Geotechnical and Foundation Engineering (CON4342)

SHALLOW FOUNDATIONS

Learning Outcomes
 determine the ultimate and allowable bearing capacity of shallow foundations.

Key Content
 design considerations and principles
 definition, types and behaviour of shallow foundations
 ultimate bearing capacity, net and allowable bearing capacity

Sections
1. Introduction
2. Terzaghi’s theory of bearing capacity
3. General bearing capacity equation
4. Skempton’s Values of Nc for Saturated Clays under Undrained Conditions
5. Factor of safety and Net ultimate bearing capacity
6. Effects load eccentricity

Reference : Das, B.M. (2007) Principles of Foundation Engineering.

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1. Introduction

 Definition : Shallow foundations are those foundations that transmit structural loads to the
near-surface soils or rocks.

 Shallow foundations must have two main characteristics:

 The foundation has to be safe against overall shear failure in the soil that supports it.
 The foundation cannot undergo excessive settlement.

Spread Footing Foundations

 A spread footing is an enlargement at the bottom of a column or bearing wall that spreads
the applied structural loads over a sufficiently large soil area (Figure 1).

 Square footings
 Rectangular footings
 Circular footings
 Continuous footings
 Combined footings

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Figure 1
http://osp.mans.edu.eg/deepfoundation/ch1.htm

Mat/Raft Foundations

A mat foundation can be considered as a very large spread footing that supports all of the
structure (Figure 2)

Advantages :
 Spread the structural load over a large area, thus reducing the bearing pressure.
 Provide much more structural rigidity and thus reduces the potential for excessive
differential settlement.
 Is easier to waterproof
 Has a greater weight and thus is able to resist greater uplift loads.

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 Distributes lateral loads into the soil more evenly and efficiently.

http://osp.mans.edu.eg/deepfoundation/ch1.htm

Figure 2

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Design approach: Rationalism and Empiricism

Rational techniques
– developed from the principles of physics and engineering science, and are
useful to describe mechanisms we understand and are able to quantify.

Empirical techniques
– based primarily on experimental data and thus are especially helpful when we
have a limited understanding of the physical mechanisms.

Need to understand this mix of rationalism and empiricism, the strengths and
limitations of each, and how to apply them to practical design problems.

Factors of Safety
The design factor of safety defines the engineer's estimate of the best compromise
between cost and reliability and is based on:
• Required reliability (ie. the acceptable probability of failure).
• Consequences of a failure.
• Uncertainties in soil properties and applied loads.
• Construction tolerances (i.e., the potential differences between design and as-built
dimensions).
• Ignorance of the true behaviour of foundations.
• Cost-benefit ratio of additional conservatism in the design.

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Factors of safety for foundations are typically greater than those for superstructure because:

• Construction tolerances in foundations are wider than those in the superstructure, so

the as-built dimensions are often significantly different than the design dimensions.
• Uncertainties in soil properties introduce significantly more risk.
• Foundation failures can be more costly than failure in the superstructure.

Codes of Practice
Think of codes as guides, not dictators, and certainly not as a substitute for engineering
judgement or common sense.

 Code of Practice – Foundation

 PNAP 66 – Pile Foundations
 PNAP 74 – Dewatering in Foundation and Basement Excavation Works
 PNAP 83 - Requirements for Qualified Supervision of Site Formation Works,
Excavation Works, Foundation Works on Sloping Ground, and Ground Investigation
Works in the Scheduled Areas - Buildings Ordinance section 17
 PNAP 131 - Requirements for Qualified Supervision of Structural Works, Foundation
Works and Excavation Works - Buildings Ordinance section 17
 PNAP 289 - Ground-borne Vibrations Arising from Pile Driving and Similar
Operations
 Pile Design and Construction

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Foundation behaviours
Ultimate Bearing Capacity
General Concept

General Shear (Figure 3a)

 the most common type
 occurs in soils that are relatively incompressible and reasonably strong, or in saturated,
normally consolidated clays under rapid, undrained conditions.
 failure occurs quite suddenly and the failure surface is well defined and extends to the
ground surface.
 At failure the load per unit area qu is referred to as the ultimate bearing capacity of the
foundation soil.
 A clearly formed bulge also appears on the ground surface.

Punching shear (Figure 3b)

 occurs in very loose sands, thin crust of strong soil underlain by a very weak soil, or in
weak clays loaded under slow, drained conditions.
 The high compressibility of such soil profiles causes large settlements and poorly defined
vertical shear surfaces.
 the failure surface in soil will not extend to the ground surface and little or no bulging
occurs at the ground surface.
 Failure develops gradually, as illustrated by the everincreasing load-settlement curve.
 Beyond the ultimate failure load, qu, the load-settlement plot will be steep and practically
linear.

Local shear (Figure 3c)

 The failure is an intermediate case.
 The shear surfaces are well defined under the footing, and then become vague near the
ground surface.

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 A small bulge may occur, but considerable settlement is necessary before a clear shear
surface forms near the ground.
 The footing just continues to sink ever deeper into the ground.

Refer to B.M. Das (2007) page 82,

Fig. 3.1
Nature of bearing failure in soil a)
general failure, b) local shear failure, c)
punching shear failure

Figure 3 (Das, B.M. )

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Modes of failure as related to the types of soil

 Footings in clays are governed by the general shear failure.

 Footings in dense sands are governed by the general shear failure
 Footing on loose to medium dense sands are probably governed by local shear failure.
 Footings on very loose sand are probably governed by punching shear failure.

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Bearing capacity failure under a rigid continuous foundation

Figure 4

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Learning Activity 1 (exercise)

Learning Outcomes
- To appreciate the various types of shallow foundation
- To understand the failure mechanisms of shallow foundation

Discussion

 Define shallow foundation and state two main characteristics of a shallow foundation in
relation to its underlying soil.
 Describe the various mode of bearing failure of shallow foundations
 Discuss why the factor of safety for designing foundation is generally high.
 Explain the general guidelines on its modes of failure in different types of soil.
 Explain the design concept of Floating Foundation for a building structure.
 State the advantages of mat foundation over individual spread footing.

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2 Terzaghi’s Bearing Capacity Theory

Using equilibrium analysis, Terzaghi expressed the ultimate bearing capacity for a strip
foundation as :

q u= cN c + qNq+ 0.5  BN 

where c = cohesion of soil

= unit weight of soil
q =  D f (D f =Depth of foundation)
B = width of foundation
Nc, Nq, N= bearing capacity factors that are nondimensional and are
only functions of the soil friction angle, 

(2)

(3)

(4)

Values of Nc, Nq, N are referred to Figure 5 and Table 1.

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Table 1
Terzaghi’s Bearing Capacity Factors

 Nc Nq N  Nc Nq N

0 5.70 1.00 0.00 26 27.09 14.21 9.84

1 6.00 1.10 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 78.51
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
Respective graphical presentation is referred to the reference.

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For estimation of the ultimate bearing capacity of square or circular foundations, Eq. 1 may
be modified to

q u = 1.3cN c + qN q + 0.4  BN y Square (5)

q u = 1.3cN c + qN q + 0.3  BN y Circular (6)

In Eq. 5, “B” equals the dimension of each side of the square foundation while in Eq. 6, “B”
equals the diameter of the foundation.

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Effects of Water Table

The equations of the previous subsections 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
(Figure 5).

Figure 5

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Case I: O<=D 1 <=D f

q = effective surcharge = D1 + D2( sat, - w )
where sat = saturated unit weight of soil
w = unit weight of water
Also, the value of  in the last term of the bearing capacity equations has to be replaced by
 ’=  s at ,- w

Case I I : 0 < = d < = B

q= D f

The value of  in the last term of the bearing capacity equations has to be replaced by

’’ = ’ + ( - ’)d/B

For Cases I and II, the modifications are based on the assumption that there is no seepage
force in the soil.

Case I I I : d=> B

In this case, the water table will have no effect on the ultimate bearing capacity.

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Learning Activity 2 (example)

Learning Outcomes
- To understand and apply the Terzaghi’s bearing capacity theory to determine the safe and
allowable bearing capacity of shallow foundation
A footing 2.25 m square is located at a depth of 1.5 m in a sand, the shear strength
parameters being c’ = 0 and Φ‘ = 38o.
 Find the corresponding bearing capacity factors (N) using Terzaghi’s values.
 Determine the ultimate bearing capacity
(a) if the water table is well below foundation level,
(b) if the water table is at the surface.
(c) If water table is at the bottom of the foundation
(d) If water table is 1 m below ground surface
The unit weight of the sand above and below the water table are 18 kN/m3 and 20 kN/m3
respectively. (Nq, Nγ = 61.55, 78.61 ; 2935, 1663.3, 2383.5, 2143.4 kN/m2)

For ’ = 38 o  From table (Terzaghi’s bearing capacity)

Nc = 77.50; Nq = 61.55; N = 78.61
Given
b = 18 kN/m3; sat = 20 kN/m3 Df =1.5 m ; B = L = 2.25 m

qu = 1.3 cNc + qNq +0.4 BN

(a) if the water table is well below foundation level,

qu = 1.3 cNc + qNq +0.4 BN
= 1.3 x0 x 77.50
+ (18x1.5) x61.55
+ 0.4 x 18 x 2.25 x 78.61
= 0 + 1661.9 + 1273.5
= 2935.4 kN/m2

(b) if the water table is at the surface.

qu = 1.3 cNc + qNq +0.4 BN
= 1.3 x0 x 77.50
+ ((20-9.8)x1.5) x61.55
+ 0.4 x ( 20-9.8) x 2.25 x 78.61
= 0 + 941.7 + 721.6
= 1663.3 kN/m2
---------------------
(c) If water table is at the bottom of the foundation

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qu = 1.3 cNc + qNq +0.4 BN

= 1.3 x0 x 77.50
+ (18x1.5) x61.55
+ 0.4 x ( 20-9.8) x 2.25 x 78.61

= 0 + 1661.9 + 721.6
= 2383.5 kN/m2

(d) If water table is 1 m below ground surface

q = 1 x 18 + (20-9.8)x 0.5 = 23.1 kN/m2

qu = 1.3 cNc + qNq +0.4 BN
= 1.3 x0 x 77.50
+ (23.1) x61.55
+ 0.4 x ( 20-9.8) x 2.25 x 78.61
= 0 + 1421.8 + 721.6
= 2143.4 kN/m2

What if water table is 1 m below the bottom of the foundation

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Terzaghi’s Modified Bearing Capacity Factors For Local Shear Failure

For foundations that exhibit local shear failure in soils, Terzaghi suggested modifications to
Eqs. 1, 5, and 6 as follows:

q u = 0.667cN’ c + qN’ q + 0.5  BN  Strip (7)

qu= 0.867cN’ c+ qN’ q+ 0.5BN Square (8)

qu= 0.867cN’ c+ qN’ q+ 0.5BN Circular (9)

N’c, N’q, and N’, are the modified bearing capacity factors. They can be calculated by using
the bearing capacity factor equations for N’c, N’q and N’ (Eqs. 2, 3 and 4) by replacing  with
tan-1 (2/3 tan ).

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3. General Bearing Capacity Equation

1
qu = cNcFcsFcdFci + qNqFqsFqdFqi + BNFsFdFI (10)
2

where c = cohesion
q = effective stress at the level of the bottom of foundation
 = unit weight of soil
B width of foundation

Fcs, Fqs, Fs =shape factors

Fcd, Fqd, Fd = depth factors
Fci ,Fqi, FI = load inclination factors
Nc, Nq ,N  bearing capacity factors

(11)

(12)

(13)

It is now considered that the values of Nq, Nc and N given by the above equations should be
used in conjunction with Eq. 10 instead of Terzaghi’s values.

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Table 2
Bearing Capacity Factors for the General Bearing Capacity Equation

 Nc Nq N  Nc Nq N

0 5.14 1.00 0.00 26 22.25 11.85 12.54

1 5.38 1.09 0.07 27 23.94 13.20 14.47
2 5.63 1.20 0.15 28 25.80 14.72 16.72
3 5.90 1.31 0.24 29 27.86 16.44 19.34
4 6.19 1.43 0.34 30 30.14 18.40 22.40
5 6.49 1.57 0.45 31 32.67 20.63 25.99
6 6.81 1.72 0.57 32 35.49 23.18 30.22
7 7.16 1.88 0.71 33 38.64 26.09 35.19
8 7.53 2.06 0.86 34 42.16 29.44 41.06
9 7.92 2.25 1.03 35 46.12 33.30 48.03
10 8.35 2.47 1.22 36 50.59 37.75 56.31
11 8.80 2.71 1.44 37 55.63 42.92 66.19
12 9.28 2.97 1.69 38 61.35 48.93 78.03
13 9.81 3.26 1.97 39 67.87 55.96 92.25
14 10.37 3.59 2.29 40 75.31 64.20 109.41
15 10.98 3.94 2.65 41 83.86 73.90 130.22
16 11.63 4.34 3.06 42 93.71 85.38 155.55
17 12.34 4.77 3.53 43 105.11 99.02 186.54
18 13.10 5.26 4.07 44 118.37 115.31 224.64
19 13.93 5.80 4.68 45 133.88 134.88 271.76
20 14.83 6.40 5.39 46 152.10 158.51 330.35
21 15.82 7.07 6.20 47 173.64 187.21 403.67
22 16.88 7.82 7.13 48 199.26 222.31 496.01
23 18.05 8.66 8.20 49 229.93 265.51 613.16
24 19.32 9.60 9.44 50 266.89 319.07 762.89
25 20.72 10.66 10.88

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Table 3
Shape, Depth and Inclination Factors for the General Bearing Capacity Equation
Factor Relationship
Shape B Nq
Fcs  1 
L Nc
B
Fqs  1  tan 
L
B
Fs  1  0.4
L
Where L = length of the foundation ( L  B )
Depth Df
Condition (a): 1
B
Df
Fcd  1  0.4
B
Df
Fqd  1  2 tan  1  sin  
2
;
B
Fd  1
Df
Condition (b): 1
B
 Df 
Fcd  1  (0.4) tan 1  
 B 
 Df 
Fqd  1  2 tan  1  sin   tan 1   ;
2

 B 
Fd  1
D 
where tan 1  f  is in radians
 B 
2 2
Inclination  o   

Fci  Fqi  1  o  ; Fi  1  
 90   
where = inclination of the foundation load with respect to the
vertical

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Learning Activity 3 (example)

Learning Outcomes
- To apply the General bearing capacity equation to determine the safe and allowable
bearing capacity of shallow foundation
A footing 2.25 m square is located at a depth of 1.5 m in a sand, the shear strength
parameters being c’ = 0 and ‘ = 38o.
 Find the corresponding bearing capacity factors (N) using Table 2.
 Determine the ultimate bearing capacity
(a) if the water table is well below foundation level,
(b) if the water table is at the surface. The unit weight of the sand above the water table is
18 kN/m3: the saturated unit weight is 20 kN/m3. (Nc = 61.35; Nq = 48.93; N = 78.03
3663.3, 2076 kN/m2 )

For ’ = 38 o  From table (general bearing capacity)

Nc = 61.35; Nq = 48.93; N = 78.03
Given
b = 18 kN/m3; sat = 20 kN/m3 Df =1.5 m ; B = L = 2.25 m

Shape
Fcs = 1 + B/L (Nq/Nc) = 1 + 2.25/2.25 (48.93/61.3) = 1.798
Fqs = 1 + B/L tan = 1 + 2.25/2.25 tan 38 = 1.781
Fs = 1 – 0.4 B/L = 1 – 0.4 (2.25/2.25) = 0.6

Depth
Df =1.5 m ; B = 2.25 m
Df/B = 1.5/2.25 <= 1
Fcd = 1 + 0.4 Df/B = 1 + 0.4 (1.5/2.25) = 1.267
Fqd = 1 + 2 tan  (1- sin)**2 (Df/B)= 1 + 2 tan 38(1-sin38)**2 (1.5/2.25)
= 1.154
Inclination
Fci = Fqi = Fi = 1

(a) if the water table is well below foundation level,

1
qu = cNcFcsFcdFci + qNqFqsFqdFqi + 2 BNFsFdFi
= 0 x 61.35 x 1.798 x 1.267 x 1
+ (18x1.5) x 48.93 x 1.781 x 1.154 (2715.2)
+ ½ 18 x 2.25 x 78.03 x 0.6 x 1 x 1
= 0 + 2715.2 + 948.1
= 3663.3 kN/m2

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(b) if the water table is at the surface.

1
qu = cNcFcsFcdFci + qNqFqsFqdFqi + 2 BNFsFdFi
= 0 x 61.35 x 1.798 x 1.267 x 1
+ (20 – 9.8) X1.5 x 48.93 x 1.781 x 1.154 (1538.63)
+ ½ x (20 – 9.8) x 2.25 x 78.03 x 0.6 x 1 x 1
= 0 + 1538.6 + 537.2
= 2076 kN/m2

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4. Factor of Safety and Net Ultimate Bearing Capacity

The net ultimate bearing capacity is defined as the ultimate pressure 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 weight of concrete and soil is assumed to
be negligible, then the net ultimate bearing capacity, qnet(u) , is given by:

qnet(u) = qu - q (14)
where q = effective surcharge

The Factor of Safety

The factor of safety (F) with respect to shear failure is usually defined in terms of the net
ultimate bearing capacity, i.e.,

qnet (u ) (qu  q)
F  (15)
qnet  p  q

where qnet is the net foundation pressure which is the total foundation pressure (p) less the
effective surcharge (q).

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Learning Outcomes for the following examples

- To understand and apply the Terzaghi’s bearing capacity theory to determine the safe and
allowable bearing capacity of shallow foundation
- To apply the General bearing capacity equation to determine the safe and allowable
bearing capacity of shallow foundation
- To calculate the bearing capacity of foundation under undrained condition

Learning Activity 4 (example)

 A strip footing is to be designed to carry a load of 800 kN/m at a depth of 0.7 m in a
gravelly sand. given Nq = 64; and N = 95. Using Terzaghi’s Bearing Capacity, determine
the width of the footing if a factor of safety of 3 against shear failure is specified and
assuming that the water table may rise to foundation level. Above the water table the unit
weight of the sand is 17 kN/m3 and below the water table the saturated unit weight is 20
kN/m3. (1.55m)

Nq = 64
N = 95
b = 17 kN/m3
sat=20 kN/m3

Water table is at foundation level.

qu = cNc + DNq + 0.5  BN　　
= 0 + (17 x 0.7) x 64 + 0.5 x B (20-9.8) 95
= 0+ 761.6 + 484.5B

FOS = (qu - q)/(p -q) = (761.6 + 484.5B – 17 x 0.7 )/(800/B –17 x 0.7)
=3

Solving, B = 1.54 (say 1.55)

Note : q = overburden = D
p is sometimes expressed as qa (allowable bearing capacity)

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5. Skempton’s Values of Nc for Saturated Clays under Undrained Conditions

In a review of bearing capacity theory, Skempton concluded that in the case of saturated clays
under undrained conditions (u= 0 ) the ultimate bearing capacity of a footing could be expressed
by the equation:

qu = cu Nc + Df (16)

Values of the factor Nc , being a function of the shape and the depth/width ratio of the
foundation, are given in Figure 6.

Refer to B.M. Das (2007) pg. Fig

Skempton values of Nc for u = 0

Figure 6 (Das, B.M.)

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Learning Activity 5

 A footing 2 m x 2 m square is located at a depth of 4 m in a stiff clay of saturated unit

weight 21 kN/m3. The undrained strength of the clay at a depth of 4 m is given by the
parameters cu = 120 kN/m2 and Φu = 0.
a) Determine the ultimate bearing capacity of the footing using Skempton’s method.
b) For a factor of safety of 3 with respect to shear failure, what load could be carried by
the footing?

a)
q = cN + γD
u c
Note N depends on D/B
c
D/B = 4/2 = 2  from Figure 6, N = 8.4
c

q = cN + γD（Ｓｋｅｍｐｔｏｎ）
u c
２
= 120 x 8.4 + 21 x 4 = 1092 kN/m

q = D
FOS = (qu - q)/(p -q)
= (1092 – 21 x 4) / (p – 21 x 4)
= 1008/ (p – 84 ) = 3
solving
p = 420 kN/m
Total load P = p x Area
= 420 x (2 x 2)
= 1680 kN

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6. Effect of Eccentric Loading

Footings may be subjected to eccentric loading which leads to a reduction in bearing capacity.
If e is the eccentricity of the resultant load on the base of a footing of width B (Figure 7), it
was suggested by Meyerhof that an effective foundation width B’ be used in Eqs. 1 and 10,
where

B’ = B-2e (17)

The resultant load is assumed to be uniformly distributed over the effective width B’,
The revised ultimate allowable bearing capacity q’u can then be calculated from the
Terzaghi’s or General Bearing Capacity equations by substituting B by B’.

Eccentrically loaded foundations

Figure 7

For a rectangular footing, the actual bearing load will be

q max = P/BL + 6 P e/B2L
q min = P/BL - 6 P e/B2L
For q min to be > 0 ; e must be > B/6.

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Geotechnical and Foundation Engineering (CON4342)

References
Disclaimer- the author has tried his best to indicate all references but there is no guarantee
that all materials cited can be included.

Further References
1. Das, B. M. (2007). Principles of Foundation Engineering. 6th Edition. Cengage Learning.
2. Craig, R. F. (2004). Soil Mechanics. 7th Ed, E & FN Spon.
3. Capper, P.L., Cassie, W.F. and Geddes, J.D. (1980). Problems in Engineering Soil, E &
FN Spon.
4. Whitlow,R.(2000) Basic Soil Mechanics, 2nd Edition, Prentice Hall.
6. Barnes, G.E. (2000) Soil Mechanics Principles and Practices, MacMilan.
7. Berry, P.L. & Reid, D.(1987) An Introduction to Soil Mechanics, McGraw-Hill Book
Company
8. Budhu, M. (2000), Soil mechanics & Foundations, 2nd Ed., John Wiley & Sons
9. Sutton, B.H.C (1993). Solving Problems in Soil Mechanics, 2nd Ed, Longman.
10. ELE International. Catalogue in Laboratory Testing.

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