T H E ULTIhIATE U P L I F T CAPACITY O F F O U N D A T I O N S

G . G . M E YE R W[ 0 F Nova Scstia Techniece2 College, Halifax

J . I . AD AM S Hydro-Electric Power Contntfssion of Ontario, Toronto

The ultimate uplift capacity of La rkistance b i t e i I'arrachement des

foundations with special reference to
bansmission tower footings is evaluated.
A number of model uplift tests made by
the authors and by others were studied
aild compared with full-scale tests. These
tests showed a complex failure mechanism
which varied with the depth of the
foundation. Ushg simplifying assumptions
a general theory was produced. It was
shown that with suitable modification for
shape and depth a useful relationship was
available for computing the full-scale
uplift ca acity of foundations. It was
further &own by model tests that the
theory could be modified to take into
account group action. Further research is
required to evaluate the effect of combined
loads and long-term effects.
fondations, tout particuli6rement dans le cas
des tours cie balmsmission, est kvaluke dans le
prksent article. Les rksultats d'un certain
nsmbre d'essais d'arrachement faits sur mod6les
redtiits par l a auteurs et par d'autres
chercheurs ont 6th 6tudi6s et coinpar& aux
rksultats d'essais A g a n d e kchelle. Ces essais
ont montrd que le mbcanisme de rupture est
con~plexeet variable en fonction de la
profondeur de la fondation. Partant d'hypothkses
simplificatrices, les auteurs suggbrent une
thdorie g6nQale qui, avec une modification
approprike pour tenif con~ptede la forrne et de
la profondeur de la fondation, fournit une
relation utile permettant de calculer la
rksktance Q l'arrachment dm fondations Q
l'6chelle naturelle. De plus, il a kt&dhontrB
au moyen d'essais sur moddle que la th6orie
peut 6tre modifike pour tenir compte de l'effet
de groupe. Des 6tudes supplkmentaires seront
nkcessaires pour permettre ulme Bvaluation
de I'effet des charges combinkes et du
conlportement & long-terme des fondations.

In the design of many foundations it is necessary to evaluate the resistance of

the soil to uplifting loads. This is of particular importance in the design of
transmission towers and many radio and television towers. In these cases the
requirement for uplift resistance is due mainly to the application of a horizontal
load above ground level. This results in a combination of forces at footing level,
the largest of which act vertically in uplift or compression. The resistance of
soil to compression is reasonably well understood; however, the resistance to
uplift is uncertain and there are many conflicting theories reported in the
literature. In this paper a number of the existing theories on uplift are examined
Canadian Geotechnical Journal, vol. V, no. 4. Printed in Canada.
226 CANADIAN GEOTECHNICAL JOURNAL

and the difficulties particular to the problem are brought out. The results of a .

number of model uplift tests in sands and clays performed by thc Ontario Hydro
Research Division and the Nova Scotia Technical College are reported. A semi-
theoretical relationship for both clay and sand is produced and evaluated using
the results of the model tests and a number of full-scale field uplift tests. .4
number of group model tests by the Nova Scotia Technical College are also
reported and a modification of the theory is presented to account for group
behaviour.
The experience of many large utilities has indicated that an augercd cnst-in-
place concrete footing or pier has an important economic advantage over the
conventional grillage or pier-type footing. For the conventional footing the
uplift resistance was largely judged on the basis of purely empirical wies. With
the increased use of the augered footing the need far a rational design procedure
which accounted for the in-place strength of the soil became apparent. The
theories presented apply generally to the cast-in-place type of footing or pile
but can be applied to the conventional footing if the disturbed or compacted
properties of the soil are considered. The study was concerned with the ultimate
resistance of foundations under purely vertical uplift. The effects of moment and
horizontal shear components which are also important and the movements
which occur both vertically and laterally are mcntioned but are not evaluated.

PIIEVICBUS THEORY

In the literature, uplift theories have generally been based on either a slip surface
rising vertically from the edge of the footing, or a surface rising at 30 degrees
from the vertical, forming a frustum. For the vertical-surface theory, shear
resistance along the sides of the plane or cylinder was calculated and added to
the dead weight of the soil or concrete above the footing. For the 30-degrce-cone
theory, only the dead weight within the frustum was usually considered.
Experience has shown that neither of these methods provides reliable uplift
values. The cone method is usually conservative at shallo~vdepth, but can be
quite the opposite at large depth (Turner 1962). Pam and Vanner ( 1962) have
shown that the vertical-failure-surface approach did not apply to flared-out
footings in clay but may apply to bacldilled footings where the strength of the
backfill is effectively mobilized. Turner considered several modes of failure of
flared-out footings in clay and concluded that the shape of failure surface varied
with the footing dimension and soil strength; he noted a distinct difference in
behaviour between shallow and deep footings. He suggested the use of empirical
equations both for deep and for shallow footings, the undrained strength and
the footing dimensions being variables.
Balla (1961) showed that in dense sand the failure surface for shallow- foot-
ings was approximately circular in elevation, and that the tangent to the surface
of ground contact was at an angle of approximately 45' -4912 to the horizontal.
Assuming a circular failure path he obtained a reasonable correlation between
theory and the results of full-scale tests on shallow footings. Using model tests
in sand, Mlacdanald (1963) showed that for shallow depths the failure surface
was approximately parabolic and for greater depths the failure plane was
MEYERHBF AND OAMS : WLTIPU~ATE
UPLIFT CAPACITY OF FOUNBA'P~ONS 227

approximately vertical, the diameter of the cylinder formed being about 1.75
times the base diameter of the footing. Macdonald developed two theories to
account approximately for this behaviour. For the shallow case, failure was
assumed to be conical, with angle of inclination equal to one-half the angle of
internal friction; for the deep case, failure was assumed to be cylindrical with a
cylinder diameter of 1.15times the base diameter. The results of model tests were
in reasonable agreement with this theory.
Sutherland (1961) demonstrated a relation between the ratio of unit uplift
resistance to overburden pressure and that of footing depth to width. This
dimensionless empirical relation was useful to Sutherland in predicting full-
scale behaviour. Spence ( 1965) examined a theory in which shear was mobilized
on a cylindrical surface extending only partially to ground level. The ratio of
the cylinder height to base diameter was found to be consistent with that of the
depth to base diameter where full suction and soil weight were considered.
I w

It would appear that the l ~ c kof agreement on uplift-capacity theory lies in

the difficulty of predicting the geometry of the failure zone. In bearing-capacity
theory the stresses are distributed below the footing in a continuo& medium
which is assumed to be h~moge~neous and isotropic: consequently the geometry
of the failure zone is predictable, and consistent with conventional soil mechan-
ics theory. In uplift capacity the stresses are distributed above the footing,
and their distribution appears to be uniquely influenced by the surface boun-
dary. The uplift behaviour of deep footings has been generally reported to be
distinctly different from that of shallow footings. In dense sand, the shape of the
failure surface has been found to be generally parabolic in section near the
footing edge, tending to a more vertical (cylindrical) shape as the footing depth
becomes greater. In clays the failure surface is more complex; tension cracks,
through which failure eventually occurs, have been commonly observed.

LABOR4TORY MODEL TESTS

A series of model uplift tests in sand and clay were carried out by the Ontario
Hydro Research Division. Details of these tests were reported by Adams and
Hayes ( 1967). Briefly these consisted of small metal discs varying from 1to 4 in.
in diameter. Tests were carried out at various depths in uniformly graded and
well graded sands in both a loose and dense condition. A few tests in uniform
sand were made by relative densities intermediate between the loose and dense
condition. A similar series of tests in well graded sand were performed at the
Nova Scotia Technical College by Macdonald (1963). These tests generally
showed that in dense sand the uplift capacity increased geometrically with
depth within the depth range tested. In the well-graded material the uplift loads
were appreciably higher. In loose sands the increase in uplift capacity with
depth is approximately linear and much less than in the dense material. The
behaviour of both dense and loose uniform sand was obserc~edin semi-spatial
using time exposure photographs. These are shown in Figure 1. In the dense
sand at shallow depth, a distinct slip surface occurs which extends in a shallow
arc from the anchor edge to the surface. At greater depth the failure surface is
less distinct being initially curved and then essentially vertical and extending to
FIGURE I. Laboratory pullout tests in silica sand: dense condition on left, loose on right;
o / a 4.5 on top, 2.5 and 2 below
the surface. In loose sand, at large depth, the failure surface was essentially ver-
tical and limited to a short distance above the anchor. In loose sand at shallow
depth the failure surface was again essentially vertical but extending to the
ground surface. It was clearly evident that the shearing resistance was mobilized
over a much greater surface area in the dense sand than in the loose sand.
A similar series of tests although of more limited nature wme c a r r i d out in
clay. The Ontario Hydro tests were reported by Adams and Hayes (1967). The
Nova Scotia tests were reported by Spence ( 1965). The clays tested varied from
soft to stiff.' It was found that in both soft and stiff clay the uplift resistance
increases with depth finally reaching a constant value. Of particular interest was
the large amount of movement in the clays compared with the rather small
movement in sands prior to failure. Photographs of failure behaviour in clay are
shown in Figure 2. These observations show clearly that a forn of tension failure
occurs at least at shallow depth. Measurenlents of pore water pressures Adams
and Hayes (1967) showed that s i w c a n t negative water pressures are set up
both above and below the anchors duiing pullout.
A number of group model tests in both sands and clays have recently been
completed at the Nova Scotia Technical College. The tests were carried out on
groups of model footings in sand by Wiseman (1966) and in clay by Langley
(1987) to determine the effect of number, spacings, and dimensions of the
footings in the group and the properties of the soil on the uplift resistance of the
groups. Semi-spatial tests showed that for close footing spacings the failure
surface was curved at the outside of the footings and that the soil between the
footings moved upward with the footings. As the footing spacing increased, the
failure surfaces became more like those of individual footings.

THSIEORY OF UPLIFT RESISTANCE

An approximate general theory of uplift resistance in soil has been developed

which is blased on the observations and test data presented. Because of the com-
Q LI

A . SHALLOW DEPTH B. GREAT DEPTH

FIGURE 3. Failure of soil above a strip footing under uplift load

1. The clays tested were in a remoulded condition.
MEYERHOF AND ADAMS : ~ T L M UPLIFT
A ~ CAPACITY OF FOUNDATIONS 23 1

plex form of the failure surfaces, simplifying assumptions in respect to the actual
failure surfaces are made. The theory is derived for a strip or continuous footing
and is then modified for use in sands and clays for circular and rectangular
footings and for group action.

Strip f aoting
( a ) Shallow depth: At the ultimate uplift load Qua soil mass having an approxi-
mately truncated pyramidal shape is lifted up and, for shallow footing depths,
the failure surface reaches the ground surface ( Figure 3a ) . Accordingly, a state
of general shear failure exists along the failure surface on which a cohesive
force CIand friction force F are mobilized based on a unit shearing resistance,

(I) t,=c+atan+,
+
where c = unit cohesion, o = normal stress on failure surface, and = angle of
internal friction of soil. The ultimate load per unit length of footing may then be
expressed by

(2) +
Q, = 2Cf cos a 2Ei' css P +w
where W = weight of lifted soil mass and weight of footing, and a and are
average inclination with vertical of forces C, and F, respectively.
In the absence of a rigorous solution for the stresses on the failure surface, it
may be assumect that Quis approximately given by

whcre C = cD = cohesion along vertical plane through footing edge and P, =

total passive earth pressure inclined at average angle 6 acting downward on
vertical plane through footing edge.
Expressing the normal component of P,

(4) P, cos 6 = (112/2)~,

where K , = coefficient of passive earth pressure and = unit weight of soil, and
substituting into equation ( 3)

where K,, = K , tan 8.

Test results on model strip footings given below indicate that, for sands, the
average angle of the failure surface with the vertical varies between about +/3
and 2+/3. For an average value of about + / 2 for this angle, trial calculations
have shown that 6 is approximately w/3.From the corresponding passive earth
pressure coefficients K, based on curved failure surfaces (Caquot and Kerisel
P949), the vertical component &, governing the uplift resistance has been
evaluated and is shown in Figure 4. It is of interest to note that for a given value
of 4, the value of &, is not very sensitive to changes of 6 in the range of about
+/2 and 39/4, and the corresponding theoretical failure surface has roughly the
observed shape.
 0 10 20 30 40
ANGLE OF INTERNAL FRICTION 0

FIGURE 4. Theoretical uplift coefficients of earth pressure for strip footing

For csnve,nience of the analysis and coniparison with test results the value of
% ,may be expressed by
(6) K,, = K, tan 4
where K , = nominal uplift coeEcient of earth pressure on vertical plane through
footing edge. Thus equation ( 5 ) becomes

The corresponding theoretical values of K , are shown in Figure 4 and are found
to vary from about 0.7 to nearly unity. For granular materials therefore it will
be seen that K,, is relatively constant for a wide range of 4 and may for all prac-
tical purposes be taken as 0.95 for strip footings as shown in Figure 5.
( b ) Great depth: With increasing depth of the footing the compressibility and
deformation of the soil mass above the footing prevent the failure surface from
reaching the ground surface (Figure 3b). The extent of this local shear f a1'1ure
may be included in the analysis by limiting the vertical extent H of the failure
surface and utilizing the surcharge pressure above the level of the failure surface
Po = y ( D-H ) . On this basis equation ( 7 ) may be modified for great footing
depths and written"

The magnitude of H which can at present only b e determined from the observed
extent of the failure surface and an analysis of test results s h o r n later, is given in
Table I.
*In model tests rod friction is mobilized above the distance H which is ignored in this
expression.
MEYERMOF AND D A M S : ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS

TABLE 1
-a - - -- -
Frictionangle4 20" 25" 30" 35" 40" 45" 48"
Depth H / B 2.5 3 4 5 7 9 11

The upper limit of the uplift resistance is given by the sum of the bearing
capacity of the footing and the skin friction on the anchor shaft

where A, = suiface area of shaft, f , = average unit skin friction of soil on shaft,
and N , and N , are bearing capacity factors as for a footing under downward
loads ( hleyerhof 1951 ) .

Circular and rectanguhr footings

( a ) Circulur footing: The analysis for strip footings can be extended to circular
footings by determining the shearing resistance from cohesion and passive earth
pressure inclined at 6 on a vertical cylindrical surface through the footing edge
( Figure 3 ) . Thus for shallow depths ( D < H ), equations ( 3 ) and ( 7 ) become

(11) +
Qu = RCBD S ( R / ~ ) ~ B Dtan ~ K4 , W +
where s = shape factor governing the passive earth pressure on a convex cylin-
drical wall. Similarly for great depths ( D > H), equation ( 11 ) becomes*

with an upper limit as for the bearing capacity of a footing under downward
loads ( similar to equation 9 ) .
Test results on model circular footings reviewed below have shown that for
sands the average angle of the failure surface with the vertical varies between
about 4/4 and $/2. For an average value of about +/3, the mgle S is approxi-
mately 2+/3 and the corresponding values of the shape factor s can be estimated
from approximate earth pressure theories based on plane failure surfaces ( Bere-
zantzev 1952 and MacKay 1986). For small ratios of footing depth to width of
D/B the theoretical results can be approximately represented by

with a maximum of

where H f B is given in Table I and the coefficient m has the values given in

'In model tests rod friction is mobilized above the distance H which is ignored in this
expression.
234 CANADIAN GEOTECHNICAL JOURNAL

--- - -- -- - - - -- --- --
Friction angle + 20" 25" 30" 35" 40" 45" 48"
Coefficient nz 0.05 0 . 1 0.15 0.25 0.35 0.5 0.6
Max factor s 1.12 1.30 1.60 2.25 3.45 5.50 7.60

Table 11. The corresponding earth pressure coefficients designated as sK, are
shown in Figure 5 for circular footings at shallow and great depths in sands.
( b ) Rectangular footing: An approximlate analysis for the ultimate uplift load
of a rectangular footing of width B and length L can be obtained as for down-
ward loads (Meyerhof 1951) by assuming that the earth pressure along the
perimeter of the two end portions of length B / 2 is governed by the shape factor
s as for circular footings, while the passive earth pressure along the central por-
tion of length L B is the same as for a strip footing. On this basis it can be shown
that for shallow depths

while for great depths'

with an upper limit as for the bearing capacity under downward loads. For
square footings B = L in the above expressions.

Footing groups
The ultimate uplift load of a footing group is the smaller value of either the sum
of the uplift loads of the individual footings or the uplift load of an equivalent
pier foundation consisting of the footings and enclosed soil mass. While the sum
of the uplift loads of the individual footings can readily be determined from the
expressions given for single footings, the uplift load of the equivalent pier
foundation can be estimated by the method suggested for rectangular footings.
Thus for a group of circular footings it is assumed that the passive earth pressure
along the curved portions of the perimeter of the group is governed by the shape
factor s and the passive earth pressure along the straight portions is the same
as for a strip footing.
For example, a rectangular group at shallow depth has approximately an
ultimate uplift resistance of

with a maximum of

where a and b = distance between centres of comer footings on length and

width, respectively, of group, n = number of footings in group, W, = weight

"In naodel tests rod friction is mobilized above the distance H which is ignored in this
expression.
MEYERHBF AND ADAMS: ULTIMATE UPLIFT CAPACITY OF FOUNDATTO~S 235

- CIRCLE OR SQUARE

------ FOOTINGS
STRlP FOOTING
A

RATIO O F DEPTH TO WIDTH D / B

RECENT DATA - RECTANGULAR FOOTINGS - PUBLISHED DATA - CIRCULAR FOOTINGS - SLENDER SHAFTS
SLENDER SHAFTS 'MEYEWHOFs)

WELL-GRADED SAND
@ DENSE I 7 X I2
@ i m s ~ l s r r a
CI - 45"
0

0
DENSE SILICA SAND @ = 34O
DENSE CONCRETE SAND
DENSE SILICA SAND @ = 42"
DENSE SAND @ -
0
-
= 47O
-
ADAMS AND HAYES 11967)
- ADAMS AND HAYES (1967)
BAKER AND KONDER '1966,
4s0 - MAC DONALD (19631
I I
DiA:g;LR
LOOSE SILICA SAND O - 28O - ADAMS AND HAYES '1967)
9 LOOSE SAND O = 31 - M A C DONALD (1963) d
FIGURE 5. Cornparis011of theory and model tests for footings in sa11d

of footing group and weight of enclosed soil mass, and other symbols as before.
The ratio of the uplift load of the equivalent pier foundation to the sum of
the uplift loads of the individual footings, or the efficiency of this group, is then
given by the ratio of equation ( 17) to equation ( 18).

UPLIFT RESISTANCE IN S A N D

In order to compare the results of the model tests with the present theory of
uplift resistance, the experimental data were analysed to determine the value of
sK, in the proposed equations for circular and long rectangular footings at
various ratios of depth to width of footing D / B . The test results, u~hvhichare
shown in Figure 5, indicate a rather wide scatter of points, which is to be
expected due to the different types and densities of sand used. For a given type
of sand, the values of sK, for circular footings increase with the internal friction
and with the ratio of D / B to a maximum value, which remains roughly constant
for large ratios of D / B . On the other hand, the values of sK, for long rectangular
footings are sensibly independent of the friction angle of the sand and the ratio
of D / B . These observed relationships are in reasonable agreement with the
proposed theory.
It will be seen that in all cases the sK, values for loose materials are very low
generally about unity. In this case, as would be suggested by the photographs,
a form of local shear occurs in which a very limited shear zone is developed.
Although the theory takes into account a form of local shear at great depth, it
 I I I
F O O T 1NG SHAFT

0 CIRCLE CIRCLE
X RECTANGLE
- -o RECTANGLE
( L / B = 81
D/'B = 12

0 0.2 0 4 0 6 08 1.0

OF
ANGLE O F ?.KINFRICTION
ANGLE O F INTERNAL FRICTION %
FIGURE 6. Observed laboratory relationship between uplift coefficient and friction angle

does not account for this very limited zone. From a practical standpoint how-
ever, the sK, value for a variety of soiIs in a loose condition was about unity for
a wide depth range. The s K , values for dense sands follow the trend indicated
by theory, although the tests points fall somewhat above the theoretical lines.
The discrepancy is therefore on the safe side.
The results of additional model tests on circular and long rectangular shafts
were anaIysed in a similar manner, and the resuIts are compared with corre-
sponding footing data in Figure 6. It is found that the uplift resistance of the
shafts increase with the degree of roughness of the shaft and that the footing
resistance corresponds to an angle of skin friction of roughly two-thirds of the
friction angle 4,as would be expected theoreticalIy. It is also of interest to
note that for a given density of the sand and roughness of the shaft, the skin
friction of a circular shaft is greater than that of a rectangular shaft (except for
loose sand) and the corresponding shape coefficients are similar to those for
corresponding footings.
Full-scale uplift tests were performed by the Ontario Hydro on a number of
shallow cylindrical cast-in-place footings. These were about 3 ft in diameter and
the depth was varied from 6 to 12 ft. These results along with a number of tests
reported in the literature were analysed using the sK, theory. The s K , values
obtained from the field tests are compared in Figure 7 with theoretical values.
It will be seen that the field sK,, values in the loose range vary from about 0.5 to
1.5. In the dense range the values plot generally on or above the theoretical
lines.
In the absence of full-scale tests on footing groups, the results of the present
uplift tests on small groups of circular model footings and rough circular shafts
will be analysed to give an indication of efficiencies of the groups at the maxi-
MEYERHOF AND ADAMS : ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS

RATIO O F DEPTH TO WIDTH D/ B

DENSE SAND
o ADAMS AND HAYES (1967) - HAMILTON P) '40
v ACIAMS AND HAYES (1967) - SUDBURY 0= 30"
a SUTHERLAND (1965) 0
0 BALL4 (1961)a = 3(1O
- 36O - 42"

x BAKER AND KONDER (1966) 0 - 37O

+ MORS (1959) P) ' 35" - 4oe
LOOSE SAND
- ESSA P) = 32"

.
ADAMS AND HAYES (1967)
ADAMS AND HAYES (1967) - ISLINGTON 0 - 30
BALLA(1961) 0 - 30
+ 9 6=6 so
GIFFELS ~ ~ ~ ~ ( 1 0 )
A MORS (1959) 8 ' 26O - 30

FIGURE 7'. Cornparisan of theory and full-scale tests in sand

mum uplift loads. The results are shown in Figure 8 for loose and dense sands
and various depths of footings and shafts. For a given density of the sand the
uplift efficiencies of the groups increase mughly linearly with the spacing of the
footings or shafts, and the efficiencies increase as the depth of embedment be-
comes smaller. These increases of the uplift efficiencies may be explained by the
corresponding decrease of the overlap of the failure zones of the individual
footings and shafts as their spacing incremes and their depth decreases. The
uplift efficiencies decrease as the number of footings or shafts in the group
increases and as the density of the sand increases. Although the trend of these
observations is reflected in the proposed theory of group action, comparison
between theory and test results shows that agreement is much better at great
depths than at shallow depths where the estimates are rather conservative.

UPLIFT RESISTANCE LE3 CLAY

Tension cracks have been widely observed in clays subjected to uplift loads.
They appear, however, to b e restricted to rather shallow depths where the soil
is stressed largely in flexure. Negative pore water pressures have been recorded
both above and below model anchors which substantiate a tension force in the
clay mass. At large depths, however, it was thought that flexing of the clay mass
would be prevented by the weight of the overburden and that the resistance to
 A DENSE 5AND

------ 2 BASES TEST RESULTS

- 4 BASES

x D/ B = 20 - 2 ROUGH SHAFTS

0
I 2 3 4 5 6 7 8
RATIO OF SPACING TO WIDTH O F BASE

FIGURE 8. Cornparison sf theory and msdd group tests in sand

uplift would be determined by the shear strength of the clay. For this case the
limiting uplift capacity of a plate would be approximately equal to the bearing
capacity of the clay.
To test this assumption tlle results of all model tests were analysed using the
following expression which is analogous to the bearing capacity expression

in which Nu is an uplift coefficient and W is the weight of material above the

footing. Experimental values of N u were calculated from the pullout loads and
plotted against the L) to B ratios in Figure 9. In these tests it was known that a
h,fEYEFtHOPAND ADAMS: WLTIMAT'E UPLIFT CAPACITY OF FQWNDATIQNS

- L
0 SPENCE (1965) AND LANGLEY (1967)
I" T O 4 " DIAMETER FOOTINGS
(SLENDER SHAFTS) I
1 ALL POINTS SHOWN ARE CORRECTED FOR SUCTION

0 2 4 6 8 10
J
12
RATIO O F DEPTH T O WIDTH B/ B

FIGURE n theory and mode1 tests for footings in clay

9. C o m p a ~ o sf

full or partial suction was developed below the anchors and therefore the pull-
out loads were corrected for full suction in calculating the Nu value. It will be
seen that the Nu values increase with depth to a m & m m level generally
around 9 or 10. A semitheoretical line is shown on this chart in which the equiv-
alent IVlh was determined from a calculated pullout load based on full shear
developed on the cylindrical surface (equations 11 and 12) the limiting value
being taken as the bearing capacity coefficient N , ( Mverhof 1951) similar to
equation ( 9 ) .
The results indicate that for shallow depths the observed uplift capacities are
aboui one half of those estimated from the cylindrical theory. This diflerence
can at least partly be explained by the relatively large deformation to failure of
the clay, which reduces the embedment depth especially in soft clays, and by
the influence of tension cracks due to premature tensile failure of the clay. Un-
drained tests on one of the soft clays used in the present uplift tests gave a tensile
strength of about 0.4 times the compressive strength. For great footing depths
the N , values shown are generally in the theoretical range.
The results of the present uplift tests on smdl groups of circular model foot-
ings and rough circular shafts in soft clay were analysed to determine the effi-
ciencies of the groups at the maximum uplift loads. The test results, which are
shown in Figure 10, indicate that the uplift efficiencies increase with the spacing
of the footings or shafts and as the depth of embedment decreases. The uplift
efficiencies decrease somewhat as the number of footings or shafts in the group
increases. The observed relationships for the uplift resistance of groups are in
good agreement with those found previously ( Whitaker 1957) for free-standing
 NUMBER O F
BASES !:2 OR 4) THEORY

1 X D/B=20 - 2ROUGH SHAFFS

-4- D / B '20 - 4 ROUGH SHAFTS

RATIO O F SPACING P O WIDTI-! O F EASE

FIGURE 10. Co~nparisonof theory and model group tests in clay

pile groups with downward loads. For the usual spacings of the footings or
shafts the observed efficiencies are smaller than estimated theoretically, as had
been found under downward loads. This difference is believed to be due partly
to the iduences mentioned under the analysis of the single footings and partly
to the overlap of the individual zones of shearing deformation, which prevents
the mobilization of the full shearing strength of the clay in the groups.
A number of full-scale uplift tests have been performed in clay by the Ontario
Hydro. These footings had a shaft diameter between 2 and 3 ft and were belled
out to between 3 and 5 ft. The depths varied from 6 to 12 ft. The results, along
with those from others, reported in the literature were analysed using N , theory
The Nu values calculated are shown in F i y r e 11 in comparison with the range
of laboratory values. In these calcu~ationsthe effect of shaft friction and base
suction was i g n ~ r e dIt. ~will be seen that the oalculated N , values from the field
tests are only about % the laboratory-derived values at least at shallow depth.
It is worthy to note that the majority of the field tests were carried out in rela-
tively shallow depth in stiff clays which were fairly brittle and fissured. It is
probable that the strength mobilized in these soils is considerably less than the
laboratory "peak" value and possibly as low as the "residual" value.

SHOBT-TERM \TIISUS LONG-TERM UPLIFT CAPAClTY

It has been demonstrated that negative pore water pressures occur in clays
during uplift, particularly with shallow foundations. The uplift capacity under
sustained loads in clay was expected, therefore, to be less than under short-term
loads. In sands or other free-draining material, long-tenn and short-term capa-
city should be the same.
To investigate this premise a few simple tests were performed by use of small
2. Measurements of negative water pressure during field pullout tests in fissured clay have
indicated very low suction values.
MEYERPIOP AND ADAMS: ULTIMATE UPLIFT CAPACITY OF POUNDATIO'NS

NOTE - A L L POlNTS ARE NOT

RATIO O F DEPTH T O WIDTH D/ B

ADAMS AND HAYES (19673 TURNER (19623

0 - HAMILTON PARR AND VANNER (19621
- NOBLETON 1 PATEUSON AND URlE ,19643
V - KLEINBURG
O - TORONTO

FIGURE 1I. Comparison of theory and full-scale tests in clay

model anchors in clay. Short-term tests were carried out in a manner similar to
that described previously. Long-term tests were performed by adding small
increments of laad each day until pullout occurred. The results of these tests
are shown in Figure 12. It will be seen that in the stiff clay the long-term
capacity is a small fraction of the short-term capacity, whereas in the soft clay
the long-term capacity is a much higher percentage of the short-term load. LVith
the belief that the long-term uplift capacity would be dependent on the drained-
or frictional-strength parameters of the clay, for each of the sustained loading
test cases the capacity was estimated by use of the K, theory developed for sand
+
and the N , relation for clay. The effective angle of shearing resistance ( ) of
the clay was 26 degrees. From Figure 12, the estimated long-term capacity on
this basis is seen to be in reasonable agreement with the measured long-term
pullout capacity.
The long-term strength of soil under a sustained load is dependent on its
drained-strength parameters. With a clay under bearing loads, usually positive
water pressures develop immediately on application of load; in time, as the
water is squeezed out, the soil hardens, with a corresponding increase in bearing
capacity. In clay under uplift loads, negative water pressures have been found
to occur, at least at shallow depth. Under a sustained load, therefore, softening
of the soil would be expected, with a corresponding reduction in uplift capacity.
 MEASURED UNDRAINED STRENGTH
.....
....,
.,..
.... (SHORT-TERM)

MEASURED DRAINED STRENGTH

(LONG-TERM)

ESTIMATED DRAINED STRENGTH

BRICK CLAY BRICK CLAY BRICK CLAY NIAGARA CLAY

5" X 5" ANCHOR 1 . 1 2 5 ' ANCHOR
~ ~ 1.125'1-DIAANCHOR 1 . 1 2 5 ' L ~ lA~N C H m
DEPTH: 12 IN DEPTH.7.5 IN DEPBH:2 IN DEPTH:5 IN
oie = 2.4 D i B = 6.7 e i e = 1.48 D ~ = B 4.4
I ST! FF! (ST1FF) (STIFF) (SOFT)
FIGURE la
2.1. ADAM5

FIGURE 12. Comparison of short-term and long-term node1 pullout tests in clay

The stiffer the soil the greater would be the extent of softening and the greater
the capcity decrease with timea3Since the drained strength of soil is largely
determined by its fridion characteristics, the uplift capacity will be related to
the normal component of the soil weight resisting uplift, or indirectly to the
depth of the foundation below ground level. Also, with increasing depth the
pore water pressure changes under uplift loading would be expected to be
modified or even reversed. It would follow that for a given foundation in clay,
the long-term capacity will increase with depth and at a certain depth be equal
to the short-term capacity. This critical depth will be greater with increasing
stiffness of the soil. Under actual field conditions, because of atmospheric drying
and fissuring in the upper surface of the soil the softening effect may not be as
great as the theory would indicate.
The above reasoning is believed to be consistent with basic soil mechanics
theory and may be useful where the capacity of foundations undcr sustained
uplift loading is being considered.

CONCLUSIONS

The resistance of soil to an uplifting foundation is a combination of the soil

weight land shear resistance mobilized within a defined boundary or failure
3. A s t 8 clay in this sense is considered to be "overconsnlidated.'"
MEYERMOP AND ADAMS: ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS 243

surface. In sands the geometry of the failure surface is fairly dstinct but varies
in shape and extent depending on the depth/width ratio of the foundation and
on the rigidity or relative density of the soil. In clay the failure surface is com-
plicated by the formation of horizontal cracks which occur at shallow depth and
are presumably due to tensile stresses.
An approximate general theory for uplift capacity for a continuous or strip
footing is presented. The theory is simplified by considering the forces acting on
a cylindrical surface above the foundation. Shape sactors are applied to the
general expression to account for the three-dimensional effect of individual
square or circular footings. In clay it is shown that the general theory does not
apply at shallow depth and this is attributed to the failure of the soil in tension.
An empirical procedure was employed utilizing a Nu coefficient which related
the uplift coefficient of clay to mdrained strength. The uplift theories derived
were applied to a number of full-scale field tests in both sands and clays and it
was found that useful correlations were available.
The theories derived for both clay and sand were modified to take into account
the effect of group action of square and rectangular pile or footing arrange-
ments. The basis of this was to consider the maximum capacity of a group to be
the sum of the uplift capacity of each individual unit while the n~inimum
capacity to be the value of the group
- -
as being one unit. Intermediate capacities
were interpolated between the two limits depending on the spacing between
individual units. The results of model tests of groups in both sand and clay
showed a reasonable basis for the determination of efficiency factors.
The drained or long-term uplift capacity in clay can b e appreciably less thlan
the undrained or short-term capacity, particularly at shallow depth. The reduc-
tion with time is attributed to the dissipation of negative pore water pressures
which allow softening of the soil. It was indicated that the drained or long-term
capacity can be estimated using the theory applicable to sand or frictional
material. Using the clay relationship for short-term capacity and sand relation-
ship for long-term capacity it was shown that the reduction in capacity is most
prevalent in stiff clays at shallow depth and that for each clay there is a certain
depth at which the long-term capacity will become greater than the short-term
capacity. Of practical importance is the fact that an appreciable portion of the
uplifting force on a tower foundation is of a transient nature and only a small
portion of this component need b e considered along with the sustained c m -
ponent in a long-term uplift analysis.
The study has considered the ultimate uplift capacity of soils under purely
vertical loading. In most tower foundations a combination of Ioads occur at
ground level consisting of n moment, a horizontal shear force, and either a
vertical uplift or compression force. While the vertical forces are by far the
greatest, the effect of the moment and horizontal forces are important in tower
design. Basic research is needed to evaluate the behaviour of foundation under
combined loads, in particular the movements which occur at design load intensi-
ties. The effect of fissuring on the strength mobilization in stiff clay also requires
further detailed study.
 ACKNOWLEDGMENT

The research at the Nova Scotia Technical College was carried out with financial support
from the National Research Council and Franki Canada Limited. The research at the Ontario
Hydro was carried out by the Research Division Soils Section. Field testing was done by the
Section of the Research Division as requested by the Transmission and Distribution
Struct~~ral
Bepartmen t .

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