E1-240-2014 - Foundation Engineering II Introduction To Building Foundations

IISEE Lecture Note
2011
FOUNDATION ENGINEERING 2
By
Songtao XUE
Department of Architecture, Faculty of Engineering

Tohoku Institute of Technology
Feb. 25 , 2011
International Institute of Seismology and Earthquake Engineering

(IISEE)
Building Research Institute
Syllabus
Subject: Foundation Engineering 2
Lecturer: Songtao XUE
Day: 1
Contents:
A foundation is the part of an engineered structure that transmits the structure’s
forces into the soil and rock that supports it. The shape, depth, and materials of the
foundation design depend on the many factors including the structural loads, the
existing ground conditions, and local material availability.
Proper design of building foundation requires the knowledge of (a) external loads
and loads transmitted by the building superstructure, (b) local code requirements, (c)
nature and composition of different types of soil at the site, (d) behavior and
stress-related deformability of soils supporting the foundation system, and (e) general
geological conditions of the site. Together with knowledge of such scientific principles,
rational engineering judgment acquired through observation and experience is
indispensable in the foundation engineering practice.
It is evident that this one-day lecture cannot attempt to cover all these aspects. The
objective here is to cover some basic aspects of the design and construction of building
foundations, including scientific principles as well as practical aspects. It is expected
that the balance between theoretical and practical aspects in the content would provide
the trainees with the clear overview of the essentials of building foundations.
Special Mentioning
The level of this lecture achieves the PE (Professional Engineer) level and the
contents, the examples and practice problems are all in the same level with the PE
(Professional Examination), but the units are different. We used SI unit system instead
of the American system.
1
Contents:
Part 1. Shallow Foundations
General Bearing Capacity

Bearing Capacity of Clay and Sand
Effects of Water table on Footing Design
Eccentric Loads on Rectangular Footings
Rafts on Clay
Examples and Problems
Part 2. Pile and Deep Foundations
Piles Capacity from Driving Data

Theoretical Point-bearing Capacity
Theoretical Skin-friction Capacity
Pile Groups
Examples and Practice Problems
Part 3. Retaining Wall
Earth pressure and Vertical Soil Pressure

Active Earth Pressure
Passive Earth Pressure
Surcharge Loading
Effective Stress
Cantilever Retaining Walls
Examples and Practical Problems
2
Soil Mechanics and Foundation Engineering Lectures This lecture
Part 1. Shallow Foundations
Part 2. Pile and Deep Foundations
Part 1. Shallow Part 3. Retaining Wall
Foundations • The level of this lecture achieves the
PE (Professional Engineer) level and the contents, th
Prof. Dr. Songtao XUE e examples and practice problems are all in the sam
e level with the PE (Professional Examination), but t
Tohoku Institute of Technology he units are different. We used SI unit system instead
of the American system.
Tongji University
Monday, February 14, 2011
February 14, 2011
CONTENT Introduction of Foundations

• Introduction of Foundations • Function : to transfer the forces from the structure to
the soil or rock without excessive settlement.
• General Bearing Capacity
¾Shallow Foundation
• Bearing Capacity of Clay and Sand • Foundation Types:
¾ Deep Foundation
• Effects of Water table on Footing
Design Structure
• Eccentric Loads on Rectangular • Shallow Foundation:
Foundation the depth of the
Footings
foundation is shallow
• Rafts On Clay
Df
relative to its width,

• Examples and Problems usually Df /B≤1.
Soil B
Rock
February 14, 2011 February 14, 2011
• Category of Shallow Foundation • Category of Shallow Foundation
¾Spread footings ¾ Continuous (or wall) footings

¾ Mats or rafts
Square Rectangular
Spread footings Continuous / wall footings Mats or rafts

Circular
Other Shapes
1
Main considerations in designing General Bearing Capacity
shallow foundation General Consideration for Footings
Bearing Capacity failure and excessive Settlements
Footing and its Function：
Column
Widened parts of the foundation
Accepts load from structure il
Transmit Forces to the soil, not So
to exceed bearing capacity Footing
General Considerations for design of footings:
Bearing Capacity Failure Excessive settlement Located below the frost line and the moisture content change level.
Bearing Capacity: the ability of the soil to support the Be safe against overturning, sliding and uplift.
foundation loads without deform failure. Satisfy the allowable soil pressure
Settlements: the tendency of soils to deform under Be sized to the nearest 75mm greater than theoretical size
applied loads.
Soil deformation and bearing force Allowable Bearing Capacity

The allowable bearing capacity (Also: net allowable
P bearing pressure or safe bearing pressure) is the net
④ ④ Df pressure in excess of the overburden stress that will
not cause shear failure or excessive settlements.
③ ① ③ Typical Allowable Soil Bearing Capacities
Type of soil Allowable
② ② pressure (kPa)
Sliding surface Massive Crystalline Bedrock 200
Part ① tries to cave vertically down like a wedge. Sedimentary and foliated rock 100
Part ②, influenced by the moving tendency of part ①, tries to Sandy gravel and/or gravel 100
move horizontally each side. Sand, silty sand, clayey sand, silty gravel 75
Part ③, influenced by part ②, tries to move to incline direction. and clayey gravel
Part ④, located over the basement of the foundation, Clay, sandy clay, silty clay, and clayey silt 50
tries to restrain (prevent) the moving of the soil.
General Bearing Capacity Equation Introduction of the coefficients pq : Surcharge

• The ultimate (or gross) bearing capacity for a P
shallow wall footing is given as,
1
④ ④ D
qult = ρgBN γ + cN c + ( p q + ρgD f ) N q
2 ③ ① ③ f
p q : additional surface surcharge
Nγ , Nc , Nq : capacity factors. Nγ , Nc , Nq should be ② ②
60
multiplied by factors Sliding surface
Bearing capacity factors
50
Nc for other shape and

40
depth of footings:
30 Nq
20 Capacity factors 1
10 Nγ
Shape and Depth factors
qult = ρgBN γ + cN c + ( pq + ρgD f ) N q
0 2
φ
0 10 20 30 40 50
φ: angle of internal friction
2
Bearing Capacity factors Meyerhof and Vesic
Shape factors
Terzaghi φ Nc Nq Nγ N γb
Nc and Nγ multipliers for various values of B/L
φ Nc Nq Nγ
0
5
5.14
6.50
1.00
1.60
0.00
0.07
0.00
0.50
0.0 5.7 1.0 0.0 B/L Nc Nγ
10 8.30 2.50 0.37 1.20
5.0 7.3 1.6 0.5 1(square) 1.25 0.85 L
15 11.00 3.90 1.10 2.60
10.0 9.6 2.7 1.2
20 14.80 6.40 2.90 5.40 0.50 1.12 0.90
15.0 12.9 4.4 2.5 0.20 1.05 0.95
25 20.70 10.70 6.80 10.80
20.0 17.7 7.4 5.0 30 30.10 18.40 15.70 22.40 0.00 1.00 1.00
25.0 25.1 12.7 9.7 32 35.50 23.20 22.00 30.20 1(circular) 1.20 0.70
30.0 37.2 22.5 19.7 34 42.20 29.40 31.20 41.10
34.0 52.6 36.5 35.0 36 50.60 37.70 44.40 56.30 Depth factor suggested to be applied for the Nc is
35.0 57.8 41.4 42.4 38 61.40 48.90 64.10 78.00
40.0 95.7 81.3 100.4 40 75.30 64.20 93.70 109.40 Depth factor for Nc :
45.0 172.3 173.3 297.5 42 93.70 85.40 139.30 155.60 K ⋅ Df
44 118.40 155.30 211.40 224.60
de = 1 +
48.0 258.3 287.9 780.1 B
50.0 347.5 415.1 1153.2 46 152.10 158.50 328.70 330.40
48 199.30 222.30 526.50 496.00
K is a constant which is 0.2~0.4
50 266.90 319.10 873.90 762.90
Net and allowable Bearing Capacity Bearing Capacity of Clay and Sand
Net Bearing Capacity is just the foundation • Bearing Capacity of Clay
Undrained case or φ = 0o case:
weight taken away from the ultimate capacity. PoreClay
pressure
q net = qult − ρgD f Undrained Su = c φ = 0o short
Allowable Bearing Capacity shear strength time
cohesion
q
qa = net If no surface surcharge
F pq = 0 Nγ = 0, N q = 0
F :safety factor between 2 and 3 (based on qnet ). Cohesion
Smaller value is sometimes used for transient qult = cN c + ρgD f dominate
load conditions such as from wind and seismic
forces.
qnet = qult − ρgD f = cN c bearing
qa = qnet F capacity
Bearing Capacity of Sand Bearing Capacity of Sand (continued)

(continued)
For ideal sand , c = 0 , then:
Overburden load γ ⋅ D f in Eq.
qult = 12 ρgBN γ + ( pq + ρgD f )N q
Overburden
(kPa)
Cn
0 2.00 qa = 10.53Cn N
If no surface surcharge:
d f = 2 ρgBNγ + ρgD f (N q − 1)
φ
24 1.45 is assumed approximately

qnet = qult − ρgD 1
48 1.21 95.76kPa
Depth term ρgD
e N dominate bearing capacity
f q
96 1.00 Corresponding N-values is from
p 144 0.87 3~4.5m below the surface.
qnet enB ⎛ 1 ⎛ Df ⎞⎞
( )
192 0.77 Correction factor needed for
qa = = ⎜⎜ 2 ρgN γ + ρg N q − 1 ⎜⎜ ⎟⎟ ⎟
⎟
240 0.70 shallower foundations .
F F
d ⎝ ⎝ B ⎠⎠ 287 0.63
In practice,
depend on φ
335 0.58 Df
3~4.5m
o governed by Df /B lowest average

383 0.54
N-value from B
Assuming: F = 2, ρg = 15.7kN/m 3
n 431 0.50
depth of Df +B
qa = 10.53Cn N [in kPa ]
479 0.46
February 14, 2011

N: standard penetration test value February 14, 2011
3
•General principle 2: For sand, use the submerged
density ρ b = ρ d − 1000kg/m 3 in the equation for bearing
capacity: 1
qult = ρgBN γ + cN c + ( pq + ρgD f ) N q
•General principle 1: For cohesive (φ = 0 o )soils 2
(clay), the effect of the water table is disregarded. The bearing capacity of a footing with the water table
at the ground surface is half of the dry bearing
capacity. For accurate estimate:
(a) Water table is at the base
of the footing: Df =Dw Df
For ideal sand , c = 0: Dw
B
qult = 12 ρ b gBNγ + ρ d gD f N q Water Table
General principle 2 (continue) Effects of Water table on Footing Design

(b) When water table is at the surface: Dw=0
qult = 12 ρ b gBN γ + ρ b gD f N q •General principle 3: For sand, if Dw>Df +B

(c) When water table is between the surface and the bearing capacity is not affected.
the footing: 0<Dw<Df
qult = 12 ρ d gBN γ + ρ d gD f N q
qult = 12 ρ b gBN γ +
⎛ ⎞
⎜⎜ pq + ρ d gDw + ⎜ ρ d − 1000 3 ⎟ g (D f − Dw )⎟⎟ N q
⎛ kg ⎞
⎝ ⎝ m ⎠ ⎠
Eccentric Loads on Rectangular Footings Eccentric Loads (continued)

•Use equivalent centric loads P M Although the eccentricity is independent of the footing
conditions for eccentric loads dimensions, a trial-and-error solution may be necessary
effect. when designing footing.
Equivalent Dimensions are: Assuming M L = 0, ε B = ε and disregarding the
MB M εB P concrete and overburden weight, the actual soil
εB = ; εL = L pressure distribution is P
P P
⎛ P ⎞⎛ 6ε ⎞
B ' = B − 2ε B ; L' = L − 2ε L 2ε B pmax , pmin = ⎜ ⎟⎜1 ± ⎟ p=0
⎝ BL ⎠⎝ B⎠
A' = B' L' B'
If ε is large enough, a negative soil ± B6 P
•Use B ' , L' for bearing pressure will result, which is neglected.
capacity equation: qult = 1 ρgB' N γ + cN c + ( pq + ρgD f ) N q ε <B 6
2 The maximum eccentricity without
•Use B ' / L' to determine shape factors. incurring a reduction in footing contact area will be B/6.
4
Rafts On Clay Rafts On Clay
The net or ultimate bearing capacity for rafts on clay
If the denominator in the equation is zero, that is
is found in the same manner as for shallow footings.
The factor of safety produced by a raft construction is:
cN c total load
F= − ρgD f = 0
total load
− ρgD f raft area
raft area
F should be at least 3 for normal loadings, but it may the raft is said to be fully compensated foundation. For
be reduced to 2 during temporary extreme loading. Df less than the fully compensated depth, the raft is said
to be a partially compensated foundation.
Examples and Problems Solution of Example 1

Example 1 Bearing Capacity of Clay: qa = qnet F = cN c F
An individual square column footing carries an 370kN dead From table: Nc=5.7 , shape factor of Nc :1.25
load and a 335kN live load. The unconfined compressive
Terzaghi Shape factors
strength of the supporting clay is 80kPa, density is 1840kg/m3.
The footing is covered by a 0.15m thick basement slab.
φ N c N q Nγ B/L Nc Nγ
Neglect depth correction factors and do not design the 0.0 5.7 1.0 0.0 1(square) 1.25 0.85
structural steel. Specify the footing size and thickness. S 80kPa
P Cohesion is estimated: c = uc = = 40kPa
Solution strategy: Assume Df and B 2 2
Using a factor of safety of 3, the allowable pressure:
0.15m
cN c (40kPa )(5.7 )(1.25)
Considering soil displacement
by footing and slab qa = = = 94.7 kPA
B F 3
Df
Compare actual pressure Total load on the column:
?
with the allowable P = DL + LL = 370kN + 335kN = 705kN
Solution of Example 1 (continued) Solution of Example 1 (continued)

705kN Soil surcharge ( be taken away) (depth is 0.75m):
Approximate area required: A = = 7.44m 2
⎛ kg ⎞⎛ m⎞
94.7kPa psoil = (0.75m )⎜1840 3 ⎟⎜ 9.81 2 ⎟ = 13.54kPa
Try a 2.8m square footing (A=7.84m2), and assuming Df=0.6m ⎝ m ⎠⎝ s ⎠
Total pressure under the footing:
The actual pressure under the footing:
ptotal = 89.9kPa + 3.53kPa + 14.13kPa - 13.54kPa
pactual =
705kN
= 89.9kPa < qa [OK ]
7.84m 2 = 94.02kPa
Concrete density: 2400kg/m3, the pressure surcharge This is the net actual pressure to be compared
due to 1m2 of concrete floor is: to the allowable pressure.
⎛ kg ⎞⎛ m⎞
pslab = (1m )(1m )(0.15m )⎜ 2400 3 ⎟⎜ 9.81 2 ⎟ = 3.53kPa pnet ,actual = 94.02kPa
⎝ m ⎠⎝ s ⎠
Submit 0.15m with 0.6m, the footing self-weight is: This is essentially the same as qa (94.7kPa)
p footing = (1m)(1m)(0.6)(2400kg / m )(9.81m / s ) = 14.13kPa
3 2 (Solution done)
5
Example 2 Solution of Example 2
A raft foundation is to be designed for a 36m*60m building From table: Nc=5.7 , shape factor: B/L=36/60=0.6,
with a total loading of 2.5*105kN. The unconfined compressive use the multiplier of 1.15.
strength of the supporting clay is 28.7kPa, density is 1840kg/m3. S 28.7kPa
The footing is covered by a 0.15m thick basement slab. Neglect Cohesion is estimated: c = uc = = 14.35kPa
2 2
depth correction factors. (a) What should be the raft depth, total load cN c
Df , for full compensation? (b) What should be the raft cN c −
depth for a factor of safety of 3? F= D f = raft area F
total load
Solution of Example 2 − ρgD f ρg
total load raft area
For full compensation: − ρgD f = 0
raft area ( )
⎛ 2.5 ×105 kN 14.35kPa × 5.7 ×1.15 ⎞⎛ 3 N ⎞
total load (2.5×10 kN )(10 N/kN )
5 3 ⎜⎜
Df = ⎝
(36m ) (60m )
−
3
⎟⎟⎜10
⎠⎝
⎟
kN ⎠
= 4.7 m
(36m ) (60m ) ( )( )
) = 6 .4 m
1840kg/m 3 9.81m/s 2
D f = raft area =
ρg ( )(
1840kg/m 3 9.81m/s 2 (Solution done)
Practice Problems Practice Problems (continued)

1. A total force of 1600kN is to be supported by a 2. The three foundations shown are in a sandy clay
square footing. The footing is to rest directly on sand with the following characteristics: density=1730kg/m3,
that has a density of 1900kg/m3 and an angle of angle of internal friction= 25o ,and cohesion=19.2kPa.
internal friction of 38o. The water table is 10.7m below the ground surface.
Use a factor of safety 2.5 where required.
(a) Size of the square footing
(A) 1.8m (B) 2.4m (C) 2.7m (D) 3.4m 957kN 1335kN
m
N/
0.61m
1.22m
8k
1.83m
(b) Size of the square footing if it is to be placed

43
1.5m below the surface.

g
B
tin
(A) 1.0m (B) 1.1m (C) 1.3m (D) 1.8m B

oo
R
lf
square footing round footing

al
B
W
Practice Problems (continued) Practice Problems (continued)

(a) What is the bearing capacity factor for Nc according
to the Terzaghi and Meyerhof/vesic theory? (e) What should be the width of the square footing using
(A) 5.7,5.1 (B) 11, 9.7 (C) 25, 21 (D) 350, 270 the Terzaghi factor? Neglect the weight of the footing.
(A) 0.76m (B) 0.98m (C) 1.46m (D) 1.68m
(b) What is the bearing capacity factor for Nq according
to the Terzaghi and Meyerhof/vesic theory? (f) What should be the radius of the circular footing using
(A) 0, 0 (B) 1.0, 1.0 (C) 3.6, 3.2 (D) 13, 11 the Terzaghi/Vesic factor? Neglect the weight of the
footing.
(c) What is the bearing capacity factor for Nr according (A) 1.07m (B) 1.16m (C) 1.28m (D) 1.68m
to the Terzaghi and Meyerhof/vesic theory?
(A) 0, 0 (B) 1.0, 1.0 (C) 1.9, 1.9 (D) 9.7, 11 (g) What should be the radius of the circular footing
using the Meyerhof factor? Neglect the weight of the
(d) What should be the width of the wall footing using
footing.
the Terzaghi factor? Neglect the weight of the footing.
(A) 1.07m (B) 1.13m (C) 1.43m (D) 1.77m
(A) 0.61m (B) 1.07m (C) 1.16m (D) 1.4m
6
Practice Problems (continued)
(h) What is the allowable bearing capacity of the square
footing assuming a width of 1.22m and the water table is
at 0.61m? Use the Meyer/Vesic factors.
(A) 254.8kPa (B) 301.7kPa (C) 363.9kPa (D) 526.7kPa
(i) What is the allowable bearing capacity of the square
footing assuming a width of 1.22m and the water table is
at 0.3m? Use the Meyer/Vesic factors.
(j) What is the allowable bearing capacity of the circular
footing assuming a radius of 1.22m and the water table is
at the ground surface? Use the Meyer/Vesic factors.
7
Soil Mechanics and Foundation Engineering Lectures
CONTENT
Introduction
Part 2. Piles and Piles Capacity from Driving Data
Deep Foundations Theoretical Point-bearing
Capacity
Prof. Dr. Songtao XUE Theoretical Skin-friction Capacity
Tohoku Institute of Tec Pile Groups
hnology Examples and Practice Problems
February 14, 2011

February 14, 2011
Piles Foundation Introduction Piles Foundation Introduction

The ultimate static bearing capacity of a single pile is:
Large Distributed
Very Large Concentrated
Weight Qult = Q p + Q f Pu
Weight
The allowable capacity depends on the
Low
factor of safety:
Weight
Qult
Qa = Qf
F
F is typically 2 to 3 for both compression W
Soft to and tension piles. The lower of 2 being
Firm Clay
Friction piles Point-
Point-bearing piles used when the capacity can be verified by
pile loading tests.
Dense Sand Pile capacities do not consider settlement,
which might be the controlling factor. Qp
Strong Rock February 14, 2011 February 14, 2011
Piles Capacity from Driving Data Piles Capacity from Driving Data
The safety load (safe bearing value) can be calculated The maximum allowable vertical load, Qa
empirically from installation data using the Engineer ¾For drop hammer and single-acting steam hammer
News Record (ENR or Engineering News) equations.
when Wdriven<Whammer :
Weight of Hammer: Whammer 2Whammer ,lbf H fall , ft
Whammer Qa =
Falling distance: H fall Sin + 0.1
H fall S ¾Single-acting steam hammer when Wdriven＞Whammer :
Driving weight:
Wdriven 2Whammer ,lbt H fall , ft
Wdriven Qa =
Average Penetrating S in + 0.1(Wdriven Whammer )
distance: S during Substitute the energy E for WH for double-acting
Last 5 blows. Begining Ending steam hammer.
Theoretical Point-bearing Capacity Theoretical Point-bearing Capacity
The theoretical point-bearing capacity, also known B
Case 1: for sands
Dc=10B ~20B
as the tip resistance or point capacity, of a single Cohesionless or granular soils (c=0) :
pile is:
Q p = Ap (12 ρgBN γ + cN c + ρgD f N q ) For D ≤ Dc : Q p = Ap ρgDN q
L
Meyerhof values of Nq for piles:
Dc: critical depth. The tip capacity Qp
φ (o ) 20 25 28 30 32 34 36 38 40 42 45 increase down to Dc , after which it is
Driven 8 12 20 25 35 45 60 80 120 160 230
essentially constant:
Drilled 4 5 8 12 17 22 30 40 60 80 115 Loose sands (relative densities<30%) : Dc=10B

Dense sands (relative densities>70%) : Dc=20B
Interpolated when relative densities between 30%
Where φ is the internal friction angle
and 70%
Theoretical Point-bearing Capacity Theoretical Skin-friction Capacity

Case 2 cohesive soils (φ = 0, N q = 1) : The skin-
skin-friction capacity (also known as side
• ρgD f is approximately cancelled by the pile weight. resistance, skin resistance and shaft capacity), Qf :
• Nc=9 for driven piles of virtually all dimensions: Q f = As f s = pf s Le = pf s (L − SV )
Q p = Ap cN c ≈ 9 Ap c
For piles passing through more than one layers:
B Q f = p ∑ f s ,i Le ,i
Table of Nc for f s ,1 Le ,1
Dc=10B ~20B
Driven piles: clay ¾Parameters of the equation:

p: the perimeter of the pile. f s,2 Le , 2
Df /B 0 1 2 ≥4
L Le: effective pile length, can be
Nc 6.3 7.8 8.5 9
estimated as the pile length, L, less
Nc generally turns to be a value 9 Qp the seasonal variation, SV, if any.
because long length of the pile.
Parameters of the equation: Parameters of the equation:

Q f = As f s = pf s Le = pf s (L − SV )
f s = c A + σ h tan δ
fs: the skin friction coefficient( unit shaft friction
or side friction factor), given as: σ h :lateral earth pressure, depends on the depth, down
f s = c A + σ h tan δ to a critical depth, Dc, after which it is constant.
cA: adhesion, should be obtained from the test, or σ h = k s (ρgD − μ ) B
estimate it from the undrained shear strength, c, as:
Dc=10B to 20B
• rough concrete, rusty steel, corrugated metal: cA=c ks : coefficient of lateral earth pressure:
•Smooth concrete: 0.8c ≤ cA ≤c 9Driven piles in clay and silt: ks,dv =1
•Clean steel:0.5c≤ cA ≤0.9c 9Driven piles in sand:1≤ ks,dv ≤2 L
The more dense sands, the higher ks,dv
δ : the external friction angle which is the friction 9Drilled plies: ks,dl =0.5ks,dv
between the surface of the pile and the soil. 9Jetted piles: ks,jt =0.25ks,dv σh
for saturated clay: δ = 0
in absence of specific information: δ = 23 φ
Parameters of the equation necessary for
obtain the skin-friction: Another method to determine: fs
σ h = k s (ρgD − μ )
μ: pore pressure, is the hydrostatic pressure at the The α-method determine the skin friction factor:
depth h below the water table:
fs = α ⋅ c α :adhesion factor
μ = ρ w gh
Cohesion, c α
GPa Range average
24 -- 1.0
Typical values of the 48 0.56-0.96 0.83
adhesion factor α : 96 0.34-0.83 0.56
144 0.26-0.78 0.43
Theoretical Skin-friction Capacity Pile Groups

¾Skin-friction capacity for piles through layers of The capacity of a pile group:
cohesionless sand: c =cA= 0 (σ’=ρgD-μ) For cohesionless soils (sand): the
Q f = pk s tan δ ∑ Liσ ' sum of the individual capacities
¾Skin-friction capacity for piles in clay: ks = 1 For cohesive soils is the smaller
pile cap
tan δ = 0, f s = c A of :
(a) the sum of the individual
Q f = p ∑ Li c A capacities
¾With β -method for cohesive clay, for a pile (b) the capacity assuming
through one layer: Q = pβσ ' L block action
f
The block action capacity is
Value of β: pile
calculated assuming that the piles
L(m) 0 7.5 15 23 30 38 45 53 60 form a large pier whose dimension
β 0.3 0.3 0.3 0.27 0.23 0.20 0.18 0.17 0.16 are the group’s perimeter.
Pile Groups (equations) Pile Groups (equations)

Equations for the capacity of a pile group:
The pile group efficiency is:
Qs = 2(b + w) Le c1
pile group capacity
Q p = 9c2bw b ηG =
∑ individual pile capacities
Qult = Qs + Q p w
For pile group in clay:
Q Q
Qa = ult = ult ηG ≤ 100% for S p ≤ 8B
F 3
Sp ηG = 100% for S p > 8B
c1 :average undrained L
shear strength among the Sp : the pile spacing
depth of the piles
c2 : undrained shear For pile group in sand, efficiencies are
B
strength at the pile tips similar.
Examples Examples (solution)
A round concrete pile with a diameter of 0.28m is The tip capacity is given for a driven pile Nc=9
driven 18.3m into wetlands clay. The clay’s shear
strength and specific weight are 67.03kPa and ( )
Q p = Ap cN c = 9 Ap c = (9) 0.0616m 2 (67.03kPa ) = 37.16kN
1922.2kg/m3, respectively. At high tide, the water For smooth concrete, cA = 0.9 c (what we
table extends to the ground surface. What is the generally assumed), the friction capacity is given:
allowable bearing capacity of the pile?
( )
Q f = As f s = As c A = 16.1m 2 (0.9 )(67.03kPa ) = 971.26kN
Solution The total capacity is:
The pile’s end and surface area:
Qult = Q p + Q f = 37.16kN + 971.26kN = 1008.42kN
Ap = π4 B 2 = (π4 )(0.28m ) = 0.0616m 2
2
With a factor of safety of F=3, the allowable load is:
As = πBL = (π )(0.28m )(18.3m ) = 16.1m 2 Qa = Qult 3 = 1008.42kN 3 = 336.14kN
Solution Done
Practice Problems (1) Practice Problems (2)

Tests have shown that a single pile would have, by
A 0.273m diameter steel pile is driven 19.81m itself, an uplift capacity of 150tons and a compressive
into stiff, insensitive clay. The clay has a capacity of 500tons. 36 piles are installed on a grid
undrained shear strength of 62.24kPa and its with a spacing of 1.07m. The pile group is capped
specific weight is 1842kg/m3. The water table and connected at the top by a thick concrete slab
is at the ground surface. The entire pile length adding its own axial load of 600tons.
is effective.
y
(a) what is the end-bearing capacity?
(b) what is the friction capacity? x
(c) what is the allowable bearing capacity?
Practice Problems (2)

(a) Find the maximum moment that the pile
group can take in the x- and y-directions.
(b) If the concrete slab is sawed completely

through along the y-axis into tow separate
pieces and then reconnected by a flat steel
plate at the slab top to prevent drifting, what
will be the maximum moment that the pile
group can take about the y-axis?
Soil Mechanics and Foundation Engineering Lectures CONTENT
Part 3: Rigid Retaining Wall Type of Retaining Wall
Earth pressure and Vertical Soil
Pressure
Active Earth Pressure
Surcharge Loading
Effective Stress
Prof. Dr. Songtao XUE
Cantilever Retaining Walls Design
Tohoku Institute of Technology
Monday, February 14, 2011
February 14, 2011
Type of Retaining Wall Type of Retaining Wall : Cantilever

A cantilever retaining wall stem
batter
consists of a base, a stem and
an optional key. base
The stem may have a constant

(a) gravity (semi-gravity) (b) cantilever thickness, or be tapered. key
The taper is known as batter, which is used to:
counterfort
¾“disguise” bending (deflection)
¾reduces the quantity of material needed at the top
Cantilever wall are generally intended to be perman
ent and are made of cast-in-place poured concrete.
(c) buttress (d) counterfort
Type of Retaining Wall: Materials Earth pressure

Earth Pressure is the force β
per unit area exerted by Ra
soil on the retaining wall. δ
Normal line
H
Active Earth Pressure is θ
Rock present behind a retaining Rp
Concrete Masonry block
wall that moves away from
toe key heel
and tensions the remaining
B
soil. Ra in the fig.

is present in front of a retaining wall that moves toward
Heavy lumber Railroad ties Gabion wall and compresses the soil. Rp
1
Three common earth pressure theories 2, Coulomb earth pressure theory:
1, Rankine earth pressure theory: Assumes failure occurs along a flat R

plane and include wall friction. δ
ne
zo
e
Assumes failure occurs along a The angle of the failure
tiv
depends on both φ and δ : αa
Ac
flat plane behind the wall
inclined a angle:α = 45o + 12 φ α ⎛ tan φ (tan φ + cot φ )(1 + tan δ cot φ ) ⎞
Disregards friction between α a = 90o − φ − arctan⎜⎜ − tan φ + ⎟
the wall and the soil. ⎝ 1 + tan δ (tan φ + cot φ ) ⎟
⎠
φ=angle of internal friction. When friction is significant, the Coulomb theory can
predict lower active pressure than the Rankine theory.
δ=the angle of external friction, determined by the material
type of the cantilever and soil, in case of concrete and
coarse sand δ=29-31
Vertical Soil Pressure

3, Log-spiral theory: Vertical soil pressure is caused by the soil’s own
weight and is calculated in the same manner as for a
ne
fluid column:
α
zo
pv = ρgH
e
tiv
Ac
pv : Vertical soil pressure H

Assumes failure surface will be curved. Notice that: the
sophistication of a log-spiral solution is probably
H is measured from
warranted only for the passive case when where δ is the
angle of external friction δ≥15o
the bottom of the base.
B
Active Earth Pressure Active Earth Pressure (continued 1)

Horizontal active earth pressure with level backfill General form of active Rankine equation (can be
for all soil types is: derived by setting δ=0 in Coulomb equation):
pa = pv k a − 2c k a (1) ⎛ cos β − cos 2 β − cos 2 φ ⎞
k a = cos β ⎜ ⎟ [Rankine]
ka=the coefficient of active earth pressure. c=cohesion. ⎜ cos β + cos 2 β − cos 2 φ ⎟
pa can be negative above the wall base. ⎝ ⎠
General form of active Coulomb equation (most used ):
): If the backfill is horizontal and the wall face is vertical
1 ⎛ φ ⎞ 1 − sin φ
ka = = tan 2 ⎜ 45o − ⎟ =
sin 2 (θ + φ ) β = 0o kp ⎝ 2 ⎠ 1 + sin φ
ka =
⎛ sin (φ + δ )sin (φ − β ) ⎞
2
⎡Rankine : horizontal ⎤
sin 2 θ sin (θ − φ )⎜⎜1 + ⎟⎟ θ = 90o ⎢backfill : verticalface⎥
⎝ sin (θ − δ )sin (θ + β ) ⎠ α ⎣ ⎦
[Coulomb ]
February 14, 2011
kp is the coefficient of passive earth pressure
February 14, 2011
2
Active Earth Pressure (continued 2) Passive Earth Pressure
Active earth pressure equation of saturated clays : Equation for horizontal passive earth pressure
For saturated clays: φ = 0o and tension cracks do with level backfill for all soil types is:
not develop near the top of the retaining wall: k a = 1 p p = p v k p + 2c k p ( 2)
p a = p a k a − 2c k a p a = pv − 2c [φ = 0] kp is the coefficient of passive earth pressure.
Active earth pressure equation of granular soil (sand) :
c=0 p a = pv k a [c = 0] β
General form of passive Coulomb equation:
Total active resultants of granular soil

sin 2 (θ − φ )
(sand) : R = 1 p H = 1 k ρgH 2
θR Ra kp =
⎛ sin (φ + δ )sin (φ + β ) ⎞
a 2 a 2 a 2
Located at H/3 above the base, direction: δ sin θ sin (θ + δ )⎜⎜1 −
2
⎟⎟
θ R = 90 [Rankine]
H/3 ⎝ sin (θ + δ )sin (θ + β ) ⎠
θ R = 90 − δ [Coulomb] [Coulomb ]
Passive Earth Pressure (continued 1) Passive Earth Pressure (continued 2)

General form of passive Rankine equation (can be
Passive earth pressure equation of saturated clays
derived by setting δ=0 in Coulomb equation ):
For saturated clays: φ = 0o, k a = 1
⎛ cos β + cos 2 β − cos 2 φ ⎞ p p = pv k p + 2c k p p p = pv + 2c [φ = 0]

k p = cos β ⎜ ⎟ [Rankine]
⎜ cos β − cos 2 β − cos 2 φ ⎟ Passive earth pressure equation of granular soil :
⎝ ⎠
If the backfill is horizontal and the wall face is vertical: c=0 p p = pv k p [c = 0]
β =0 o
1 ⎛ φ ⎞ 1 + sin φ Total active resultants of granular soil :
kp = = tan 2 ⎜ 45o + ⎟ =
ka ⎝ 2 ⎠ 1 − sin φ R p = 12 p p H = 12 k p ρgH 2
θ = 90o ⎡Rankine : horizontal ⎤
α
When a wall is first backfilled, or when the toe is
⎢backfill : verticalface⎥ excavated, passive pressure may be absent.
⎣ ⎦
Surcharge Loading Surcharge Loading: Point load case

If a vertical point load surcharge (e.g., a truck wheel)
A surcharge is an additional force applied at the
is applied a distance x back from the wall face:
exposed upper surface of the restrained soil. Three
kinds of surcharge load cases: q Assume elastic soil performance and a Vq
Poisson’s ratio of 0.5. x
¾Uniform load surcharge
¾Point load surcharge 1.77Vq m 2 n 2 y
pq = Rq
( )
¾Line load surcharge Rq 3
Uniform load surcharge H H m +n

2 2 2
pq H
H/2 pq x y
pq = k a q m= , n=
H H
Rq = k a qH × (wall width ) m = 0.4 if m < 0.4
0.78Vq 0.60Vq 0.46Vq
Rq acts horizontally at H/2 above the base. For m=0.4, 0.5, 0.6: Rq ≈ , ,
H H H
3
Surcharge Loading: Line load case Effective Stress
For a line load surcharge, Lq , the distribution of With submerged construction or when drains become
pressure behind the wall is given as follows: plugged, a water table can exist behind the wall.
4 Lq m 2 n Lq The pore pressure (i.e., the
pq = [m > 0.4] x
πH (m 2 + n 2 )
hydrostatic pressure) at a point h
φ
2
below the water table is:

y
Rq ρ dry
Rq =
0.64 Lq
pq H μ = ρ w gh water table
m2 + 1 The saturated soil density: h ρ sat
0.203Lq n ⎛ e ⎞
pq = [m ≤ 0.4] ρ sat = ρ dry + nρ w = ρ dry + ⎜ ⎟ρw s = 100%
( ) ⎝1+ e ⎠
2
H 0.16 + n 2
x y n : the porosity; e: void ratio.
Rq = 0.55 Lq m= , n=
H H
Effective Stress (continued) Cantilever Retaining Walls: Analysis

The effective pressure (generally referred to as the Targets of analysis:
effective stress) is the difference between the total 9Have sufficient resistance against overturning and sliding
pressure and the pore pressure. 9Have adequate structural strength against bending outward
pv = g (ρ sat H − ρ w h ) 9The maximum soil pressure under the base must be
less than the allowable soil pressure.
The total horizontal pressure form the submerged sand is
Nine steps to analyze a retaining wall:
ph = gρ w h + k a g (ρ sat H − ρ w h ) = g (k a ρ sat H + (1 − k a )ρ w h ) ¾Step 1:
The increase in horizontal pressure above the saturated
determine the horizontal active earth pressure resultants
condition is the equivalent hydrostatic pressure
from the backfill and all surcharges, Ra , h ,i
(equivalent fluid pressure ) caused by the equivalent
Determine the points of application and moment arms,
ρ eq = (1 − k a )ρ w
fluid weight:
y a , h ,i
Cantilever Retaining Walls: Analysis step Cantilever Retaining Walls: Analysis step
¾Step 4: Find the moment about the toe from the
¾Step 2: disregarding restraint from passive distribution.
forces found in steps 1 though 3.
(If it is to be considered, determine the passive earth pressure.)
∑
h: horizontal,
M toe = Wi xi − Ra , h ya + Ra ,v xa v: vertical
¾Step 3: Find all of the vertical forces acting at the base.
Including: weights of the retaining wall, the 1 ¾Step 5: Determine the location, xR , and eccentricity ε
soil directly above the hell and the toe: of the vertical force component:
M toe B
Dividing the concrete and soil into xR = ε= − xR
∑ (Wi + Ra,v )
,
areas with simple geometric shapes. 2
3 2
Find the centroid of each ¾Step 6: Check the safety factor, F, against overturning:
5 4
shape and its moment arm: y x6
6 heel FOT =
M resisting
=
∑W x + R
i i x
a ,v a ,v
Wi = gρ i Ai toe
M overturning Ra , h ya , h
x r granular soils : F ≥ 1.5 cohesive soils : F ≥ 2
4
tan δ
Cantilever Retaining Walls: Analysis step Cantilever Retaining Walls: Analysis step
¾Step 7: The maximum pressure (at the toe) should ¾Step 8: (to be continued)
not exceed the allowable pressure: For a keyless base and for tensioned soil behind the key,
⎛ ∑ Wi + Ra ,v ⎞⎛ 6ε ⎞ RSL = (∑ Wi + Ra ,v ) tan δ + c A B
p v ,max , pv , min = ⎜⎜ ⎟⎜1 ± ⎟
⎟⎝ c A :the adhesion, is zero for granular soil
⎝ B ⎠ B⎠
tan δ :coefficient of friction is approximately 0.45 for
¾Step 8: Calculate the resistant against sliding. and with silt, 0.35 for silt, and 0.3 for clay
The active pressure is resisted by: friction and adhesion ¾Step 9: Calculate the factor of safety against sliding:
between the base and the soil, and in the case of a keyed A lower factor of safety 1.5 is permitted
base, also by the shear strength of the soil. when the passive resultant is disregarded. If
R
When the base has a key, and has the compressed soil FSL = SL the passive resultant is included , the factor
in front of the key Ra , h of safety should be higher. If the factor is too
RSL = (∑ Wi + Ra ,v ) tan φ + c A B
low, the base length (B) can be increased, or
a vertical key can be used.
Examples and Problems: (solution,

Appendix 37.A necessary)
EXAMPLE: The unkeyed retaining wall shown has SOLUTION
been designed for a backfill of coarse-grained sand ⎛ 0.56m ⎞ ⎛1⎞
Step 1: β = arctan⎜ ⎟ = arctan⎜ ⎟ = 18.4
o
with silt having a density of 2000kg/m3. The angle ⎝ 1.68m ⎠ ⎝3⎠

of internal friction, φ = 30o, and the angle of external From the appendix 37.A k v = 1.57 kPa, k h = 6.28kPa
friction δ = 17 o.
The active earth pressure resultants:
The backfill is sloped as 0.3
Ra ,v = 12 kv H 2 = (0.5)(1.57 kPa )(5.59m ) = 24.53kN
2
shown. The maximum β
Ra ,h = 12 k h H 2 = (0.5)(6.28kPa )(5.59m ) = 98.12kN
5.59
allowable soil pressure 2

4.57
is 143.5 kPa. The 0.61

adhesion is 45.5 kPa. Ra ,h located 5.59/3=1.86m above the bottom of the base.
0.46
Check the factor of

safety against sliding. 0.91 0.46 1.68 Step 2: disregard the passive earth pressure.
Examples and Problems: (solution)

Ra,v
Step 3: calculate the weights of soil and concrete
β Per meter of wall
ρ
5.59
Wi xi Mi
4.57
i area
0.61
1 m2 kg/m3 kN m kN·m
Ra,h
1 (0.5)(1.68)(0.56)=0.47 2002 9.22 2.49 22.96
0.46
2 (1.68)(4.57)=7.67 2002 150.49 2.21 332.57

0.91 0.46 1.68
3 2 3 (0.3)(4.57)=1.37 2402 32.26 1.22 39.35
xR
ε 5 4 4 (0.5)(0.15)(4.57)=0.34 2402 8.00 1.01 8.09
y 6 heel 5 (0.61)(0.91)=0.56 2002 10.99 0.46 5.05
6 (0.46)(3.05)=1.4 2402 32.96 1.52 50.10
toe x r totals 243.92 458.13
5
Step 4: find the moment about the toe: Step 7: the max pressure at the toe:
M toe = ∑ Wi xi − Ra ,h ya + Ra ,v xa
= 458.13kN ⋅ m − (98.12kN )(1.86m )
⎛ ∑ Wi + Ra ,v ⎞⎛ 6ε ⎞
+ (24.53kN )(3.05m ) = 350.44kN ⋅ m p v ,max = ⎜⎜
B
⎟⎜1 + ⎟
⎟⎝ B⎠
⎝ ⎠
Step 5: Location and eccentricity of the vertical force: ⎛ 243.92kN + 24.53kN ⎞⎛ ⎛ 0.22m ⎞ ⎞
=⎜ ⎟⎜⎜1 + 6⎜ ⎟ ⎟⎟
M toe 350.44kN ⋅ m ⎝ 3.05m ⎠⎝ ⎝ 3.05m ⎠ ⎠
xR = = = 1.3m
∑ (W + R )
= 126.1kPa ≤ 143.5kPa, [OK]
i a ,v 243.92kN + 24.53kN
ε = B 2 − xR = 3.05m 2 − 1.3m = 0.22m
Step 6: this step skipped Solution Done

Examples and Problems: (Problems)
Problems 1 A retaining wall is designed for free-
draining granular backfill. After several years of
Step 8: without KEY, the resistance against the sliding is operation, the weep-hole become plugged and the
water table rises to within 3.05m of the top of the wall.
RSL = (∑ Wi + Ra ,v ) tan δ + c A B
( )
= (243.92kN + 24.53kN ) tan 17 o + (45.5kPa )(3.05m ) φ = 32o
3.05 m
= 220.85kN
　　 φ = 32o ρ dry = 1634 kg/m 3
W = 0.05
ρ dry = 1634 kg/m 3
6.1 m
Step 9: and the safety factor against the sliding is W = 0.05 W = 0.16
ρ sat = 1895 kg/m 3
FSL =
RSL 220.84kN
= = 2.25 > 1.5 [OK ] s = 100%
Ra ,h 98.12kN
Solution Done
Examples and Problems: (Problems) Examples and Problems: (Problems)

Questions of Problems 1 Problems 2 A 7.92m high retaining wall holds back
sand with a 1538kg/m3 drained specific weight. The
(a) What is the resultant force for the water table is 3.05m below the top of the wall. The
drained case? saturated specific weight is 1938kg/m3. the angle of
(b) What is the point of application for internal friction is 36o.
drained case? (a) What is the active earth resultant?
(c) What is the resultant force for the (b) What is the location of the active earth pressure
plugged case? resultant?
(d) What is the point of application of (c) if the water table elevation could be reduced
4.88m to the bottom of the wall, what would be the
the resultant force for the plugged case?
reduction in overturning moment?
6
Problems 3 A reinforced concrete retaining wall is used (a) What is the approximate minimum stem height?
to support a 4.27 m cut in sandy soil. The backfill is (A) 4.27m (B) 4.88 m (C) 5.49 m (D) 6.10m
level, but a surcharge of 24kN/m2 is present for a
considerable distance behind the wall. Factors of safety (b) The surcharge is equivalent to what thickness of
of 1.5 against sliding and overturning are required. backfill soil?
Customary and reasonable assumptions regarding the (A) 0.61m (B) 0.91m (C) 1.18m (D) 1.52m
proportions can be made. Passive pressure is to be (c) What is the horizontal reaction due to the surcharge?
disregarded. The need for a key must be established. (unit:kN/m)
Soil drained specific weight: 2082kg/m3 (A) 35.02 (B) 39.04 (C) 51.08 (D) 56.91
Angle of internal friction: 35
Coefficient of friction against concrete: 0.5 (d) What is the active soil resultant? (unit: kN/m)
Allowable soil pressure: 215.5kPa (A) 83.18 (B) 99.93 (C) 109.45 (D) 121.12
Frost line: 1.22m below grade
(e) What is the total moment resisting overturning, taken (h) What is the factor of safety against sliding without a
about the heel, per meter of wall? (unit: kN·m) key?
(A) 533.78 (B) 622.75 (C) 711.71 (D) 854.91 (A) 1.3 (B) 1.4 (C) 1.6 (D) 1.8
(f) What is the maximum vertical pressure at the toe? (i) What is the factor of safety if a key, 0.53m wide and
(unit: kPa) 0.3m deep, is used?
(A) 192.92 (B) 215.46 (C) 239.40 (D) 263.34 (A) 1.4 (B) 1.5 (C) 1.7 (D) 2.1
(g) What is the minimum vertical pressure at the heel? (j) What is the factor of safety against overturning?
(unit: kPa) (A) 1.5 (B) 1.8 (C) 2.3 (D) 2.6
(A) 30.53 (B) 62.24 (C) 114.91 (D) 129.28
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IISEE Lecture Note

Department of Architecture, Faculty of Engineering

International Institute of Seismology and Earthquake Engineering

Lecturer: Songtao XUE

Part 1. Shallow Foundations

General Bearing Capacity

Part 2. Pile and Deep Foundations

Piles Capacity from Driving Data

Part 3. Retaining Wall

Earth pressure and Vertical Soil Pressure

February 14, 2011

CONTENT Introduction of Foundations

relative to its width,

• Category of Shallow Foundation • Category of Shallow Foundation

¾Spread footings ¾ Continuous (or wall) footings

Spread footings Continuous / wall footings Mats or rafts

Soil deformation and bearing force Allowable Bearing Capacity

General Bearing Capacity Equation Introduction of the coefficients pq : Surcharge

Nc for other shape and

Bearing Capacity of Sand Bearing Capacity of Sand (continued)

24 1.45 is assumed approximately

o governed by Df /B lowest average

February 14, 2011

February 14, 2011 February 14, 2011

General principle 2 (continue) Effects of Water table on Footing Design

qult = 12 ρ b gBN γ + ρ b gD f N q •General principle 3: For sand, if Dw>Df +B

February 14, 2011 February 14, 2011

Eccentric Loads on Rectangular Footings Eccentric Loads (continued)

February 14, 2011 February 14, 2011

Examples and Problems Solution of Example 1

Solution of Example 1 (continued) Solution of Example 1 (continued)

Practice Problems Practice Problems (continued)

(b) Size of the square footing if it is to be placed

1.5m below the surface.

(A) 1.0m (B) 1.1m (C) 1.3m (D) 1.8m B

square footing round footing

February 14, 2011 February 14, 2011

Practice Problems (continued) Practice Problems (continued)

February 14, 2011

Piles Foundation Introduction Piles Foundation Introduction

Drilled 4 5 8 12 17 22 30 40 60 80 115 Loose sands (relative densities<30%) : Dc=10B

Theoretical Point-bearing Capacity Theoretical Skin-friction Capacity

Driven piles: clay ¾Parameters of the equation:

Parameters of the equation: Parameters of the equation:

Theoretical Skin-friction Capacity Pile Groups

Pile Groups (equations) Pile Groups (equations)

Practice Problems (1) Practice Problems (2)

February 14, 2011 February 14, 2011

Practice Problems (2)

(b) If the concrete slab is sawed completely

Type of Retaining Wall Type of Retaining Wall : Cantilever

The stem may have a constant

Type of Retaining Wall: Materials Earth pressure

Passive Earth Pressure

1, Rankine earth pressure theory: Assumes failure occurs along a flat R

Vertical Soil Pressure

pv : Vertical soil pressure H

February 14, 2011 February 14, 2011

Active Earth Pressure Active Earth Pressure (continued 1)

Total active resultants of granular soil

Passive Earth Pressure (continued 1) Passive Earth Pressure (continued 2)

⎛ cos β + cos 2 β − cos 2 φ ⎞ p p = pv k p + 2c k p p p = pv + 2c [φ = 0]

Surcharge Loading Surcharge Loading: Point load case