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INTRODUCTION
1.1. PREFACE
The foundations referred to as sub-structure are an integral part of an engineered structural
system, which transfer and distribute the load from the super-structure to the underlying
soil/rock strata safely, such that neither the soil/rock fail in shear nor the foundation itself.
The foundation/sub-structure forms an embedded part of the structure and acts as an
intermediary between the super-structure and the ground on which the foundations are laid,
as shown in Figure 1.1. The foundations are generally classified into two categories: one is
the shallow foundations, and the other is deep foundations. Shallow foundations are the
ones which are laid in near-surface of the ground, and according to Terzaghi (1943), if the
depth of the foundation is less than or equal to the width of the foundation, the foundation
is referred as shallow else the deep foundation. The present thesis deals with shallow
foundations. The design of the foundation system and the serviceability of the structure is
significantly governed by the bearing capacity and the settlement aspects of the underlying
ground strata. The shear failure and or excessive settlement of the ground strata results in a
distortion of the super-structure. Therefore, acute attention is to be given for all the
affecting factors. Numerous studies have been performed in the past to predict the response
of the shallow foundations, and many of the pioneers (Prandtl, 1920; Terzaghi, 1943;
Skempton, 1951, Meyerhof, 1963; Hansen, 1970; Vesic, 1973) have postulated the theory
and derived the expressions for estimating the bearing capacity and settlement aspects of
the shallow foundations resting on the soil and the rock strata. IS 6403:1981 (Reaffirmed
2002) provides the code of practice for determination of bearing capacity of shallow
foundations. IS 8009 (Part-I):1976 (Reaffirmed 2006) provides the code of practice for
calculation of settlement of shallow foundations subjected to symmetrical static vertical
loading. IS 1904:1986 (Reaffirmed 2006) provides the code of practice for design and
construction of foundations in soil and IS 12070:1987 (Reaffirmed 2010) provides the code
Chapter 1: Introduction
of practice for design and construction of foundations on rocks. It is noteworthy that, the
theory postulated and equations derived for estimating the bearing capacity and settlement
of shallow foundations are greatly valid for an isolated foundation system wherein there
exist no foundation in the neighbourhood or the influence of the neighbourhood foundation
that exist at far distance is virtually null.
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Chapter 1: Introduction
wherein the stress isobars or the failure zones of the neighbouring individual foundations
may combine or interfere each other leading to the phenomenon known as
‘Interference/Interaction of the Foundations’. The overlapping of the individual stress
isobars or failure zones merges to form a single stress isobar or single failure zone that
extends to a greater dimension both laterally and vertically affecting large soil mass. This
phenomenon alters the behaviour of each of the closely placed foundation compared to the
fundamental behaviour of an isolated foundation or compared to the situation when the
foundations are placed at a far distance such that each of those behaves as an isolated one.
Figure 1.2(a) presents the development of stress isobars and failure envelope for two strip
footings placed at far distance to each other and Figure 1.2(b) describes the phenomenon of
interference of two strip footings placed in close proximity. In such circumstances, the
classical theories postulated in the literature for isolated shallow foundations may not be
applicable.
While designing any sub-structure, it is generally neglected to consider the
interference effect of structures placed in close proximity. Therefore, in the recent years,
the studies on the subject have gained renewed interest, and a need has been felt to develop
methods to capture the effects of interference on the behaviour of isolated shallow
foundations, which governs the design criterion. Henceforth, the problem is one of the
significant practical importance and cannot be ignored, and due attention needs to be given.
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Chapter 1: Introduction
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Chapter 1: Introduction
been said to have taken place, and it cannot be ignored that the settlement behaviour
changes.
Furthermore, when the spacing is decreased, as shown in Figure 1.3(c), the passive
zone below the footings is curtailed and hence the stress value increases, substantially
altering both the ultimate bearing capacity and the settlement characteristics. If the spacing
is reduced further, as shown in Figure 1.3(d), the outer spirals contact each other, and the
soil forms an inverted arch between them resulting in the spacing as a critical spacing at
which the ultimate bearing capacity reaches to its peak. The occurrence of such an event is
called blocking, and the two footings begin to behave as a single unit, but of wider width. It
was noted that when the two footings are placed close to each other, isolated mechanism of
two footings form a smooth transition into one implying closely spaced footings behave as
a single unit of twice the width of an isolated footing.
(a) (b)
(c) (d)
Figure 1.3. The development failure surfaces as two rough-based foundations approach
each other (Stuart, 1962).
Stuart 's work (1962) thus provided a spark for the study of interfering foundations
and many researchers have investigated the problem to date by performing small scale
laboratory tests or field tests or by carrying out theoretical or numerical analysis. The
studies implementing different theoretical or numerical techniques on the subject are due to
Graham et al. (1984), Kumar and Ghosh (2007a) employing method of stress
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Chapter 1: Introduction
characteristics; Kumar and Kouzer (2008), Kouzer and Kumar (2008, 2010), Kumar and
Ghosh (2007b), Yang et al. (2017) employing upper bound limit analysis; Kumar and
Bhattacharya (2010, 2013) employing lower bound limit analysis; Ghazavi and Lavasan
(2008), Ghosh and Sharma (2010), Mabrouki et al. (2010), Lavasan and Ghazavi (2012b),
Lavasan et al. (2015, 2017, 2018), Javid et al. (2015) employing finite difference method;
Lee et al. (2008), Lee and Eun (2009), Kumar and Bhoi (2010), Noorzad and Manavirad
(2014), Nainegali et al. (2013, 2018, 2019), Shokoohi et al. (2018), Fuentes et al. (2018)
employing finite element method; Kumar and Saran (2003b, 2004), Ghosh et al. (2017)
employing analytical method; Griffith et al. (2006) employing probabilistic approach.
Using the method of stress characteristics Graham et al. (1984) investigated on the
ultimate bearing capacity of two interfering surface strip footings considering two different
failure mechanism; one is an elastic-wedge solution, the other is a linear-δ solution. The
elastic wedge solution was found to be in more considerable agreement with that of model
tests, rather than a linear-δ solution. In addition, they extended the solution for a series of
multiple parallel footings to estimate the ultimate bearing capacity. Kumar and Ghosh
(2007a) considered two mechanisms of failure for examining the trapped wedge below the
footings. In Mechanism 1, a quadrilateral non-plastic wedge and non-symmetrical
triangular non-plastic wedge in Mechanism 2 was assumed, which were solved using a
method of stress characteristics. In a line, several authors have made an effort to deliver the
failure behaviour of two closely spaced footings (Kumar and Kouzer, 2008; Kumar and
Bhattacharya, 2010, 2013; Mabrouki et al., 2010; Lavasan and Ghazavi, 2012b; Lavasan et
al., 2015, 2017). Recently, Lavasan et al. (2018) presented the failure mechanism by using
enhanced limit equilibrium method, considering a non-symmetrical trapped triangular
elastic wedge, in which the inner and outer parts are dependent on each other. Kinematic
element method was performed by considering quadrilateral shaped trapped non-plastic
wedge, in which the inner and outer parts are independent to each other. Lavasan et al.
(2018) further compared the proposed mechanisms with strain rate contours generated
using finite difference method. In general, the failure mechanism of the closely built
foundations is affected, thereby giving rise to variations in their characteristic behaviour.
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Chapter 1: Introduction
The work of Stuart (1962), Griffiths et al. (2006), Kumar and Ghosh (2007a, b),
Kumar and Kouzer (2008), Mabrouki et al. (2010), Kouzer and Kumar (2010), Ghosh and
Sharma (2010), Kumar and Bhattacharya (2013) addressed the interaction issue pertaining
to two closely spaced identical interfering surface strip footings. Whereas, Graham et al.
(1984), Kouzer and Kumar (2008), Kumar and Bhattacharya (2010) reported the
interference effect of closely spaced multiple surface strip footings. Similarly, Kumar and
Saran (2003, 2004), Ghazavi and Lavasan (2008), Lavasan and Ghazavi (2012b) worked
with two interfering surface square/rectangle footings, whereas Lee et al. (2008), Lee and
Eun (2009) studied the behaviour of interfering multiple surface square/rectangle footings.
Griffiths et al. (2006) considered the probabilistic approach to find the ultimate bearing
capacity of strip footings resting on the surface of an undrained clay medium and found that
the effect of interference is insignificant. Ghosh and Sharma (2010) attempted to model the
settlement behaviour of two rough strip footings on two-layered soil deposit; wherein a
strong layer was on top of a weak layer. By employing the theory of elasticity to derive the
governing differential equations, which were solved with the help of the finite difference
technique. However, Mabrouki et al. (2010) conducted a series of numerical calculations
using the finite difference code FLAC to determine the interference effect on the bearing
capacity of two adjacent smooth and rough rigid strip footings under balanced vertical
loads. The footings were considered to be resting on a medium characterized by a linearly
elastic-perfectly plastic material that follows the Mohr-Coulomb yield criterion with the
associative flow rule. Based on the Schmertmann’s framework, Lee et al. (2008) presented
the strain influence diagrams for the settlement estimation of isolated and multiple footing
configurations in sand performing some numerical analysis using finite element software
ABAQUS in-addition with the field plate load tests. Lee and Eun (2009) extended the study
to find the interference effect on the ultimate bearing capacity of multiple footing
configurations resting on a cohesionless soil medium. Nainegali et al. (2013) performed the
analysis for predicting the settlement behaviour of two nearby rigid strip footings of
symmetrical and unsymmetrical geometry and loading conditions, considering the soil to be
homogeneous and non-homogeneous medium of finite and infinite depth. Ghosh et al.
(2017) carried out the small strain problem analysis by considering linear and nonlinear
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Chapter 1: Introduction
elastic analysis to find out the interference effect of two closely placed strip footings
subjected to a uniformly distributed load, on the response of settlement by using Pasternak
model. Fuentes et al. (2018) took up a numerical analysis aided by a 3-dimensional
boundary value, finite element problem to study the interference behaviour of closely
spaced shallow square footing using the software ABAQUS by prescribing equivalent
surcharge load.
In an overall, the variation of the ultimate bearing capacity is quantified by non-
dimensional efficiency or interference factors defined as the ratio of ultimate bearing
capacity of the interfering footings to that of an identical isolated footing placed on a
similar soil condition. The efficiency factor is primarily a function of the spacing between
the footings and soil friction angle. Nevertheless, it also depends upon the nature of
foundation soil medium (homogenous, non-homogeneous, single-layered, multi-layered,
unreinforced, reinforced, saturated, unsaturated, etc.), the shape of the adjacent footings,
number of footings, and loading conditions. It is understood that the ultimate bearing
capacity is affected significantly by placing footings in close proximity. The efficiency
factors increase continuously as the spacing decreases to a maximum at a certain critical
spacing from which it decreases with a further decrease in spacing. The majority of the
research work deals with the effect of interference on ultimate bearing capacity, but only a
few of them (Kumar and Bhoi, 2008; Nainegali et al., 2018, 2019) addressed within the
working range or permissible limit. Besides, Kouzer and Kumar (2010), Nainegali et al.
(2019) studied the effect of interference on existing footing when a newly proposed footing
is placed in close proximity of an existing footing. The settlement is one of the
characteristic behaviour of the foundation; in the past, many authors have studied the
change that occurred because of interference. Most of them, however, discussed the change
in a settlement that corresponds to the ultimate failure. The variation of the settlement
(corresponding to failure) is found to be in contrast with that of the ultimate bearing
capacity. Moreover, Kumar and Bhoi (2008), Ghosh and Sharma (2010), Nainegali and
Basudhar (2011), Nainegali et al. (2013a), Ghosh et al. (2017) addressed the change in
settlement characteristic of interfering footings under working range or the permissible
limit.
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Chapter 1: Introduction
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Chapter 1: Introduction
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Chapter 1: Introduction
soft clay underlain by dense cohesionless soil. Zidan and Mohamed (2019) obtained similar
conclusions for multiple footings as that of Kumar and Saran (2003a). Paikaray et al.
(2020) experimentally studied the role of reinforcement layouts on bearing capacity and
settlement behaviour of surface footings due to interference of square footings. The main
highlight of the study was bearing capacity of footing with crusher dust as a substitute for
sand and interference of footings with various combinations of continuous and
discontinuous patterns of multi-layered geogrid. Likewise, Biswas and Ghosh (2018) used
upper bound limit analysis to estimate the bearing capacity of closely spaced strip footings
placed on the surface of reinforced cohesionless soil by considering a multi-block failure
mechanism. However, the effect of interference was decreased with an increase in the
number of reinforcement layers. Sekhar et al. (2020) carried a 3-dimensional finite element
analysis using PLAXIS 3D to estimate the ultimate bearing capacity of closely placed strip
footing on the surface of a reinforced layered soil system. It was found that the maximum
bearing capacity was obtained by reinforcing three layers.
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Chapter 1: Introduction
the structures from both strength and serviceability point of view or significantly affecting
their performance. While designing any sub-structure, it is generally neglected to consider
the interference effect of structures placed in close proximity. Thus, the studies on the topic
have gained interest in recent years, and it has been felt appropriate to establish methods to
capture the effects of interference on the behaviour of an isolated shallow foundation
governing the design criterion. Therefore, the importance of the study on the interference
effect of closely placed shallow footings cannot be ignored, which is one of the significant
practical importance. This makes the motivation in the present study.
As far as the literature on footings interference is concerned, the literature uses
experimental, theoretical and various numerical analysis techniques to research the
interference phenomenon on the ultimate bearing capacity, settlement and failure
mechanism of footings at failure for two or more closely spaced surface footings resting on
either unreinforced or reinforced foundation soil medium. It is evident that all the
researchers conducted the study on surface footings. From a practical point of view, it is not
viable to lay the foundation on the ground level (surface); therefore, the reported literature
does not give a clear picture of the interference effect. In fact, for most of the structures, the
foundations are laid below the ground surface, i.e. the foundations are embedded in nature.
The overburden/surcharge due to embedment contributes to amplify the bearing capacity
and reduce the settlement due to its enhanced shearing zone. The literature on the effect of
interference when the footings are in a state of embedment either in an unreinforced or in
the reinforced soil medium is virtually nil, and no study on the subject exists for embedded
shallow footings. Consequently, there is a minimal or no knowledge of the interference of
closely spaced embedded footings, either experimentally or numerically. Therefore, the
effect of embedment depth on the interference phenomenon becomes an adequate
requirement for the research. In addition, bearing capacity and settlement are the primary
criterion for the shallow footing design. As a result, to overcome such inadequacies and fill
the research gap, the present study is initiated emphasizing on the bearing capacity and
settlement aspects of embedded shallow foundations resting on an unreinforced and
reinforced soil medium considering the factor of embedment depth.
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Chapter 1: Introduction
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Chapter 1: Introduction
objective is presented in an individual chapter. Overall, the conducted studies are divided
into nine chapters:
Chapter 1, the present chapter offers a general overview of the problem and
phenomenon of interference of footings and its likely occurrence situations. Following the
brief literature review on the subject, the driving reasons, i.e. motivation for taking up the
study and scope of the proposed work are discussed. Finally, the novelty of the present
study and organization of the work is presented.
Chapter 2 delivers a critical review on the state of the art literature available on the
interference effect of two or multiple closely spaced footings. The literature is classified
into two categories; one pertaining to the numerical studies and the other pertaining to the
experimental studies. Each category is further divided into two sub-categories; studies
related to the foundations medium as unreinforced and reinforced. Conclusions are drawn
and presented that provides inadequacies in the literature and the possible scopes of future
work. On that bases, the objectives to carry out the present work are framed.
Chapter 3 describes the methodology adopted for performing the numerical studies
using finite element software ABAQUS and the section provides a detailed finite element
modelling for symmetrical and asymmetrical footings embedded in an unreinforced and
reinforced soil medium. Domain discretization, boundary conditions, interface modelling,
material properties adopted are elaborated. Next, the methodology adopted for conducting
laboratory small scale experimental studies such as details of the experimental setup,
dimensions of testing apparatus, foundation soil medium, testing procedure, material
properties are presented.
In Chapter 4, the effect of interference on the behaviour of two nearby symmetrical
embedded shallow footings is studied performing the numerical analysis using the finite
element software ABAQUS. The plane strain problem is considered. The chapter consists
of general introduction, assumptions made, validation, problem statement, results and
discussion. The effect of embedment depth and the soil friction angle is studied for the two
cases namely the interference of symmetrical footings embedded in an unreinforced soil
medium and the interference of symmetrical footings embedded in reinforced soil medium.
The soil reinforcement configurations such as depth of the first layer, the distance between
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Chapter 1: Introduction
consecutive layers, length of the reinforcement are optimized. Lastly, the conclusions are
dawn on the studies performed.
In line with chapter 4, Chapter 5 articulates the numerical studies on the effect of
interference on the behaviour of two neighbouring asymmetrical footings. Herein the
problem of plane strain is considered for the footings embedded in an unreinforced and
reinforced soil medium, representing the two cases. The asymmetry is considered with
respect to the footing geometry by keeping the width of the left footings constant and by
varying the width of the right footing. The depth of embedment and the loading, of the two
interfering footings, are considered similar. The chapter is ended with the conclusions on
the performed studies within the chapter.
In Chapter 6 the effect of interference on the bearing capacity, settlement, and
load-settlement aspects of two closely spaced rough strip footings is studied by conducting
laboratory small scale experiments. Two cases are considered for the footings placed in an
embedded state, one the foundation medium being unreinforced and the other being
reinforced. The chapter consists of a general introduction, problem statement, results and
discussion, comparison, and conclusions drawn.
Similar to Chapter 6, Chapter 7 describes the laboratory small scale experimental
studies on the behaviour of two closely spaced square footings embedded in an
unreinforced and reinforced foundation soil medium. The interference effect on the load-
settlement behaviour, bearing capacity and settlement is studied and compared with the
relevant results of Chapter 6 and conclusions are drawn at the end.
Chapter 8 highlights the two miscellaneous problems taken up for the analysis.
One, the interference of two closely spaced strip footings embedded in cohesionless fibre-
reinforced foundation soil bed, and the other interference of two nearby footings resting on
clay medium.
Finally, Chapter 9 discusses the summary and the general conclusions drawn from
the present work and the scope for future studies.
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