 2.1 Boring log for a residual soil derived from granite
In contrast to hard rocks, some chemical rocks, such as limestone, are mad up chiefly of
calcite (CaCO3 ) mineral, Chalk and dolomite have large concentration of dolomite
minerals [CaMg(CO3 )2 ]. These rocks have large amounts of soluble materials, some of
which are removed by ground water, leaving behind the insoluble fraction of the rock.
Residual soils that derive from chemical rocks possess a gradual transition zone to the
bedrock, as shown in figure 2.1. The residual soils derive from the weathering of
limestone like rocks are mostly gray in color. Although uniform in kind, the depth of
weathering may vary greatly. The residual soils immediately above the bedrock may be
normally consolidated. Large foundations with heavy loads may be susceptible to large
consolidation settlements on these soils.
ALLUVIAL DEPOSITS
Alluvial soil deposits derive from the action of streams and rivers. They can be divided
into two major categories: (1) braided-stream deposits and (2) deposits caused by the
meandering belt of streams.
Deposits from Braided Streams
Braided streams are high-gradient, rapidly flowing streams. They are highly erosive and
carry large amounts of sediment. Because of the high bed load, a minor change in the
velocity of flow will cause deposit of sediments. By this process, these streams may build
up a complex tangle of converging and diverging channels separated by sandbars and
islands.
The deposits formed from braided streams are very irregular in stratification and have a
wide range of grain sizes. Figure 2.2 shows a cross section of such a deposit. These
deposits share several characteristics.
Figure 2.2 Cross section of a braided-stream deposit

1. The grain sizes usually range from gravel to silt. Clay-size particles are generally
not fond in these deposits.
2. Although grain size varies widely, the soil in a given pocket or lens is rather
uniform.
3. At any given depth, the void ratio and unit weight may vary over a wide range
within a lateral distance of only a few meters. This variation can be observed
during soil exploration for construction of a foundation for a structure. The
standard penetration resistance (N value) at a given depth obtained from various
bore holes will be highly irregular and variable.
Alluvial deposits are present in several parts of the western United States, as Southern
California, Utah, and the basin and range sections of Nevada. Also large amount of
sediment originally derived from the Rocky Mountain range carried eastward to form the
alluvial deposits of the Great Plains. On a smaller scale this type of natural soil deposit,
left by braided streams, can be encountered loca
Meander Belt Deposits
The term meander is derived from the Greek word maiandros, which means “ben”
Mature streams in a valley curve back and forth. The valley floor in which are meanders
is referred to as the meander belt. In a meandering river, the soil the bank is continually
eroded from the points where it is concave in shape deposited at points where the bank is
convex in shape, as shown in figure. These deposits are called point bar deposits, and
they usually consist of sand silt-size particles. Sometimes, during the process of erosion
and deposition, the abandons a meander and cuts a shorter path. The abandoned meander,
when with water, is called an oxbow lake (see figure 2.3).
Figure 2.3 Formation of point bar deposits and oxbox lake in a meandering stream
During floods, rivers overflow low-lying areas. The sand and silt-size particle carried by
the river are deposited along the banks to form ridges knows as nature levees (figure
2.4). Finer soil particles consisting of soils and clays are carried the water farther onto the
flood plains. These particles settle at different rate form what is referred to as backswamp
deposits (figure 2.4). This clay may highly plastic. Table 1 gives the properties of soil
deposits found in natural levees point bars, abounded channels, back swamps, and
swamps in the Mississippi vial valley.
Figure 2.4 Levee and backswamp deposit
Table 1 Properties of Deposits Within the Mississippi Alluvial Valley
Environment Soil texture Natural Liquid limit Plasticity Cohesion

water index (kN/m2 )
content (%)
Natural levees Clay (CL) 25-35 35-45 15-25 17-57
Point bar Silt (ML) 15-35 NP-35 NP-5 9-33

and silty
sand (SM) 25-45 30-55 10-25 0-41
Abandoned Clay (CL 30-95 30-100 10-65 14-57

channel CH)
Backswamps Clay (CH) 25-70 40-115 25-100 19-120
Swamp Organic clay 100-265 135-300 100-165 -

(OH)
After Kolb and Shockley (1959)
Rounded off
NP = nonplastic
GALCIAL DEPOSITS
During the Pleistocene Ice Age, glaciers covered large areas of the east glaciers advanced
and retreated with time. During their advance, the glacier large amounts of sand, silt,
clay, gravel, and boulders. Drift is a general terr applied to the deposits laid down by
glaciers. Unstratified deposits laid glaciers when they melt are referred to as till. The
physical characteristics may vary from glacier to glacier.
The land forms that developed form the deposits of till are called terminal moraine
(figure 2.5) is a ridge of till that marks the maximum glacier’s advance. Recessional
moraines are ridges of till developed behind terminal moraine at varying distance apart.
They are the result of temporary –of the glacier during the recessional period. The till
deposited by the glacier the moraines is referred to as ground moraine (figure 2.5).
Ground moraine in the central United States are called till plains.
Figure 2.5 Terminal moraine, ground moraine and outwash plain
The sand, silt, and gravel that are carried by the melting water front of a glacier are called
outwash. In a pattern similar to the braided-stream the melted water deposits the outwash,
are usually called glaciofluvial deposit.
The range of grain sizes present in a till varies greatly. Figure 2.6 shows the grain-size
distribution of glacial till and dune sand of clay size fractions present and the plasticity
indices of tills also vary. The exploration may also reveal erratic values of standard
penetration resistance.
Figure 2.6 Comparison of the grain-size distribution between glacial till and dune sand
Glacial water also carries with it silts and clays. The silt particles initially tend to settle to
the bottom lake when the water is still. During the winter, from the top of the lake
suspended clay particles gradually settle to the bottom. The supply of fresh water, loaded
with sediments, repeats the process. As a result, the lacustrine soil formed from such a
deposit has alternate layers of silt and clay. This soil is called varved clay. The varves are
usually a few millimeters thick; however, in some instances they can be 50-100 mm (2-4
in.) thick. Varved clays can be found in the Northeast and the Pacific Northwest of the
United States. They are mostly normally consolidated and may be sensitive. The
hydraulic conductivity in the vertical direction is usually several times smaller than that
in the horizontal direction. The load-bearing capacity of these deposits is quite low, and
significant settlement of structures with shallow foundations may be anticipated.
AEOLIAN SOIL DEPOSITS
Wind is also a major transporting agent leading to formation of soil deposits. When large
areas of sand lie exposed, wind can blow it away and redeposit it somewhere else.
Deposits of windblown sand generally take the shape of dune (figure 2.7). As dunes are
formed, the sand is blown over the crest by the wind. Beyond the crest, the sand particles
roll down the slope. This process tends to form a compact sand deposit on the windward
side and a rather loose deposit on the leeward side.
Figure 2.7 Sand dune
Dunes exist along the southern and eastern shores of Lake Michigan, the Atlantic Coast,
the southern coast of California, and at various places along the coasts of Oregon and
Washington. Sand dunes can also be found in the alluvial and rocky plains of the western
United States. Following are some of the typical properties of dune sand:
1. The grain-size distribution of the sand at any particular location is surprisingly

uniform. This uniformity can be attributed to the sorting action of the wind.
2. The general grain size decreases with the distance from the source because the
wind carries the small particles farther than the large ones.
3. The relative density of sand deposited on the windward side of dunes may be as
high as 50-65% and may decrease to about 0-15% on the leeward side.
Loess is an Aeolian deposit consisting of silt and silt-size particles. The grain size
distribution of loess is rather uniform. The cohesion of loess is generally derived from a
clay coating over the silt-size particles, which contributes to a stable soil structure in an
unsaturated state. The cohesion may also be the result of the precipitation of chemicals
leached by rain water. Loess is a collapsing soil because when the soil becomes saturated,
it loses its binding strength between the soil particles. Special precautions need to be
taken for construction of foundations over loessial deposits. There are extensive deposits
of loess in the United States-mostly in the Midwestern states of Iowa, Missouri, Illinois,
and Nebraska and for some distance along the Mississippi River in Tennessee and
Mississippi.
ORGANIC SOIL
Organic soils are usually found in low-lying areas where the water table is near or above
the ground surface. The presence of a high water table helps in the growth of aquatic
plants that, when decomposed, form organic soil. This type of soil deposit is usually
encountered in coastal area and in glaciated regions. Organic soils show the following
characteristics:
1. The natural moisture content may range from 200% to 300%.

2. They are highly compressible.
3. Laboratory tests have shown that, under loads, a large amount of settlement is
derived from secondary consolidation.
SOME LOCAL TERMS FOR SOILS
Soils are sometimes referred to by local terms. Following are a few of these terms with a
brief description of each:
1. Caliche: a Spanish word derived from the Latin word calyx, meaning line. It is
found mostly in the desert southwestern United States. It is a mixture of sand, silt,
and gravel bonded together by calcareous deposits. The calcareous deposits are
brought to the surface by a net upward migration of water. The water evaporates
in the high local temperature. Because of the sparse rainfall, the carbonates are
not washed out of the top layer of soil.
2. Gumbo: a highly plastic, clayey soil.
3. Adobe: a highly plastic, clayey soil found in the southwestern United States.
4. Terra Rossa: residual soil deposits that are red in color and derive from limestone
and dolomite.
5. Muck: organic soil with very high moisture content.
6. Muskeg: organic soil deposit.
7. Saprolite: residual soil deposit derives from mostly insoluble rock.
8. Loam: a mixture of soil grains of various sizes, such as sand, silt, and clay.
9. Laterite: characterized by the accumulation of iron oxide (Fe2 03 ) and aluminum
oxide ((Al2 03 ) near the surface and leaching of silica. Lateritic soils in Central
America contain about 80-90% of clay and silt-size particle. In the United States,
lateritic soils are present in the southeastern states of Alabama, Georgia, and the
Carolinas.
10. Peat: partly decayed organic matter.
Figure 2.8 shows the general nature of the various soil deposits encountered in the
United States.
Figure 2.8 Soil deposits of the United States, (adapted from Foundation Engineering,
Second Edition, by R. B. Peck, W. F. Hanson, and T. H. Thornburn, Copyright 1974 by
John Wiley and Sons. Reprinted by permission)
SUBSURFACE EXPLORATION
PURPOSE OF SOIL EXPLORATION
The process of identifying the layers of deposits that underlie a proposed and their
physical characteristics is generally referred to as subsurface exploration. The purpose of
subsurface exploration is to obtain information that with geotechnical engineer in
1. Selecting the type and depth of foundation suitable for a given site
2. Evaluating the load-bearing capacity of the foundation.
3. Estimating the probable settlement of a structure.
4. Determining potential foundation problems (for example, expansive soil,
collapsible soil, sanitary landfill, and so on).
5. Determining the location of the water table.
6. Predicting lateral earth pressure for structures such as retaining wall, pile
bulkheads, and braced cuts.
7. Establishing construction methods for changing subsoil condition
Subsurface exploration may also be necessary when additions and alteration existing
structures are contemplated.
SUBSURFACE EXPLORATION
PROGRAM
Subsurface exploration comprises several steps, including collection of information,

reconnaissance, and site investigation.
Collection of Preliminary Information
This step includes obtaining information regarding the type of structures and its general
use. For the construction of buildings, the approximate and their spacing and the local
building code and basement require be known. The construction of bridges requires
determining span length, loading on piers and abutments.
A general idea of the topography and the type of soil to be considered and around the
proposed site can be obtained from the following
1. Geological Survey maps.

2. Agronomy maps published by the agriculture departments of various states.
3. The hydrological information. These include the records of stream flow, high
flood levels, tidal records, and so on.
The information collected from these sources can be extremely helpful in planning a site
investigation. In some cases, substantial savings may be realized by anticipating
problems that may be encountered later in the exploration program.
Reconnaissance
The engineer should always make a visual inspection of the site to obtain information
about
1. The general topography of the site, possible existence of drainage ditches,

abandoned dumps of debris, or other materials. Also, evidence of creep of slopes
and deep, wide shrinkage cracks at regularly spaced intervals may be indicative of
expansive soils.
2. Soil stratification from deep cuts, such as those made for construction of nearby
highways and railroads.
3. Type of vegetation at the site, which may indicate the nature of the soil. For
example, a mesquite cover in central Texas may indicate the existence of
expansive clays that can cause possible foundation problems.
4. High-water marks no nearby buildings and bridge abutments.
5. Ground water levels, which can be determined by checking nearby wells.
6. Types of construction nearby and existence of any cracks in walls or other
problems.
The nature of stratification and physical properties of the soil nearby can also be obtained
from any available soil-exploration reports for existing structures.
Site Investigation
The site investigation phase of the exploration program consists of planning making test
boreholes, and collecting soil samples at desired intervals for subsequent observation and
laboratory tests. The approximate required minimum depth of the borings should be
predetermined. The depth can be changed during the drilling operation, depending on the
subsoil encountered. To determine the approximate minimum depth of boring, engineers
may use the rules established by the American Society of Civil Engineers (1972):
1. Determining the net increase of stress, ∆σ, under a foundation with a depth as
shown in figure 2.9. (The general equations for estimating stress increase are
given in chapter 4).
2. Estimate the variation of the vertical effective stress, σ′v with depth.
3. Determine the depth, D = D1 , at which the stress increase ∆σ is equal to
�101 �q (q = estimated net stress on the foundation).
4. Determine the depth, D = D2 , at which ∆σ/σ′ v = 0.05.
5. Unless bedrock in encountered, the smaller of the two depths, D1 and D2 , just
determined is the approximate minimum depth of boring required.
Figure 2.9 Determination of the minimum depth of boring
If the preceding rules are used, the depths of boring for a building with a width of 30.5 m
(100 ft) will be approximately the following, according to Sowers and Sowers (1970):
No. of stories Boring depth
1 3.5 m (11 ft)
2 6 m (20 ft)
3 10 (33 ft)
4 15 m (53 ft)
5 24 m (79 ft)
For hospitals and office buildings, they also use the following rule to the determine
boring depth.
Db = 3S 0.7 (for light steel or narrow concrete buildings) [2.1a]
And
Db = 6S 0.7 (for heavy steel or wide concrete buildings) [2.1b]

Where
Db = depth of boring, in meters
S = number of stories
In English units, the preceding equations take the form
Db (ft) = 10S 0.7 (for light steel or narrow concrete buildings) [2.2a]
And
Db (ft) = 20S 0.7 (for heavy steel or wide concrete buildings) [2.2b]
When deep excavations are anticipated, the length of boring should be at least 1.5 times
the depth of excavation.
Sometimes subsoil conditions require that the foundation load be transmitted to bedrock.
The minimum depth of core boring into the bedrock is about 3 m (10 ft). if the bedrock is
irregular or weathered, the core borings may have to be deeper.
The engineer should also take into account the ultimate cost of the structure when making
decisions regarding the extent of field exploration. The exploration cost generally
decisions regarding the extent of field exploration. The exploration cost generally should
be 0.1-0.5% of the cost of the structure. Soil borings can be made by several methods,
including auger boring, wash boring, percussion drilling, and rotary drilling.
Table 2 Approximate Spacing of Boreholes
Spacing
Type of project (m) (ft)
Multistory building 10-30 30-100
One-store industrial plants 20-60 60-200
Highways 250-500 800-1600
Residential subdivision 250-500 800-1600
Dams and dikes 40-80 130-260

EXPLORATORY BORINGS IN THE FIELD
Auger boring is the simplest method of making exploratory boreholes. Figure 2.10 shows
two types of hand auger-the past hole auger and the helical auger. Hand augers cannot be
used for advancing holes to depths exceeding 3-5 m (10-16 ft). However, they can be
used for soil exploration work for some highways and small structures. Portable power-
driven helical augers (76-2 mm to 304.8 mm in diameter) are available for making deeper
boreholes. The soil samples obtained from such borings are highly disturbed. In some
noncohesive soils or soils having low cohesion, the walls of the boreholes will not stand
unsupported. In such circumstances, a metal pile is used as a casing to prevent the soil
from caving in.
Figure 2.10 Hard tools: (a) post hole auger; (b) helical auger
When power is available, continuous-flight augers are probably the most common
method used for advancing a borehole. The power for drilling is delivered by truck or
tractor-mounted drilling rigs. Boreholes up to about 60-70 m (200-230 ft) can be easily
made by this method. Continuous flight augers are available in sections of about 1-2 m
(3-6 ft) with either a solid or hollow stem. Some of the commonly used solid stem augers
have outside diameters of 66.68 mm (258in. ), 82.55 m (314in. ), 101.6 mm (4 in.) and 114.3
mm (412in. ). common hollow stem augers commercially available have dimensions of
63.5 mm ID and 158.75 mm OD (2.5 in.× 6.25 in. ), 69.85 mm ID and 177.8 OD
(2.75 in.× in. ), 76.2 mm ID and 203.2 OD (3 in.× 8 in. ) and 82.55 mm ID and 228.6
mm OD (3.25 in.× 9 in. ).
Wash boring is another method of advancing boreholes. In this method, a casing about 2-
3 m (6-10 ft) long is driven into the ground. The soil inside the casing is then removed by
means of a chopping bit attached to a drilling rod. Water is forced through the drilling rod
and exists at a very high velocity through the holes at the bottom of the chopping bit
(figure 2.11). The water and the chopped soil particles rise in the drill hole and overflow
at the top of the casing through a T connection. The washwater is collected in a container.
The casing can be extended with additional pieces as the borehole progresses; however,
that is not required if the borehole will stay open and not cave in.
Figure 2.11 Wash boring
Rotary drilling is a procedure by which rapidly rotating drilling bits attached to the
bottom of drilling rods cut and grind and soil and advance the boreholes. There are
several types of drilling bit. Rotary drilling can be used in sand, clay, and rocks (unless
badly fissured). Water, or drilling mud, is forced down the drilling rods to the bits, and
the return flow forces the cuttings to the surface. Boreholes with diameters of 50.8-203.2
mm (2-8 in.) can be easily made by this technique. The drilling mud is slurry of water
and bentonite. Generally it is used when the soil encountered is likely to cave in. When
soil samples are needed, the drilling rod is raised and the drilling bit is replaced by a
sampler.
Percussion drilling is an alternative method of advancing a borehole, particularly through

hard soil and rock. A heavy drilling bit is raised and lowered to chop the hard soil. The
chopped soil particles are brought up by circulation of water. Percussion drilling may
require casing.
NPTEL – ADVANCED FOUNDATION ENGINEERING-I
Module 3
Lecture 9 to 12
SHALLOW FOUNDATIONS: ULTIMATE BEARING
CAPACITY
Topics
9.1 INTRODUCTION
9.2 GENERAL CONCEPT
9.3 TERZAGHI’S BEARING CAPACITY THEORY
9.4 MODIFICATION OF BEARING CAPACITY EQUATIONS
FOR WATER TABLE
FOR WATER TABLE
9.6 CASE HISTORY: ULTIMATE BEARING CAPACITY IN
SATURATED CLAY
 Analysis of the Field Test Results
9.7 FACTOR SAFETY
10.1 THE GENERAL BEARING CAPACITY EQUATION
 Bearing Capacity Factors

 General Comments
10.2 EFFECT OF SOIL COMPRESSIBILITY
10.3 ECCENTRICALLY LOADED FOUNDATIONS

 Foundation with Two-Way Eccentricity
BEARING CAPACITY OF LAYERED SOILS-STRONGER SOIL

UNDERLAIN BY WEAKER SOIL
 Special Cases
11.1 BEARING CAPACITY OF FOUNDATIONS ON TOP OF A

SLOPE
11.2 SEISMIC BEARING CAPACITY AND SETTLEMENT IN
GRANULAR SOIL
12.1RECENT ADVANCES IN BEARING CAPACITY OF

FOUNDATIONS ON REINFORCED SOIL
12.2 FOUNDATIONS ON SAND WITH GEOTEXTILE

REINFORCEMENT
12.3 FOUNDATIONS ON SATURATED CLAY (𝝓𝝓 = 𝟎𝟎) WITH
GEOTEXTILE REINFORCEMENT
12.4 FOUNDATIONS ON SAND WITH GEOGRID
REINFORCEMENT
12.5 STRIP FOUNDATIONS ON SATURATED CLAY (𝝓𝝓 =
𝟎𝟎) WITH GEOGRID REINFORCEMENT
PROBLEMS
REFERENCES
Module 3
Lecture 9
SHALLOW FOUNDATIONS: ULTIMATE BEARING CAPACITY
Topics
1.1 INTRODUCTION
1.2 GENERAL CONCEPT
1.3 TERZAGHI’S BEARING CAPACITY THEORY
FOR WATER TABLE
FOR WATER TABLE
1.6 CASE HISTORY: ULTIMATE BEARING CAPACITY IN
SATURATED CLAY
 Analysis of the Field Test Results
1.7 FACTOR SAFETY

INTRODUCTION
To perform satisfactorily, shallow foundations must have two main characteristics:
1. The foundation has to be safe against overall shear failure in the soil that supports
it.
2. The foundation cannot undergo excessive displacement, that is, settlement. (The
term excessive is relative, because the degree of settlement allowable for a
structure depends on several considerations).
The load per unit area of the foundation at which the shear failure in soil occurs is called
the ultimate bearing capacity, which is the subject of this chapter.
GENERAL CONCEPT
Consider a strip foundation resting on the surface of a dense sand or stiff cohesive soil, as
shown in figure 3.1a, with a width of B. Now, if load is gradually applied to the
foundation, settlement will increase. The variation of the load per unit area on the
foundation, q c , with the foundation settlement is also shown in figure 3.1a. At a certain
point-when the load per unit area equals q u − a sudden failure in the soil supporting the
foundation will take place, and the failure surface in the soil will extend to the ground
surface. This load per unit area, q u , is usually referred to as the ultimate bearing capacity
of the foundation. When this type of sudden failure in soil takes place, it is called the
general shear failure.
Figure 3.1 Nature of bearing capacity failure in soils: (a) general shear failure; (b) local
shear failure; (c) punching shear failure (redrawn after Vesic, 1973)
If the foundation under consideration rests on sand or clayey soil of medium compaction
(figure 3.1b), an increase of load on the foundation will also be accompanied by an
increase of settlement. However, in this case the failure surface in the soil will gradually
extend outward from the foundation, as shown by the solid lines in figure 3.1b. When the
load per unit area on the foundation equals q u(1) , the foundation movement will be
accompanied by sudden jerks. A considerable movement of the foundation is then
required for the failure surface in soil to extend to the ground surface (as shown by the
broken lines in figure 3.1b). The load per unit area at which this happens is the ultimate
bearing capacity, q u . Beyond this point, an increase of load will be accompanied by a
large increase of foundation settlement. The load per unit area of the foundation, q u(1) is
referred to as the first failure load (Vesic, 1963). Note that a peak value of q is not
realized in this type of failure,, which is called the local shear failure in soil.
If the foundation is supported by a fairly loose soil, the load-settlement plot will be like
the one in figure 3.1c. In this case, the failure surface in soil will not extend to the ground
surface. Beyond the ultimate failure load, q u , the load-settlement plot will be steep and
practically linear. This type of failure in soil is called the punching shear failure.
Vesic (1963) conducted several laboratory load-bearing tests on circular and rectangular
plates supported by a sand at various relative densities of compaction, Dr ,. The variation
of q u(1) /12γB and q u /12γB obtained from those tests are shown in figure 3.2 (B =
diameter of circular plate or width of rectangular plate, and γ = dry unit weight of sand).
It is important to note from this figure that, for Dr ≥ about 70%, the general shear type of
failure in soil occurs.
Figure 3.2 Variation of q u(1) /0.5γB and q u /0.5γB for circular and rectangular plates on
the surface of a sand (after Vesic, 1963)
Based on experimental results, Vesic (1973) proposed a relationship for the mode of
bearing capacity failure of foundations resting on sands. Figure 3.2 shows this
relationship, which involves the notation
Figure 3.3 Modes of foundation failure in sand (after Vesic, 1973)
Dr = relative density of sand
Df = depth of foundation measured from the ground surface

2BL
B∗ = B+L [3.1]
Where
B = width of foundation
L = length of foundation
(Note: L is always greater than B).
For square foundations, B = L; for circular foundation, B = L = diameter, so
B∗ = B [3.2]
Figure 3.4 shows the settlement, S, of the circular and rectangular plates on the surface
of sand at ultimate load as described in figure 3.2. It shows a general range of S/B with
the relative density of compaction of sand. So, in general, we can say that for foundations
at a shallow depth (that is, small Df /B∗ ), the ultimate load may occur at a foundation
settlement of 4-10% of B. this condition occurs when general shear failure in sol occurs;
however, in the case of local or punching shear failure, the ultimate load may occur at
settlement of 15-25% of the width of the foundation (B).
Figure 3.4 Range of settlement of circular and rectangular plates at ultimate load
(Df /B = 0) in sand (after Vesic, 1963)
TERZAGHI’S BEARING CAPACITY THEORY
Terzaghi (1943) was the first to present a comprehensive theory for the evaluation of the
ultimate bearing capacity of rough shallow foundations. According to this theory, a
foundation is shallow if the depth, Df (figure 3.5), of the foundation is less than or equal
to the width of the foundation. Later investigators, however, have suggested that
foundation with Df equal to 3.4 times the width of the foundation may be defined as
shallow foundations.
Figure 3.5 Bearing capacity failure in soil under a rough rigid continuous foundation
Terzaghi suggested that for a continuous, or strip foundation (that is, the width-to-length
ratio of the foundation approaches zero), the failure surface in soil at ultimate load may
be assumed to be similar to that shown in figure 3.5. (Note that this is the case of general
shear failure as defined in figure 3.1a). The effect of soil above the bottom of the
foundation may also be assumed to be replaced by an equivalent surcharge, q = γDf
(where γ = unit weight of soil). The failure zone under the foundation can be separated
into three parts (see figure 3.5).
1. The triangular zone ACD immediately under the foundation

2. The radial shear zones ADF and CDE, with the curves DE and DF being arcs of
logarithmic spiral
3. Two triangular Rankine passive zone AFH and CEG
The angles CAD and ACD are assumed to be equal to the soil friction angle, ϕ. Note
that, with the replacement of the soil above the bottom of the foundation by an equivalent
surcharge q, the shear resistance of the soil along the failure surfaces GI and HJ was
neglected.
Using the equilibrium analysis, Terzaghi expressed the ultimate bearing capacity in the
form
q u = cNc + qNq + 12γBNγ (strip foundation) [3.3]
Where
c = cohesion of soil
γ = unit weight of soil
q = γDf
Nc , Nq , Nγ =
bearing capacity factors that are nondimensional and are only functions of the soil friction angle, ϕ
The bearing capacity factors Nc , Nq , and Nγ are defined by
e 2(3π /4−ϕ2)tan ϕ
Nc = cot ϕ � π ϕ − 1� = cot ϕ(Nq − 1) [3.4]
2 cos 2 � + �
4 2
e 2(3π /4−ϕ2)tan ϕ
Nq = ϕ [3.5]
2 cos 2 �45+ �
2
1 Kpγ
Nγ = 2 �cos 2 ϕ − 1� tan ϕ [3.6]
Where K pγ = passive pressure coefficient
The variations of the bearing capacity factors defined by equations (4, 5, and 6) are given
in table 1,
Table 1 Terzaghi’s Bearing Capacity Factors-equations (4, 5, and 6)
ϕ Nc Nq Nγ ϕ Nc Nq Nγ
0 5.70 1.00 0.00 26 27.09 14.21 9.84
1 6.00 1.1 0.01 27 29.24 15.90 11.60
2 6.30 1.22 0.04 28 31.61 17.81 13.70
3 6.62 1.35 0.06 29 34.24 19.98 16.18
4 6.97 1.49 0.10 30 37.16 22.46 19.13
5 7.34 1.64 0.14 31 40.41 25.28 22.65
6 7.73 1.81 0.20 32 44.04 28.52 26.87
7 8.15 2.00 0.27 33 48.09 32.23 31.94
8 8.60 2.21 0.35 34 52.64 36.50 38.04
9 9.09 2.44 0.44 35 57.75 41.44 45.41
10 9.61 2.69 0.56 36 63.53 47.16 54.36
11 10.16 2.98 0.69 37 70.01 53.80 65.27
12 10.76 3.29 0.85 38 77.50 61.55 78.61
13 11.41 3.63 1.04 39 85.97 70.61 95.03
14 12.11 4.02 1.26 40 95.66 81.27 115.31
15 12.86 4.45 1.52 41 106.81 93.85 140.51
16 13.68 4.92 1.82 42 119.67 108.75 171.99
17 14.60 5.45 2.18 43 134.58 126.50 211.56
18 15.12 6.04 2.59 44 151.95 147.74 261.60

19 16.56 6.70 3.07 45 172.28 173.28 325.34
20 17.69 7.44 3.64 46 196.22 204.19 407.11
21 18.92 8.26 4.31 47 224.55 241.80 512.84
22 20.27 9.19 5.09 48 258.28 287.85 650.67
23 21.75 10.23 6.00 49 298.71 344.63 831.99
24 23.36 11.40 7.08 50 347.50 415.14 1072.80
25 25.13 12.72 8.34
From Kumbhojkar (`1993)
For estimating the ultimate bearing capacity of square or circular foundations equation
(1) may be modified to
q u = 1.3cNc + qNq + 0.4γBNγ (square foundation) [3.7]
And
q u = 1.3cNc + qNq + 0.3γBNγ (circular foundation) [3.8]
In equation (7), B equals the dimension of each side of the foundation; in equation (8), B
equals the diameter of the foundation.
For foundations that exhibit the local shear failure mode in soils, Terzaghi suggested
modifications to equations (3, 7, and 8) as follows:
2
q u = 3 cN′c + qN′q + 12γBN′γ (strip foundation) [3.9]
q u = 0.867cN′c + qN′q + 0.4γBN′γ (square foundation) [3.10]
q u = 0.867cN′c + qN′q + 0.3γBN′γ (circular foundation) [3.11]
N′c , N′q , and N′γ are the modified bearing capacity factors. They can be calculated by
using the bearing capacity factor equations (for Nc , Nq , and Nγ ) by replacing ϕ by
ϕ′ = tan−1 (23 tan ϕ). the variation of N′c , N′q , and N′γ with the soil friction angle, ϕ, is
given in table 2.
Terzaghi’s bearing capacity equations have now been modified to take into account the
effects of the foundation shape (B/L), depth of embedment (Df ), and the load inclination.
This is given in section 7. Many design engineers, however, still use Terzaghi’s equation,
which provides fairly good results considering the uncertainty of the soil conditions at
various sites.
MODIFICATION OF BEARING CAPACITY EQUATIONS FOR WATER

TABLE
Equations (3) and (7) to (11) have been developed for determining the ultimate bearing
capacity based on the assumption that the water table is located well below the
foundation. However, if the water table is close to the foundation, some modifications of
the bearing capacity equations will be necessary, depending on the location of the water
table (see figure 3.6).
Figure 3.6 Modification of bearing capacity equations for water table
Case I
If the water table is located so that 0 ≤ D1 ≤ Df , the factor q in the bearing capacity
equations takes the form
Table 2 Terzaghi’s Modified Bearing Capacity Factors Nc , Nq , and Nγ
ϕ N′c N′q Nγ′ ϕ N′c N′q Nγ′
0 5.70 1.00 0.00 26 15.53 6.05 2.59
1 5.90 1.07 0.005 27 16.30 6.54 2.88
2 6.10 1.14 0.02 28 17.13 7.07 3.29
3 6.30 1.22 0.04 29 18.03 7.66 3.76
4 6.51 1.30 0.055 30 18.99 8.31 4.39

5 6.74 1.39 0.074 31 20.03 9.03 4.83
6 6.97 1.49 0.10 32 21.16 9.82 5.51
7 7.22 1.59 0.128 33 22.39 10.69 6.32
8 7.47 1.70 0.16 34 23.72 11.67 7.22
9 7.74 1.82 0.20 35 25.18 12.75 8.35
10 8.02 1.94 0.24 36 26.77 13.97 9.41
11 8.32 2.08 0.30 37 28.51 15.32 10.90
12 8.63 2.22 0.35 38 30.43 16.85 12.75
13 8.96 2.38 0.42 39 32.53 18.56 14.71
14 9.31 2.55 0.48 40 34.87 20.50 17.22
15 9.67 2.73 0.57 41 37.45 22.70 19.75
16 10.06 2.92 0.67 42 40.33 25.21 22.50
17 10.47 3.13 0.76 43 43.54 28.06 26.25
18 10.90 3.36 0.88 44 47.13 31.34 30.40
19 11.36 3.61 1.03 45 51.17 35.11 36.00
20 11.85 3.88 1.12 46 55.73 39.48 41.70
21 12.37 4.17 1.35 47 60.91 44.45 49.30
22 12.92 4.48 1.55 48 66.80 50.46 59.25
23 13.51 4.82 1.74 49 73.55 57.41 71.45
24 14.14 5.20 1.97 50 81.31 65.60 85.75
25 14.80 5.60 2.25
𝑞𝑞 = 𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠ℎ𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 = 𝐷𝐷1 𝛾𝛾 + 𝐷𝐷2 (𝛾𝛾𝑠𝑠𝑠𝑠𝑠𝑠 − 𝛾𝛾𝑤𝑤 ) [3.12]
Where
𝛾𝛾𝑠𝑠𝑠𝑠𝑠𝑠 = 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡 𝑜𝑜𝑜𝑜 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠

𝛾𝛾𝑤𝑤 = 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡 𝑜𝑜𝑜𝑜 𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤
Also, the value of 𝛾𝛾 in the last term of the equations has to be replaced by 𝛾𝛾 ′ = 𝛾𝛾𝑠𝑠𝑠𝑠𝑠𝑠 − 𝛾𝛾𝑤𝑤 .
Case II
For a water table located so that 0 ≤ 𝑑𝑑 ≤ 𝐵𝐵,
𝑞𝑞 = 𝛾𝛾𝐷𝐷𝑓𝑓 [3.13]
The factor 𝛾𝛾 in the last term of the bearing capacity equations must be replaced by the
factor
𝑑𝑑
𝛾𝛾̅ = 𝛾𝛾 ′ + 𝐵𝐵 (𝛾𝛾 − 𝛾𝛾 ′ ) [3.14]
The preceding modifications are based on the assumption that there is no seepage force in
the soil.
Case III
When he water table is located so that 𝑑𝑑 ≤ 𝐵𝐵,the water will have no effect on the ultimate
bearing capacity.
CASE HISTORY: ULTIMATE BEARING CAPACITY IN SATURATED CLAY
Brand et al. (1972) reported field test results for small foundations on soft Bangkok clay
(a deposit of marine clay) in Rangsit, Thailand. The results of the soil exploration are
shown in figure 3.7. Because of the sensitivity of the clay, the laboratory test results for
𝑐𝑐𝑢𝑢 (uconfined compression and unconsolidated undrianed triaxial) were rather scattered;
however, they obtained better results for the variation of 𝑐𝑐𝑢𝑢 with depth from field vane
shear tests. The vane shear test results showed that the average variations of the
undrained cohesion were
Depth (m) 𝑐𝑐𝑢𝑢 (𝑘𝑘𝑘𝑘/𝑚𝑚2 )
0-1.5 ≈ 35
1.5-2 Decreasing linearly

from 35 to 24
2-8 ≈ 24
Five small square foundations were tested for ultimate bearing capacity. The sizes of the
foundations were,
0.6 m,× 0.6 m, 0.675 m × 0.75 m × 0.75m, 0.9 m × 0.9 m, and 1.05 × 1.05 m. The
depth of the bottom of the foundations was 1.5 m measured from the ground surface. The
load-settlement plots obtained from the bearing capacity tests are shown in figure 3.8.
Figure 3.7 Results of soil exploration in soft Bangkok clay at Rangsit. Thailand (after
Brand et al., 1972)
Figure 3.8 Loan-settlement plots obtained from bearing capacity tests

Analysis of the Field Test Results
The ultimate loads, 𝑄𝑄𝑢𝑢 , obtained from each test are also shown in figure 3.8. The ultimate
load is defined as the point where the load displacement becomes practically linear. The
failure in soil below the foundation is of local shear type.
Hence, from equation (10)
𝑞𝑞𝑢𝑢 = 0.867𝑐𝑐𝑢𝑢 𝑁𝑁′𝑐𝑐 + 𝑞𝑞𝑁𝑁′𝑞𝑞 + 0.4𝛾𝛾𝐵𝐵𝐵𝐵′𝛾𝛾
For 𝜙𝜙 = 0, 𝑐𝑐 = 𝑐𝑐𝑢𝑢 𝑎𝑎𝑎𝑎𝑎𝑎, 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 2, 𝑁𝑁 ′ 𝑐𝑐 = 5.7, 𝑁𝑁 ′ 𝑞𝑞 = 1 𝑎𝑎𝑎𝑎𝑎𝑎 𝑁𝑁 ′ 𝛾𝛾 = 0. Thus for 𝜙𝜙 = 0
𝑞𝑞𝑢𝑢 = 4.94𝑐𝑐𝑢𝑢 + 𝑞𝑞 [3.15]
If we assume that the unit weight of soil is about 18.5 𝑘𝑘𝑘𝑘/𝑚𝑚3 ,

𝑞𝑞 ≈ 𝐷𝐷𝑓𝑓 𝛾𝛾 = (1.5)(18.5) = 27.75 𝑘𝑘𝑘𝑘/𝑚𝑚2 . We can then assume average values of 𝑐𝑐𝑢𝑢 : for
depths of 1.5 m to 2.0 m, 𝑐𝑐𝑢𝑢 ≈ (35 + 24)/2 = 29.5 𝑘𝑘𝑘𝑘/𝑚𝑚2 ; for depths greater than
2.0 𝑚𝑚, 𝑐𝑐𝑢𝑢 ≈ (24 𝑘𝑘𝑘𝑘/𝑚𝑚2 . If we assume that the undrained cohesion of clay at depth ≤ 𝐵𝐵
below the foundation controls the ultimate bearing capacity,
Table 3 Comparison of Theoretical and Field Ultimate Bearing Capacities
(𝐵𝐵)𝑚𝑚 𝐶𝐶𝑢𝑢(𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 )𝑎𝑎 Plas Correla 𝐶𝐶𝑢𝑢(𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 )𝑑𝑑 𝑄𝑄𝑢𝑢(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 ) 𝑞𝑞 (𝑘𝑘𝑘𝑘

(𝑘𝑘𝑘𝑘/ 𝑞𝑞𝑢𝑢(𝑡𝑡ℎ𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 ) 𝑎𝑎 (𝑘𝑘𝑘𝑘 𝑄𝑄𝑢𝑢(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 ) 𝑡𝑡 (𝑘𝑘𝑘𝑘)
ticit tion 𝑚𝑚2 ) /𝑚𝑚2 /𝑚𝑚2 )
y factor,
𝑏𝑏𝜆𝜆𝑐𝑐
𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖
0.6 28.58 40 0.84 24.01 146.4 60 166.6
0.675 28.07 40 0.84 23.58 144.2 71 155.8
0.75 27.67 40 0.84 23.24 142.6 90 160
0.9 27.06 40 0.84 22.73 140.0 124 153
1.05 26.62 40 0.84 22.36 138.2 140 127
a
Equation (16)
b
From figure 3.7
c
From table 7 [𝜆𝜆 = 1.7 − 0.54 𝑙𝑙𝑙𝑙𝑙𝑙(𝑃𝑃𝑃𝑃): 𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵 (1972)]
d
Equation (19 from chapter 2)
e
Equation (15)
f
Figure 3.8
g
𝑄𝑄𝑢𝑢(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 ) /𝐵𝐵 2
(29.5)(2.0−1.5)+(24)[𝐵𝐵−(2.0−1.5)]
𝑐𝑐𝑢𝑢(𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 ) ≈ [3.16]
𝐵𝐵
The 𝑐𝑐𝑢𝑢(𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 ) value obtained for each foundation needs to be corrected in view of
equation (19 from chapter 2) table 3 presents the details of other calculations and a
comparison of the theoretical and field ultimate bearing capacities.
Note that the ultimate bearing capacities obtained from the field are about 10% higher
than those obtained from theory. One reason for such a difference is that the ratio 𝐷𝐷𝑓𝑓 /𝐵𝐵
for the field tests varies from 1.5 to 2.5. The increase of the bearing capacity due to the
depth of embedment has not been accounted for in equation (16).
FACTOR SAFETY
Calculating the gross allowable load-bearing capacity of shallow foundations requires

application of a factor of safety (FS) to the gross ultimate bearing capacity, or
𝑞𝑞
𝑞𝑞𝑎𝑎𝑎𝑎𝑎𝑎 = 𝐹𝐹𝐹𝐹𝑢𝑢 [3.17]
However, some practicing engineers prefer to use a factor of safety of

𝑛𝑛𝑛𝑛𝑛𝑛 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐
𝑁𝑁𝑁𝑁𝑁𝑁 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 𝑜𝑜𝑜𝑜 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 = [3.18]
𝐹𝐹𝐹𝐹
The net ultimate bearing capacity is defined as the ultimate pressure per unit area of the
foundation that can be supported by the soil in excess of the pressure caused by the
surrounding soil at the foundation level. If the difference between the unit weights of
concrete used in the foundation and the unit weight of soil surrounding is assumed to be
negligible,
𝑞𝑞𝑛𝑛𝑛𝑛𝑛𝑛 (𝑢𝑢) = 𝑞𝑞𝑢𝑢 − 𝑞𝑞 [3.19]
Where
𝑞𝑞𝑛𝑛𝑛𝑛𝑛𝑛 (𝑢𝑢) = 𝑛𝑛𝑛𝑛𝑛𝑛 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐
𝑞𝑞 = 𝛾𝛾𝐷𝐷𝑓𝑓
So,
𝑞𝑞 𝑢𝑢 −𝑞𝑞
𝑄𝑄𝑎𝑎𝑎𝑎𝑎𝑎 (𝑛𝑛𝑛𝑛𝑛𝑛 ) = [3.20]
𝐹𝐹𝐹𝐹
The factor of safety as defined by equation (20) may be at least 3 in all cases.
Another type of factor of safety for the bearing capacity of shallow foundations is often
used. It is the factor with respect to shear failure (FSshear ). in most cases, a vale of
FSshear = 1.4 − 1.6 is desirable along with a minimum factor of safety of 3-4 against
gross or net ultimate bearing capacity. The following procedure should be used to
calculate the net allowable load for a given FSshear .
1. Let c and ϕ be the cohesion and the angle of friction, respectively, of soil and let
FSshear be the required factor of safety with respect to shear failure. So the
developed cohesion and the angle of friction are
c
cd = FS [3.21]
s h ear
tan ϕ
ϕd = tan−1 �FS � [3.22]
s h ear
2. The gross allowable bearing capacity can now be calculated according to

equations (3, 7, 8), with cd and ϕd as the shear strength parameters of the soil.
For example, the gross allowable bearing capacity of a continuous foundation
according to Terzaghi’s equation is
q all = cd Nc + qNq + 12γBNγ [3.23]
Where Nc , Nq , and Nγ = bearing capacity factors for the friction angle, ϕd
3. The net allowable bearing capacity is thus

q all (net ) = q all − q = cd Nc + q�Nq − 1� + 12γBNγ [3.24]
Irrespective of the procedure by which the factor of safety is applied, the magnitude of FS
should depend on the uncertainties and risks involved for the conditions encountered.
Example 1
A square foundation is 5 ft × 5 ft in plan. The soil supporting the foundation has a

friction angle of ϕ = 20° and c = 320 lb/ft 2 . The unit weight of soil, γ, is 115 lb/ft 3 .
Determine the allowable gross load on the foundation with a factor of safety (FS) of 4.
Assume that the depth of the foundation (Df ) is 3 ft and that general shear failure occurs
in the soil.
Solution
From equation (7)
q u = 1.3cNc + qNq + 0.4γBNγ
From table 1, for ϕ = 20° ,
Nc = 17.69
Nq = 7.44
Nγ = 3.64
Thus
q u = (1.3)(320)(17.69) + (3 × 115)(7.44) + (0.4)(115)(5)(3.64)
= 7359 + 2567 + 837 = 10, 736 lb/ft 2
So, the allowable load per unit area of the foundation is

q 10,736
q all = FSu = ≈ 2691 lb/ft 2
4
Thus load total allowable gross load is
Q = (2691)B2 = (2691)(5 × 5) = 67,275 lb

Module 4
Lecture 13 to 16
SHALLOW FOUNDATIONS: ALLOWABLE BEARING CAPACITY
AND SETTLEMENT
Topics
13.1 INTRODUCTION
13.2 VERTICAL STRESS INCREASE IN A SOIL MASS CAUSED
BY FOUNDATION LOAD
13.3 STRESS DUE TO A CONCENTRATED LOAD
13.4 STRESS DUE TO A CIRCULARLY LOADED AREA
13.5 STRESS BELOW A RECTANGULAR AREA
13.6 AVERAGE VERTICAL STRESS INCREASE DUE TO A
RECTANGULAR LOADED AREA
13.7 STRESS INCREASE UNDER AN EMBANKMENT
13.8 STRESS INCREASE DUE TO ANY TYPE OF LOADING
14.1 SETTLEMENT CALCULATION

14.2 ELASTIC SETTLEMENT BASED ON THE THEORY OF
ELASTICITY
14.3 ELASTIC SETTLEMENT OF FOUNDATION ON
SATURATED CLAY
14.4 SETTLEMENT OF SANDY SOIL: USE OF STRAIN
INFLUENCE FACTOR
14.5 RANGE OF MATERIAL PARAMETERS FOR COMPUTING
ELASTIC SETTLEMENT
14.6 CONSOLIDATION SETTLEMENT
14.7 SKEMPTON-BJERRUM MODIFICATION FOR
CONSOLIDATION SETTLEMENT
14.8 CONSOLIDATION SETTLEMENT-GENERAL COMMENTS
AND A CASE HISTORY
15.1 ALLOWABLE BEARING CAPACITY

15.2 ALLOWABLE BEARING PRESSURE IN SAND BASED ON
SETTLEMENT CONSIDERATION
15.3 FIELD LOAD TEST
15.4 PRESUMPTIVE BEARING CAPACITY
15.5 TOLERABLE SETTLEMENT OF BUILDINGS
15.6 FOUNDATION WITH SOIL REINFORCEMENT
15.7 SHALLOW FOUNDATION ON SOIL WITH
REINFORCEMENT
16.1 STRIP FOUNDATION ON GRANULAR SOIL REINFORCED
BY METALLIC STRIPS
 Mode of Failure
 Location of Failure Surface
 Force Induced in Reinforcement Ties
16.2 FACTOR OF SAFETY OF TIES AGAINST BREAKING AND

PULLOUT
16.3 DESIGN PROCEDURE FOR STRIP FOUNDATION ON
REINFORCED EARTH
 Determination of 𝒒𝒒𝒐𝒐
 Determination of 𝑸𝑸𝑹𝑹
 Calculation of Tie Force
 Calculation of tie Resistance Due to Friction, 𝑭𝑭𝑩𝑩
 Calculation of Tie Thickness to Resist Tie Breaking
 Calculation of Minimum Length of Ties
PROBLEMS
REFERENCES
Module 4
Lecture 13
SHALLOW FOUNDATIONS: ALLOWABLE BEARING CAPACITY
AND SETTLEMENT
Topics
1.1 INTRODUCTION
1.2 VERTICAL STRESS INCREASE IN A SOIL MASS CAUSED
BY FOUNDATION LOAD
1.3 STRESS DUE TO A CONCENTRATED LOAD
1.4 STRESS DUE TO A CIRCULARLY LOADED AREA
1.5 STRESS BELOW A RECTANGULAR AREA
1.6 AVERAGE VERTICAL STRESS INCREASE DUE TO A
RECTANGULAR LOADED AREA
1.7 STRESS INCREASE UNDER AN EMBANKMENT
1.8 STRESS INCREASE DUE TO ANY TYPE OF LOADING
INTRODUCTION
It was mentioned in chapter 3 that, in many cases, the following settlement of a shallow
foundation may control the allowable bearing capacity. The allowable settlement may be
controlled by local building codes. Thus the allowable bearing capacity will be the
smaller of the following two conditions:
𝑞𝑞 𝑢𝑢
𝐹𝐹𝐹𝐹
𝑞𝑞all = � or
𝑞𝑞allowable settlement
The settlement of a foundation can be divided into two major categories: (a) elastic, or
immediate, settlement, and (b) consolidation settlement. Immediate, or elastic, settlement
of a foundation takes place during or immediately after the construction of the structure.
Consolidation settlement occurs over time. Pore water is extruded from the void spaces of
saturated clayey soils submerged in water. The total settlement of a foundation is the sum
of the elastic settlement and the consolidation settlement.
Consolidation settlement comprises two phases: primary and secondary. The

fundamentals of primary consolidation settlement have been explained in detail in
chapter 1. Secondary consolidation settlement occurs after completion of primary
consolidation caused by slippage and reorientation of soil particles under sustained load.
Primary consolidation settlement is more significant than secondary settlement in
inorganic clays and silty soils. However, in organic soils, secondary consolidation
settlement of more significant.
For calculation of foundation settlement (elastic and consolidation), it is required that we

estimate the vertical stress increase in the soil mass due to the net load applied on the
foundation. Hence, this chapter is divided into four parts.
They are:
1. Procedure for calculation of vertical stress increase

2. Settlement calculation (elastic and consolidation)
3. Allowable bearing capacity based on elastic settlement
4. Foundation with soil reinforcement.
VERTICAL STRESS INCREASE IN A SOIL MASS CAUSED BY FOUNDATION

LOAD
STRESS DUE TO A CONCENTRATED LOAD
In 1885, Boussinesq developed the mathematical relationships for determining the

normal and shear stresses at any point inside homogeneous, elastic, and isotropic
mediums due to a concentrated point load located at the surface, as shown in figure 4.1.
According to his analysis, the vertical stress increase (∆𝑝𝑝) at point A (figure 4.1) caused
by the point load of magnitude P is
Figure 4.1 Vertical stress at a point, A, caused by a point load on the surface
3𝑃𝑃
∆𝑝𝑝 = 5/2 [4.1]
𝑟𝑟 2
2𝜋𝜋𝑧𝑧 2 �1+� � �
𝑧𝑧
Where
𝑟𝑟 = �𝑥𝑥 2 + 𝑦𝑦 2
𝑥𝑥, 𝑦𝑦, 𝑧𝑧 = coordinates of the point 𝐴𝐴
Note that equation (1) is not a function of the Poisson’s ratio of the soil.
STRESS DUE TO A CIRCULARLY LOADED AREA
The Boussinesq equation [equation (1)] can also be used to determine the vertical stress
below the center of a flexible circularly loaded area, as shown in figure 4.2. Let the
radius of the loaded area be 𝐵𝐵/2, and 𝑞𝑞𝑜𝑜 be the uniformly distributed load per unit area.
To determine the stress increase at a point A, located at depth z below the center of the
circular area, consider an elemental area on the circle, as shown in figure 4.2. The load on
this element area may be considered as a point load and expressed as 𝑞𝑞𝑜𝑜 𝑟𝑟 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑. The
stress increase at point A caused by this load can be determined from equation (1):
Figure 4.2 Increase of pressure under a uniformly loaded flexible circular area
3(𝑞𝑞 𝑜𝑜 𝑟𝑟 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 )

𝑑𝑑𝑑𝑑 = 5/2 [4.2]
𝑟𝑟 2
2𝜋𝜋𝑧𝑧 2 �1+� � �
𝑧𝑧
Thus the total increase of stress caused by the entire loaded area may be obtained by
integration of equation (2), or
𝜃𝜃=2𝜋𝜋 𝑟𝑟=𝐵𝐵/2 3(𝑞𝑞 𝑜𝑜 𝑟𝑟 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 )
∆𝑝𝑝 = ∫ 𝑑𝑑𝑑𝑑 = ∫𝜃𝜃=0 ∫𝑟𝑟=0 5/2
𝑟𝑟 2
2𝜋𝜋𝑧𝑧 2 �1+� � �
𝑧𝑧
1
= 𝑞𝑞𝑜𝑜 �1 − 3/2 � [4.3]
𝐵𝐵 2
��
2𝑧𝑧
Similar integrations could be performed to obtain the vertical stress increase at A’ located
at a distance r from the center of the loaded area at a depth z (Ahlvin and Ulery, 1962).
Table 1 gives the variation of ∆𝑝𝑝/𝑞𝑞𝑜𝑜 with 𝑟𝑟/(𝐵𝐵/2) and 𝑧𝑧/(𝐵𝐵/2) [for 0 ≤ 𝑟𝑟/(𝐵𝐵/2) ≤ 1].
Note that the variation of ∆𝑝𝑝/𝑞𝑞𝑜𝑜 with depth at 𝑟𝑟/(𝐵𝐵/2) = 0 can be obtained from
equation (3).
STRESS BELOW A RECTANGULAR AREA
The integration technique of Boussinesq’s equation also allows evaluation of the vertical
stress at any point A below the corner of a flexible rectangular loaded area (figure 4.3).
To do that, consider an elementary area 𝑑𝑑𝑑𝑑 = 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 on the flexible loaded area.
Table 1 Variation of ∆𝒑𝒑/𝒒𝒒𝒐𝒐 for Uniformly Loaded Flexible Circular Area
𝑓𝑓/(𝐵𝐵/2)
𝑧𝑧/(𝐵𝐵/2) 0 0.2 0.4 0.6 0.8 1.0
0 1.000 1.000 1.000 1.000 1.000 1.000
0.1 0.999 0.999 0.998 0.996 0.976 0.484
0.2 0.992 0.991 0.987 0.970 0.890 0.468
0.3 0.976 0.973 0.963 0.922 0.793 0.451
0.4 0.949 0.943 0.920 0.860 0.712 0.435
0.5 0.911 0.902 0.869 0.796 0.646 0.417
0.6 0.864 0.852 0.814 0.732 0.591 0.400
0.7 0.811 0.798 0.756 0.674 0.545 0.367
0.8 0.756 0.743 0.699 0.619 0.504 0.366
0.9 0.701 0.688 0.644 0.570 0.467 0.348
1.0 0.646 0.633 0.591 0.525 0.434 0.332
1.2 0.546 0.535 0.501 0.447 0.377 0.300
1.5 0.424 0.416 0.392 0.355 0.308 0.256

2.0 0.286 0.286 0.268 0.248 0.224 0.196
2.5 0.200 0.197 0.191 0.180 0.167 0.151
3.0 0.146 0.145 0.141 0.135 0.127 0.118
4.0 0.087 0.086 0.085 0.082 0.080 0.075
Figure 4.3 Determination of stress below the corner of a flexible rectangular loaded area
If the load per unit area is 𝑞𝑞𝑜𝑜 , the total load on the elemental area is
𝑑𝑑𝑑𝑑 = 𝑞𝑞𝑜𝑜 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 [4.4]
This elemental load, 𝑑𝑑𝑑𝑑, may be treated as a point load. The increase of vertical stress at
point A caused by 𝑑𝑑𝑑𝑑 may be evaluated by using equation (1). Note, however, the need to
substitute 𝑑𝑑𝑑𝑑 = 𝑞𝑞𝑜𝑜 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 for P, and 𝑥𝑥 2 + 𝑦𝑦 2 for 𝑟𝑟 2 , in equation (1). Thus
3𝑞𝑞 (𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 )𝑧𝑧 3

The stress increase at 𝐴𝐴 caused by 𝑑𝑑𝑑𝑑 = 2𝜋𝜋(𝑥𝑥𝑜𝑜2 +𝑦𝑦 2 +𝑧𝑧 2 )5/2
The total stress increase caused by the entire loaded area at point A may now be obtained
by integrating the preceding equation:
𝐿𝐿 𝐵𝐵 3𝑞𝑞 (𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 )𝑧𝑧 3
∆𝑝𝑝 = ∫𝑦𝑦=0 ∫𝑥𝑥=0 2𝜋𝜋(𝑥𝑥𝑜𝑜2 +𝑦𝑦 2 +𝑧𝑧 2 )5/2 = 𝑞𝑞𝑜𝑜 𝐼𝐼 [4.5]
Where
∆𝑝𝑝 = stress increase at 𝐴𝐴
1 2𝑚𝑚𝑚𝑚 √𝑚𝑚 2 +𝑛𝑛 2 +1 𝑚𝑚 2 +𝑛𝑛 2 +2 2𝑚𝑚𝑚𝑚 √𝑚𝑚 2 +𝑛𝑛 2 +1

𝐼𝐼 = influence factor = 4𝜋𝜋 �𝑚𝑚 2 +𝑛𝑛 2 +𝑚𝑚 2 𝑛𝑛 2 +1 ∙ 𝑚𝑚 2 +𝑛𝑛 2 +1 + 𝑡𝑡𝑡𝑡𝑡𝑡−1 𝑚𝑚 2 +𝑛𝑛 2 +1−𝑚𝑚 2 𝑛𝑛 1 � [4.6]
1 2𝑚𝑚𝑚𝑚 √𝑚𝑚 2 +𝑛𝑛 2 +1 𝑚𝑚 2 +𝑛𝑛 2 +2 2𝑚𝑚𝑚𝑚 √𝑚𝑚 2 +𝑛𝑛 2 +1

𝐼𝐼 = influence factor = � ∙ + 𝑡𝑡𝑡𝑡𝑡𝑡−1 �𝜋𝜋 − �� [4.6a]
4𝜋𝜋 𝑚𝑚 2 +𝑛𝑛 2 +𝑚𝑚 2 𝑛𝑛 2 +1 𝑚𝑚 2 +𝑛𝑛 2 +1 𝑚𝑚 2 +𝑛𝑛 2 +1−𝑚𝑚 2 𝑛𝑛 1
𝐵𝐵
𝑚𝑚 = [4.7]
𝑧𝑧
𝐿𝐿
𝑛𝑛 = 𝑧𝑧 [4.8]
The variation of the influence values with 𝑚𝑚 and 𝑛𝑛 are given in table 2. For convenience,
they are also plotted in figure 4.4.
Figure 4.4 Variation of I with m and n-equations (5, 6, and 6a)
Table 2 Variation of Influence Value, /[𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝𝐝 (𝟔𝟔)]𝐚𝐚

𝑛𝑛
𝑚𝑚 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.2 1.4
0. 0.00 0.00 0.01 0.01 0.01 0.02 0.02 0.02 0.02 0.02 0.02 0.03
1 470 917 323 678 978 223 420 576 698 794 926 007
0. 0.00 0.01 0.02 0.03 0.03 0.04 0.04 0.05 0.05 0.54 0.05 0.58
2 917 790 585 280 866 348 735 042 283 71 733 94
0. 0.01 0.02 0.03 0.04 0.05 0.06 0.06 0.07 0.07 0.07 0.08 0.08
3 323 585 735 742 593 294 858 308 661 938 323 561
0. 0.01 0.03 0.04 0.06 0.07 0.08 0.08 0.09 0.09 0.10 0.10 0.10
4 678 280 742 024 111 009 734 314 770 129 631 941
0. 0.01 0.03 0.05 0.07 0.08 0.09 0.10 0.11 0.11 0.12 0.12 0.13
5 978 866 593 111 403 473 340 035 584 018 626 003
0. 0.02 0.04 0.06 0.08 0.09 0.10 0.11 0.12 0.13 0.13 0.14 0.14
6 223 348 294 009 473 688 679 474 105 605 309 749
0. 0.02 0.04 0.06 0.08 0.10 0.11 0.12 0.13 0.14 0.14 0.15 0.16
7 420 735 858 734 340 679 772 653 356 914 703 199
0. 0.02 0.05 0.07 0.09 0.11 0.12 0.13 0.14 0.15 0.15 0.16 0.17
8 576 042 308 314 035 474 653 607 371 978 843 389
0. 0.02 0.05 0.07 0.09 0.11 0.13 0.14 0.15 0.16 0.16 0.17 0.18
9 698 283 661 770 584 105 356 371 185 835 766 357
1. 0.02 0.05 0.07 0.10 0.12 0.13 0.14 0.15 0.16 0.17 0.18 0.19
0 794 471 938 129 018 605 914 978 835 522 508 139
1. 0.02 0.05 0.08 0.10 0.12 0.14 0.15 0.16 0.17 0.18 0.19 0.20
2 926 733 323 631 626 309 703 843 766 508 584 278
1. 0.03 0.05 0.08 0.10 0.13 0.14 0.16 0.17 0.18 0.19 0.20 0.21
4 007 894 561 941 003 749 199 389 357 139 278 020
1. 0.03 0.05 0.08 0.11 0.13 0.15 0.16 0.17 0.18 0.19 0.20 0.21
6 058 994 709 135 241 028 515 739 737 546 731 510
1. 0.03 0.06 0.08 0.11 0.13 0.15 0.16 0.17 0.18 0.19 0.21 0.21
8 090 058 804 260 395 207 720 967 986 814 032 836
2. 0.03 0.06 0.08 0.11 0.13 0.15 0.16 0.18 0.19 0.19 0.21 0.22
0 111 100 867 342 496 326 856 119 152 994 235 058
2. 0.03 0.06 0.08 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
5 138 155 948 450 628 483 036 321 375 236 512 364
3. 0.03 0.06 0.08 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
0 150 178 982 495 684 550 113 407 470 341 633 499
4. 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
0 158 194 007 527 724 598 168 469 540 417 722 600
5. 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
0 160 199 014 537 737 612 185 488 561 440 749 632
6. 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
0 161 201 017 541 741 617 191 496 569 449 760 644
8. 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
0 162 202 018 543 744 621 195 500 574 455 767 652
10 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
.0 612 202 019 544 745 622 196 502 576 457 769 654
∞ 0.03 0.06 0.09 0.11 0.13 0.15 0.17 0.18 0.19 0.20 0.21 0.22
162 202 019 544 745 623 197 502 577 458 770 656
a
After Newmark (1935)
The stress increase at any point below a rectangular loaded area can also be found by
using equation (5) in conjunction with figure 4.5. To determine the stress at depth z
below point O, divide the loaded area into four rectangles. Point O is the corner common
to each rectangle. Then use equation (5) to calculate the increase of stress at depth z
below point O caused by each rectangular area. The total stress increase caused by the
entire loaded area may now be expressed as
Figure 4.5 Stress below any point of a loaded flexible rectangular area
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 (𝐼𝐼1 + 𝐼𝐼2 + 𝐼𝐼3 + 𝐼𝐼4 ) [4.9]

Where
𝐼𝐼1 , 𝐼𝐼2 , 𝐼𝐼3 , and 𝐼𝐼4 = the influence values of rectangles 1, 2, 3, and 4, respectively
In most cases, the vertical stress below the center of a rectangular area is of importance.
This can be given by the following relationship:
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 𝐼𝐼𝑐𝑐 [4.10]
Table 2 continued
𝑚𝑚 1.6 1.8 2.0 2.5 3.0 4.0 5.0 6.0 8.0 10.0 ∞
0. 0.030 0.030 0.031 0.031 0.031 0.031 0.031 0.031 0.031 0.031 0.031
1 58 90 11 38 50 58 60 61 62 62 62
0. 0.059 0.060 0.061 0.061 0.061 0.061 0.061 0.062 0.062 0.062 0.062
2 94 58 00 55 78 94 99 01 02 02 02
0. 0.087 0.088 0.088 0.089 0.089 0.090 0.090 0.090 0.090 0.090 0.090
3 09 04 67 48 82 07 14 17 18 19 19
0. 0.111 0.112 0.113 0.114 0.114 0.115 0.115 0.115 0.115 0.115 0.115
4 35 60 42 50 95 27 37 41 43 44 44
0. 0.132 0.133 0.134 0.136 0.136 0.137 0.137 0.137 0.137 0.137 0.137
5 41 95 96 28 84 24 37 41 44 45 45
0. 0.150 0.152 0.152 0.154 0.155 0.155 0.156 0.156 0.156 0.156 0.156
6 28 07 36 83 50 98 12 17 21 22 23
0. 0.165 0.167 0.168 0.170 0.171 0.171 0.171 0.171 0.171 0.171 0.171
7 15 20 56 36 13 68 85 91 95 96 97
0. 0.177 0.179 0.181 0.183 0.184 0.184 0.184 0.184 0.185 0.185 0.185
8 39 67 19 21 07 69 88 96 00 02 02
0. 0.187 0.189 0.191 0.193 0.194 0.195 0.195 0.195 0.195 0.195 0.195
9 37 86 52 75 70 40 61 69 74 76 77
1. 0.195 0.198 0.199 0.202 0.203 0.204 0.204 0.204 0.204 0.204 0.204
0 46 14 94 36 41 17 40 49 55 57 58
1. 0.207 0.210 0.212 0.215 0.216 0.217 0.217 0.217 0.217 0.217 0.217
2 31 32 35 12 33 22 49 60 67 69 70
1. 0.215 0.218 0.220 0.223 0.249 0.226 0.226 0.226 0.226 0.226 0.226
4 10 36 58 64 9 00 32 44 52 54 56
1. 0.220 0.223 0.226 0.229 0.230 0.232 0.232 0.232 0.232 0.232 0.232
6 25 72 10 40 88 00 36 49 58 61 63
1. 0.223 0.227 0.229 0.233 0.234 0.236 0.236 0.236 0.236 0.268 0.236
8 72 36 86 34 95 17 56 71 81 4 86
2. 0.226 0.229 0.232 0.236 0.237 0.239 0.239 0.239 0.239 0.239 0.239
0 10 86 47 14 82 12 54 70 81 85 87
2. 0.229 0.233 0.236 0.240 0.241 0.243 0.243 0.244 0.244 0.244 0.244
5 40 34 14 10 96 44 92 12 25 29 32
3. 0.230 0.234 0.237 0.241 0.243 0.245 0.246 0.246 0.246 0.246 0.246
0 88 95 82 96 94 54 08 30 46 50 54
4. 0.232 0.236 0.239 0.233 0.245 0.247 0.247 0.248 0.248 0.248 0.248
0 00 17 12 44 54 29 91 17 36 42 46
5. 0.232 0.236 0.239 0.243 0.246 0.247 0.248 0.248 0.249 0.249 0.249
0 36 56 54 92 08 91 57 85 07 14 19
6. 0.232 0.236 0.239 0.244 0.246 0.248 0.248 0.249 0.249 0.249 0.249
0 49 71 70 12 30 17 85 16 39 46 52
8. 0.232 0.236 0.239 0.244 0.246 0.248 0.249 0.249 0.249 0.249 0.249
0 58 81 81 25 46 36 07 39 64 73 80
10 0.232 0.236 0.239 0.244 0.246 0.248 0.249 0.249 0.249 0.249 0.249
.0 61 84 85 29 50 42 14 46 73 81 89
∞ 0.232 0.236 0.239 0.244 0.246 0.248 0.249 0.249 0.249 0.249 0.250
63 86 87 32 54 46 19 52 80 89 00
Where
2 𝑚𝑚 1 𝑛𝑛 1 1+𝑚𝑚 12 +2𝑛𝑛 12 𝑚𝑚 1
𝐼𝐼𝑐𝑐 = 𝜋𝜋 � � + 𝑠𝑠𝑠𝑠𝑠𝑠−1
�1+𝑛𝑛 12 �(𝑚𝑚 12 +𝑛𝑛 12 )
[4.11]
�1+𝑚𝑚 12 +𝑛𝑛 12 � 𝑚𝑚 12 +𝑛𝑛 12 �1+𝑛𝑛 12
𝐿𝐿
𝑚𝑚1 = 𝐵𝐵 [4.12]
𝑧𝑧
𝑛𝑛1 = 𝐵𝐵 [4.13]
� �
2
The variation of 𝐼𝐼𝑐𝑐 with 𝑚𝑚1 and 𝑛𝑛1
Table variation of 𝑰𝑰𝒄𝒄 𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝒎𝒎𝟏𝟏 𝐚𝐚𝐚𝐚𝐚𝐚 𝒏𝒏𝟏𝟏

𝑚𝑚1
𝑛𝑛1 1 2 3 4 5 6 7 8 9 10
0.20 0.994 0.997 0.977 0.997 0.997 0.997 0.997 0.997 0.997 0.997
0.40 0.960 0.976 0.977 0.977 0.977 0.977 0.977 0.977 0.977 0.977
0.60 0.892 0.932 0.936 0.936 0.937 0.937 0.937 0.937 0.937 0.937
0.80 0.800 0.870 0.878 0.880 0.881 0.881 0.881 0.881 0.881 0.881
1.00 0.701 0.800 0.814 0.817 0.818 0.818 0.818 0.818 0.818 0.818
1.20 0.606 0.727 0.748 0.753 0.754 0.755 0.755 0.755 0.755 0.755
1.40 0.522 0.658 0.685 0.692 0.694 0.695 0.695 0.696 0.696 0.696
1.60 0.449 0.593 0.627 0.636 0.639 0.640 0.641 0.641 0.641 0.642
1.80 0.388 0.534 0.573 0.585 0.590 0.591 0.592 0.592 0.593 0.593
2.00 0.336 0.481 0.525 0.540 0.545 0.547 0.548 0.549 0.549 0.549
3.00 0.179 0.293 0.348 0.373 0.384 0.389 0.392 0.393 0.394 0.395
4.00 0.108 0.190 0.241 0.269 0.285 0.293 0.298 0.310 0.302 0.303
5.00 0.072 0.131 0.174 0.202 0.219 0.229 0.236 0.240 0.242 0.244
6.00 0.051 0.095 0.130 0.155 0.172 0.184 0.192 0.197 0.200 0.202
7.00 0.038 0.072 0.100 0.122 0.139 0.150 0.158 0.164 0.168 0.171
8.00 0.029 0.056 0.079 0.098 0.113 0.125 0.133 0.139 0.144 0.147
9.00 0.023 0.045 0.064 0.081 0.094 0.105 0.113 0.119 0.124 0.128
10.00 0.019 0.037 0.053 0.067 0.079 0.089 0.097 0.103 0.108 0.112
Foundation engineers often use an approximate method to determine the increase of

stress with depth caused by the construction of a foundation. It is referred to as the 2:1
method (figure 4.6). According to this method, the increase of stress at depth z is
Figure 4.6 2:1 method of finding stress increase under a foundation

𝑜𝑜 𝑞𝑞 ×𝐵𝐵×𝐿𝐿
∆𝑝𝑝 = (𝐵𝐵+𝑧𝑧)(𝐿𝐿+𝑧𝑧) [4.14]
Note that equation (14) is based on the assumption that the stress from the foundation
spreads out along lines with a 2 vertical to 1 horizontal slope.
Example 1
A flexible rectangular area measures 5 ft × 10ft in plan. It supports a load of 2000 lb/
ft 2 . Determine the vertical stress increase due to the load at a depth of 12.5 ft below the
center of the rectangular area.
Solution
Refer to figure 4.5. For this case

5
𝐵𝐵1 = 𝐵𝐵2 = 2 = 2.5 ft
10
𝐿𝐿1 = 𝐿𝐿2 = = 5 ft
2
From equation (7 and 8)

𝐵𝐵1 𝐵𝐵2 2.5
𝑚𝑚 = = = 12.5 = 0.2
𝑧𝑧 𝑧𝑧
𝐿𝐿1 𝐿𝐿2 5
𝑛𝑛 = = = 12.5 = 0.4
𝑧𝑧 𝑧𝑧
From table 2, for 𝑚𝑚 = 0.2, and 𝑛𝑛 = 0.4, the value of 𝐼𝐼 = 0.0328. Thus
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 (4𝐼𝐼) = (2000)(4)(0.0328) = 262 lb/ft 2
Alternate solution from equation (10)
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 𝐼𝐼𝑐𝑐

𝐿𝐿 10
𝑚𝑚1 = 𝐵𝐵 = =2
5
𝑧𝑧 12.5
𝑛𝑛1 = 𝐵𝐵 = 5 =5
� � � �
2 2
From table 3, for 𝑚𝑚1 = 2 and 𝑛𝑛1 = 5, the value of 𝐼𝐼𝑐𝑐 = 0.131. Thus
∆𝑝𝑝 = (2000)(0.131) = 262 lb/ft 2
AVERAGE VERTICAL STRESS INCREASE DUE TO A RECTANGULAR

LOADED AREA
In section 4, the vertical stress increase below the corner of a uniformly loaded
rectangular area was given as (figure 4.7)
Figure 4.7 Average vertical stress increase due to a rectangular loaded flexible area
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 𝐼𝐼
In many cases it is required to determine the average stress increase, ∆𝑝𝑝𝑎𝑎𝑎𝑎 , below the
corner of a uniformly loaded rectangular area with limits of 𝑧𝑧 = 0 to 𝑧𝑧 = 𝐻𝐻, as shown in
figure 4.7. This can be evaluated as
1 𝐻𝐻
∆𝑝𝑝𝑎𝑎𝑎𝑎 = 𝐻𝐻 ∫0 (𝑞𝑞𝑜𝑜 𝐼𝐼 )𝑑𝑑𝑑𝑑 = 𝑞𝑞𝑜𝑜 𝐼𝐼𝑎𝑎 [4.15]
Where
𝐼𝐼𝑎𝑎 = 𝑓𝑓(𝑚𝑚, 𝑛𝑛) [4.16]

𝐵𝐵
𝑚𝑚 = 𝐻𝐻 [4.17]
𝐿𝐿
𝑛𝑛 = 𝐻𝐻 [4.18]
The variation of 𝐼𝐼𝑎𝑎 is shown in figure 4.8 as proposed by Griffiths (1984).
Figure 4.8 Griffiths’ influence factor 𝐼𝐼𝑎𝑎
In the estimation of the consolidation settlement under a foundation, it may be required to

determine the average vertical stress increase in only a given layer; that is, between
𝑧𝑧 = 𝐻𝐻1 to 𝑧𝑧 = 𝐻𝐻2 as shown in figure 4.9. This can be done as (Griffiths, 1984)
Figure 4.9 Average pressure increase between 𝑧𝑧 = 𝐻𝐻1 to 𝑧𝑧 = 𝐻𝐻2 below the corner of a
uniformly loaded rectangular area
𝐻𝐻2 𝐼𝐼𝑎𝑎 (𝐻𝐻 2 ) 𝐻𝐻1 𝐼𝐼𝑎𝑎 (𝐻𝐻 1 )
∆𝑝𝑝𝐴𝐴𝐴𝐴(𝐻𝐻2 /𝐻𝐻1 ) = 𝑞𝑞𝑂𝑂 � � [4.19]
𝐻𝐻2 −𝐻𝐻1
Where
∆𝑝𝑝𝐴𝐴𝐴𝐴(𝐻𝐻2 /𝐻𝐻1 ) = Average stress increase immediately below corner of a uniformly loaded
rectangular area between depths 𝑧𝑧 = 𝐻𝐻1 to 𝑧𝑧 = 𝐻𝐻2
𝐵𝐵 𝐿𝐿
𝐼𝐼𝑎𝑎(𝐻𝐻2 ) = 𝐼𝐼𝑎𝑎 for 𝑧𝑧 = 0 to 𝑧𝑧 = 𝐻𝐻2 = 𝑓𝑓 �𝑚𝑚 = 𝐻𝐻 , 𝑛𝑛 = 𝐻𝐻 �
2 2
𝐵𝐵 𝐿𝐿
𝐼𝐼𝑎𝑎(𝐻𝐻1 ) = 𝐼𝐼𝑎𝑎 for 𝑧𝑧 = 0 to 𝑧𝑧 = 𝐻𝐻1 = 𝑓𝑓 �𝑚𝑚 = 𝐻𝐻 , 𝑛𝑛 = 𝐻𝐻 �
1 1
Example 2
Refer to figure 4.10. Determine the average stress increase below the center of the
loaded area between 𝑧𝑧 = 3 m to 𝑧𝑧 = 5 m (that is, between points A and A’).
Figure 4.10
Solution
𝐻𝐻2 𝐼𝐼𝑎𝑎 (𝐻𝐻 2 ) 𝐻𝐻1 𝐼𝐼𝑎𝑎 (𝐻𝐻 1 ) (5)𝐼𝐼𝑎𝑎 (𝐻𝐻 2 ) −(3)𝐼𝐼𝑎𝑎 (𝐻𝐻 1 )
∆𝑝𝑝𝐴𝐴𝐴𝐴(𝐻𝐻2 /𝐻𝐻1 ) = 𝑞𝑞𝑂𝑂 � � = 100 � �
𝐻𝐻2 −𝐻𝐻1 5−3
For 𝐼𝐼𝑎𝑎(𝐻𝐻2 ) :
𝐵𝐵 1.5
𝑚𝑚 = 𝐻𝐻 = = 0.3
2 5
𝐿𝐿 1.5
𝑛𝑛 = 𝐻𝐻 = = 0.3
2 5
Referring to figure 4.8, for 𝑚𝑚 = 0.3 and 𝑛𝑛 = 0.3, 𝐼𝐼𝑎𝑎(𝐻𝐻2 ) = 0.136. For 𝐼𝐼𝑎𝑎(𝐻𝐻1 ) :
𝐵𝐵 1.5
𝑚𝑚 = 𝐻𝐻 = = 0.5
1 3
𝐿𝐿 1.5
𝑛𝑛 = 𝐻𝐻 = = 0.5
1 3
Referring to figure 4.8, 𝐼𝐼𝑎𝑎(𝐻𝐻1 ) = 0.175, so

(5)(0.136)−(3)(0.175)
∆𝑝𝑝𝐴𝐴𝐴𝐴(𝐻𝐻2 /𝐻𝐻1 ) = 100 � � = 7.75 kN/m2
5−3
The stress increase between 𝑧𝑧 = 3 m to 𝑧𝑧 = 5 m below the center of the loaded area is
equal to
4∆𝑝𝑝𝐴𝐴𝐴𝐴(𝐻𝐻2 /𝐻𝐻1 ) = (4)(7.75) = 31 kN/m2
STRESS INCREASE UNDER AN EMBANKMENT
Figure 4.11 shows the cross section of an embankment of height H. for this two-
dimensional loading condition the vertical stress increase may be expressed as
𝑞𝑞 𝑜𝑜 𝐵𝐵1 +𝐵𝐵2 𝐵𝐵
∆𝑝𝑝 = �� (𝛼𝛼1 + 𝛼𝛼2 ) − 𝐵𝐵1 (𝛼𝛼2 )� [4.20]
𝜋𝜋 𝐵𝐵2 2
Where
𝑞𝑞𝑜𝑜 = 𝛾𝛾𝛾𝛾
𝛾𝛾 = unit weight of the embankment soil
𝐻𝐻 = height of the embankment

𝐵𝐵1 +𝐵𝐵2 𝐵𝐵
𝛼𝛼1 (radians) = tan−1 � � − 𝑡𝑡𝑡𝑡𝑡𝑡−1 � 𝑧𝑧1 � [4.21]
𝑧𝑧
𝐵𝐵
𝛼𝛼2 = 𝑡𝑡𝑡𝑡𝑡𝑡−1 � 𝑧𝑧1 � [4.22]
For a detailed derivation of the equation, see Das (1997). A simplified form of equation
(20) is
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 𝐼𝐼′ [4.23]
Where
𝐼𝐼 ′ = a fundation of 𝐵𝐵1 /𝑧𝑧 and 𝐵𝐵2 /𝑧𝑧

Figure 4.11 Embankment loading
The variation of 𝐼𝐼′ with 𝐵𝐵1 /𝑧𝑧 and 𝐵𝐵2 /𝑧𝑧 is shown in figure 4.12. Application of this
diagram is shown in example 3.
Figure 4.12 Influence value of I’ for embankment loading (after Osterberg, 1957)
Example 3
An embankment is shown in figure 4.13a. Determine the stress increase under the
embankment at points 𝐴𝐴1 and 𝐴𝐴2 .
Figure 4.13
Solution
𝛾𝛾𝛾𝛾 = (17.5)(7) = 122.5 kN/m2
The left side of figure 4.13b indicates that 𝐵𝐵1 = 2.5 m and 𝐵𝐵2 = 14 𝑚𝑚, so
𝐵𝐵1 2.5
= = 0.5
𝑧𝑧 5
𝐵𝐵2 14
= = 2.8
𝑧𝑧 5
According to figure 4.12, in this case, 𝐼𝐼 ′ = 0.445. Because the two sides in figure 4.13b
are symmetrical the value of 𝐼𝐼′ for the right side will also be 0.445, so
∆𝑝𝑝 = ∆𝑝𝑝1 + ∆𝑝𝑝2 = 𝑞𝑞𝑜𝑜 [𝐼𝐼 ′ (left side ) + 𝐼𝐼 ′ (right side ) ]
= 122.5[0.445 + 0.445] = 109.03 kN/m2
Stress Increase at 𝐴𝐴2
Refer to figure 4.13c. For the left side, 𝐵𝐵2 = 5 m and 𝐵𝐵1 = 0, so
𝐵𝐵2 5
=5=1
𝑧𝑧
𝐵𝐵1 0
= =0
𝑧𝑧 5
According to figure 4.12, for these values of 𝐵𝐵2 /𝑧𝑧 and 𝐵𝐵1 /𝑧𝑧, 𝐼𝐼 ′ = 0.25, so
∆𝑝𝑝1 = 43.75(0.25) = 10.94 kN/m2
For the middle section,

𝐵𝐵2 14
= = 2.8
𝑧𝑧 5
𝐵𝐵1 14
= = 2.8
𝑧𝑧 5
Thus, 𝐼𝐼 ′ = 0.495, so
∆𝑝𝑝2 = 0.495(122.5) = 60.64 kN/m2
For the right side,

𝐵𝐵2 9
= 5 = 1.8
𝑧𝑧
𝐵𝐵1 0
= =0
𝑧𝑧 5
Thus, 𝐼𝐼 ′ = 0.335, so
∆𝑝𝑝3 = (78.75090.335) = 26.38 kN/m2
Total increase at point 𝐴𝐴2 is
∆𝑝𝑝 = ∆𝑝𝑝1 + ∆𝑝𝑝2 − ∆𝑝𝑝3 = 10.94 + 60.64 − 26.38 = 45.2 kN/m2
STRESS INCREASE DUE TO ANY TYPE OF LOADING
The increase of vertical stress under any type of flexible loaded area can be easily
determined by the use of Newmark’s (1942) influence chart. The chart, in principle, is
based on equation (3) for the estimation of vertical stress increase under the center of a
circularly loaded area. According to equation (3),
1
∆𝑝𝑝 = 𝑞𝑞𝑜𝑜 �1 − 3/2 �
𝐵𝐵 2
�1+� � �
2𝑧𝑧
Where
𝐵𝐵/2 = Radius of the loaded area = R
The preceding equation can be rewritten as

1/2
𝑅𝑅 ∆𝑝𝑝 −2/3
= ��1 − 𝑞𝑞 � − 1� [4.24]
𝑧𝑧 𝑜𝑜
We now substitute various values of ∆𝑝𝑝/𝑞𝑞𝑜𝑜 into equation (24) to obtain corresponding
values of 𝑅𝑅/𝑧𝑧. Table 4 shows the calculated values of 𝑅𝑅/𝑧𝑧 for ∆𝑝𝑝/𝑞𝑞𝑜𝑜 = 0, 0.1, 0.2, … . , 1.
Using the nondimensional values of R/z shown in table 4, we can draw the concentric
circles having radii equal to 𝑅𝑅/𝑧𝑧, as shown in figure 4.14. Note that the distance AB in
figure 4.14 is unity. The first circle is a point having a radius of zero. Similarly, the
��). The last circle has a radius of infinity. These
second circle has a radius of 0.2698 (𝐴𝐴𝐴𝐴
circles have been divided by equally spaced radial lines, producing what is referred to as
Newmark’s chart. The influence, value, IV, of this chart is
1
𝐼𝐼𝐼𝐼 = number [4.25]
of elements on the chart
For the chart shown in figure 4.14, 𝐼𝐼𝐼𝐼 = 1/200 = 0.005.

Figure 4.14 Influence chart for vertical pressure calculation (after Newmark, 1942)
Following is a step-by-step procedure for using Newmrk’s chart to determine vertical

stress under a loaded area of any shape:
1. Identify the depth z below the loaded area at which the stress is to be determined.
2. �� (that is, unit length according to Newmark;s chart).
Adopt a scale 𝑧𝑧 = 𝐴𝐴𝐴𝐴
3. Draw the plan of the loaded area based on the scale adopted in step 2.
4. Place the plan drawn in Step 3 on the Newmark’s chart so that the point under
which the stress is to be determined is directly above the center of the chart.
5. Count the number of elements of the chart that fall inside the plan. Let it equal N.
6. Calculate the stress increase as
∆𝑝𝑝 = (𝐼𝐼𝐼𝐼)(𝑁𝑁)(𝑞𝑞𝑜𝑜 )
Where
𝑞𝑞𝑜𝑜 = load per unit area on the loaded area

Example 4
A flexible rectangular area, 2.5 m × 5 m, is located on the ground surface and loaded
with 𝑞𝑞𝑜𝑜 = 145 kN/m2 . Determine the stress increase caused by this loading at a depth of
6.25 m below the center of the rectangular area. Use Newmark’s chart.
Solution
�� in figure 4.14 is 6.25 m. with this scale, the plan of the
Here, 𝑧𝑧 = 6.25 m, so length 𝐴𝐴𝐴𝐴
loaded rectangular area can be drawn. Figure 4.15 shows this plan placed over the
Newmark’s chart with the center of the loaded area above the center of the chart. The
reason for this placement is that the stress increase is required at a point immediately
below the center of the rectangular area. The number of elements from the influence chart
that are inside the plan is about 26, so
∆𝑝𝑝 = (𝐼𝐼𝐼𝐼)(𝑁𝑁)(𝑞𝑞𝑜𝑜 ) = (0.005)(26)(145) = 18.85 kN/m2 [4.26]
Figure 4.15
Module 5
(Lectures 17 to 19)
MAT FOUNDATIONS
Topics
17.1 INTRODUCTION
 Rectangular Combined Footing:
 Trapezoidal Combined Footings:
 Cantilever Footing:
 Mat foundation:
17.2 COMMON TYPES OF MAT FOUNDATIONS

17.3 BEARING CAPACITY OF MAT FOUNDATIONS
17.4 Example
17.5 DIFFERENTIAL SETTLEMENT OF MATS
18.1 FIELD SETTLEMENT OBSERVATIONS FOR MAT

FOUNDATIONS
18.2 COMPENSATED FOUNDATIONS
18.3 Example
19.1 STRUCTURAL DESIGN OF MAT FOUNDATIONS

 Conventional Rigid Method
 Approximate Flexible Method
 Foundations on Sandy Soils
 Foundations on Clays
PROBLEMS
REFERENCE
Module 5
(Lectures 17)
MAT FOUNDATIONS
Topics
1.1 INTRODUCTION
 Rectangular Combined Footing:

 Trapezoidal Combined Footings:
 Cantilever Footing:
 Mat foundation:
1.2 COMMON TYPES OF MAT FOUNDATIONS
1.3 BEARING CAPACITY OF MAT FOUNDATIONS
1.4 Example
1.5 DIFFERENTIAL SETTLEMENT OF MATS
INTRODUCTION
Mat foundations are primarily shallow foundations. They are one of four major types of
combined footing (see figure 5.1a). A brief overview of combined footings and the
methods used to calculate their dimensions follows:
Figure 5.1 (a) Combined footing; (b) rectangular combined footing

Figure 5.1 (Continued) (c) Trapezoidal combined footing; (d) cantilever footing
1. Rectangular Combined Footing: In several instances, the load to be carried by a

column and the soil bearing capacity are such that the standard spread footing
design will require extension of the column foundation beyond the property line.
In such a case, two or more columns can be supported on a single rectangular
foundation, as shown in figure 5.1b. If the net allowable soil pressure is known,
the size of the foundation (𝐵𝐵 × 𝐿𝐿) can be determined in the following manner.
a. Determine the area of the foundation, 𝐴𝐴:
𝑄𝑄1 +𝑄𝑄2
𝐴𝐴 = 𝑞𝑞 [5.1]
all (net )
Where
𝑄𝑄1 + 𝑄𝑄2 = column loads

𝑞𝑞all (net ) = net allowable soil bearing capacity
b. Determine the location of the resultant of the column loads. From figure 5.1b.
𝑄𝑄 𝐿𝐿
𝑋𝑋 = 𝑄𝑄 2+𝑄𝑄3 [5.2]
1 2
c. For uniform distribution of soil pressure under the foundation, the resultant of
the column load should pass through the centroid of the foundation. Thus
𝐿𝐿 = 2(𝐿𝐿2 + 𝑋𝑋) [5.3]
Where
𝐿𝐿 = length of the foundation
d. Once the length L is determined, the value of 𝐿𝐿1 can be obtained:
𝐿𝐿1 = 𝐿𝐿 − 𝐿𝐿2 − 𝐿𝐿3 [5.4]
Note that the magnitude of 𝐿𝐿2 will be known and depends on the location of
the property line.
e. The width of the foundation then is

𝐴𝐴
𝐵𝐵 = 𝐿𝐿 [5.5]
2. Trapezoidal Combined Footings: This type of combined footing (figure 5.1c) is
sometimes used as an isolated spread foundation of a column carrying a large load
where space is tight. The size of the foundation that will uniformly distribute
pressure on the soil can be obtained in the following manner.
a. If the net allowable soil pressure is known, determine the area of the
foundation:
𝑄𝑄1 +𝑄𝑄2
𝐴𝐴 = 𝑞𝑞
all (net )
From figure 5.1c,

𝐵𝐵1 +𝐵𝐵2
𝐴𝐴 = 𝐿𝐿 [5.6]
2
b. Determine the location of the resultant for the column loads:

𝑄𝑄 𝐿𝐿
𝑋𝑋 = 𝑄𝑄 2+𝑄𝑄3
1 2
c. From the property of Trapezoid,

𝐵𝐵 +2𝐵𝐵 𝐿𝐿
𝑋𝑋 + 𝐿𝐿2 = � 𝐵𝐵1 +𝐵𝐵 2 � 3 [5.7]
1 2
With known values of 𝐴𝐴, 𝐿𝐿, 𝑋𝑋, and 𝐿𝐿2 , solve equations (6 and 7) to obtain
𝐵𝐵1 and 𝐵𝐵2 . Note that for a trapezoid
𝐿𝐿 𝐿𝐿
< 𝑋𝑋 + 𝐿𝐿2 < 2
3
3. Cantilever Footing: This type of combined footing construction uses a strap

beam to connect an eccentrically loaded column foundation to the foundation of
an interior column (figure 5.1d). Cantilever footings may be used in place of
trapezoidal or rectangular combined footings when the allowable soil bearing
capacity is high and the distances between the columns are large.
4. Mat foundation: This type of foundation, which is sometimes referred to as a raft
foundation, is a combined footing that may cover the entire area under a structure
supporting several columns and walls (figure 5.1a). Mat foundations are
sometimes preferred for soils that have low load-bearing capacities but that will
have to support high column and/or wall loads. Under some conditions, spread
footings would have to cover more than half the building area, and mat
foundations might be more economical.
COMMON TYPES OF MAT FOUNDATIONS
Several types of mat foundations are used currently. Some of the common types are
shown schematically in figure 5.2 and include:
Figure 5.2 Types of mat foundation: (a) flat plate
Figure 5.2 (Continued) (b) Flat plate thickened under column

Figure 5.2 (Continued) (c) Beams and slab
Figure 5.2 (Continued) (d) Slab with basement wall

1. Flat plate (figure 5.2a). The mat is of uniform thickness.

2. Flat plate thickened under columns (figure 5.2b)
3. Beams and slap (figure 5.2c). The beams run both ways and the columns and,
located at the intersection of the beams.
4. Slab with basement walls as a part of the mat (figure 5.2d). The walls act as
stiffeners for the mat.
Mats may be supported by piles. The piles help in reducing the settlement of a structure
built over highly compressible soil. Where the water table is high, mats are often placed
over piles to control buoyancy.
BEARING CAPACITY OF MAT FOUNDATIONS
The gross ultimate bearing capacity of a mat foundation can be determined by the same
equation used for shallow foundations, or
𝑞𝑞𝑢𝑢 = 𝑐𝑐𝑐𝑐𝑐𝑐 𝐹𝐹𝑐𝑐𝑐𝑐 𝐹𝐹𝑐𝑐𝑐𝑐 𝐹𝐹𝑐𝑐𝑐𝑐 + 𝑞𝑞𝑞𝑞𝑞𝑞 𝐹𝐹𝑞𝑞𝑞𝑞 𝐹𝐹𝑞𝑞𝑞𝑞 𝐹𝐹𝑞𝑞𝑞𝑞 + 12𝛾𝛾𝐵𝐵𝐵𝐵𝛾𝛾 𝐹𝐹𝛾𝛾𝛾𝛾 𝐹𝐹𝛾𝛾𝛾𝛾 𝐹𝐹𝛾𝛾𝛾𝛾
(Chapter 3 gives the proper values of the bearing capacity factors, and shape, depth, and
load inclination factors). The term B in equation (25 from chapter 3) is the smallest
dimension of the mat. The net ultimate capacity is
𝑞𝑞net (u) = 𝑞𝑞𝑢𝑢 − 𝑞𝑞
A suitable factor of safety should be used to calculate the net allowable bearing capacity.
For rafts on clay, the factor of safety should not be less that 3 under dead load and
maximum live load. However, under the most extreme conditions, the factor of safety
should be at least 1.75 to 2. For rafts constructed over sand, a factor of safety of 3 should
normally be used. Under most working conditions, the factor of safety against bearing
capacity failure of rafts on sand is very large.
For saturated clays with 𝜙𝜙 = 0 and vertical loading condition, equation (25 chapters 3)
gives
𝑞𝑞𝑢𝑢 = 𝑐𝑐𝑢𝑢 𝑁𝑁𝑐𝑐 𝐹𝐹𝑐𝑐𝑐𝑐 𝐹𝐹𝑐𝑐𝑐𝑐 + 𝑞𝑞 [5.8]
Where
𝑐𝑐𝑢𝑢 = undrained cohesion
(Note: 𝑁𝑁𝑐𝑐 = 5.14, 𝑁𝑁𝑞𝑞 = 1, and 𝑁𝑁𝛾𝛾 = 0)
From table 5 (chapter 3) for𝜙𝜙 = 0,

𝐵𝐵 𝑁𝑁𝑞𝑞 𝐵𝐵 1 0.195𝐵𝐵
𝐹𝐹𝑐𝑐𝑐𝑐 = 1 + 𝐿𝐿 � 𝑁𝑁 � = 1 + � 𝐿𝐿 � �5.14 � = 1 +
𝑐𝑐 𝐿𝐿
And
𝐷𝐷
𝐹𝐹𝑐𝑐𝑐𝑐 = 1 + 0.4 � 𝐵𝐵𝑓𝑓 �
Substitution of the preceding shape and depth factors into equation (8) yields
0.195𝐵𝐵 𝐷𝐷𝑓𝑓
𝑞𝑞𝑢𝑢 = 5.14𝑐𝑐𝑢𝑢 �1 + � �1 + 0.4 � + 𝑞𝑞 [5.9]
𝐿𝐿 𝐵𝐵
Hence the net ultimate bearing capacity is

𝑞𝑞net (𝑢𝑢) = 𝑞𝑞𝑢𝑢 − 𝑢𝑢 = 5.14𝑐𝑐𝑢𝑢 �1 + � �1 + 0.4 � [5.10]
𝐿𝐿 𝐵𝐵
For 𝐹𝐹𝐹𝐹 = 3, the net allowable soil bearing capacity becomes

𝑞𝑞 𝑢𝑢 (net ) 0.195𝐵𝐵 𝐷𝐷𝑓𝑓
𝑞𝑞all (net ) = = 1.713𝑐𝑐𝑢𝑢 �1 + � �1 + 0.4 � [5.11]
𝐹𝐹𝐹𝐹 𝐿𝐿 𝐵𝐵
Figure 5.3 shows a plot of 𝑞𝑞all (net ) /𝑐𝑐𝑢𝑢 for various values of 𝐿𝐿/𝐵𝐵 and 𝐷𝐷𝑓𝑓 /𝐵𝐵, based on
equation (11).
The net allowable bearing capacity for mats constructed over granular soil deposits can
be adequately determined from the standard penetration resistance numbers. From
equation (53 chapter 4), for shallow foundations,
3.28𝐵𝐵+1 2 𝑆𝑆
𝑞𝑞all (net ) (kN/m2 ) = 11.98𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 � 𝑒𝑒
� 𝐹𝐹𝑑𝑑 �25.4 �
3.28𝐵𝐵
Figure 5.3 Plot of 𝑞𝑞all (net ) /𝑐𝑐𝑢𝑢 against 𝐷𝐷𝑓𝑓 /𝐵𝐵
Where
𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 = corrected standard penetration resistance
𝐵𝐵 = width (m)
𝐹𝐹𝑑𝑑 = 1 + 0.33(𝐷𝐷𝑓𝑓 /𝐵𝐵) ≤ 1.33
𝑆𝑆𝑒𝑒 = settlement, in mm
When the width, B is large, the preceding equation can be approximated (assuming
3.28𝐵𝐵 + 1 ≈ 3.28𝐵𝐵) as
𝑆𝑆
𝑞𝑞all (net ) (kN/m2 ) ≈ 11.98𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 Fd �25.4
𝑒𝑒
�
𝐷𝐷 𝑆𝑆𝑒𝑒 (mm )
= 11.98𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 �1 + 0.33 � 𝐵𝐵𝑓𝑓 �� [5.12]
25.4
𝑆𝑆𝑒𝑒 (mm )
≤ 15.93𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 � �
25.4
In English units, equation (12) may be expressed as

𝐷𝐷
𝑞𝑞all (net ) (kip/ft 2 ) = 0.25𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 �1 + 0.33 � 𝐵𝐵𝑓𝑓 �� [Se (in. )] [5.13]
≤ 0.33𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 [Se (in. )]
Note that equation (13) could have been derived from equations (54 and 56 from chapter
4)
Note that the original equations (53 and 56 from chapter 4) were for a settlement of I in.
(25.4 mm) with a differential settlement of about 0.75 in. (19mm). However, the widths
of the raft foundations are larger than the isolated spread footings. As table 3 chapter 4
shows, the depth of significant stress increase in the soil below a foundation depends on
the foundation width. Hence, for a raft foundation, the depth of the zone of influence is
likely to be much larger than that of a spread footing. Thus the loose sol pockets under a
raft may be more evenly distributed, resulting in a smaller differential settlement. Hence
the customary assumption is that, for a maximum raft settlement of 2 in. (50.8 mm), the
differential settlement would be 0.75 in. (19 mm). Using this logic and conservatively
assuming that 𝐹𝐹𝑑𝑑 equals 1, we can approximate equations (12 and 13) as
𝑞𝑞all (net ) (kN/m2 ) ≈ 23.96𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 [5.14]
And
𝑞𝑞all (net ) (kip/ft 2 ) = 0. 5𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 [5.15]
The net pressure applied on a foundation (figure 5.4) may be expressed as
Figure 5.4 Definition of net pressure on soil caused by a mat foundation

𝑄𝑄
𝑞𝑞 = 𝐴𝐴 − 𝛾𝛾𝐷𝐷𝑓𝑓 [5.16]
Where
𝑄𝑄 = dead weight of the structure and the live load
𝐴𝐴 = area of the raft
In all cases, q should be less than or equal to 𝑞𝑞all (net ).
Example 1
Determine the net ultimate bearing capacity of a mat foundation measuring 45 ft × 30 ft

on saturated clay with 𝑐𝑐𝑢𝑢 = 1950 lb/ft 2 , 𝜙𝜙 = 0, and 𝐷𝐷𝑓𝑓 = 6.5 ft.
Solution
From equation (10)

𝑞𝑞net (u) = 5.14𝑐𝑐𝑢𝑢 �1 + � �� 1 + 0.4 �
𝐿𝐿 𝐵𝐵
0.195×30 0.4×6.5
= (5.14)(1950) �1 + � �� 1 + � ��
45 30
= 12,307 lb/ft 2
Example 2
What will the net allowable bearing capacity of a mat foundation with dimensions be of
45 ft × 30 ft constructed over a sand deposit? Here, 𝐷𝐷𝑓𝑓 = 6 ft, allowable settlement = 1
in., and corrected average penetration number 𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 = 10.
Solution
From equation (13)

0.33𝐷𝐷𝑓𝑓
𝑞𝑞all (net ) = 0.25𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 �1 + � 𝑆𝑆𝑒𝑒 ≤ 0.33𝑁𝑁𝑐𝑐𝑐𝑐𝑐𝑐 𝑆𝑆𝑒𝑒
𝐵𝐵
0.33(6)
𝑞𝑞all (net ) = 0.25(10) �1 + � (1) ≈ 2.67kip/ft 2
30
DIFFERENTIAL SETTLEMENT OF MATS

The American Concrete Institute Committee 336 (1988) suggested the following method
for calculating the differential settlement of mat foundations. According to this method,
the rigidity factor (𝐾𝐾𝑟𝑟 ) is calculated as
𝐸𝐸′ 𝐼𝐼
𝐾𝐾𝑟𝑟 = 𝐸𝐸 𝐵𝐵𝑏𝑏3 [5.17]
𝑠𝑠
Where
𝐸𝐸 ′ = modulus of elasticity of the material used in the structure
𝐸𝐸𝑠𝑠 = modulus of elasticity of the soil
𝐵𝐵 = width of foundation
𝐼𝐼𝑏𝑏 = moment of inertia of the structure per unit length at right angles to 𝐵𝐵
The term 𝐸𝐸′𝐼𝐼𝑏𝑏 can be expressed as

𝑎𝑎ℎ 3
𝐸𝐸′𝐼𝐼𝑏𝑏 = �𝐼𝐼𝐹𝐹 + ∑ 𝐼𝐼𝑏𝑏 + ∑ � [5.18]
12
Where
𝐸𝐸 ′ 𝐼𝐼𝑏𝑏 =
flexural rigidity of the superstructure and foundation per unit length at right angles to 𝐵𝐵
∑ E′ 𝐼𝐼𝑏𝑏′ = flexural rigidity of the framed members at right angles to 𝐵𝐵

3
∑(𝐸𝐸 ′𝑎𝑎ℎ /12) = flexural rigidity of the shear walls
𝑎𝑎 = shear wall thickness
ℎ = shear wall height
𝐸𝐸 ′ 𝐼𝐼𝐹𝐹 = flexibility of the foundation
Based on the value of 𝐾𝐾𝑟𝑟′ the ratio (𝛿𝛿) of the differential settlement to the total settlement
can be estimated in the following manner:
1. If 𝐾𝐾𝑟𝑟 > 0.5, it can be treated as a rigid mat, and 𝛿𝛿 = 0.

2. If 𝐾𝐾𝑟𝑟 = 0.5, then 𝛿𝛿 ≈ 0.1.
3. If 𝐾𝐾𝑟𝑟 = 0, then 𝛿𝛿 = 0.35 for square mats (𝐵𝐵/𝐿𝐿 = 1) and 𝛿𝛿 = 0.5, for long
foundations (𝐵𝐵/𝐿𝐿 = 0).
Module 6
(Lecture 20 to 23)
LATERAL EARTH PRESSURE
Topics
20.1 INTRODUCTIO
20.2 LATERAL EARTH PRESSURE AT REST
20.3 ACTIVE PRESSURE
20.4 RANKINE ACTIVE EARTH PRESSURE
20.5 Example
20.6 RANKINE ACTIVE EARTH PRESSURE FOR
INCLINED BACKFILL
21.1 COULOMB’S ACTIVE EARTH PRESSURE

21.2 ACTIVE EARTH PRESSURE FOR EARTHQUAKE
CONDITIONS
22.1 LATERAL EARTH PRESSURE
22.2 LATERAL EARTH PRESSURE DUE TO
SURCHARGE
22.3 ACTIVE PRESSURE FOR WALL ROTATION
ABOUT TOP-BRACED CUT
22.4 ACTIVE EARTH PRESSURE FOR TRANSLATION
OF RETAINING WALL-GRANULAR BACKFILL
23.1 PASSIVE PRESSURE

23.2 RANKINE PASSIVE EARTH PRESSURE
23.3 RANKINE PASSIVE EARTH PRESSURE-
INCLINED BACKFILL
23.4 COULOMB’S PASSIVE EARTH PRESSURE

23.5 COMMENTS ON THE FAILURE SURFACE
ASSUMPTION FOR COULOMB’S PRESSURE
CALCULATIONS
PROBLEMS
REFERENCE
Module 6
(Lecture 20)
LATERAL EARTH PRESSURE
Topics
1.1 INTRODUCTIO
1.2 LATERAL EARTH PRESSURE AT REST
1.3 ACTIVE PRESSURE
1.4 1.4RANKINE ACTIVE EARTH PRESSURE
1.5 Example
1.6 RANKINE ACTIVE EARTH PRESSURE FOR
INCLINED BACKFILL
INTRODUCTION
Vertical or near vertical slopes of soil are supported by retaining walls, cantilever sheet-
pile walls, sheet-pile bulkheads, braced cuts, and other similar structures. The proper
design of those structures required estimation of lateral earth pressure, which is a function
of several factors, such as (a) type and amount of wall movement, (b) shear strength
parameters of the soil, (c) unit weight of the soil, and (d) drainage conditions in the
backfill. Figure 6.1 shows a retaining wall of height H. for similar types of backfill.
Figure 6.1 Nature of lateral earth pressure on a retaining wall
a. The wall may be restrained from moving (figure 6.1a). The lateral earth pressure
on the wall at any depth is called the at-rest earth pressure.
b. The wall may tilt away from the soil retained (figure 6.1b). With sufficient wall
tile, a triangular soil wedge behind the wall will fail. The lateral pressure for this
condition is referred to as active earth pressure.
c. The wall may be pushed into the soil retained (figure 6.1c). With sufficient wall
movement, a soil wedge will fail. The lateral pressure for this condition is referred
to as passive earth pressure.
Figure 6.2 Shows the nature of variation of the lateral pressure (𝜎𝜎ℎ ) at a certain depth of
the wall with the magnitude of wall movement.
Figure 6.2 Nature of variation of lateral earth pressure at a certain depth
In the following sections we will discuss various relationships to determine the at-rest,
active, and passive pressures on a retaining wall. It is assumed that the readers have been
exposed to lateral earth pressure in the past, so this chapter will serve as a review.
LATERAL EARTH PRESSURE AT REST
Consider a vertical wall of height H, as shown in figure 6.3, retaining a soil having a unit
weight of 𝛾𝛾. A uniformly distributed load, 𝑞𝑞/unit area, is also applied at the ground
surface. The shear strength, s, of the soil is
Figure 6.3 At-rest earth pressure
𝑠𝑠 = 𝑐𝑐 + 𝜎𝜎 ′ tan 𝜙𝜙
Where
𝑐𝑐 = cohesion
𝜙𝜙 = angle of friction
𝜎𝜎 ′ = effective normal stress
At any depth z below the ground surface, the vertical subsurface stress is
𝜎𝜎𝑣𝑣 = 𝑞𝑞 + 𝛾𝛾𝛾𝛾 [6.1]
If the wall is at rest and is not allowed to move at all either away from the soil mass or
into the soil mass (e.g., zero horizontal strain), the lateral pressure at a depth z is
𝜎𝜎ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 + 𝑢𝑢 [6.2]
Where
𝑢𝑢 = pore water pressure
𝐾𝐾𝑜𝑜 = coefficient of at − rest earth pressure
For normally consolidated soil, the relation for 𝐾𝐾𝑜𝑜 (Jaky, 1944) is
𝐾𝐾𝑜𝑜 ≈ 1 − sin 𝜙𝜙 [6.3]

Equation 3 is an empirical approximation.
For normally consolidated clays, the coefficient of earth pressure at rest can be
approximated (Brooker and Ireland, 1965) as
𝐾𝐾𝑜𝑜 ≈ 0.95 − sin 𝜙𝜙 [6.4]
Where
𝜙𝜙 = drained peak friction angle
Based on Brooker and Ireland’s (1965) experimental results, the value of 𝐾𝐾𝑜𝑜 for normally
consolidated clays may be approximated correlated with the plasticity index (𝑃𝑃𝑃𝑃):
𝐾𝐾𝑜𝑜 = 0.4 + 0.007 (𝑃𝑃𝑃𝑃) (for 𝑃𝑃𝑃𝑃 between 0 and 40) [6.5]
And
𝐾𝐾𝑜𝑜 = 0.64 + 0.001 (𝑃𝑃𝑃𝑃) (for 𝑃𝑃𝑃𝑃 between 40 and 80) [6.6]
For overconsolidated clays,
𝐾𝐾𝑜𝑜(overconsolidated ) ≈ 𝐾𝐾𝑜𝑜(normally consolidated ) √𝑂𝑂𝑂𝑂𝑂𝑂 [6.7]
Where
𝑂𝑂𝑂𝑂𝑂𝑂 = overconsolidation ratio
Mayne and Kulhawy (1982) analyzed the results of 171 different laboratory tested soils.
Based on this study, they proposed a general empirical relationship to estimate the
magnitude of 𝐾𝐾𝑜𝑜 for sand and clay:
𝑂𝑂𝑂𝑂𝑂𝑂 3 𝑂𝑂𝐶𝐶𝐶𝐶
𝐾𝐾𝑜𝑜 = (1 − sin 𝜙𝜙) � (1−sin 𝜙𝜙 ) + 4 �1 − 𝑂𝑂𝑂𝑂𝑂𝑂 �� [6.8]
𝑂𝑂𝑂𝑂𝑂𝑂 max max
Where
𝑂𝑂𝑂𝑂𝑂𝑂 = present overconsolidation ratio
𝑂𝑂𝑂𝑂𝑂𝑂max = maximum overconsolidation ratio
In figure 6.4, 𝑂𝑂𝑂𝑂𝑂𝑂max is the value of OCR at point B.

Figure 6.4 Stress history for soil under 𝐾𝐾𝑜𝑜 condition
With a properly selected value of the at-rest earth pressure coefficient, equation (2) can
be used to determine the variation of lateral earth pressure with depth z. Figure 6.3b
shows the variation of 𝜎𝜎ℎ with depth for the wall shown in figure 6.3a. Note that if the
surcharge 𝑞𝑞 = 0 and the pore water pressure 𝑢𝑢 = 0, the pressure diagram will be a
triangle. The total force, 𝑃𝑃𝑜𝑜 , per unit length of the wall given in figure 6.3a can now be
obtained from the area of the pressure diagram given in figure 6.3b as
𝑃𝑃𝑜𝑜 = 𝑃𝑃1 + 𝑃𝑃2 = 𝑞𝑞𝐾𝐾𝑜𝑜 𝐻𝐻 + 12𝛾𝛾𝐻𝐻 2 𝐾𝐾𝑜𝑜 [6.9]
Where
𝑃𝑃1 = area of rectangle 1
𝑃𝑃2 = area of triangle 2
The location of the line of action of the resultant force, 𝑃𝑃𝑜𝑜 , can be obtained by taking the
moment about the bottom of the wall. Thus
𝐻𝐻 𝐻𝐻
𝑃𝑃1 � �+𝑃𝑃2 � �
2 3
𝑧𝑧̅ = [6.10]
𝑃𝑃𝑜𝑜
If the water table is located at depth 𝑧𝑧 < 𝐻𝐻, the at-rest pressure diagram shown in figure
6.3b will have to be somewhat modified, as shown in figure 6.5. If the effective unit
weight of soil below the water table equal 𝛾𝛾′ (that is, 𝛾𝛾sat − 𝛾𝛾𝑤𝑤 ),
Figure 6.5
At 𝑧𝑧 = 0, 𝜎𝜎′ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 = 𝐾𝐾𝑜𝑜 𝑞𝑞
At 𝑧𝑧 = 𝐻𝐻1 , 𝜎𝜎′ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 = 𝐾𝐾𝑜𝑜 (𝑞𝑞 + 𝛾𝛾𝐻𝐻1 )
At 𝑧𝑧 = 𝐻𝐻2 , 𝜎𝜎′ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 = 𝐾𝐾𝑜𝑜 (𝑞𝑞 + 𝛾𝛾𝐻𝐻1 + 𝛾𝛾′𝐻𝐻2 )
Note that in the preceding equations, 𝜎𝜎′𝑣𝑣 and 𝜎𝜎′ℎ are effective vertical and horizontal
pressures. Determining the total pressure distribution on the wall requires adding the
hydrostatic pressure. The hydrostatic pressure, u, is zero from 𝑧𝑧 = 0 and 𝑧𝑧 = 𝐻𝐻1 ; at 𝑧𝑧 =
𝐻𝐻2 , 𝑢𝑢 = 𝐻𝐻2 𝛾𝛾𝑤𝑤 . The variation of 𝜎𝜎′ℎ and 𝑢𝑢 with depth is shown in figure 6.5b. Hence the
total force per unit length of the wall can be determined from the area of the pressure
diagram. Thus
𝑃𝑃𝑜𝑜 = 𝐴𝐴1 + 𝐴𝐴2 + 𝐴𝐴3 + 𝐴𝐴4 + 𝐴𝐴5
Where
𝐴𝐴 = area of the pressure diagram
So
𝑃𝑃𝑜𝑜 = 𝐾𝐾𝑜𝑜 𝑞𝑞𝐻𝐻1 + 12𝐾𝐾𝑜𝑜 𝛾𝛾𝐻𝐻12 + 𝐾𝐾𝑜𝑜 (𝑞𝑞 + 𝛾𝛾𝐻𝐻1 )𝐻𝐻2 + 12𝐾𝐾𝑜𝑜 𝛾𝛾′𝐻𝐻22 + 12𝛾𝛾𝑤𝑤 𝐻𝐻22 [6.11]
Sheriff et al. (1984) showed by several laboratory model tests that equation (3) gives
good results for estimating the lateral earth pressure at rest for loose sands. However, for
compacted dense sand, it grossly underestimates the value of 𝐾𝐾𝑜𝑜 . For that reason, they
proposed a modified relationship for 𝐾𝐾𝑜𝑜 :
𝛾𝛾 𝑑𝑑
𝐾𝐾𝑜𝑜 = (1 − sin 𝜙𝜙) + �𝛾𝛾 − 5� 5.5 [6.12]
𝑑𝑑 (min )
Where
𝛾𝛾𝑑𝑑 = 𝑖𝑖𝑖𝑖 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 unit weight of sand
𝛾𝛾𝑑𝑑(min ) = minimum possible dry unit weight of sand (see chapter 1)
Example 1
For the retaining wall shown in figure 6.6(a), determine the lateral earth fore at rest per
unit length of the wall. Also determine the location of the resultant force.
Figure 6.6
Solution
𝐾𝐾𝑜𝑜 = 1 − sin 𝜙𝜙 = 1 − sin 30° = 0.5
At 𝑧𝑧 = 0, 𝜎𝜎′𝑣𝑣 = 0; 𝜎𝜎′ℎ = 0
At 𝑧𝑧 = 2.5 m, 𝜎𝜎′𝑣𝑣 = (16.5)(2.5) = 41.25kN/m2 ;
𝜎𝜎′ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 = (0.5)(41.25) = 20.63 kN/m2
At 𝑧𝑧 = 5 m, 𝜎𝜎′𝑣𝑣 = (16.5)(2.5) + (19.3 − 9.81)2.5 = 64.98 kN/m2 ;
𝜎𝜎′ℎ = 𝐾𝐾𝑜𝑜 𝜎𝜎′𝑣𝑣 = (0.5)(64.98) = 32.49 kN/m2
The hydrostatic pressure distribution is as follows:

From 𝑧𝑧 = 0 to 𝑧𝑧 = 2.5 m, 𝑢𝑢 = 0. At 𝑧𝑧 = 5 m, 𝑢𝑢 = 𝛾𝛾𝑤𝑤 (2.5) = (9.81)(2.5) =

2
24.53 kN/m . The pressure distribution for the wall is shown in figure 6.6b.
The total force per unit length of the wall can be determined from the area of the pressure
diagram, or
𝑃𝑃𝑜𝑜 = Area 1 + Area 2 + Area 3 + Area 4
= 12(2.5)(20.63) + (2.5)(20.63) + 12(2.5)(32.49 − 20.63) + 12(2.5)(24.53) =

122.85 kN/m
The location of the center of pressure measured from the bottom of the wall (Point 𝑂𝑂) =
2.5 2.5 2.5
(Area 1)�2.5+ �+(Area 2)� �+(Area 3+Area 4)� �
3 2 3
𝑧𝑧̅ = 𝑃𝑃𝑜𝑜
(25.788)(3.33)+(51.575)(1.25)+(14.825+30.663)(0.833)
= 122.85
85.87+64.47+37.89
= = 1.53 m
122.85
ACTIVE PRESSURE
RANKINE ACTIVE EARTH PRESSURE
The lateral earth pressure conditions described in section 2 involve walls that do not yield
at all. However, if a wall tends to move away from the soil a distance ∆𝑥𝑥, as shown in
figure 6.7a, the soil pressure on the wall at any depth will decrease. For a wall that is
frictionless, the horizontal stress, 𝜎𝜎ℎ , at depth z will equal 𝐾𝐾𝑜𝑜 𝜎𝜎𝑣𝑣 (𝐾𝐾𝑜𝑜 𝛾𝛾𝛾𝛾) when ∆𝑥𝑥 is zero.
However, with ∆𝑥𝑥 > 0, 𝜎𝜎ℎ will be less than 𝐾𝐾𝑜𝑜 𝜎𝜎𝑣𝑣 .
Figure 6.7 Rankine active pressure
The Mohr’s circles corresponding to wall displacements of ∆𝑥𝑥 = 0 and ∆𝑥𝑥 > 0 are
shown as circles 𝑎𝑎 and 𝑏𝑏, respectively, in figure 6.7b. If the displacement of the wall, ∆𝑥𝑥,
continues to increase, the corresponding Mohr’s circle eventually will just touch the
Mohr-Coulomb failure envelope defined by the equation
𝑠𝑠 = 𝑐𝑐 + 𝜎𝜎 tan 𝜙𝜙
This circle is marked c in figure 6.7b. It represents the failure condition in the soil mass;
the horizontal stress then equals 𝜎𝜎𝑎𝑎 . This horizontal stress, 𝜎𝜎𝑎𝑎 , is referred to as the Rankin
active pressure. The slip lines (failure planes) in the soil mass will then make angles of
±(45 + ∅/2) with the horizontal, as shown in figure 6.7a.
Refer back to equation (84 from chapter 1) the equation relating the principal stresses for
a Mohr’s circle that touches the Mohr-Coulomb failure envelope:
𝜙𝜙 𝜙𝜙
𝜎𝜎1 = 𝜎𝜎3 tan2 �45 + 2 � + 2𝑐𝑐 tan �45 + 2 �
For the Mohr’s circle c in figure 6.7b,
Major Principal stress, 𝜎𝜎1 = 𝜎𝜎𝑣𝑣
And
Minor Principal stress, 𝜎𝜎3 = 𝜎𝜎𝑎𝑎
Thus
𝜙𝜙 𝜙𝜙
𝜎𝜎𝑣𝑣 = 𝜎𝜎𝑎𝑎 tan2 �45 + 2 � + 2𝑐𝑐 tan �45 + 2 �
𝜎𝜎𝑣𝑣 2𝑐𝑐
𝜎𝜎𝑎𝑎 = 2 𝜙𝜙 − 𝜙𝜙
tan �45+ � tan �45+ �
2 2
Or
𝜙𝜙 𝜙𝜙
𝜎𝜎𝑎𝑎 = 𝜎𝜎𝑣𝑣 tan2 �45 + 2 � − 2𝑐𝑐 tan �45 − 2 �
= 𝜎𝜎𝑣𝑣 𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 [6.13]
Where
𝐾𝐾𝑜𝑜 = tan2 (45 − 𝜙𝜙/2) = Rankine active pressure coefficient (table 1)
The variation of the active pressure with depth for the wall shown in figure 6.7a is given
in figure 6.7c. Note that 𝜎𝜎𝑣𝑣 = 0, at 𝑧𝑧 = 0 and 𝜎𝜎𝑣𝑣 = 𝛾𝛾𝛾𝛾 at 𝑧𝑧 = 𝐻𝐻. The pressure
distribution shows that at 𝑧𝑧 = 0 the active pressure equals −2𝑐𝑐�𝐾𝐾𝑎𝑎 indicating tensile
stress. This tensile stress decreases with depth and becomes zero at a depth 𝑧𝑧 = 𝑧𝑧𝑐𝑐 , or
𝛾𝛾𝑧𝑧𝑐𝑐 𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 = 0
And
2𝑐𝑐
𝑧𝑧𝑐𝑐 = 𝛾𝛾�𝐾𝐾 [6.14]
𝑎𝑎
The depth 𝑧𝑧𝑐𝑐 is usually referred to as the depth of tensile crack, because the tensile stress
in the soil will eventually cause a crack along the soil-wall interface. Thus the total
Rankine active force per unit length of the wall before the tensile crack occurs is
𝐻𝐻 𝐻𝐻 𝐻𝐻
𝑃𝑃𝑎𝑎 = ∫0 𝜎𝜎𝑎𝑎 𝑑𝑑𝑑𝑑 = ∫0 𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 𝑑𝑑𝑑𝑑 − ∫0 2𝑐𝑐�𝐾𝐾𝑎𝑎 𝑑𝑑𝑑𝑑
= 12𝛾𝛾𝐻𝐻 2 𝐾𝐾𝑎𝑎 − 2𝑐𝑐𝑐𝑐�𝐾𝐾𝑎𝑎 [6.15]
Table 1 Variation of Rankine 𝑲𝑲𝒂𝒂
Soil friction angle, 𝜙𝜙 (deg ) 𝐾𝐾𝑎𝑎 = tan2 (45 − 𝜙𝜙/2)
20 0.490
21 0.472
22 0.455
23 0.438
24 0.422
25 0.406
26 0.395
27 0.376
28 0.361
29 0.347
30 0.333
31 0.320
32 0.307
33 0.295
34 0.283
35 0.271
36 0.260
37 0.249
38 0.238
39 0.228
40 0.217
41 0.208
42 0.198
43 0.189
44 0.180
45 0.172
After the occurrence of the tensile crack, the force on the wall will be caused only by the
pressure distribution between depths 𝑧𝑧 = 𝑧𝑧𝑐𝑐 and 𝑧𝑧 = 𝐻𝐻, as shown by the hatched area in
figure 6.7c. It may be expressed as
𝑃𝑃𝑎𝑎 = 12(𝐻𝐻 − 𝑧𝑧𝑐𝑐 )(𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 ) [6.16]
Or
1 2𝑐𝑐
𝑃𝑃𝑎𝑎 = 2 �𝐻𝐻 − 𝛾𝛾�𝐾𝐾 � (𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 ) [6.17]
𝑎𝑎
For calculation purposes in some retaining wall design problems, a cohesive soil backfill
is replaced by an assumed granular soil with a triangular Rankine active pressure diagram
with 𝜎𝜎𝑎𝑎 = 0 at 𝑧𝑧 = 0 and 𝜎𝜎𝑎𝑎 = 𝜎𝜎𝑣𝑣 𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 at 𝑧𝑧 = 𝐻𝐻 (see figure 6.8). In such a case,
the assumed active force per unit length of the wall is
𝑃𝑃𝑎𝑎 = 12(𝛾𝛾𝐻𝐻𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 ) = 12𝛾𝛾𝐻𝐻 2 𝐾𝐾𝑎𝑎 − 𝑐𝑐𝑐𝑐�𝐾𝐾𝑎𝑎 [6.18]

Figure 6.8 Assumed active pressure diagram for clay backfill behind a retaining wall
However, the active earth pressure condition will be reached only if the wall is allowed to
“yield” sufficiently. The amount of outward displacement of the wall necessary is about
0.001H to 0.004H for granular soil backfills and about 0.01H to 0.04H for cohesive soil
backfills.
Example 2
A 6-m-high retaining wall is to support a soil with unit weight 𝛾𝛾 = 17.4 kN/m3 , soil
friction angle 𝜙𝜙 = 26° , and cohesion 𝑐𝑐 = 14.36 kN/m2 . Determine the Rankine active
force per unit length of the wall both before and after the tensile crack occurs, and
determine the line of action of the resultant in both cases.
Solution
For 𝜙𝜙 = 26° ,
𝜙𝜙
𝐾𝐾𝑎𝑎 = tan2 �45 − 2 � = tan2 (45 − 13) = 0.39
�𝐾𝐾𝑎𝑎 = 0.625
𝜎𝜎𝑎𝑎 = 𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎
Refer to figure 6.7c:
At 𝑧𝑧 = 0, 𝜎𝜎𝑎𝑎 = −2𝑐𝑐�𝐾𝐾𝑎𝑎 = −2(14.36)(0.625) = −17.95 kN/m2

At 𝑧𝑧 = 6 m, 𝜎𝜎𝑎𝑎 = (17.4)(6)(0.39) − 2(14.36)(0.625) = 40.72 − 17.95 =

2
22.77 kN/m
Active Force Before the Occurrence of Tensile Crack: equation (15)
𝑃𝑃𝑎𝑎 = 12(𝛾𝛾𝐻𝐻 2 𝐾𝐾𝑎𝑎 − 2𝑐𝑐𝑐𝑐�𝐾𝐾𝑎𝑎
= 12(6)(40.72) − (6)(17.95) = 122.16 − 107.7 = 14.46 kN/m
The line of action of the resultant can be determined by taking the moment of the area of
the pressure diagrams about the bottom of the wall, or
𝑃𝑃𝑎𝑎 𝑧𝑧̅ = (122.16)�63� − (107.7)�62�
Or
244.32−323.1
𝑧𝑧̅ = = −5.45m
14.46
Active Force After the Occurrence of Tensile Crack: equation (14)

2𝑐𝑐 2(14.36)
𝑧𝑧𝑐𝑐 = 𝛾𝛾�𝐾𝐾 = (17.4)(0.625) = 2.64 m
𝑎𝑎
Using equation (16) gives
𝑃𝑃𝑎𝑎 = 12(𝐻𝐻 − 𝑧𝑧𝑐𝑐 )𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 − 2𝑐𝑐�𝐾𝐾𝑎𝑎 ) = 12(6 − 2.64)(22.77) = 38.25 kN/m
Figure 6.7c shows that the force 𝑃𝑃𝑎𝑎 = 38.25 kN/m is the area of the hatched triangle.
Hence the line of action of the resultant will be located at a height of 𝑧𝑧̅ = (𝐻𝐻 − 𝑧𝑧𝑐𝑐 )/3
above the bottom of the wall, or
6−2.64
𝑧𝑧̅ = = 1.12 m
3
For most retaining wall construction, a granular backfill is used and 𝑐𝑐 = 0. Thus example
2 is an academic problem; however, it illustrates the basic principles of the Rankine
active earth pressure calculation.
Example 3
For the retaining wall shown in figure 6.9a, assume that the wall can yield sufficiently o
develop active state. Determine the Rankine active force per unit length of the wall and
the location of the resultant line of action.
Figure 6.9
Solution
If the cohesion, c, is equal to zero
𝜎𝜎′𝑎𝑎 = 𝜎𝜎′𝑣𝑣 𝐾𝐾𝑎𝑎
For the top soil layer, 𝜙𝜙1 = 30° , so

𝜙𝜙 1 1
𝐾𝐾𝑎𝑎(1) = tan2 �45 − � = tan2 (45 − 15) = 3
2
Similarly, for the bottom soil layer, 𝜙𝜙2 = 36° , and

36
𝐾𝐾𝑎𝑎(2) = tan2 �45 − � = 0.26
2
Because of the presence of the water table, the effective lateral pressure and the
hydrostatic pressure have to be calculated separately.
At 𝑧𝑧 = 0, 𝜎𝜎′𝑣𝑣 = 0, 𝜎𝜎′𝑎𝑎 = 0
At 𝑧𝑧 = 3 m, 𝜎𝜎′𝑣𝑣 = 𝛾𝛾𝛾𝛾 = (16)(3) = 48 kN/m2
At this depth, for the top soil layer
𝜎𝜎′𝑎𝑎 = 𝐾𝐾𝑎𝑎(1) 𝜎𝜎′𝑣𝑣 = �13�(48) = 16 kN/m2
Similarly, for the bottom soil layer
𝜎𝜎′𝑎𝑎 = 𝐾𝐾𝑎𝑎(2) 𝜎𝜎′𝑣𝑣 = (0.26)(48) = 12.48 kN/m2
At 𝑧𝑧 = 6m, 𝜎𝜎′𝑣𝑣 = (𝛾𝛾)(3) + (𝛾𝛾sat − 𝛾𝛾𝑤𝑤 )(3) = (16)(3) + (19 − 9.81)(3)

= 48 + 27.57 = 75.57 kN/m2
𝜎𝜎′𝑎𝑎 = 𝐾𝐾𝑎𝑎(2) 𝜎𝜎′𝑣𝑣 = (0.26)((75.57) = 19.65 kN/m2
The hydrostatic pressure, u, is zero from 𝑧𝑧 = 0 to 𝑧𝑧 = 3 m. At 𝑧𝑧 = 6 m, 𝑢𝑢 = 3𝛾𝛾𝑤𝑤 =

3(9.81) = 29.43 kN/m2 . The pressure distribution diagram is plotted in figure 6.9b. The
force per unit length
𝑃𝑃𝑎𝑎 = Area 1 + Area 2 + Area 3 + Area 4
= 12(3)(16) + (12.48) + 12(3)(19.65 − 12.48) + 12(3)(29.43)
= 24 + 37.44 + 10.76 + 44.15 = 116.35 kN/m
The distance of the line of action of the resultant from the bottom of the wall (𝑧𝑧̅) can be
determined by taking the moments about the bottom of the wall (point O in figure 6.9a),
or
3 3 3 3
(24)�3+ �+(37.44)� �+(10.76)� �+(44.15)� �
3 2 3 3
𝑧𝑧̅ = 116.35
96+56.16+10.76+44.15
= = 1.78 m
116.35
Example 4
Refer to example 3. Other quantities remaining the same, assume that, in the top layer,
𝑐𝑐1 = 24 kN/m2 (not zero as in example 3). Determine 𝑃𝑃𝑎𝑎 after the occurrence of the
tensile crack.
Solution
From equation (14)

2𝑐𝑐1 (2)(24)
𝑧𝑧𝑐𝑐 = 𝛾𝛾 = = 5.2 m
�𝐾𝐾𝑎𝑎 (1) (16)��12 �
Since the depth of the top layer is only 3 m, the depth of the tensile crack will be only 3
m. so the pressure diagram up to 𝑧𝑧 = 3 m will be zero. For 𝑧𝑧 > 3m, the pressure diagram
will be the same as shown in figure 6.9, or
𝑃𝑃𝑎𝑎 = ��
Area 2 + Area 3 + Area 4
Figure 6.9
= 37.44 + 10.76 + 44.15 = 92.35 kN/m

RANKINE ACTIVE EARTH PRESSURE FOR INCLINED BACKFILL
If the backfill of a frictionless retaining wall is a granular soil (𝑐𝑐 = 0) and rises at an
angle 𝛼𝛼 with respect to the horizontal (figure 6.10), the active earth pressure coefficient,
𝐾𝐾𝑎𝑎 , may be expressed in the form
Figure 6.10 Notations for active pressure-equations (19, 20, 21)
cos 𝛼𝛼−�cos 2 𝛼𝛼−cos 2 𝜙𝜙

𝐾𝐾𝑎𝑎 = cos 𝛼𝛼 [6.19]
cos 𝛼𝛼+�cos 2 𝛼𝛼−cos 2 𝜙𝜙
Where
𝜙𝜙 = angle of friction of soil
At any depth, z, the Rankine active pressure may be expressed as
𝜎𝜎𝑎𝑎 = 𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 [6.20]
Also, the total force per unit length of the wall is
𝑃𝑃𝑎𝑎 = 12𝛾𝛾𝐻𝐻 2 𝐾𝐾𝑎𝑎 [6.21]

Note that, in this case, the direction of the resultant force, 𝑃𝑃𝑎𝑎 , is inclined at an angle 𝛼𝛼
with the horizontal and intersects the wall at a distance of 𝐻𝐻/3 from the base of the wall.
Table 2 presents the values of 𝐾𝐾𝑎𝑎 (active earth pressure) for various values of 𝛼𝛼 and 𝜙𝜙.
The preceding analysis can be extended for an inclined backfill with a 𝑐𝑐 − 𝜙𝜙 soil. The
details of the mathematical derivation are given by Mazindrani and Ganjali (1997). As in
equation (20), for this case
𝜎𝜎𝑎𝑎 = 𝛾𝛾𝛾𝛾𝐾𝐾𝑎𝑎 = 𝛾𝛾𝛾𝛾𝐾𝐾′𝑎𝑎 cos 𝛼𝛼 [6.22]
Table 2 Active Earth Pressure Coefficient, 𝑲𝑲𝒂𝒂 [equation (19)]
𝜙𝜙 (deg)→
↓ 𝛼𝛼(deg) 28 30 32 34 36 38 40
0 0.361 0.333 0.307 0.283 0.260 0.238 0.217
5 0.366 0.337 0.311 0.286 0.262 0.240 0.219
10 0.380 0.350 0.321 0.294 0.270 0.246 0.225
15 0.409 0.373 0.341 0.311 0.283 0.258 0.235
20 0.461 0.414 0.374 0.338 0.306 0.277 0.250
25 0.573 0.494 0.434 0.385 0.343 0.307 0.275
Table 3 Values of 𝑲𝑲′𝒂𝒂

𝑐𝑐
𝛾𝛾𝛾𝛾
𝜙𝜙 (deg) 𝛼𝛼(deg) 0.025 -0.05 0.1 0.5
15 0 0.550 0.512 0.435 -0.179
5 0.566 0.525 0.445 -0.184
10 0.621 0.571 0.477 -0.186
15 0.776 0.683 0.546 -0.196
20 0 0.455 0.420 0.350 -0.210
5 0.465 0.429 0.357 -0.212

10 0.497 0.456 0.377 -0.218
15 0.567 0.514 0.417 -0.229
25 0 0.374 0.342 0.278 -0.231
5 0.381 0.348 0.283 -0.233
10 0.402 0.366 0.296 -0.239
15 0.443 0.401 0.321 -0.250
30 0 0.305 0.276 0.218 -0.244
5 0.309 0.280 0.221 -0.246
10 0.323 0.292 0.230 -0.252
15 0.350 0.315 0.246 -0.263
Where
𝐾𝐾′𝑎𝑎 =
𝑐𝑐
2 cos 2 𝛼𝛼 + 2 �𝛾𝛾𝛾𝛾 � cos 𝜙𝜙 sin 𝜙𝜙
1
� 2 �−
cos 2 𝜙𝜙 𝑐𝑐 𝑐𝑐
−��4 cos 2 𝛼𝛼(cos2 𝛼𝛼 − cos2 𝜙𝜙) + 4 �𝛾𝛾𝛾𝛾 � cos2 𝜙𝜙 + 8 �𝛾𝛾𝛾𝛾 � cos2 𝛼𝛼 sin 𝜙𝜙 cos 𝜙𝜙�
1 [6.23]
Some values of 𝐾𝐾′𝑎𝑎 are given in table 3. For a problem of this type, the depth of tensile
crack, 𝑧𝑧𝑐𝑐 , is given as
2𝑐𝑐 1+sin 𝜙𝜙
𝑧𝑧𝑐𝑐 = �1−sin 𝜙𝜙 [6.24]
𝛾𝛾
Example 5
Refer to retaining wall shown in figure 6.10. Given: 𝐻𝐻 = 7.5 m, 𝛾𝛾 = 18 kN/m3 ,

𝜙𝜙 = 20° , 𝑐𝑐 = 13.5 kN/m2 , and 𝛼𝛼 = 10° . Calculate the Rankine active force, 𝑃𝑃𝑎𝑎 , per unit
length of the wall and the location of the resultant after the occurrence of the tensile
crack.
Solution
From equation (24),

2𝑐𝑐 1+sin 𝜙𝜙 (2)(13.5) 1+sin 20

𝑧𝑧𝑐𝑐 = �1−sin 𝜙𝜙 = � = 2.14 m
𝛾𝛾 18 1−sin 20
At 𝑧𝑧 = 7.5 m
𝑐𝑐 13.5
= (18)(7.5) = 0.1
𝛾𝛾𝛾𝛾
From table 3, for 20° , 𝑐𝑐/𝛾𝛾𝛾𝛾 = 0.1 and 𝛼𝛼 = 10° , the value of 𝐾𝐾′𝑎𝑎 is 0.377, so at 𝑧𝑧 = 7.5 m
𝜎𝜎𝑎𝑎 = 𝛾𝛾𝛾𝛾𝐾𝐾′𝑎𝑎 cos 𝛼𝛼 = (18)(7.5)(0.377)(cos 10) = 50.1 kN/m2
After the occurrence of the tensile crack, the pressure distribution on the wall will be as
shown in figure 6.11, so
1
𝑃𝑃𝑎𝑎 = �2� (50.1)(7.5 − 2.14) = 134.3 kN/m
7.5−2.14
𝑧𝑧̅ = = 1.79 m
3
Figure 6.11
Module 7
(Lecture 24 to 28)
RETAINING WALLS
Topics
24.1 INTRODUCTION
24.2 GRAVITY AND CANTILEVER WALLS
24.3 PROPORTIONING RETAINING WALLS
24.4 APPLICATION OF LATERAL EARTH PRESSURE
THEORIES TO DESIGN
24.5 STABILITY CHECKS
 Check for Overturning’
 Check for Sliding Along the Base
 Check for Bearing Capacity Failure

 Example
 Factor of Safety Against Overturning
 Factor of Safety Against Sliding
 Factor of Safety Against Bearing Capacity Failure
25.1 OTHER TYPES OF POSSIBLE RETAINING WALL
FAILURE
26.1 COMMENTS RELATING TO STABILITY
26.2 DRAINAGE FROM THE BACKFILL OF THE
RETAINING WALL
26.3 PROVISION OF JOINTS IN RETAINING-WALL
CONSTRUCTION
26.4 GRAVITY RETAINING-WALL DESIGN FOR

EARTHQUAKE CONDITIONS
26.5 MECHANICALLY STABILIZED RETAINING
WALLS
26.6 GENERAL DESIGN CONSIDERATIONS
27.1 RETAINING WALLS WITH METALLIC STRIP

REINFORCEMENT
 Calculation of Active Horizontal and vertical Pressure
 Tie Force
 Factor of Safety Against Tie Failure
 Total Length of Tie
27.2 STEP-BY-STEP DESIGN PROCEDURE (METALLIC
STRIP REINFORCEMENT
 Internal Stability
 External Stability
 Internal Stability Check
 Tie thickness
 Tie length
 External Stability Check
 Check for overturning
 Check for sliding
 Check for bearing capacity
28.1 RETAINING WALLS WITH METALLIC STRIP

REINFORCEMENT
28.2 Calculation of Active Horizontal and vertical Pressure
 Tie Force
 Factor of Safety Against Tie Failure

 Total Length of Tie
28.3 STEP-BY-STEP DESIGN PROCEDURE (METALLIC
STRIP REINFORCEMENT
 General:
 Internal Stability:
 Internal Stability Check
 Check for overturning:
 Check for sliding
 Check for bearing capacity
PROBLEMS
REFERENCE
Module 7
(Lecture 24)
RETAINING WALLS
Topics
1.1 INTRODUCTION
1.2 GRAVITY AND CANTILEVER WALLS
 PROPORTIONING RETAINING WALLS

1.3 APPLICATION OF LATERAL EARTH PRESSURE
THEORIES TO DESIGN
1.4 STABILITY CHECKS
 Check for Overturning’
 Check for Sliding Along the Base
INTRODUCTION
In chapter 6 you were introduced to various types of lateral earth pressure. Those theories
will be used in this chapter to design various types of retaining walls. In general,
retaining walls can be divided into two major categories: (a) conventional retaining walls,
and (b) mechanically stabilized earth walls.
Conventional retaining walls can generally be classified as
1. Gravity retaining walls

2. Semigravity retaining walls
3. Cantilever retaining walls
4. Counterfort retaining walls
Gravity retaining walls (figure 7.1a) are constructed with plain concrete or stone
masonry. They depend on their own weight and any soil resting on the masonry for
stability. This type of construction is not economical for high walls.
Figure 7.1 Types of retaining wall
In many cases, a small amount of steel may be used for the construction of gravity walls,
thereby minimizing the size of wall sections. Such walls are generally referred to as
semigravity walls (figure 7.1b).
Cantilever retaining walls (figure 7.1c) are made of reinforced concrete that consists of a
thin stem and a base slab. This type of wall is economical to a height of about 25 ft (8 m).
Counterfort retaining walls (figure 7.1d) are similar to cantilever walls. At regular
intervals, however, they have thin vertical concrete slabs known as counterforts that tie
the wall and the base slab together. The purpose of the counterforts is to reduce the shear
and the bending moments.
To design retaining walls properly, an engineer must know the basic soil parameters-that
is, the unit weight, angle of friction, and cohesion-for the soil retained behind the wall
and the soil below the base slab. Knowing the properties of the soil behind the wall
enables the engineer to determine the lateral pressure distribution that has to be designed
for.
There are two phases in the design of conventional retaining walls. First, with the lateral
earth pressure known, the structure as a whole is checked for stability. That includes
checking for possible overturning, sliding, and bearing capacity failures.
Second, each component of the structure is checked for adequate strength, and the steel
reinforcement of each component is determined.
This chapter presents the procedures for determining retaining wall stability. Checks for
adequate strength of each component of the structures can be found in any textbook on
reinforced concrete.
Mechanically stabilized retaining walls have their backfills stabilized by inclusion of

reinforcing elements such as metal strips, bars, welded wire mats, geotextiles, and
geogrids. These walls are relatively flexible and can sustain large horizontal and vertical
displacement without much damage.
In this chapter the gravity and cantilever retaining walls will be described first, followed
by mechanically stabilized walls with metal strips, geotextiles, and geogrids reinforced
backfills.
GRAVITY AND CANTILEVER WALLS
PROPORTIONING RETAINING WALLS
When designing retaining walls, an engineer must assume some of the dimensions, called
proportioning, which allows the engineer to check trial sections for stability. If the
stability checks yield undesirable results, the sections can be changed and rechecked.
Figure 7. 2 shows the general proportions of various retaining walls components that can
be used for initial checks.
Figure 7.2 Approximate dimensions for various components of retaining wall for initial
stability checks: (a) gravity wall; (b) cantilever wall [note: minimum dimension of
𝐷𝐷 is 2 ft (≈ 0.6 m)]
Note that the top of the stem of any retaining wall should not be less than about 12 in. (≈
0.3 m) for proper placement of concrete. The depth, D, to the bottom of the base slab
should be a minimum of 2 ft (≈ 0.6 m). However, the bottom of the base slab should be
positioned below the seasonal frost line.
For counterfort retaining walls, the general proportion of the stem and the base slab is the
same as for cantilever walls. However, the counterfort slabs may be about 12 in. (≈
0.3 m) thick and spaced at center-to-center distances of 0.3𝐻𝐻 to 0.7 𝐻𝐻.
APPLICATION OF LATERAL EARTH PRESSURE THEORIES TO DESIGN
The fundamental theories for calculating lateral earth pressure have been presented in
chapter 6. To use these theories in design, an engineer must make several simple
assumptions. In the case of cantilever walls, use of the Rankine earth pressure theory for
stability checks involves drawing a vertical line 𝐴𝐴𝐴𝐴 through point A, as shown in figure
7. 3a, (which is located at the edge of the heel of the base slab. The Rankine active
condition is assumed to exist along the vertical plane 𝐴𝐴𝐴𝐴. Rankine active earth pressure
equations may then be used to calculate the lateral pressure on the face 𝐴𝐴𝐴𝐴. In the
analysis of stability for the wall, the force 𝑃𝑃𝑎𝑎(Rankine ) , the weight of soil above the heel,
𝑊𝑊𝑠𝑠 , and the weight of the concrete, 𝑊𝑊𝑐𝑐 , all should be taken into consideration. The
assumption for the development of Rankine active pressure along the soil face 𝐴𝐴𝐴𝐴 is
theoretically concrete if the shear zone bounded by the line 𝐴𝐴𝐴𝐴 is not obstructed by the
stem of the wall. The angle, 𝜂𝜂, that the line 𝐴𝐴𝐴𝐴 makes with the vertical is
𝛼𝛼 𝜙𝜙 sin 𝛼𝛼
𝜂𝜂 = 45 + 2 − 2 − sin−1 �sin 𝜙𝜙 � [7.1]
Figure 7.3 Assumption for the determination of lateral earth pressure: (a) cantilever wall;
(b) and (c) gravity wall
Figure 7. 3 Continued
A similar type of analysis may be used for gravity walls, as shown in figure 7. 3b.
However, Coulomb’s theory also may be used, as shown in figure 7. 3c. If Coulomb’s
active pressure theory is used, the only forces to be considered are 𝑃𝑃𝑎𝑎(Coulomb ) and the
weight of the wall, 𝑊𝑊𝑐𝑐 .
If Coulomb’s earth pressure theory is used, it will be necessary to know the range of the
wall friction angle 𝛿𝛿 with various types of backfill material. Following are some ranges
of wall friction angle for masonry or mass concrete walls:
Backfill material Range of 𝛿𝛿(deg)
Gravel 27-30
Coarse sand 20-28
Fine sand 15-25
Stiff clay 15-20

Silty clay 12-16
In the case of ordinary retaining walls, water table problems and hence hydrostatic
pressure are not encountered. Facilities for drainage from the soils retained are always
provided.
In several instances, for small retaining walls, emiempirical charts are used to evaluate
lateral earth pressure. Figure 7.4 and 5 show two semiempirical charts given by Terzaghi
and Peck (1967). Figure 7.4 is for backfills with plane surfaces, and figure 7.5 is for
backfills that slope upward from the crest of the wall for a limited distance and then
become horizontal. Note that 12𝐾𝐾𝑣𝑣 𝐻𝐻′2 is the vertical component of the active force on
plane 𝐴𝐴𝐴𝐴; similarly, 12𝐾𝐾ℎ 𝐻𝐻′2 is the horizontal force. The numerals on the curves indicate
the types of soil described in table 1.
Figure 7.4 Continued

Figure 7.5 Chart for estimating pressure of backfill against retaining walls supporting
backfills with surface that slopes upward from crest of wall for limited distance and then
becomes horizontal (after Soil Mechanics in Engineering Practice, Second Edition, by K.
Terzaghi and R. B. Peck. Copyright 1967 by John Wiley and Sons. Reprinted with
permission) (note: 1 kN/m3 = 6.361 lb/ft 3 )
Chart for estimating pressure of backfill against retaining walls supporting backfills with
surface that slopes upward from crest of wall for limited distance and then becomes
horizontal (after Soil Mechanics in Engineering Practice, Second Edition, by K. Terzaghi
and R. B. Peck. Copyright 1967 by John Wiley and Sons. Reprinted with permission)
(note: 1 kN/m3 = 6.361 lb/ft 3 )
STABILITY CHECKS
To check the stability of a retaining wall, the following steps are necessary:
1. Check for overturning about its toe

2. Check for sliding along its base
3. Check for bearing capacity failure of the base
4. Check for settlement
5. Check for overall stability
This section describes the procedure for checking for overturning and sliding and bearing
capacity failure. The principles of investigation for settlement were covered in chapter 4
and will not be repeated here. Some problems regarding the overall stability of retaining
walls are discussed in section 5.
Check for Overturning’
Figure 7. 6 shows the forces acting on a cantilever and a gravity retaining wall, based on
the assumption that the Rankine active pressure is acting along a vertical plane 𝐴𝐴𝐴𝐴 drawn
through the heel. 𝑃𝑃𝑝𝑝 is the Rankine passive pressure; recall that its magnitude is
𝑃𝑃𝑝𝑝 = 12𝐾𝐾𝑝𝑝 𝛾𝛾2 𝐷𝐷2 + 2𝑐𝑐2 �𝐾𝐾𝑝𝑝 𝐷𝐷 (Chapter 6 equation 58)
Figure 7.6 Check for overturning: assume that Rankine pressure is valid:
Table 1 types of Backfill for Retaining Walls

1. Coarse-grained soil without admixture of fine soil particles, very permeable

(clean sand or gravel).
2. Coarse-grained soil of low permeability due to admixture of particles of silt size.
3. Residual soil with stones, fine silty sand, and granular materials with conspicuous
clay content.
4. Very soft or soft clay, organic silts, or silty clay.
5. Medium or stiff clay, deposited in chunks and protected in such a way that a
negligible amount of water enters the spaces between the chunks during floods or
heavy rains. If this condition of protection cannot be satisfied, the clay should not
be used as backfill material. With increasing stiffness of the clay, danger to the
wall due to infiltration of water increases rapidly.
From Soil Mechanics in Engineering Practice, Second Edition, by K. Terzaghi and R. B.

Peck. Copyright 1967 by John Wiley and Sons. Reprinted with permission.
Where
𝛾𝛾2 = unit weight of soil in front of the heel and under the base slab
𝐾𝐾𝑝𝑝 = Rankine passive earth pressure coefficient = tan2 (45 + 𝜙𝜙2 /2)
𝑐𝑐2 , 𝜙𝜙2 = cohesion and soil friction angle, respectively
The factor of safety against overturning about the toe-that is, about point C in figure 7. 6-
may be expressed as
Σ 𝑀𝑀
𝐹𝐹𝐹𝐹(overturning ) = Σ 𝑀𝑀𝑅𝑅 [7.2]
𝑂𝑂
Where
Σ 𝑀𝑀𝑂𝑂 = sum of the moments of forces tending to overturn about point 𝐶𝐶
Σ 𝑀𝑀𝑅𝑅 = sum of the moments of forces tending to resist overturning about point 𝐶𝐶
The overturning moment is

𝐻𝐻′
Σ 𝑀𝑀𝑂𝑂 = 𝑃𝑃ℎ � 3 � [7.3]
Where 𝑃𝑃ℎ = 𝑃𝑃𝑎𝑎 cos 𝛼𝛼
For calculation of the resisting moment, Σ 𝑀𝑀𝑅𝑅 (neglecting𝑃𝑃𝑃𝑃 ), a table (such as table 2) can
he prepared. The weight of the soil above the heel and the weight of the concrete (or
masonry) are both forces that contribute to the resisting moment. Note that the force 𝑃𝑃𝑣𝑣
also contributes to the resisting moment. 𝑃𝑃𝑣𝑣 is the vertical component of the active force
𝑃𝑃𝑎𝑎 , or
𝑃𝑃𝑣𝑣 = 𝑃𝑃𝑎𝑎 sin 𝛼𝛼 [7.4]
The moment of the force 𝑃𝑃𝑣𝑣 about C is
𝑀𝑀𝑣𝑣 = 𝑃𝑃𝑣𝑣 𝐵𝐵 = 𝑃𝑃𝑎𝑎 sin 𝛼𝛼 𝐵𝐵 [7.5]
Where
𝐵𝐵 = width of the base slab
Table 2 Procedure for Calculation of Σ 𝑀𝑀𝑅𝑅
Section Area Weight/unit length of Moment arm Moment about C

(1) (2) wall (3) measured from C (4) (5)
1 𝐴𝐴1 𝑊𝑊1 = 𝛾𝛾1 × 𝐴𝐴1 𝑋𝑋1 𝑀𝑀1
2 𝐴𝐴2 𝑊𝑊2 = 𝛾𝛾2 × 𝐴𝐴2 𝑋𝑋2 𝑀𝑀2
3 𝐴𝐴3 𝑊𝑊3 = 𝛾𝛾𝑐𝑐 × 𝐴𝐴3 𝑋𝑋3 𝑀𝑀3
𝑃𝑃𝑣𝑣 𝐵𝐵 𝑀𝑀𝑣𝑣
Σ 𝑉𝑉 Σ 𝑀𝑀𝑅𝑅
Note: 𝛾𝛾1 = unit weight of backfill
𝛾𝛾2 = unit weight of concrete
Once Σ 𝑀𝑀𝑅𝑅 is known, the factor of safety can be calculated as

𝑀𝑀1 +𝑀𝑀2 +𝑀𝑀3 +𝑀𝑀4 +𝑀𝑀5 +𝑀𝑀6
𝐹𝐹𝐹𝐹(overturning ) = [7.6]
𝑃𝑃𝑎𝑎 cos 𝛼𝛼 (𝐻𝐻 ′ /3)−𝑀𝑀𝑣𝑣
Check for Sliding Along the Base
The factor of safety against sliding may be expressed by the equation

Σ 𝐹𝐹
𝐹𝐹𝐹𝐹(sliding ) = Σ 𝐹𝐹𝑅𝑅 [7.7]
𝑑𝑑
Where
Σ 𝐹𝐹𝑅𝑅 = sum of the horizontal resisting forces
Σ 𝐹𝐹𝑑𝑑 = sum of the horizontal driving forces
Figure 7. 7 indicates that the shear strength of the soil immediately below the base slab
may be represented as
𝑠𝑠 = 𝜎𝜎 tan 𝛿𝛿 + 𝑐𝑐𝑎𝑎
Where
𝛿𝛿 = angle of friction between the soil and the base slab
𝑐𝑐𝑎𝑎 = adhesion between the soil and the base slab
Figure 7.7 Check for sliding along the base

Thus the maximum resisting force that can be derived from the soil per unit length of the
wall along the bottom of the base slab is
𝑅𝑅 ′ = 𝑠𝑠(area of cross section) = 𝑠𝑠(𝐵𝐵 × 1) = 𝐵𝐵𝐵𝐵 tan 𝛿𝛿 + 𝐵𝐵𝐵𝐵𝑎𝑎
However,
𝐵𝐵𝐵𝐵 = sum of the vertical force = Σ 𝑉𝑉 (see table 2)
So
𝑅𝑅 ′ = (Σ 𝑉𝑉) tan 𝛿𝛿 + 𝐵𝐵𝐵𝐵𝑎𝑎 + 𝑃𝑃𝑝𝑝 [7.8]
The only horizontal force that will tend to cause the wall to slide (driving force) is the
horizontal component of the active force 𝑃𝑃𝑎𝑎 , so
Σ 𝐹𝐹𝑑𝑑 = 𝑃𝑃𝑎𝑎 cos 𝛼𝛼 [7.9]
Combings equations (7, 8, and 9) yields

(Σ 𝑉𝑉) tan 𝛿𝛿+𝐵𝐵𝐵𝐵 𝑎𝑎 +𝑃𝑃𝑝𝑝
𝐹𝐹𝐹𝐹(sliding ) = [7.10]
𝑃𝑃𝑎𝑎 cos 𝛼𝛼
A minimum factor of safety of 1.5 against sliding is generally required.
In many cases, the passive force 𝑃𝑃𝑝𝑝 is ignored for calculation of the factor of safety with
respect to sliding. In general, we can write 𝛿𝛿 = 𝑘𝑘1 𝜙𝜙2 and 𝑐𝑐𝑎𝑎 = 𝑘𝑘2 𝑐𝑐2 . In most cases,
𝑘𝑘1 and 𝑘𝑘2 are in the range of 12 to 23. Thus
(Σ 𝑉𝑉) tan (𝑘𝑘 1 𝜙𝜙 2 )+𝐵𝐵𝐵𝐵 2 𝑐𝑐2 +𝑃𝑃𝑝𝑝
𝐹𝐹𝐹𝐹(sliding ) = [7.11]
𝑃𝑃𝑎𝑎 cos 𝛼𝛼
In some instances, certain walls may not yield a desired factor of safety of 1.5. To
increase their resistance to sliding, a base key may be used. Base keys are illustrated by
broken lines in figure 7. 7. It indicates that the passive force at the toe without the key is
𝑃𝑃𝑝𝑝 = 12𝛾𝛾2 𝐷𝐷2 𝐾𝐾𝑝𝑝 + 2𝑐𝑐2 𝐷𝐷�𝐾𝐾𝑝𝑝
However, it a key is included, the passive force per unit length of the wall becomes
𝑃𝑃𝑝𝑝 = 12𝛾𝛾2 𝐷𝐷 12 𝐾𝐾𝑝𝑝 + 2𝑐𝑐2 𝐷𝐷1 �𝐾𝐾𝑝𝑝
Where
𝐾𝐾𝑝𝑝 = tan2 (45 + 𝜙𝜙2 /2)

Because 𝐷𝐷1 > 𝐷𝐷, a key obviously will help increase the passive resistance at the toe and
hence the factor of safety against sliding. Usually the base key is constructed below the
stem and some main steel is run into the key.
Another possible way to increase the value of 𝐹𝐹𝐹𝐹(sliding ) is to consider reducing the value
of 𝑃𝑃𝑎𝑎 [see equation (11)]. One possible way to do so is to use the method, developed by
Elman and Terry (1988). The discussion here is limited to the case in which the retaining
wall has to horizontal granular backfill (figure 7. 8). In figure 7. 8, the active force, 𝑃𝑃𝑎𝑎 , is
horizontal (𝛼𝛼 = 0) so that
Figure 7.8 Retaining wall with sloped heel
𝑃𝑃𝑎𝑎 cos 𝛼𝛼 = 𝑃𝑃ℎ = 𝑃𝑃𝑎𝑎
And
𝑃𝑃𝑎𝑎 sin 𝛼𝛼 = 𝑃𝑃𝑣𝑣 = 0
However,
𝑃𝑃𝑎𝑎 = 𝑃𝑃𝑎𝑎(1) + 𝑃𝑃𝑎𝑎(2) [7.12]
The magnitudes of 𝑃𝑃𝑎𝑎(2) can be reduced if the heel of the retaining wall is sloped as
shown in figure 7. 8b. For this case,
𝑃𝑃𝑎𝑎 = 𝑃𝑃𝑎𝑎(1) + 𝐴𝐴𝐴𝐴𝑎𝑎 (2) [7.13]
The magnitude of A, as shown in figure 7. 9, is valid for 𝛼𝛼 ′ = 45° . However, note that in
figure 7. 8a
Figure 7.9 Variation of A with friction angle of backfill [equation (14)]
𝑃𝑃𝑎𝑎(1) = 12𝛾𝛾1 𝐾𝐾𝑎𝑎 (𝐻𝐻′ − 𝐷𝐷′ )2
And
𝑃𝑃𝑎𝑎 = 12𝛾𝛾1 𝐾𝐾𝑎𝑎 𝐻𝐻′2
Hence
2
𝑃𝑃𝑎𝑎(2) = 12𝛾𝛾1 𝐾𝐾𝑎𝑎 [𝐻𝐻 ′ − (𝐻𝐻 ′ − 𝐷𝐷′ )2 ]
So, for the active pressure diagram shown in figure 7. 8b,

𝐴𝐴 2
𝑃𝑃𝑎𝑎 = 12𝛾𝛾1 𝐾𝐾𝑎𝑎 (𝐻𝐻 ′ − 𝐷𝐷′ )2 + 2 𝛾𝛾1 𝐾𝐾𝑎𝑎 [𝐻𝐻 ′ − (𝐻𝐻 ′ − 𝐷𝐷′ )2 ] [7.14]
Sloping the heel of a retaining wall can thus be extremely helpful in some cases.
Module 8
(Lectures 29 to 34)
PILE FOUNDATIONS
Topics
29.1 INTRODUCTION
29.2 TYPES OF PILES AND THEIR STRUCTURAL
CHARACTERISTICS
 Steel Piles
 Concrete Piles
 Cased Pile
 Uncased Pile
 Timber Piles
 Composite Piles
 Comparison of Pile Types
29.3 ESTIMATING PILE LENGTH
 Point Bearing Piles

 Friction Piles
 Compaction Piles
29.4 INSTALLATION OF PILES
30.1 LOAD TRANSFER MECHANISM

30.2 EQUATIONS FOR ESTIMATING PILE CAPACITY
 Point Bearing Capacity, 𝑸𝑸𝒑𝒑

 Frictional Resistance, 𝑸𝑸𝒔𝒔
30.3 MEYERHOF’S METHODS ESTIMATION OF 𝑸𝑸𝒑𝒑

 Sand
 Clay (𝝓𝝓 = 𝟎𝟎 𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜)
30.4 VESIC’S METHOD-ESTIMATION OF 𝑸𝑸𝒑𝒑
30.5 JANBU’S METHOD-ESTIMATION OF 𝑸𝑸𝒑𝒑
30.6 COYLE AND CASTELLO’S METHOD-ESTIMATION OF

𝑸𝑸𝒑𝒑 IN SAND
30.7 FRICTIONAL RESISTANCE (𝑸𝑸𝒔𝒔 ) IN SAND
31.1 FRICTIONAL (SKIN) RESISTANCE IN CLAY

31.2 POINT BEARING CAPACITY OF PILES RESTING ON
ROCK
31.3 PILE LOAD TESTS
32.1 COMPARISON OF THEORY WITH FIELD LOAD TEST

RESULTS
32.2 SETTLEMENT OF PILES

32.3 PULLOUT RESISTANCE OF PILES
 Piles in Clay
 Piles in Sand
32.4 LATERALLY LOADED PILES

 Elastic Solution
 Ultimate Load Analysis-Brom’s Method
 Ultimate Load Analysis-Meyerhof’s Method
 Piles in Sand
33.1 PILE-DRIVING FORMULA

33.2 NEGATIVE SKIN FRICTION
 Clay Fill over Granular Soil

 Granular Soil Fill over Clay
33.3 GROUP PILES

33.4 GROUP EFFICIENCY
34.1 ULTIMATE CAPACITY OF GROUP

34.2 PILES IN SATURATED CLAY
34.3 PILES IN ROCK
34.4 CONSOLIDATION SETTLEMENT OF GROUP PILES
34.5 ELASTIC SETTLEMENT OF GROUP PILES
34.6 UPLIFT CAPACITY OF GROUP PILES
PROBLEMS
REFERENCES
Module 8
Lecture 29
PILE FOUNDATIONS
Topics
1.2 INTRODUCTION
1.3 TYPES OF PILES AND THEIR STRUCTURAL
CHARACTERISTICS
 Steel Piles
 Concrete Piles
 Cased Pile
 Uncased Pile
 Timber Piles
 Composite Piles
 Comparison of Pile Types
1.4 ESTIMATING PILE LENGTH

 Point Bearing Piles
 Friction Piles
 Compaction Piles
1.5 INSTALLATION OF PILES

INTRODUCTION
Piles are structural members that are made of steel, concrete, and/or timber. They are
used to build pile foundations, which are deep and which cost more than shallow
foundations (chapters 3 and 4). Despite the cost, the use of piles often is necessary to
ensure structural safety. The following list identifies some of the conditions that require
pile foundations (Vesic, 1977).
1. When the upper soil layer(s) is (are) highly compressible and too weak to support
the load transmitted by the superstructure, piles are used to transmit the load to
underlying bedrocks or a stronger soil layer, as shown in figure 8.1a. When
bedrock is not encountered at a reasonable depth below the ground surface, piles
are used to transmit the structural load to the soil gradually. The resistance to the
applied structural load is derived mainly from the frictional resistance developed
at the soil-pile interface (figure 8. 1b).
Figure 8.1 Conditions for use of pile foundations

2. When subjected to horizontal forces (see figure 8.1c), pile foundations resist by
bending while still supporting the vertical load transmitted by the superstructure.
This type of situation is generally encountered in the design and construction of
earth-retaining structures and foundations of tall structures that are subject to high
wind and/or earthquake forces.
3. In many cases, expansive and collapsible soils (chapter 11) may be present at the
site of a proposed structure. These soils may extend to a great depth below the
ground surface. Expansive soils swell and shrink as the moisture content increases
and decreases, and the swelling pressure of such soils can be considerable. If
shallow foundations are used in such circumstances, the structure may suffer
considerable damage. However, pile foundations may be considered as an
alternative when pies are extended beyond the active zone, which swells and
shrinks (figure 8.1d).
Soils such as loess are collapsible in nature. When the moisture content of these
soils increases, their structures ay break down. A sudden decrease in the void ratio
of soil induces large settlements of structures supported by shallow foundations.
In such cases, piles foundations may be used in which piles are extended into
stable soil layers beyond the zone of possible moisture change.
4. Foundations of some structures, such as transmission towers, offshore platforms,

and basement mats below the water table, are subjected to uplifting forces. Piles
are sometimes used for these foundations to resist the uplifting force (figure 8.
1e).
5. Bridge abutments and piers are usually constructed over pile foundations to avoid
the possible loss of bearing capacity that a shallow foundation might suffer
because of soil erosion at the ground surface (figure 8.1f).
TYPES OF PILES AND THEIR STRUCTURAL CHARACTERISTICS
Different types of piles are used in construction work, depending on the type of load to be
carried, the subsoil conditions, and the location of the water table. Piles can be divided
into the following categories: (a) steel piles (b) concrete piles, (c) wooden (timber) piles,
and (d) composite piles.
Steel Piles
Steel piles generally are either pile piles or rolled steel H-section piles. Pipe piles can be
driven into the ground with their ends open or closed. Wide-flange and I-section steel
beams can also be used as piles. However, H-section piles are usually preferred because
their wed and flange thicknesses are equal. In wide-flange and I-section beams, the wed
thicknesses are smaller than the thicknesses of the flange. Table D. I. (Appendix D) gives
the dimensions of some standard H-section steel piles used in the United States. Table
D.2 (Appendix D) shows selected pile sections frequently used for piling purposes. In
many cases, the pile piles are filled with concrete after driving.
The allowable structural capacity for steel piles is
𝑄𝑄all = 𝐴𝐴𝑠𝑠 𝑓𝑓𝑠𝑠 [8.1]
Where
𝐴𝐴𝑠𝑠 = cross − sectional area of the steel
𝑓𝑓𝑠𝑠 = allowable stress of steel
Based on geotechnical considerations (once the design load for a pile is fixed)
determining whether 𝑄𝑄(design ) is within the allowable range as defined by equation 1) is
always advisable.
When necessary, steel piles are spliced by welding or by riveting. Figure 8. 2a shows a
typical condition of splicing by welding for an H-pile. A typical case of splicing by
welding for a pipe is shown in figure 8. 2b. Figure 8. 2c shows a diagram of splicing an
H-pile by rivets or bolts.
Figure 8. 2 Steel piles: (a) splicing of H-pile by welding; (b) splicing of pile by welding;
(c) splicing of H-pile rivets and bolts; (d) flat driving point of pipe pile; (e) conical
driving point of pipe pile
When hard driving conditions are expected, such as driving through dense gravel, shale,
and soft rock, steel piles can be fitted with driving points or shoes. Figure 8.2d and 8.2e
are diagrams of two types of shoe used for pipe piles.
Steel piles may be subject to corrosion. For example, swamps, peats, and other organic
soils are corrosive. Soils that have a pH greater than 7 are not so corrosive. To offset the
effect of corrosion, an additional thickness of steel (over the actual design cross-sectional
area) is generally recommended. In many circumstances, factory-applied epoxy coatings
on piles work satisfactorily against corrosion. These coatings are not easily damaged by
pile driving. Concrete encasement of steel piles in most corrosive zones also protects
against corrosion.
Concrete Piles
Concrete piles may be divided into two basic categories: (a) precise piles and (b) case-in-
situ piles. Precast piles can be prepared by using ordinary reinforcement, and they can be
square or octagonal in cross section (figure 8.3). Reinforcement is provided to enable the
pile to resist the bending moment developed during pickup and transportation, the
vertical load, and the bending moment caused by lateral load. The piles are cast to desired
lengths and cured before being transported to the work sites.
Figure 8.3 Precast piles with ordinary reinforcement
Precise piles can also be prestressed by the use of high-strength steel prestressing cables.
The ultimate strength of these steel cables is about 260 ksi (≈ 1800 MN/m2 ). During
casting of the piles, the cables are pretensioned to about 130 − 190 ksi (≈ 900 −
1300 MN/m2 ), and concrete is poured around them. After curing, the cables are cut, thus
producing a compressive force on the pile section. Table D3 (Appendix D) gives
additional information about prestressed concrete piles with square and octagonal cross
sections.
Cast-in-situ, or cast-in-place, piles are built by making a hole in the ground and then
filling it with concrete. Various types of cast-in-place concrete pile are currently used in
construction, and most of them have been pat ended by their manufactures. These piles
may be divided into two broad categories: (a) cased and (b) uncased. Both types may
have a pedestal at the bottom.
Cased piles are made by driving a steel casing into the ground with the help of a mandrel
placed inside the casing. When the pile reaches the proper depth, the mandrel is
withdrawn and the casing is filled with concrete. Figure 8.4a, b, c, and d show some
examples of cased piles without a pedestal. Table 1 gives additional information about
these cased piles. Figure 8.4 shows a cased pile with a pedestal. The pedestal is an
expanded concrete bulb that is formed by dropping a hammer on fresh concrete.
Figure 8.4 Cast-in-place concrete piles (see table 1 for descriptions)
Figure 8.4f and 8.4g are two types of uncased pile, one with a pedestal and the other
without. The uncased piles are made by first driving the casing to the desired depth and
then filling it with fresh concrete. The casing is then gradually withdrawn.
The allowable loads fore cast-in-place concrete piles are given by the following
equations,
Cased Pile
𝑄𝑄all = 𝐴𝐴𝑠𝑠 𝑓𝑓𝑠𝑠 + 𝐴𝐴𝑐𝑐 𝑓𝑓𝑐𝑐 [8.2a]
Where
𝐴𝐴𝑠𝑠 = area of cross section of steel
𝐴𝐴𝑐𝑐 = area of cross section of concrete
𝑓𝑓𝑠𝑠 = allowable stress of steel
𝑓𝑓𝑐𝑐 = allowable stress of concrete
Uncased Pile
𝑄𝑄all = 𝐴𝐴𝑐𝑐 𝑓𝑓𝑐𝑐 [2b]
Table 1 Description of the Cast-in-Place Piles Shown in figure 8. 4
Maximum usual depth of pile

Part in figure 8.
4 Name of pile Type of casing (ft) (meter)
a Raymond Step- Corrugated, 100 30

Taper thin, cylindrical
casing
b Monotube or Thin, fluted, 130 40

Union Metal tapered steel
casing driven
without mandrel
c Western cased Thin sheet 100-130 30-40

casing
d Seamless pile or Straight steel 160 50

Armco pipe casing
e Franki cased Thin sheet 100-130 30-40

pedestal casing
f Western - 50-65 15-20

uncased without
pedestal
g Franki uncased - 100-130 30-40

pedestal
Timber Piles
Timber piles are tree trunks that have had their branches and bark carefully trimmed off.
The maximum length of most timber piles is 30-65 ft (10-20 m). To qualify for use as a
pile, the timber should be straight, sound, and without any defects. The American Society
of Civil Engineers’ Manual of Practice, No. 17 (1959), divided timber piles into three
classifications:
1. Class A piles carry heavy loads. The minimum diameter of the butt should be 14
in. (356 mm).
2. Class B piles are used to carry medium loads. The minimum butt diameter should
be 12-13 in. (305-330 mm).
3. Class C piles are used in temporary construction work. They can be used
permanently for structures when the entire pile is below the water table. The
minimum butt diameter should be 12 in. (305 mm).
In any case, a pile tip should not have a diameter less than 6 in. (150 mm).
Timber piles cannot withstand hard driving stress; therefore, the pile capacity is generally
limited to about 25-30 tons (220 − 270 kN). Steel shoes may be used to avoid damage at
the pile tip (bottom). The tops of timber piles may also be damaged during the driving
operation. The crushing of the wooden fibers caused by the impact of the hammer is
referred to as brooming. To avoid damage to the pile top, a metal band or a cap may be
used.
Splicing of timber piles should he avoided, particularly when they are expected to carry
tensile load or lateral load. However, if splicing is necessary, it can be done by using pile
sleeves (figure 8.5a) or metal straps and bolts (figure 8. 5b). The length of the pile sleeve
should be at least five times the diameter of the pile. The butting ends should be cut
square so that full contact can be maintained. The spliced portions should be carefully
trimmed so that they fit tightly to the inside of the pile sleeve. In the case of metal straps
and bolts, the butting ends should also be cut square. Also, the sides of the spliced portion
should be trimmed plane for putting the straps on.
Figure 8. 8.5 Splicing of timber piles: (a) use of pipe sleeves; (b) use of metal straps and
bolts
Timber piles can stay undamaged indefinitely if they are surrounded by saturated soil.
However, in a marine environment timber piles are subject to attack by various organisms
and can be damaged extensively in a few months. When located above the water table,
the piles are subject to attach by insects. The life of the piles may be increased by treating
them with preservatives such as creosote.
The allowable load-carrying capacity of wooden piles is
𝑄𝑄all = 𝐴𝐴𝑝𝑝 𝑓𝑓𝑤𝑤 [8.3]
Where
𝐴𝐴𝑝𝑝 = average area of cross section of the pile
𝑓𝑓𝑤𝑤 = allowable stress for the timber
The following allowable stresses are for pressure-treated round timber piles made from
Pacific Coast Douglas fir and Southern pine, when used in hydraulic structures (ASCE,
1993).
Allowable stress Pacific coast Douglas fir Southern pine
Compression parallel to 875 lb/in2 (6.04 MN/m2 ) 825 lb/in2 (5.7MN/m2 )

gain
Bending 1700 lb/in2 (11.7 MN/ 1650 lb/in2 (11.4 MN/

m2 ) m2 )
Horizontal shear 95 lb/in2 (0.66 MN/m2 ) 90 lb/in2 (0.62 MN/m2 )
Compression perpendicular 190 lb/in2 (1.31 MN/m2 ) 205 lb/in2 (1.41 MN/m2 )
to grain
Composite Piles
The upper and lower portions of composite piles are made of different materials. For
example, composite piles may be made of steel and concrete or timber and concrete. Steel
and concrete piles consist of a lower portion of steel and an upper portion of cast-in-place
concrete. This type of pile is the one used when the length of the pile required for
adequate bearing exceeds the capacity of simple cast-in-place concrete piles. Timber and
concrete piles usually consist of a lower portion of timber pile below the permanent water
table and an upper portion of concrete. In any case, forming proper joints between two
dissimilar materials is difficult, and, for that reason, composite piles are not widely used.
Comparison of Pile Types

Several factors affect the selection of piles for a particular structure at a specific site.
Table 2 gives a brief comparison of the advantages and disadvantages of the various
types of pile based on the pile material.
Table 2 Comparison of Piles Made of Different Materials
Pile Usual Maximum Usual load Approximate Comments

type length of length of maximum load
piles pile
Steel 50-200 ft Practicall 67 Equation (1) Advantages

(15-60 m) y − 270 kip (300 a. Easy to
unlimited − 1200 kN) handle with
respect to
cutoff and
extension to
the desired
length
b. Can stand
high driving
stresses
c. Can
penetrate
hard layers
such as
dense
gravel, soft
rock
d. High load-
carrying
capacity
Disadvantages
a. Relatively
costly
material
b. High level
of noise
during pile
driving
c. Subject to
corrosion
d. H-piles may
be damaged
or deflected
from the
vertical
during
driving
through
hard layers
or past
major
obstructions
Precast Precast: Precast: 67 Precast: Advantages

concre 30-50 ft − 675 kip (300 a. Can be
te (10-15 m) 100 ft (30 − 3000 kN) 180 subjected to
m) − 200 kip (800 hard driving
Prestresse − 900 kN) b. Corrosion
d: Prestresse resistant
d: c. Can be
30-150 ft easily
(`10-35 200 ft (60 Prestressed:
combined
m) m) with
1700
concrete
− 1900 kip (7500
superstructu
− 8500 kN)
re
Disadvantages
a. Difficult to
achieve
proper
cutoff
b. Difficult to
transport
Cased 15-50 ft 100-130 ft 45 115 kip (200180 kip (800 kN)Advantages

cast- (5-15 m) (30-40 m) − 50 kN) a. Relatively
in- cheap
place b. Possibility
concre of
te inspection
before
pouring
concrete
c. Easy to
extend
Disadvantages
a. Difficult to
splice after
concreting
b. This casings
may be
damaged
during
driving
Uncas 15-5- ft 100-130 ft 65 160 kip (700 kN)Advantages

ed (5-15 m) (30-40 m) − 115 kip (300 a. Initially
cast- − 500 kN) economical
in- b. Can be
place finished at
concre ay elevation
te
Disadvantages
a. Voids may
be created if
concrete is
placed
rapidly
b. Difficult to
splice after
concreting
c. In soft soils,
the sides of
the hole
may cave
in, thus
squeezing
the concrete
Wood 30-50 ft 100 ft (30 2245 kip (100 60 kip (270 kN) Advantages
(10-15 m) m) − 200 kN) a. Economical
b. Easy to
handle
c. Permanentl
y
submerged
piles are
fairly
resistant to
decay
Disadvantages
a. Decay
above water
table
b. Can be
damaged in
hard driving
c. Low load-
bearing
capacity
d. Low
resistance to
tensile load
when
spliced
ESTIMATING PILE LENGTH
Selecting the type of pile to be used and estimating its necessary length are fairly difficult
tasks that require good judgment. In addition to the classification given in section 2, piles
can be divided into three major categories, depending on their lengths and the
mechanisms of load transfer to the soil: (a) point bearing piles, (b) friction piles, and (c)
compaction piles.
Point Bearing Piles
If soil-boring records establish the presence of bedrocks or rocklike material at a site

within a reasonable depth, piles can be extended to the rock surface. (Figure 8.6a). In
this case, the ultimate capacity of the piles depends entirely on the load bearing capacity
of the underlying material; thus the piles are called point bearing piles. In most of these
cases, the necessary length of the pile can be fairly well established.
Figure 8.6 (a) and (b) Point bearing piles; (c) friction piles
If, instead to bedrock, a fairly compact and hard stratum of soil is encountered at a
reasonable depth, piles can be extended a few meters into the hard stratum (figure 8. 6b).
Piles with pedestals can be constructed on the bed of the hard stratum, and the ultimate
pile load may be expressed as
𝑄𝑄𝑢𝑢 + 𝑄𝑄𝑝𝑝 + 𝑄𝑄𝑠𝑠 [8.4]
Where
𝑄𝑄𝑝𝑝 = load carried at the pile point
𝑄𝑄𝑠𝑠 = load carried by skin friction developed at the side of the pile (caused by
shearing resistance between the soil and the pile)
If 𝑄𝑄𝑠𝑠 is very small,
𝑄𝑄𝑢𝑢 ≈ 𝑄𝑄𝑝𝑝 [8.5]
In this case, the required pile length maybe estimated accurately if proper subsoil
exploration records are available.
Friction Piles
When no layer of rock or rocklike material is present at a reasonable depth at a site, point
bearing piles become very long and uneconomical. For this type o subsoil condition, piles
are driven through the softer material to specified depths (figure 8. 6c). The ultimate load
of these piles may be expressed by equation (4). However, if the value o 𝑄𝑄𝑝𝑝 is relatively
small,
𝑄𝑄𝑢𝑢 ≈ 𝑄𝑄𝑠𝑠 [8.6]
These piles are called friction piles because most of the resistance is derived from skin
friction. However, the term friction pile, although used often in the literature, is a
misnomer: in clayey soils, the resistance to applied load is also caused by adhesion.
The length of friction of piles depends on the shear strength of the soil, the applied load
and the pile size. To determine the necessary lengths of these piles, an engineer needs a
good understanding of soil-pile interaction, good judgment, and experience. Theoretical
procedures for the calculation of load-bearing capacity of piles are presented later in this
chapter.
Compaction Piles
Under certain circumstances, piles are driven in granular soils to achieve proper
compaction of soil close to the ground surface. These piles are called compaction piles.
The length of compaction piles depends on factors such as (a) relative density of the soil
before compaction, (b) desired relative density of the soil after compaction, and (c)
required depth of compaction. These piles are generally short; however, some field tests
are necessary to determine a reasonable length.
INSTALLATION OF PILES
Most piles are driven into the ground by means of hammers or vibratory drivers. In
special circumstances, piles can also be inserted by jetting or partial augering. The types
of hammer used for pile driving include the (a) drop hammer, (b) single acting air or
steam hammer, (c) double-acting and differential air or steam hammer, and (d) diesel
hammer. In the driving operation, a cap is attached to the top of the pile. A cushion may
be used between the pile and the cap. This cushion has the effect of reducing the impact
force and spreading it over a longer time; however, its use is optional. A hammer cushion
is placed on the pile cap. The hammer drops on the cushion.
Figure 8. 7 illustrated various hammers. A drop hammer (figure 8. 7a) is raised by a

winch and allowed to drop from a certain height H. it is the oldest type of hammer used
for pile driving. The main disadvantage of the drop hammer is the slow rate of hammer
blows. The principle of the single-acting air or steam hammer is shown in figure 8. 7b. In
this case, the striking part, or ram, is raised by air or steam pressure and then drops by
gravity. Figure 8.7c shows the operation of the double-acting and differential air or steam
hammer. For these hammers, air or steam is used both to raise the ram and to push it
downward. This increases the impact velocity of the ram. The diesel hammer (figure 8.
7d) essentially consists of a ram, an anvil block, and a fuel-injection system. During the
operation, the ram is first raised and fuel is injected near the anvil. Then the ram is
released. When the ram drops, it compresses the air fuel mixture, which ignites it. This
action, in effect, pushes the pile downward and raises the ram. Diesel hammers work well
under hard driving conditions. In soft sols, the downward movement of the pile is rather
large, and the upward movement of the ram is small. This differential may not be
sufficient to ignite the air-fuel system, so the ram may have to be lifted manually.
Figure 8.7 Pile-driving equipment: (a) drop hammer; (b) single-acting air or seam
hammer; (c) double-acting and differential air or steam hammer; (d) diesel hammer; (e)
vibratory pile driver
Figure 8.7 (Continued)
The principles of operation of a vibratory pile driver are shown in figure 8.7e. This driver
essentially consists of two counter-rotating weights. The horizontal components of the
centrifugal force generated as a result of rotating masses cancel each other. As a result, a
sinusoidal dynamic vertical force is produced on the pile and helps drive the pile
downward.
Jetting is a technique sometimes used in pile driving when the pile needs to penetrate a
thin layer of hard soil (such as sand and gravel) overlying a softer soil layer. In this
technique, water is discharged at the pile point by means of a pile 2-3 in. (50-75 mm) is
diameter to wash and loosen the sand and gravel.
Piles driven at an angle to the vertical, typically14° to 20° , are referred to as batter piles.
Batter piles are used in group piles when higher lateral load-bearing capacity is required.
Piles also may be advanced by partial augering, with power augers (chapter 2) being used
to predrill holes part of the way. The piles can then be inserted into the holes and driven
to the desired depth.
Based on the nature of their placement, piles may be divided into two categories:
displacement piles and nondisplacement piles. Driven piles are displacement piles
because they move some soil laterally; hence there is a tendency for densification of soil
surrounding them. Concrete piles and closed-ended pile piles are high-displacement piles.
However, steel H-piles displace less soil laterally during driving, and so they are low-
displacement piles. In contrast, bored piles are nondisplacement piles because their
placement causes very little change in the state of stress in the soil.
Module 9
Lecture 35 to 40
DRILLED-SHAFT AND CAISSON FOUNDATIONS
Topics
35.1 INTRODUCTION
35.2 DRILLED SHAFTS
35.3 TYPES OF DRILLED SHAFTS
35.4 CONSTRUCTION PROCEDURES
 Use of Casings and Drilling Mud

 Inspection of the Bottom of the Hole
35.5 OTHER DESIGN CONSIDERATIONS
 Concrete Mix Design

35.7 ESTIMATED OF LOAD-BEARING CAPACITY –
GENERAL
36.1 DRILLED SHAFTS IN SAND-LOAD-BEARING CAPACITY
 1.1.2 Load Bearing Capacity Based on Settlement
36.2 EXAMPLES & SOLUTIONS
 1.2.1 Determination of the Shaft diameter, 𝑫𝑫𝒔𝒔

 1.2.2 Determination of the Bell Diameter
 1.2.3 Determination of Be Diameter
37.1 DRILLED SHAFTS IN CLAY-LOAD-BEARING CAPACITY

37.3 SETTLEMENT OF DRILLED SHAFTS AT WORKING
LOAD
38.1 UPLIFT CAPACITY OF DRILLED SHAFTS

39.1 LATERAL LOAD-CARRYING CAPACITY

39.2 DRILLED SHAFTS EXTENDING INTO ROCK
40.1 CAISSONS
40.2 TYPES OF CAISSONS
40.3 THICKNESS OF CONCRETE SEAL IN OPEN CAISSONS
 Check for Perimeter Shear

 Check Against Buoyancy
Module 9
Lecture 35
DRILLED-SHAFT AND CAISSON FOUNDATIONS
Topics
1.2 INTRODUCTION
1.3 DRILLED SHAFTS
1.4 TYPES OF DRILLED SHAFTS
1.5 CONSTRUCTION PROCEDURES
 Use of Casings and Drilling Mud

 Inspection of the Bottom of the Hole
1.6 OTHER DESIGN CONSIDERATIONS’}
 Concrete Mix Design

1.8 ESTIMATED OF LOAD-BEARING CAPACITY –GENERAL
INTRODUCTION
The terms caisson, pier, drilled shaft, and drilled pier are often used interchangeably in
foundation engineering; all refer to a cast-in-place pile generally having a diameter of
about 2.5 ft (≈ 750 mm) or more, with or without steel reinforcement and with or
without an enlarged bottom. Sometimes the diameter can be as small as 1 ft (≈
305 mm).
To avoid confusion, we use the term drilled shaft for a hole drilled or excavated to the
bottom of a structure’s foundation and then filled with concrete. Depending on the soil
conditions, casings or laggings (boards or sheet piles) may be used to prevent the soil
around the hole from caving in during construction. The diameter of the shaft is usually
large enough for a person to enter for inspection.
The use of drilled-shaft foundations has several advantages:
1. A single drilled shaft may be used instead of a group of piles and the pile cap.
2. Construction drilled shafts in deposits of dense sand and gravel is easier than
driving piles.
3. Drilled shafts may be constructed before completion of grading operations.
4. When piles are driven by a hammer, the ground vibration may cause damage to
nearby structures, which the use of drilled shafts avoids.
5. Piles driven into clay soils may produce ground heaving and because previously
driven piles to move laterally, which does not occur during construction of drilled
shafts.
6. There is no hammer noise during the construction of drilled shafts, as there is
during pile driving.
7. Because the base of a drilled shaft can be enlarged, it provides great resistance to
the uplifting load.
8. The surface over which the base of the drilled shaft is constructed can be visually
inspected.
9. Construction of drilled shafts generally utilizes mobile equipment, which, under
proper soil conditions, may prove to be more economical than methods of
constructing pile foundations.
10. Drilled shafts have high resistance to lateral loads.
DRILLED SHAFTS
TYPES OF DRILLED SHAFTS
Drilled shafts are classified according to the ways in which they are designed to transfer
the structural load to the substratum. Figure 9.1a shows a drilled straight shaft. It extends
through the upper layer(s) of poor soil, and its tip rests on a strong load-bearing soil layer
or rock. The shaft can be cased with steel shell or pipe when required (as in the case of
cased, cast-in-place concrete piles; figure 9.4 from chapter 9). For such shafts, the
resistance to the applied load may develop from end bearing and also from side friction at
the shaft perimeter and soil interface.
Figure 9.1 Types of drilled shaft: (a) straight-shaft; (b) and (c) belled shaft; (d) straight-
shaft socketed into rock
A belled shaft (figure 9. 1b and c) consists of a straight shaft with a bell at the bottom,
which rests on good bearing soil. The bell can be constructed in the shape of a dome
(figure 9. 1b), or it can be angled (figure 9. 1c). For angled bells, the underreaming tools
commercially available can make 30° to 45° angles with the vertical. For the majority of
drilled shafts constructed in the United States, the entire load-carrying capacity is
assigned to the end bearing only. However, under certain circumstances, the end-bearing
capacity and the side friction are taken into account. In Europe, both the side frictional
resistance and the end-bearing capacity are always taken into account.
Straight shafts can also be extended into an underlying rock layer (figure 9. 1d). In the
calculation of the load-bearing capacity of such shafts, the end bearing and the shear
stress developed along the shaft perimeter and rock interface can be taken into account.
CONSTRUCTION PROCEDURES
One of the oldest methods of construction of drilled shafts is the Chicago method (figure
9.2a). In this method, circular holes with diameters of 3.5 ft (1.1 m) or more are
excavated by hand for depths of 2-6 ft (0.6-1.8 m) at a time. The sides of the excavated
hole are then lined with vertical boards, referred to as laggings. They are held tightly in
place by two circular steel rings. After placement of the rings, the excavation is continued
for another 2-6 ft (0.6-1.8 m). When the desired depth of excavation is reached, the bell is
excavated. Following the completion of the excavation the hole is filled with concrete.
Figure 9.2 (a) Chicago method of drilled-shaft construction; (b) Gow method of drilled-
shaft construction
In the Gow method of construction (figure 9. 2b), the hole is excavated by hand.
Telescopic metal shells are used to maintain the shaft. The shells can be removed one
section at a time as concreting progresses. The minimum diameter of a Gow drilled shaft
is about 4 ft (1.22 m). Any given section of the shell is about 2 in. (50 mm) less in
diameter than the section immediately above it. Shafts as deep as 100 ft (30 m) have been
installed by this method.
Most shaft excavations are now done mechanically rather than by hand. Open helix
augers (flight augers) are common excavation tools. These augers have cutting edges or
cutting teeth. Those with cutting edges are used mostly for drilling in soft, homogeneous
sol; those with cutting teeth are for drilling in hand soil and hard pan. The auger is
attached to a square shaft referred to as the Kelly and pushed into the soil and rotated.
When the flights are filled with soil, the auger is raised above the ground surface, and the
soil is dumped into a pile by rotating the auger at high speed. These augers are available
in various diameters; sometimes they may be as large as 10 ft (3 m) or more.
When the excavation is extended to the level of the load-bearing stratum, the auger is
replaced by underreaming tools to shape the bell, if required. An underreamer essentially
consists of a cylinder with two cutting blades hinged to the top of the cylinder (figure 9.
3). When the underreamer is lowered into the hole, the cutting blades stay folded inside
the cylinder. When the bottom of the hole is reached, the blades are spread outward, and
the underreamer is rotated. The loose soil falls inside the cylinder, which is raised
periodically and emptied until the bell is completed. Most underreamers can cut bells
with diameters as large as three times the diameter of the shaft.
Figure 9.3 Underreamer
Another common drilling device is the bucket-type drill. It is essentially a bucket with an
opening and cutting edges at the bottom. The bucket is attached to the Kelly and rotated.
The loose soil is collected in the bucket, which is periodically raised and emptied. Holes
as large as 16-18 ft (5-5.5m) in diameter can be drilled with this type of equipment.
When rock is encountered during drilling, core barrels with tungsten carbide teeth
attached to the bottom of the barrels are used. Shot barrels are also used for drilling into
hard rock. The principle of rock coring by a shot barrel is shown in figure 9. 4. The drill
stem is attached to the shot barrel’s plate. The barrel has some feeder slots through which
chilled steel shots are supplied to the bottom of the bore hole. The steel shots cut the rock
when the barrel is rotated. Water is supplied to the drill hole through the drill stem. Fine
rocks re steel particles (produced by the grinding of the steel shots) are washed upward,
and they settle on the upper portion o the barrel.
Figure 9.4 Schematic diagram of shot barrel
The Benoto machine is another type of drilling equipment that is generally used when
drilling conditions are difficult and many boulders are in the soil. It essentially consists of
a steel tube that can be oscillated and pushed into the soil. A tool usually referred to as
the hammer grab, which is fitted with cutting blades and jaws, is used to break up the soil
and rock inside the tube and remove them.
Use of Casings and Drilling Mud
When holes are driven in soft clays, the soil tends to squeeze in and close the hole. In
such situations, casings may be used to keep the hole open and may have to be driven
before excavation begins. Holes made in gravelly and sandy soils also tend to cave in.
Excavation of drilled-shaft holes in these soils can be continued either by casing as the
hole progresses or by using drilling mud. As pointed out in chapter 2, drilling mud is also
used during field exploration.
Inspection of the Bottom of the Hole

In many instances, the bottom of the hole must be inspected to ensure that the load-
bearing stratum is what was anticipated and that the bell is properly done. For these
reasons, an inspector must descend to the bottom of the hole. Several safety precautions
must be observed during this procedure:
1. If a casing is not already in the hole, one should be lowered by crane into it to
prevent the hole and the bell from collapsing.
2. The hole should be tested for the presence of poisonous or explosive gases, which
can be done by using a miner’s safety lamp.
3. The inspector should wear a safety harness.
4. The inspector should also carry a safety lamp and an air tank.
OTHER DESIGN CONSIDERATIONS’
For the design of ordinary drilled shafts without casings, a minimum amount of vertical
steel reinforcement is always desirable. Minimum reinforcement is 1% of the gross cross-
sectional area of the shaft. In California, a reinforcing cage having a length of about 12 ft
(3.65 m) is used in the top part of the shaft, and no reinforcement is provided at the
bottom. This procedure helps in the construction process because the cage is placed after
most of the concreting is complete.
For drilled shafts with nominal reinforcement, most building codes suggest using a
design concrete strength, 𝑓𝑓𝑐𝑐 on the order of 𝑓𝑓′𝑐𝑐 /4. Thus the minimum shaft diameters
becomes
𝑄𝑄 𝑄𝑄
𝑓𝑓𝑐𝑐 = 0.25𝑓𝑓′𝑐𝑐 = 𝐴𝐴 𝑤𝑤 = 𝜋𝜋 𝑤𝑤2
𝑔𝑔𝑔𝑔 𝐷𝐷
4 𝑠𝑠
Or
𝑄𝑄 𝑄𝑄
𝐷𝐷𝑠𝑠 = � 𝜋𝜋 𝑤𝑤 = 2.257� 𝑓𝑓′𝑤𝑤 [1.1]
� �(0.25)𝑓𝑓′ 𝑐𝑐 𝑐𝑐
4
Where
𝐷𝐷𝑠𝑠 = diameter of the shaft
𝑓𝑓′𝑐𝑐 = 28 − day concrete strength
𝑄𝑄𝑤𝑤 = working load of the drilled shaft
𝐴𝐴𝑔𝑔𝑔𝑔 = gross cross sectional area of the shaft
Depending on the loading conditions, the reinforcement percentage may sometimes to too
high. In that case, use of a single rolled-steel section at the center of the pier (figure 9.
5b) may be considered. In that case,
𝑄𝑄𝑤𝑤 = �𝐴𝐴𝑔𝑔𝑔𝑔 − 𝐴𝐴𝑠𝑠 �𝑓𝑓𝑐𝑐 + 𝐴𝐴𝑠𝑠 𝑓𝑓𝑠𝑠 [8.2]
Figure 9.5 Drilled shafts with (a) steel casing and (b) a central steel core
Where
𝐴𝐴𝑠𝑠 = area of the steel section
𝑓𝑓𝑠𝑠 = allowable strength of steel ≈ 0.5𝜎𝜎yield
When a permanent steel casing is used for construction instead of a central rolled steel
section (figure 9.5a), equation (2) may be used. However, 𝑓𝑓𝑠𝑠 , for steel should be on the
order of 0.4𝑓𝑓𝑠𝑠 .
If drilled shafts are likely to be subjected to tensile loads, reinforcement should be

continued for the entire length of the shaft.
Concrete Mix Design
The concrete mix design for drilled shafts is not much different from that for any other
concrete structure. When a reinforcing cage is used, consideration should be given to the
ability of the concrete to flow through the reinforcement. In most cases, a concrete slump
of about 6 in. (150 mm) is considered satisfactory. Also, the maximum size of the
aggregate should be limited to about 0.75 in. (20 mm).
LOAD TRANSFER MECHANISM
The load transfer mechanism from drilled shafts to soil is similar to that of piles as
described in section 5. Figure 9.6 shows the load test results of a drilled shaft in a clay
soil in Houston, Texas (Reese, Touma, and O”Neill, 1976). This drilled shaft had a
diameter of 2.5 ft (0.76 m) and a depth of penetration of 23.1 ft (7.04 m). The soil profile
as the site is shown in figure 9. 6a. Figure 9. 6b shows the load-settlement curves. It may
be seen that the total load carried by the drilled shaft was 140 tons (1246 kN). the load
carried by side resistance was about 90 tons (801 kN) and the rest was carried by point
bearing. It is also interesting to note that, with a downward movement of about 0.25 in.
(6.35 mm), full side resistance was mobilized. However, about 1 in. (25.4 mm) of
downward movement was required for mobilization of full point resistance. This is
similar to that observed in the case of piles. Figure 9. 6c shows the load-distribution
curves for different stages of the loading, which are similar to those shown in figure 9.
10.
Figure 9.6 Load test results for a drilled shaft in Houston, Texas: (a) soil profile, (b) load-
displacement curves, (c) load-distribution curves at various stages of loading (after
Reese, it al, 1976.
ESTIMATED OF LOAD-BEARING CAPACITY –GENERAL
The ultimate load-bearing capacity of a drilled shaft (figure 9. 7) is

𝑄𝑄𝑢𝑢 = 𝑄𝑄𝑝𝑝 + 𝑄𝑄𝑠𝑠 [8.3]
Figure 9.7 Ultimate bearing capacity of drilled shafts: (a) with bell; (b) straight shaft
Where
𝑄𝑄𝑢𝑢 = ultimate load
𝑄𝑄𝑝𝑝 = ultimate load − carrying capacity at the base
𝑄𝑄𝑠𝑠 = frictional (skin)resistance
The equation for the ultimate base load is similar to that for shallow foundations:
𝑄𝑄𝑝𝑝 = 𝐴𝐴𝑝𝑝 (𝑐𝑐𝑁𝑁𝑐𝑐∗ + 𝑞𝑞 ′ 𝑁𝑁𝑞𝑞∗ + 0.3𝛾𝛾𝐷𝐷𝑏𝑏 𝑁𝑁𝛾𝛾∗ ) [8.4]
Where
𝑁𝑁𝑐𝑐∗ , 𝑁𝑁𝑞𝑞∗ , 𝑁𝑁𝛾𝛾∗ = the bearing capacity factors
𝑞𝑞 ′ = vertical effective stress at the level of the bottom of the pier
𝐷𝐷𝑏𝑏 = diameter of the base (see figure 9. 7a and b)
𝐴𝐴𝑝𝑝 = area of the base = 𝜋𝜋/4𝐷𝐷𝑏𝑏2

In most cases, the last term (containing 𝑁𝑁𝛾𝛾∗ ) is neglected except for relatively short drilled
shafts, so
𝑄𝑄𝑝𝑝 = 𝐴𝐴𝑝𝑝 (𝑐𝑐𝑁𝑁𝑐𝑐∗ + 𝑞𝑞 ′ 𝑁𝑁𝑞𝑞∗ ) [8.5]
The net load-carrying capacity at the base (that is, the gross load minus the weight of the
pier) may be approximated as
𝑄𝑄𝑝𝑝(net ) = 𝐴𝐴𝑝𝑝 �𝑐𝑐𝑁𝑁𝑐𝑐∗ + 𝑞𝑞 ′ 𝑁𝑁𝑞𝑞∗ − 𝑞𝑞 ′ � = 𝐴𝐴𝑝𝑝 [𝑐𝑐𝑁𝑁𝑐𝑐∗ + 𝑞𝑞 ′ (𝑁𝑁𝑞𝑞∗ − 1)] [8.6]
The expression for the frictional, or skin, resistance, 𝑄𝑄𝑠𝑠 , is similar to that for piles:
𝐿𝐿
𝑄𝑄𝑠𝑠 = ∫0 1 𝑝𝑝𝑝𝑝 𝑑𝑑𝑑𝑑 [8.7]
Where
𝑝𝑝 = shaft perimeter = 𝜋𝜋𝐷𝐷𝑠𝑠
𝑓𝑓 = unit frictional (or skin)resistance
The following two sections describe the procedures for obtaining the ultimate and
allowable load-bearing capacities of drilled shafts in sand and clay.

Soil Mechanics and Foundation Design Theory

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NPTEL - ADVANCED FOUNDATION ENGINEERING-1

2.1 SOIL CLASSIFICATION SYSTEMS

3.1 CAPILLARY RISE IN SOIL

4.1 SHEAR STRENGTH

4.2 UNCONFINED COMPRESSION TES

 Drained Friction Angle of Granular Soils

4.5 SOIL REINFORCEMENT-GENERAL

The geotechnical properties of a soil-such as the grain-size distribution, plasticity,

1.2 GRAIN-SIZE DISTRIBUTION

1.2.1 Sieve Analysis

A sieve analysis is conducted by taking a measured amount of dry, well-pulverized

Table U. S. Standard Sieve Sizes

Hydrometer analysis is based on the principle of sedimentation of soil particles water.

Figure 1.2 Hydrometer analysis

D = diameter of the soil particle

Gs = specific gravity of soil solids

γw = unit weight of water

SIZE LIMITS FOR SOILS

Table 2 Soil Separate Size Limits

Figure 1.3 Weight-volume relationships

Vs = volume of soil solids

Where V = total volume of soil

Note that, for saturated soils, the degree of saturation is 100%.

Ws = weight of soil solids [1.8]

W = total weight of the soil specimen = Ws + Ww

The weight of air, Wa , in the soil mass is assumed to be negligible.

More useful relations can now be developed by considering a representation soil

Gs = specific gravity of soil solids

γw = unit weight of water (9.81 kN/m3 , or 62.4 lb/ft 3 )

Similarly, the dry unit weight [equation (10)] is

From equations (11) and (12), note that

If a soil specimen is completely saturated as shown in figure 1.3c,

Also, for this case

e = wGs (for saturated soil only) [1.14]

The saturated unit weight of soil becomes

These relationships are

γsat = [(1 − n)Gs + n]γw [1.18]

Table 3 provides several useful relationships for γ, γd , and γsat .

emax = void ratio of the soil in the loosest state

emin = void ratio in the densest state

e = in situ void ratio

Table 3 Various Forms of Relationships for 𝛄𝛄, 𝛄𝛄𝐝𝐝 , 𝐚𝐚𝐚𝐚𝐚𝐚 𝛄𝛄𝐰𝐰

Dry unit weight (γd )

Saturated unit weight (γsat )

Table 4 Specific Gravities of Some Soils

γd = in situ dry unit weight

Table 6 Denseness of a Granular Soil

Figure 1.4 General range of the magnitude of R

a. Moist unit weight, γ

Part a. Moist Unit Weight

From equation (9),

Part c. Dry Unit Weight

From equation (10),

From equation (4),

From equation (6),

Part f. Degree of Saturation

From equation (7),

Vv = V − Vs = 0.25 − 0.169 = 0.081 ft 3