Geotechnical Design I

SLS of shallow foundation

Dr. Y.M. Cheng

Department of Civil and Environmental Engineering
http://www.cee.polyu.edu.hk/~ceymcheng/
Stress equilibrium for 3D problem (3 equations along x,y,z)

Moment equilibrium equation is not necessary as

xy=yx, and every element satisfy stress equilibrium.
The net force for each element is 0, hence taking
moment about any axis, the moment contribution is
0, or moment equilibrium is automatically satisfied.
Stress equilibrium for cylindrical system
Boussinesq solution (3D solution for point load on ground surface)
For a point load Q acting on ground level and the co-ordinate of the point
load is assumed to be (0,0,0), the stresses at any point (x,y,z) are given by
Boussinesq’s equation as

At (0,0,0), z=
3Qz 3
z  (a)
2R 5
3Q  x 2 z 1  2  1 (2 R  z ) x 2 z 
x       3 
(b)
2  R 5 3  R ( R  z ) R 3
( R  z ) 2
R 

3Q  y 2 z 1  2  1 (2 R  z ) y 2 z 
y   5      (c)
2  R 3  R( R  z ) R 3 ( R  z ) 2 R 3  

3Q  xyz 1  2 (2 R  z ) xy  (d)
 xy     3 
2  R 5 3 R (R  z) 2 

3Q xz 2
 xz   5 (e)
2 R
3Q yz 2 (f)
 yz  
2 R 5
 Solution for Cylindrical coordinate System
3Qz 3
z  (g)
2R 5

Q  3zr 2 1  2 
r     (h)
2  R 5 R( R  z ) 

Q  1 z 
  (1  2 )   3 (i)
2  R( R  z ) R 
3Qrz 2
 rz  (j)
2R 5
1
z  [ z  ( r    )] (k)
E
Q  3(1   )r 2 z 3   (1  2 )z  (l)
z   2  
2E  (r  z )
2 5/ 2
(r 2  z 2 ) 3 / 2 
Vertical Stress distribution from Boussinesq equation

It must be noted that z is more important because vertical displacement is

the most critical to the superstructures.
 Stress below centre of Circular Loaded Area
 Boussinesq equation is discontinuous at the point (0,0,0). This is due to
the fact that the point load is assumed to have no area and the stress is
hence . For real foundation, there is a finite area where the load is being
applied. The point load is now replaced by q0dA, where dA is an
infinitesimal area. The point of discontinuity will then disappear in the
analysis. For a circular loaded area, let the radius of the loaded area be
B/2 and q0 be the applied pressure, the stress increase at any point at
centre located at a depth of z for an infinitesimal area is given by:
3(q 0 r d dr )
dp  5/ 2
  r 2  (1)
2z 1    
2

  z  
 The total increase in vertical stress induced by the entire loaded area can
be obtained by integration of eq.(1) as  
 
  2 r B / 2 3(q 0 r d dr )  1 
p   dp    5/ 2
 q0 1  
 0 r 0 2 3/ 2
  r 2     B  
2z 1    
2
 1   2 z   
     
  z  
 Stress below centre of Circular Loaded Area

Use Boussinesq equation

for a point load, Q=q r ddr
R

3Qz 3
z 
2R 5
 Settlement for a circular loaded region
The vertical deflection at the centre of a circular loaded region at a
depth z can be obtained by integration of eq.(k) as (rock at infinity)
  2 b
  ( z )dz     (k )rdzd dr
z z 0 0

and rock is at a depth of infinity

Note:  z dz is the settlement for thin zone dz

Settlement coefficients I6 for circular loaded region

Rock at infinity and s is horizontal distance from centre, b is radius

Settlement coefficients I5 or A’ for circular loaded region

Rock at infinity and s is horizontal distance from centre, b is radius

Example on settlement for circular footing

2 methods to solve this problem, by

settlement equation and strain equation
Solution part (a)
Due to rock, this equation cannot be used
directly as rock is assumed to be at infinity.

W(z=0) is settlement of soil due to soil from depth 0 to

. W(z=9m) is settlement of soil due to soil from depth
9m to . Since rock head doesn’t settle, deduct
settlement of rock surface and the settlement is
approximately due to soil from ground to rock head
Strain coefficients B’ for circular loaded region

Rock at infinity and s is horizontal distance from centre, b is radius

Solution part (b)
Area integral of equation for strain for circular
footing for eq.(k)
 Comparison between part (a) and part (b)

Result from Part (b) is nearly the same as that in part (a). The
number of layers depends on experience, and the more the better
 Stress below corner of a rectangular footing

For a rectangular footing, the vertical stress at any depth z below the corner of a
flexible rectangular loaded area is given by:
3q0 (dx dy ) z 3
stress increase p  (3)
2 ( x 2  y 2  z 2 )5/ 2
The total stress increase can be obtained by integrating eq.(3):
L B 3q0 (dx dy ) z 3
p     q0 I  (4)
y  0 x  0 2 ( x 2  y 2  z 2 )5/ 2

1  2mn m 2  n 2  1 m 2  n 2  2 2 mn m 2
 n 2
 1 
I  inf luence factor     tan 1

4  m2  n2  m2n2  1 m2  n2  1 m 2
 n 2
 1  m 2 2 
n 

When m and n are small, the argument of tan-1 can be negative. In that case,

1  2mn m 2  n 2  1 m 2  n 2  2  2mn m 2  n 2  1 

1 
I  inf luence factor   2  2  tan   2 
4  m  n 2
 m 2 2
n  1 m  n 2
 1  m  n 2
 1  m 2 2 
n
 
B L
where m , n Why corner ? Easy to prepare design
z z
table and figure
Stress below corner of a rectangular footing

Note : a symmetric matrix

Stress influence factor for a rectangular footing
B L
I m , n
z z

Note : a symmetric matrix

 Stress increase for a point inside a rectangular footing

The figure shows the plan of a flexible loaded area located at the ground surface.
The uniformly distributed load q on the area is 150 kN/m2. Determine the stress
increase below points A and C at a depth of 10 m below the ground surface. Note
that C is at the center of the area.

Note : a symmetric matrix

Stress increase for a point inside a rectangular footing

=0.1014
z at 10m below A= qI = (150)(0.1014) = 15.21 kN/m2

Stress increase below point C:

M=3/10=0.3 ; N=2/10=0.2 I=0.0259
z at 10m below C = qI= 4x(150)(0.0259) = 15.54 kN/m2

Note : a symmetric matrix

 Example on stress distribution

A flexible rectangular area measures 5 m  10 m in plan. It supports a

load of 200kPa. Determine the vertical stress increase due to the load
at a depth of 12.5 m below the center of the rectangular area.

Dividing the loaded area into 4 equal portions (2.5mx5m) :

B1 B2 2 .5
m    0 .2
z z 12.5
L1 L2 5
n    0 .4
z z 12.5

For m = 0.2 and n = 0.4, the value of I = 0.0328. thus

p  q0 (4 I )  (200)(4)(0.0328)  26.24 kPa 4 equal contributions

 Simplified method in estimating stress increase (2:1 rule)

There are other rules in China

In this simplified method, the vertical stress is assumed to spread in a 2 : 1 manner.

By equating vertical force,
q B L BL
p  ( B  z )( L  z )  q  B  L  p  I 
( B  z )( L  z ) ( B  Z )( L  Z )
Stress bulb (equivalent to table result)
Elastic settlement of rectangular footing (stiffness of footing neglected)

The strain due to the rectangular UDL can then be obtained from the area
integral of (1) as LB
(z)   (z)dxdy (2)
00

Is for this bracket term

q is net pressure, i.e. qtotal-D

Assuming rock exist at a depth of H, the integration should be taken as from 0

to H, but is replaced by from 0 to  minus H to  for convenience
 Cont’d

If=1.0 at D=0, by
definition
Depth factor If computation for general case
 Settlement coefficient I1 (m=L/B, n=H/B)

If N tends to
infinity, use
the value for
N=100
 Settlement coefficient I2 (m=L/B, n=H/B)

I2=0 when
n=
 Notes on settlement calculation
 Use of effective loading instead of total load, that is q-D.
 Use of equivalent Young’s modulus of soil. For multi-layer soil, use geometric
mean in form of Eeq= EiHi/Hi
 Some engineers adopt a depth equal to 5B if rock head is deep
 Even when footing stiffness is considered, there is only minor changes to the
settlement, as the settlement is mainly controlled by the settlement of the
foundation soil. For rigid foundation, settlement is about 0.93xsettlement at
centre of flexible foundation.

 Limitations of elastic settlement calculation from equation :

 1. Constant soil modulus, uniform soil
 2. Creep is not considered
 3. Uniform distributed load
 4. Flexible foundation – that is, stiffness of footing is neglected (not major
difference)
 5. Regular shape

 For general case, use finite element program – Plaxis, Flac, Sigma/w, Phase,
VDISP, SAP2000, PLATE etc.
 Example on elastic settlement calculation

Estimate the settlement of the raft (or mat) foundation for the “Savings Bank
Building” given by Kay and Cavagnaro (1983). Given data are as follows:

qnet = 134 kPa B  L = 33.5  39.5 m measured ∆H = about 18 mm.

Soil is layered clays with one sand seam from ground surface to sandstone
bedrock at –14 m; mat at –3m below ground.
Es from 3 to 6 m = 42.5 MPa Es from 6 to 14 m = 60 MPa
Es for sandstone ≥ 500 MPa
3  42.5  8  60
For clay, estimate  = 0.35 Es ( average )   55 MPa
11
From base to sandstone H = 14 – 3 = 11 m M=19.75/16.75=1.18
33.5 H 11
B'   16.75 m ( for center of mat )  N    0.66
2 B ' 16.75
Interpolating in Table 5-2, we obtain I1 = 0.0815; I2 = 0.086
1  2(0.35) D 3
I s  0.0815  (0.0865)  0.121   0.09; use I F  0.95
1  0.35 B 33.5
 Cont’d

With four equal contributions, settlement is given as

1  2 1  0.352
H  q0 B '  4 I s I F  134 16.75   4  0.121 0.95  1000  16.5 mm
Es 55 1000

(The factor 1000 converts MPa to kPa and m to mm). This result is
also in closed agreement with that obtained by program DISP by
Cheng and the measured value.
 Elastic settlement for multi-layered soil based on superposition

E1 , 1 E1 , 1 E2 , 2
h1 h1 h1
E2 , 2
= + h1+h2 –
h2 E2 , 2

(a) Settlement of footing on (b) Settlement due to soil of (c) Settlement due to soil of the (d) Settlement due to soil of
a 2-layer soil strata. the first layer of depth h1 second layer of depth h1+h2 the second layer of depth h1

The settlement of the footing on the 2 layer subgrade will be the settlement calculated in (b) plus that in (c)
minus that in (d).

For multi-layered system, if the layering is horizontal, two approaches can be used.
The method based on mean E can be used, or alternatively, the method of super-
position as shown above can be used. For normal problems, the differences are not
major.
 Consolidation settlement for Clay

Consolidation settlement occurs over time, and it occurs in saturated clayey soils
when they are subjected to increase load caused by foundation construction.
Based on one-dimensional consolidation settlement equations, the settlement
using compression index Cc is given by
e
S c    z dz where z = vertical strain 
1  e0

∆e = change of void ratio = f(p0, pc, and ∆p)

Cc H c p  p av
Sc  log 0 (for normally consolidated clays)
1  e0 p0
Cs H c p  p av (for overconsolidated clays with p0 + ∆pav < pc)
Sc  log 0
1  e0 p0

Cs H c p C H p  p av (for overconsolidated clays with p0 < pc < p0

Sc  log c  c c log 0
1  e0 p 0 1  e0 pc
+ ∆pav)

Hc is thickness of clay layer, e0 is the void ratio, pc is the maximum

overburden stress, po is the existing effective overburden stress
 Consolidation settlement
Cc H c p  pav Cc H Δp
Sc  log 0 
1  e0 p0 2.303 1  eo  po '

When p is small, volume compressibility mv is approximately given by

Cc
mv  Or replace Cc by C for OC clay
2.303 1  eo  p0 '

If p is large, po’ can change significantly, hence we cannot assume mv

to be constant, and mv can be considered as constant only when the
stress change is small, and it is just an approximation which is
however commonly used in HK
 Consolidation settlement

The definition of mv in consolidation settlement is not good even though it is

commonly used by many engineers. mv is not a material constant, and should be
specified over specific stress range. Cc can be taken as a material constant
Virgin compression
line

void ratio with effective stress: (a) normally consolidated clay; (b) over-consolidated clay,
and strain =e/(1+e0)
 Method of calculation for consolidation settlement

Note that the increase of pressure, ∆p, on the clay layer is not constant with
depth. The magnitude of ∆p will decrease with the increase of depth measured
from the bottom of the foundation. However, the average increase of pressure
may be approximated by Simpson rule as
1 where ∆pt, ∆pm, and ∆pb are the pressure increase at
p av  ( p t  4 p m  p b )
6
the top, middle, and bottom of the clay layer
 Example on consolidation settlement

A foundation 1 m  2 m in plan is shown below. Estimate the

consolidation settlement of the foundation.
 Example on consolidation settlement

Now the following table can be prepared (note: L = 2 m; B = 1 m), divide

the footing to 4 equal units for computation
Stress factor from M and N
L=1m, B=0.5m
Z=2m (top) I=4x0.0475x150 = 28.5 kPa
Z=3.25m (middle) I=4x0.0206x150 = 12.4 kPa
Z=4.5 (bottom) I=4x0.012x150 = 7.2 kPa

p0=2.5x16.5+0.5(17.5-9.81)+1.25(16-9.81)=52.84 kPa
1
∆pav =  28.5  4 12.4  7.2   14.22 kN / m
2

6
(0.32)(2.5)  52.84  14.22 
Sc  log    0.046  46 mm
1  0.8  52.84 
Note : given that the clay is normally consolidated
 Field plate load test (surcharge q=0 in test)

Settlement and bearing capacity for real foundation can be estimated from
plate load. For test in clay : qu(F) = qu(P)

where qu(F) = ultimate bearing capacity of the proposed foundation

qu(P) = ultimate bearing capacity of the test plate

This equation implies that the ultimate bearing capacity in clay is virtually
independent of the size of the plate. This is justified by the fact that Nq = 1
and Nr = 0 for clay.

For test in sandy soils (c=0) where the test is carried out on ground level with
q=0 B
qu ( F )  qu ( P )  F
BP
where BF = width of the foundation BP = width of the test plate

Note : qf=cNc+qNq+0.5BN 
 Field plate load test cont’d

The allowable bearing capacity of a foundation, based on settlement

considerations and for a given intensity of load q is

BF
SF  SP  For clay
BP
2
 2 BF 
S F  S P   For sand
 BF  BP 

Reason : For clay, E is relatively constant with depth, hence settlement

proportional to B

For sand, E increase with depth, hence direct proportion is not valid
1  2
Note : H  q0 B  Is
Es
 Field plate load test cont’d

The allowable bearing capacity of a foundation, based on settlement

considerations and for a given intensity of load q0 is

For clay

For sand
 Field plate load test cont’d

The allowable bearing capacity of a foundation, based on settlement

considerations and for a given intensity of load q0 is

For clay

For sand
 Typical Young’s modulus of soil

Modulus of elasticity, Es

Type of soil lb/ in2 MN/ m2 Poisson’s ratio, s

Loose sand 1,500 – 3,500 10.35 – 24.15 0.20 – 0.40

Medium dense sand 2,500 – 4,000 17.25 – 27.60 0.25 – 0.40
Dense sand 5,000 – 8,000 34.50 – 55.20 0.30 – 0.45
Silty sand 1,500 – 2,500 10.35 – 17.25 0.20 – 0.40
Sand and gravel 10,000 – 25,000 69.00 – 172.50 0.15 – 0.35
Soft clay 600 – 3,000 4.1 – 20.7 0.20 – 0.50
Medium clay 3,000 – 6,000 20.7 – 41.4
Stiff clay 6,000 – 14,000 41.4 – 96.6

In Hong Kong, some engineers estimate E as 1.0N MPa, clause 2.3.1 in

Code of Practice for Foundation, BD. Poisson ratio is given as 0.3-0.4 for
SPT from 4-10, 0.2-0.35 for SPT 11 to 30 and 0.15-0.3 for SPT above 30.
 Permissible settlements on Foundation
The settlement of a foundation must be controlled in order to satisfy SLS. There is no
straightforward approach to this problem because the structure-foundation-soil interaction
phenomenon is complex and uncertain. It must be remembered that structures may not move
due to ground settlements alone. There may be movements and associated damage due to
dimension changes in the structural materials such as due to moisture or temperature
changes, creep or chemical reaction.

For buildings or structures not particularly sensitive to settlement, the following criteria
from BD may be used as a reference for developing case specific settlement criteria:
(a) The total settlement at the base of shallow foundations should not exceed 30 mm;
(b) The maximum angular rotation of a shallow foundation or pile cap should not exceed
1:500 under wind or other transient loads.

The above criteria should be assessed based on working loads. For criterion (a), the dead
loads may be reduced by 50%, and the imposed loads may be reduced in accordance with
the Code of Practice for Dead and Imposed Loads. The assessment of differential
settlements should be based on working loads including dead and imposed loads.
Definition of settlement

In Hong Kong, the maximum

settlement is limited to 30mm
while the relative settlement
(rotation) is limited to 1 in
500.
 Terms for settlement
Settlement  - Downward movement at a point. This will vary across a
non-rigid structure.
Heave h - Upward movement at a point. This will vary across an
excavation an excavation or beneath a structure.

Differential settlement or differential heave –  or h

The difference in settlement or heave between two points. Usually two points along
the grid lines of the superstructure are chosen but the choice may be arbitrary .
Horizontal displacement u - Extension or contraction of a building in the
horizontal direction will result in tensile or compressive strains

Rotation  - The change in gradient of a line joining two reference points,

such as between A and B in the figure

Tilt  - The rigid body rotation of the whole of a structure or a well-defined part
of it.
 Example on differential settlement calculation
A 2mx4m footing at 1.5m below ground is loaded with a total UDL 200 kPa.
Determine the maximum differential elastic settlement along the long direction
if the soil properties are E = 15000 kPa,  = 0.2, unit weight=19 kN/m3 and
bedrock is present at a depth of 7m below ground (neglect depth factor).

qnet=200-1.5x19=171.5 kPa. Cut foundation to 2 or 4 rectangles for calculation

At centre : M=2/1, N=5.5/1, I1=0.546, I2=0.0535, Settlement=25.7mm

At centre of short side edge: M=4/1, N=5.5/1, I1=0.584, I2=0.0923,
Settlement=14.3mm
At centre of long side edge: M=2/2, N=5.5/2, I1=0.348, I2=0.051,
Settlement=17mm

Differential settlement along long direction= 2000 in (25.7-14.3) or 1 in 175

Differential settlement along short direction= 1000 in (25.7-17) or 1 in 114.9

So short direction is more critical