UNIT 2: SHALLOW FOUNDATIONS

INTENDED LEARNING OUTCOMES

At the end of this chapter the student is expected to:

a. Calculate the ultimate bearing capacity of shallow foundations using

established equations.
b. Determine the appropriate factor of safety for shallow foundations.
c. Identify and describe° the types of shear failure in shallow foundations.

A. INTRODUCTION
2.1 TYPES OF SHEAR FAILURE

In foundation Engineering, shear failure refers to the failure mode where the soil
beneath or around a foundation cannot resist the applied shear stresses, leading to
failure. There are three modes of shear failure of soil depending upon the
compressibility of soil and depth of footing with respect to its breadth. (i.e D/B
ratio). When the ultimate bearing capacity of the soil is reached, it may fail in one
of the following three failure mode.

2.1.1 GENERAL SHEAR FAILURE

In this mode a slight downward movement of the footing develops fully plastic
zones and a sudden failure takes place with a considerable bulging of the ground
surface adjacent to the footing. In general shear failure of soil, sudden collapse
occurs, accompanied by tilting of the footing. Characterized by well-defined failure
pattern, consisting of a wedge and slip surface and bulging (heaving) of soil surface
adjacent to the footing.
 Figure 11. General Shear Failure

2.1.2 LOCAL SHEAR FAILURE

Local shear failure occurs in soils that are moderately dense or have intermediate
consistency. In this case, the failure develops gradually, and the shear surfaces are
not as clearly defined as in general shear failure. The soil exhibits some plastic
behavior before failure.

Figure 12. Local Shear Failure

2.1.3 PUNCHING SHEAR FAILURE

Punching shear failure occurs in soft or loose soils, typically under deep foundations
or heavily loaded structures. In this failure mode, the foundation penetrates or
"punches" through the soil with little lateral displacement or surface heaving.
 Figure 13. Punching Shear Failure

Type of Soil Type Surface Foundation Failure

Failure Deformation Movement Development

General Shear Dense sands, Significant Sudden, large Rapid and

Failure stiff clay heaving and settlement or Catastrophic
bulging tilting

Local Shear Medium-dense Moderate Gradual, Gradual and

Failure sands, medium heaving and noticeable progressive
stiff clay bulging settlement

Punching Shear Loose sands, Little to no Sinking or Progressive, with

Failure soft clay surface penetration of minimal lateral
movement foundation movement

Table 2. Comparison of Shear Failures

2.2 ULTIMATE BEARING CAPACITY OF SHALLOW FOUNDATIONS

The ultimate bearing capacity of a shallow foundation refers to the

maximum pressure or load per unit area that the foundation soil can
support before undergoing shear failure. It is a critical parameter in the
design of shallow foundations, ensuring the foundation's stability and
preventing excessive settlement or failure.

2.2.1 TERZAGHI’S BEARING CAPACITY

2.2.1.1 GENERAL SHEAR FAILURE

A. STRIP FOOTING
 1
𝑞𝑢𝑙𝑡 = 𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 𝜑𝐵𝑁𝑌
2
B. SQUARE FOOTING
𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑌

C. RECTANGULAR FOOTING
0.3𝐵 1 0.2𝐵
𝑞𝑢𝑙𝑡 = 𝑐𝑁𝑐 [1 + ] + 𝑞𝑁𝑞 + 𝜑𝐵𝑁𝑌 [1 − ]
𝐿 2 𝐿

D. CIRCULAR FOOTING
𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.3𝜑𝐵𝑁𝑌

where:
𝑞𝑢𝑙𝑡 = ultimate bearing capacity
𝑞𝑢
𝑐 = 𝑐𝑜ℎ𝑒𝑠𝑖𝑜𝑛 𝑜𝑓 𝑠𝑜𝑖𝑙 =
2
𝑞𝑢 = 𝑢𝑛𝑐𝑜𝑛𝑓𝑖𝑛𝑒𝑑 𝑐𝑜𝑚𝑝𝑟𝑒𝑠𝑠𝑖𝑣𝑒 𝑠𝑡𝑟𝑒𝑛𝑔𝑡ℎ
𝞅 = unit weight of soil
𝑁𝑐 , 𝑁𝑞 , 𝑁𝑦 = bearing capacity factors that are non-dimensional and are only
functions of the soil friction angle 𝝫.
𝝫 = angle of internal friction
B = dimension of each side of foundation or for circular footing is equal to its
diameter
Bearing Capacity Factor

Table. Terzaghi’s Bearing Capacity Factor

Bearing Capacity Factor (If no table is given)

A. Ressner Formula:
𝛷 𝛱𝑡𝑎𝑛𝛷
𝑁𝑞 = 𝑡𝑎𝑛2 (45 + )𝑒
2

B. Prandtl Formula:
𝑁𝑐 = (𝑁𝑞 − 1) 𝑡𝑎𝑛𝛷
 C. Vesic Formula:
𝑁𝑦 = 2(𝑁𝑞 + 1) 𝑡𝑎𝑛𝛷

D. Meyehof’s Formula:
𝑁𝑦 = (𝑁𝑞 − 1) 𝑡𝑎𝑛 (1.4𝛷)

2.2.1.2 LOCAL SHEAR FAILURE

A. STRIP FOOTING
1
𝑞𝑢𝑙𝑡 = 𝑐𝑁𝑐 ′ + 𝑞𝑁𝑞 ′ + 𝜑𝐵𝑁𝑌 ′
2

B. SQUARE FOOTING
𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 ′ + 𝑞𝑁𝑞 ′ + 0.4𝜑𝐵𝑁𝑌 ′

C. RECTANGULAR FOOTING
0.3𝐵 1 0.2𝐵
𝑞𝑢𝑙𝑡 = 𝑐𝑁𝑐 ′[1 + ] + 𝑞𝑁𝑞 ′ + 𝜑𝐵𝑁𝑌 ′[1 − ]
𝐿 2 𝐿
D. CIRCULAR FOOTING

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 ′ + 𝑞𝑁𝑞 ′ + 0.3𝜑𝐵𝑁𝑌 ’

where:

𝑁𝑐′ , 𝑁𝑞′ , 𝑁𝑦′ = modified bearing capacity factors which are obtained
by using the value of angle of friction 𝝫

2
𝑐′ = 𝑐
3

2.2.2 MEYERHOF’S GENERAL BEARING CAPACITY

2.2.2.1 ULTIMATE BEARING CAPACITY
𝑞𝑢𝑙𝑡 = 𝑐𝑁𝑐 𝑟𝑐 𝑑𝑐 𝑠𝑐 + 𝑞𝑁𝑞 𝑟𝑞 𝑑𝑞 𝑠𝑞 + 0.5𝜑𝐵𝑁𝑌 𝑟𝑦 𝑑𝑦 𝑠𝑦

Where:
𝑟𝑐 , 𝑟𝑞 𝑎𝑛𝑑 𝑟𝑦 = rigidity reduction factor
 𝑑𝑐 , 𝑑𝑞 𝑎𝑛𝑑 𝑑𝑦 = depth factor

𝑠𝑐 , 𝑠𝑞 𝑎𝑛𝑑 𝑠𝑦 = shape factor

2.2.2.2 RIGIDITY INDEX

𝐸
𝐼𝑟 =
2(1 + 𝜇)(𝑐 + 𝜎𝑣 𝑡𝑎𝑛𝛷)
𝐺
𝐼𝑟 =
(𝑐 + 𝜎𝑣 𝑡𝑎𝑛𝛷)
Where:
𝐼𝑟 = rigidity index
𝐺 = 𝑠𝑜𝑖𝑙 𝑠ℎ𝑒𝑎𝑟𝑖𝑛𝑔 𝑚𝑜𝑑𝑢𝑙𝑢𝑠
c = soil cohesion
𝛷 = angle of internal friction
𝜇 = Poisson’s ratio of soil
E = modulus of elasticity of soil

1 (1+ 𝜇)(1− 2𝜇)

E= {
𝑚𝑣 1− 𝜇
𝑎𝑣 0.435 𝐶𝑐
𝑚𝑣 = or 𝑚𝑣 =
1+ 𝑒0 (1+ 𝑒0 )𝜎𝑣𝑎
𝐶𝑐 =compression index
𝜎𝑣𝑎 = average of the initial and final stress, determined at depth B/2
𝜎𝑣 = effective soil overburden pressure at a depth corresponding to B/2
below the foundation base.

2.2.2.3 CRITICAL RIGIDITY INDEX

1 (3.3−0.45𝐵) cot(45−𝛷⁄ )
𝐼𝑟𝑐𝑖𝑟𝑖𝑡𝑖𝑐𝑎𝑙 = 𝑒 𝐿 2
2
When 𝐼𝑟 > 𝐼𝑟𝑐𝑖𝑟𝑖𝑡𝑖𝑐𝑎𝑙 ; General Shear failure mode applies
Wen 𝐼𝑟 < 𝐼𝑟𝑐𝑖𝑟𝑖𝑡𝑖𝑐𝑎𝑙 ; Local Shear failure mode applies
2.3 FACTOR OF SAFETY ALLOWABLE BEARING CAPACITY AND
SETTLEMENT

Generally, a factor of safety of 3 or more is applied to the ultimate soil

bearing capacity to arrive at the value of the allowable bearing capacity.

A. Gross Allowable Bearing Capacity

𝑞𝑢𝑙𝑡
𝑞𝑎𝑙𝑙 =
𝐹. 𝑆

B. Net Allowable Bearing Capacity

𝑞𝑢𝑙𝑡 − 𝑞
𝑞𝑎𝑙𝑙(𝑛𝑒𝑡) =
𝐹. 𝑆

C. Gross Allowable Load

𝑞𝑢𝑙𝑡
𝑞𝑎𝑙𝑙 = 𝑥𝐴
𝐹. 𝑆

D. Net Allowable Load

𝑞𝑢𝑙𝑡 −𝑞
𝑞𝑎𝑙𝑙 = xA
𝐹.𝑆

where:
F.S = Factor of Safety
q = 𝞅𝐷𝑓
A = cross-sectional area of the footing

2.4 MODIFICATIONS OF BEARING CAPACITY EQUATION FOR WATER

TABLE

In many cases, the ultimate bearing capacity has been based on the
assumption that the water table is well below the foundation under
consideration, to the extent where it will not influence the properties of the
 soil. Because this is not always the case, modification of bearing capacity
equations may be required.

CASE I. If the water table is located so that 𝐷1 < 𝐷𝑓 . The factor q and 𝜑 in the last
term of the equations has to be replaced by 𝜑′.

𝑞 = 𝐷1 𝜑 + 𝐷2 (𝜑𝑠𝑎𝑡 − 𝜑𝑤 )
𝜑′ = 𝜑𝑠𝑎𝑡 − 𝜑𝑤
CASE II. For water table located so that d < B. The factor q and 𝜑𝐵 in the last term
of the equations has to be replaced by 𝜑′.

𝑞 = 𝜑𝐷𝑓

𝜑𝐵 = [𝜑𝑑 + 𝜑′ (𝐵 − 𝑑)]

𝜑′ = 𝜑𝑠𝑎𝑡 − 𝜑𝑤

CASE III. For water table located so that d > B. The water will have no effect on
the ultimate bearing capacity.

𝑞 = 𝜑𝐷𝑓
CASE IV. For water table located at the bottom of the foundation. The factor q and
𝜑 in the last term of the equations has to be replaced by 𝜑′.

𝑞 = 𝜑𝐷𝑓

𝜑′ = 𝜑𝑠𝑎𝑡 − 𝜑𝑤

where:
𝑞 = 𝑒𝑓𝑓𝑒𝑐𝑡𝑖𝑣𝑒 𝑠𝑢𝑟𝑐ℎ𝑎𝑟𝑔𝑒
𝜑 = unit weight of soil
𝜑𝑠𝑎𝑡 = saturated unit weight of soil

Example
1. A sandy soil having a cohesion of 24 kPa has a bearing capacity factor
𝑁𝑞 = 14.72.

• Compute the value of the angle of internal friction of the sandy

soil.
∅
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛∅ 𝑡𝑎𝑛2 (45 + )
2
Try ∅ = 28˚
28
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛28 𝑡𝑎𝑛2 (45 + )
2
𝑁𝑞 = 14.72
Use ∅ = 28˚

• Compute the value of bearing capacity factor 𝑁𝑐 .

𝑁𝑐 = cot ∅ (𝑁𝑞 − 1)
𝑁𝑐 = cot 28˚ (14.72 − 1)
𝑁𝑐 = 25.80

• Compute the value of bearing capacity factor 𝑁𝑦 .

𝑁𝑦 = (𝑁𝑞 − 1)(𝑡𝑎𝑛1.4∅)
𝑁𝑦 = (14.72 − 1)(tan (1.4)(28))
𝑁𝑦 = 11.19
2. A square footing for a muti0nationak building has its bottom 2.5m below the
ground surface. It has a dimension if 1.12m x 1.12m. Angle of internal friction
𝑘𝑁
of soil is 28˚. Unit weight of soil is 16 with cohesion of 22 kPa. It has a
𝑚3
𝑘𝑁
saturated unit weight of 18 . Use F.S. of 3.
𝑚3

• Compute the bearing capacity factor 𝑁𝑦 .

∅
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛∅ 𝑡𝑎𝑛2 (45 + )
2
28
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛28 𝑡𝑎𝑛2 (45 + )
2
𝑁𝑞 = 14.72

𝑁𝑦 = (𝑁𝑞 − 1)(𝑡𝑎𝑛1.4∅)
𝑁𝑦 = (14.72 − 1)(tan (1.4)(28))
𝑁𝑦 = 11.19

• Compute the net allowable bearing capacity of the soil if there is a

water table at the bottom side of the footing.
P

Ground surface

𝐷𝑓

Water table

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑞 = 𝜑𝐷𝑓 = 16(2.5) = 40 𝑘𝑃𝑎

𝜑 ′ = 𝜑𝑠𝑎𝑡 − 𝜑𝑤
𝑘𝑁
𝜑 ′ = 18 − 9.81 = 8.19
𝑚3
𝑁𝑐 = cot ∅ (𝑁𝑞 − 1)
𝑁𝑐 = cot 28˚ (14.72 − 1)
𝑁𝑐 = 25.80
 𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦
𝑞𝑢𝑙𝑡 = 1.3𝑐(22)(25.8) + 40(14.72) + 0.4(8.19)(1.12)(11.19)
𝑞𝑢𝑙𝑡 = 1367.74 𝑘𝑃𝑎

𝑞𝑢𝑙𝑡 −𝑞
𝑞𝑎𝑙𝑙 (𝑛𝑒𝑡) =
𝐹.𝑆
1367.74 −40
𝑞𝑎𝑙𝑙 (𝑛𝑒𝑡) = = 442.58 kPa
3.0

• Compute the net allowable load that the footing could carry if there
is a water table at a depth 0.8 m. from the bottom of the footing.
𝑃

Ground surface

𝐷𝑓 = 2.5

B = 1.12
0.8 Water table 𝑘𝑁
𝜑 = 16 𝑚3
𝐵 = 1.12
𝑘𝑁
0.32 𝜑𝑠𝑎𝑡 = 18 𝑚3

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑞 = 𝜑𝐷𝑓 = 16(2.5) = 40 𝑘𝑃𝑎
𝑘𝑁 𝑘𝑁 𝑘𝑁 𝑘𝑁
𝜑𝐵 = 16 (0.8𝑚) + (18 − 9.81 )(0.32𝑚) = 15.42
𝑚3 𝑚3 𝑚3 𝑚2

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑞𝑢𝑙𝑡 = 1.3(22)(25.8) + 40(14.72) + 0.4(15.42)(11.19)
𝑘𝑁
𝑞𝑢𝑙𝑡 = 1395.70 2
𝑚

𝑞𝑢𝑙𝑡 −𝑞
𝑃𝑎𝑙𝑙 (𝑛𝑒𝑡) = °A
𝐹.𝑆
 1395.70 −40
𝑃𝑎𝑙𝑙 (𝑛𝑒𝑡) = ° (1.12)2 = 566.86 kN
3.0

3. A square footing shown has a dimension of 1m x 1m has its bottom 2.5m

below the ground surface. Angle of friction of the soil foundation is 30˚. Unit
weight of soil is 18.10 𝑘𝑁⁄𝑚3 with a cohesion of 15.7 kPa. Saturated unit
weight of soil is 19.30 𝑘𝑁⁄𝑚3 . Use factor of safety of 3.0
• Compute the value of the bearing capacity factor 𝑁𝑞 .
∅
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛∅ 𝑡𝑎𝑛2 (45 + )
2
𝜋𝑡𝑎𝑛30 2 30
𝑁𝑞 = 𝑒 𝑡𝑎𝑛 (45 + )
2
𝑁𝑞 = 18.40

• Compute the net allowable load that the footing could carry of the
ground water table is located 0.20m below the foundation footing.
𝑃

Ground surface

𝑘𝑁
𝜑 = 18.1 𝑚3
𝜑𝑠𝑎𝑡 = 19.3 𝑚3
𝑘𝑁 𝐷𝑓 = 2.5

B = 1.0m
0.20 Water table
𝐵 = 1.0
0.80

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑁𝑐 = cot ∅ (𝑁𝑞 − 1)
𝑁𝑐 = cot 30˚ (18.40 − 1)
𝑁𝑐 = 30.14
 𝑁𝑦 = (𝑁𝑞 − 1)(𝑡𝑎𝑛1.4∅)
𝑁𝑦 = (18.40 − 1)(tan (1.4)(30))
𝑁𝑦 = 15.67

𝑞 = 𝜑𝐷𝑓 = 18.1(2.5) = 45.25 𝑘𝑃𝑎

𝑘𝑁 𝑘𝑁 𝑘𝑁 𝑘𝑁
𝜑𝐵 = 18.1 (0.2𝑚) + (19.3 − 9.81 )(0.8𝑚) = 11.212
𝑚3 𝑚3 𝑚3 𝑚2

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑞𝑢𝑙𝑡 = 1.3(15.7)(30.14) + (45.25)(18.4) + 0.4(11.212)(15.67)
𝑘𝑁
𝑞𝑢𝑙𝑡 = 1518.03 2
𝑚
1518.03 −45.25
𝑃𝑎𝑙𝑙 (𝑛𝑒𝑡) = ° (1.0)2 = 490.93 kN
3.0

• Compute the net allowable load that the footing could carry if the
ground water table is located 1.2m below the ground surface.

Ground surface

1.2 Water table

𝑘𝑁
𝜑 = 18.1 𝑚3
𝑘𝑁
𝜑𝑠𝑎𝑡 = 19.3 𝑚3
𝐷𝑓 = 2.5
1.3

B = 1.0m

𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦

𝑞 = 𝜑𝐷1 + (𝜑𝑠𝑎𝑡 − 𝜑𝑤 )𝐷2

𝑞 = 18.1(1.2) + (19.3 − 9.81)(1.3) = 34.06 𝑘𝑃𝑎
𝜑 ′ = 𝜑𝑠𝑎𝑡 − 𝜑𝑤
𝑘𝑁
𝜑 ′ = 19.3 − 9.81 = 9.49
𝑚3
 𝑞𝑢𝑙𝑡 = 1.3𝑐𝑁𝑐 + 𝑞𝑁𝑞 + 0.4𝜑𝐵𝑁𝑦
𝑞𝑢𝑙𝑡 = 1.3(15.7)(30.14) + (34.06)(18.4) + 0.4(9.49)(1.0)(15.67)
𝑘𝑁
𝑞𝑢𝑙𝑡 = 1301.34 2
𝑚
1301.34 −34.06
𝑃𝑎𝑙𝑙 (𝑛𝑒𝑡) = ° (1.0)2 = 422.43 kN
3.0

Activity 2.

1. A square footing has a dimension of 1.0m x 1.0m has its bottom 2.5m below the
ground surface. Angle of internal friction is 30° with 𝑁𝑐 = 35, 𝑁𝑞 = 22 and 𝑁𝑦 =
𝑘𝑁 𝑘𝑁
19. Unit weight of soil is 18.1 with a cohesion of 15.7 . Saturated unit weight
𝑚3 𝑚2
𝑘𝑁
of soil is 19.3 . Use the factor of safety of 3.0 Calculate the allowable load the
𝑚3
footing could carry, if:

A. If there is no ground water table below the foundation

B. If the ground water table is located 0.2m below the foundation.
C. If the ground water table is located at the bottom of the foundation.
D. If the water table is located at 1.2m below the ground surface.

𝑘𝑁
2. A square for a column carry a load of 1500 kN. Unit weight of soil is 20 , angle
𝑚3
of internal friction is 36°. Use the extended bearing capacity equation. Rigidity
index is 450. 𝑁𝑐 = 53.53. 𝑁𝑞 = 47.16. 𝑁𝑦 = 54.36
a. Compute the critical rigidity index.
b. Compute the size of the footing using a factor of safety of 3.0
c. Compute the net bearing capacity.