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Bearing capacity
Failure mechanisms and derivation of equations
Bearing capacity of shallow foundations
Presumed bearing values
Bearing capacity of piles
The ultimate load which a foundation can support may be calculated using bearing capacity theory. For
preliminary design, presumed bearing values can be used to indicate the pressures which would normally
result in an adequate factor of safety. Alternatively, there is a range of empirical methods based on in situ test
results.
The ultimate bearing capacity (qf) is the value of bearing stress which causes a sudden catastrophic
settlement of the foundation (due to shear failure).
The allowable bearing capacity (qa) is the maximum bearing stress that can be applied to the foundation
such that it is safe against instability due to shear failure and the maximum tolerable settlement is not
exceeded. The allowable bearing capacity is normally calculated from the ultimate bearing capacity using a
factor of safety (Fs).
When excavating for a foundation, the stress at founding level is relieved by the removal of the weight of soil.
The net bearing pressure (qn) is the increase in stress on the soil.
qn = q - qo
qo = g D
where D is the founding depth and g is the unit weight of the soil removed.

Failure mechanisms and derivation of equations

Bearing capacity

Upper and lower bound solutions

Semi-circular slip mechanism
Circular arc slip mechanism

A relatively undeformed wedge of soil below the foundation forms an active Rankine zone with angles
(45 + f'/2).
The wedge pushes soil outwards, causing passive Rankine zones to form with angles (45 - f'/2).
The transition zones take the form of log spiral fans.

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For purely cohesive soils (f = 0) the transition zones become circular for which Prandtl had shown in 1920
that the solution is
qf = (2 + p) su = 5.14 su
This equation is based on a weightless soil. Therefore if the soil is non-cohesive (c=0) the bearing capacity
depends on the surcharge qo. For a footing founded at depth D below the surface, the surcharge qo = gD.
Normally for a shallow foundation (D<B), the shear strength of the soil between the surface and the founding
depth D is neglected.
radius of the fan r = r 0 .exp[q.tanf'].
q is the fan angle in radians (between 0 and p/2)
f' is the angle of friction of the soil
r o = B/[2 cos(45+f'/2)]

Upper and lower bound solutions

Failure mechanisms and derivation of equations

The bearing capacity of a soil can be investigated using the limit theorems of ideal rigid-perfectly-plastic
materials.
The ultimate load capacity of a footing can be estimated by assuming a failure mechanism and then applying
the laws of statics to that mechanism. As the mechanisms considered in an upper bound solution are
progressively refined, the calculated collapse load decreases.
As more stress regions are considered in a lower bound solution, the calculated collapse load increases.
Therefore, by progressive refinement of the upper and lower bound solutions, the exact solution can be
approached. For example, Terzaghi's mechanism gives the exact solution for a strip footing.

Semi-circular slip mechanism

Failure mechanisms and derivation of equations

Suppose the mechanism is assumed to have a semi-circular slip surface. In

this case, failure will cause a rotation about point O. Any surcharge qo will
resist rotation, so the net pressure (q - qo) is used. Using the equations of
statics:
Moment causing rotation
= load x lever arm
= [(q - qo) x B] x [B]
Moment resisting rotation
= shear strength x length of arc x lever arm
= [s] x [p.B] x [B]
At failure these are equal:
(q - qo ) x B x B = s x p.B x B

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Net pressure (q - qo ) at failure

= 2 p x shear strength of the soil
This is an upper-bound solution.

Circular arc slip mechanism

Failure mechanisms and derivation of equations

Consider a slip surface which is an arc in cross section, centred above one
edge of the base. Failure will cause a rotation about point O. Any
surcharge qo will resist rotation so the net pressure (q - qo) is used. Using
the equations of statics:

Moment causing rotation

= load x lever arm
= [ (q - qo) x B ] x [B/2]
Moment resisting rotation
= shear strength x length of arc x lever arm
= [s] x [2a R] x [R]
At failure these are equal:
(q - qo) x B x B/2 = s x 2 a R x R
Since R = B / sin a :
(q - qo ) = s x 4a /(sin a)
The worst case is when
tana=2a at a = 1.1656 rad = 66.8 deg
The net pressure (q - qo) at failure
= 5.52 x shear strength of soil

Bearing capacity of shallow foundations

Bearing capacity

Bearing capacity equation (undrained)

Bearing capacity equation (drained)
Factor of safety
The ultimate bearing capacity of a foundation is calculated from an equation that incorporates appropriate
soil parameters (e.g. shear strength, unit weight) and details about the size, shape and founding depth of the
footing. Terzaghi (1943) stated the ultimate bearing capacity of a strip footing as a three-term expression
incorporating the bearing capacity factors: Nc, Nq and Ng, which are related to the angle of friction (f).
qf =c.Nc +qo.Nq + g.B .Ng
For drained loading, calculations are in terms of effective stresses; f is > 0 and N c, Nq and Ng are all > 0.
For undrained loading, calculations are in terms of total stresses; the undrained shear strength (su); Nq = 1.0
and Ng = 0
c = apparent cohesion intercept

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qo = g . D (i.e. density x depth)

D = founding depth
B = breadth of foundation
g = unit weight of the soil removed.

Bearing capacity equation (undrained)

Bearing capacity of shallow foundations

Skempton's equation is widely used for undrained clay soils:

qf = su .Ncu + qo
where Ncu = Skempton's bearing capacity factor, which can be
obtained from a chart or by using the following expression:
Ncu = Nc.sc.dc
where sc is a shape factor and dc is a depth factor.
Nq = 1, Ng = 0, Nc = 5.14
sc = 1 + 0.2 (B/L) for B<=L
dc = 1+ (0.053 D/B ) for D/B < 4

Bearing capacity equation (drained)

Bearing capacity of shallow foundations

Bearing capacity factors

Shape factors
Depth factors
Terzaghi (1943) stated the bearing capacity of a foundation as a three-term expression incorporating the
bearing capacity factors
Nc, Nq and Ng.
He proposed the following equation for the ultimate bearing capacity of a long strip footing:
qf =c.Nc +qo.Nq + g.B .Ng
This equation is applicable only for shallow footings carrying vertical non-eccentric loading.
For rectangular and circular foundations, shape factors are introduced.
qf = c .Nc .sc + qo .Nq .sq + g .B .Ng .sg
Other factors can be used to accommodate depth, inclination of loading, eccentricity of loading, inclination of
base and ground. Depth is only significant if it exceeds the breadth.

The
bearing capacity
factorsfactors
relate to the drained angle of friction (f'). TheBearing
c.Nc term
is the equation
contribution
from
Bearing
capacity
capacity
(drained)

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soil shear strength, the qo.Nq term is the contribution from the surcharge pressure above the founding level,
the .B.g.Ng term is the contribution from the self weight of the soil. Terzaghi's analysis was based on an
active wedge with angles f' rather than (45+f'/2), and his bearing capacity factors are in error, particularly for
low values of f'. Commonly used values for Nq and Nc are derived from the Prandtl-Reissner expression
giving

Exact values for Ng are not directly obtainable; values have been proposed by Brinch Hansen (1968), which
are widely used in Europe, and also by Meyerhof (1963), which have been adopted in North America.
Brinch Hansen:
Ng = 1.8 (Nq - 1) tanf'
Meyerhof:
Ng = (Nq - 1) tan(1.4 f')

Shape factors

Bearing capacity equation (drained)

Terzaghi presented modified versions of his bearing capacity equation for shapes of foundation other than a
long strip, and these have since been expressed as shape factors. Brinch Hansen and Vesic (1963) have
suggested shape factors which depend on f'. However, modified versions of the Terzaghi factors are usually
considered sufficiently accurate for most purposes.
sc
sq
sg
1.3
1.2
0.8
square
1.3
1.2
0.6
circle
rectangle (B<L) 1+ 0.2(B/L) 1+ 0.2(B/L) 1 - 0.4(B/L)
B = breadth, L = length

Depth factors

Bearing capacity equation (drained)

It is usual to assume an increase in bearing capacity when the depth (D) of a foundation is greater than the
breadth (B). The general bearing capacity equation can be modified by the inclusion of depth factors.
qf = c.Nc.dc + qo.Nq.dq + B.gNg.dg
for D>B:
dc = 1 + 0.4 arctan(D/B)
dq = 1 + 2 tan(f'(1-sinf') arctan(B/D)
dg = 1.0
for D=<B:

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dc = 1 + 0.4(D/B)
dq = 1 + 2 tan(f'(1-sinf') (B/D)
dg = 1.0

Factor of safety

Bearing capacity of shallow foundations

A factor of safety Fs is used to calculate the allowable bearing capacity qa from the ultimate bearing pressure
qf. The value of Fs is usually taken to be 2.5 - 3.0.

The factor of safety should be applied only to the increase in stress, i.e. the net bearing pressure qn.
Calculating qa from qf only satisfies the criterion of safety against shear failure. However, a value for Fs of
2.5 - 3.0 is sufficiently high to empirically limit settlement. It is for this reason that the factors of safety used
in foundation design are higher than in other areas of geotechnical design. (For slopes, the factor of safety
would typically be 1.3 - 1.4).
Experience has shown that the settlement of a typical foundation on soft clay is likely to be acceptable if a
factor of 2.5 is used. Settlements on stiff clay may be quite large even though ultimate bearing capacity is
relatively high, and so it may be appropriate to use a factor nearer 3.0.

Presumed bearing values

Bearing capacity

For preliminary design purposes, BS 8004 gives presumed bearing values which are the pressures which
would normally result in an adequate factor of safety against shear failure for particular soil types, but without
consideration of settlement.
Category
Types of rocks and soils
Presumed bearing value
Non-cohesive soils Dense gravel or dense sand and gravel >600 kN/m
Medium dense gravel,
<200 to 600 kN/m
or medium dense sand and gravel
Loose gravel, or loose sand and gravel <200 kN/m
Compact sand
>300 kN/m
Medium dense sand
100 to 300 kN/m
<100 kN/m depends on
Loose sand
degree of looseness
Cohesive soils
Very stiff bolder clays & hard clays
300 to 600 kN/m
Stiff clays
Firm clay
Soft clays and silts
Very soft clay

150 to 300 kN/m

75 to 150 kN/m
< 75 kN/m
Not applicable

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Peat
Made ground

Not applicable
Not applicable

Presumed bearing values for Keuper Marl

Weathering

Zone Description

Fully weathered

IVb Matrix only

Presumed bearing
value
as cohesive soil

IVa
III

125 to 250 kN/m

250 to 500 kN/m

Partially
weathered

II
Unweathered

Matrix with occasional pellets less than 3mm

Matrix with lithorelitics up to 25mm
Angular blocks of unweathered marl with virtually no
matrix
Mudstone (often not fissured)

500 to 750 kN/m

750 to 1000 kN/m

Bearing capacity of piles

Bearing capacity

Driven piles in non-cohesive soil

Bored piles in non-cohesive soil
Driven piles in cohesive soil
Bored piles in cohesive soil
Carrying capacity of piles in a layered soil
Effects of ground water
The ultimate bearing capacity of a pile used in design may be one three
values:
the maximum load Qmax, at which further penetration occurs without the
load increasing;
a calculated value Qf given by the sum of the end-bearing and shaft
resistances;
or the load at which a settlement of 0.1 diameter occurs (when Qmax is not
clear).
For large-diameter piles, settlement can be large, therefore a safety factor of
2-2.5 is usually used on the working load.
A pile loaded axially will carry the load:
partly by shear stresses (ts) generated along the shaft of the pile and
partly by normal stresses (qb) generated at the base.
The ultimate capacity Qf of a pile is equal to the base capacity Qb plus the
shaft capacity Qs.

Qf = Qb + Qs = Ab . qb + S(As . ts)
where Ab is the area of the base and As is the surface area of the shaft within a soil layer.
Full shaft capacity is mobilised at much smaller displacements than those related to full base resistance. This
is important when determining the settlement response of a pile. The same overall bearing capacity may be
achieved with a variety of combinations of pile diameter and length. However, a long slender pile may be

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shown to be more efficient than a short stubby pile. Longer piles generate a larger proportion of their full
capacity by skin friction and so their full capacity can be mobilised at much lower settlements.
The proportions of capacity contributed by skin friction and end bearing do not just depend on the geometry
of the pile. The type of construction and the sequence of soil layers are important factors.

Driven piles in non-cohesive soil

Bearing capacity of piles

Ultimate pile capacity

Standard penetration test
Cone penetration test
Driving a pile has different effects on the soil surrounding it depending on the relative density of the soil. In
loose soils, the soil is compacted, forming a depression in the ground around the pile. In dense soils, any
further compaction is small, and the soil is displaced upward causing ground heave. In loose soils, driving is
preferable to boring since compaction increases the end-bearing capacity.
In non-cohesive soils, skin friction is low because a low friction 'shell' forms around the pile. Tapered piles
overcome this problem since the soil is recompacted on each blow and this gap cannot develop.
Pile capacity can be calculated using soil properties obtained from standard penetration tests or cone
penetration tests. The ultimate load must then be divided by a factor of safety to obtain a working load. This
factor of safety depends on the maximum tolerable settlement, which in turn depends on both the pile
diameter and soil compressibility. For example, a safety factor of 2.5 will usually ensure a pile of diameter
less than 600mm in a non-cohesive soil will not settle by more than 15mm.
Although the method of installing a pile has a significant effect on failure load, there are no reliable
calculation methods available for quantifying any effect. Judgement is therefore left to the experience of the
engineer.

Ultimate pile capacity

Driven piles in non-cohesive soil

The ultimate carrying capacity of a pile is:

Qf = Qb + Qs
The base resistance, Qb can be found from Terzaghi's equation for bearing capacity,
qf = 1.3 c Nc + qo Nq + 0.4 g B Ng
The 0.4 g B Ng term may be ignored, since the diameter is considerably less than the depth of the
pile.
The 1.3 c Nc term is zero, since the soil is non-cohesive.

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The net unit base resistance is therefore

qnf = qf - qo = qo (Nq -1)

and the net total base resistance is
Qb = qo (Nq -1) Ab
The ultimate unit skin friction (shaft) resistance can be found from
qs = Ks .s'v .tand
where s'v = average vertical effective stress in a given layer
d = angle of wall friction, based on pile material and f
Ks = earth pressure coefficient
Therefore, the total skin friction resistance is given by the sum of the layer resistances:

Qs = S(Ks .s'v .tand .As)

The self-weight of the pile may be ignored, since the weight of the concrete is almost equal to the weight of
the soil displaced.
Therefore, the ultimate pile capacity is:

Qf = Ab qo Nq + S(Ks .s'v .tand .As)

Values of Ks and d can be related to the angle of internal friction (f) using the following table according to
Broms.
Ks
Material d
low density high density
steel

20

concrete 3/4 f
timber
2/3 f

0.5
1.0

1.0
2.0

1.5

4.0

It must be noted that, like much of pile design, this is an empirical relationship. Also, from empirical methods
it is clear that Qs and Qb both reach peak values somewhere at a depth between 10 and 20 diameters.
It is usually assumed that skin friction never exceeds 110 kN/m and base resistance will not exceed 11000
kN/m.

Standard penetration test

Driven piles in non-cohesive soil

The standard penetration test is a simple in-situ test in which the N-value is
the mumber of blows taken to drive a 50mm diameter bar 300mm into the
base of a bore hole.
Schmertmann (1975) has correlated N-values obtained from SPT tests
against effective overburden stress as shown in the figure.
The effective overburden stress = the weight of material above the base
of the borehole - the wight of water

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e.g. depth of soil = 5m, depth of water = 4m, unit weight of soil =
20kN/m, s'v = 5m x 20kN/m - 4m x 9.81kN/m 60 kN/m
Once a value for f has been estimated, bearing capacity factors can be determined and used in the usual way.
Meyerhof (1976) produced correlations between base and frictional resistances and N-values. It is
recommended that N-values first be normalised with respect to effective overburden stress:
Normalised N = Nmeasured x 0.77 log(1920/sv)
Ultimate base resistance Ultimate shaft resistance
qb (kPa)
qs (kPa)

Pile type Soil type

Driven

Bored

Gravelly sand
Sand

40(L/d) N
but < 400 N

Sandy silt
Silt

20(L/d) N
but < 300 N

Gravel and sands

13(L/d) N
but < 300 N

Sandy silt
Silt

2 Navg

Navg

13(L/d) N
but < 300 N

L = embedded length
d = shaft diameter
Navg = average value along shaft

Cone penetration test

Driven piles in non-cohesive soil

End-bearing resistance
The end-bearing capacity of the pile is assumed to be equal to the unit cone resistance (qc). However, due to
normally occurring variations in measured cone resistance, Van der Veen's averaging method is used:
qb = average cone resistance calculated over a depth equal to three pile diameters above to one
pile diameter below the base level of the pile.
Shaft resistance
The skin friction can also be calculated from the cone penetration test from values of local side friction or
from the cone resistance value using an empirical relationship:
At a given depth, q s = Sp. qc
where Sp = a coefficient dependent on the type of pile

Type of pile

Sp

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Solid timber )
Pre-cast concrete )
0.005 - 0.012
Solid steel driven )
Open-ended steel 0.003 - 0.008

Bored piles in non-cohesive soil

Bearing capacity of piles

The design process for bored piles in granular soils is essentially the same as that for driven piles. It must be
assumed that boring loosens the soil and therefore, however dense the soil, the value of the angle of friction
used for calculating Nq values for end bearing and d values for skin friction must be those assumed for loose
soil. However, if rotary drilling is carried out under a bentonite slurry f' can be taken as that for the
undisturbed soil.

Driven piles in cohesive soil

Bearing capacity of piles

Driving piles into clays alters the physical characteristics of the soil. In soft clays, driving piles results in an
increase in pore water pressure, causing a reduction in effective stress;.a degree of ground heave also occurs.
As the pore water pressure dissipates with time and the ground subsides, the effective stress in the soil will
increase. The increase in s'v leads to an increase in the bearing capacity of the pile with time. In most cases,
75% of the ultimate bearing capacity is achieved within 30 days of driving.
For piles driven into stiff clays, a little consolidation takes place, the soil cracks and is heaved up. Lateral
vibration of the shaft from each blow of the hammer forms an enlarged hole, which can then fill with
groundwater or extruded porewater. This, and 'strain softening', which occurs due to the large strains in the
clay as the pile is advanced, lead to a considerable reduction in skin friction compared with the undisturbed
shear strength (su) of the clay. To account for this in design calculations an adhesion factor, a, is introduced.
Values of a can be found from empirical data previously recorded. A maximum value (for stiff clays) of 0.45
is recommended.
The ultimate bearing capacity Qf of a driven pile in cohesive soil can be calculated from:
Qf = Qb + Qs
where the skin friction term is a summation of layer resistances
Qs = S( a .su(avg) .As)
and the end bearing term is
Qb = su .Nc .Ab
Nc = 9.0 for clays and silty clays.

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Bored piles in cohesive soil

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Bearing capacity of piles

Following research into bored cast-in-place piles in London clay, calculation of the ultimate bearing capacity
for bored piles can be done the same way as for driven piles. The adhesion factor should be taken as 0.45. It
is thought that only half the undisturbed shear strength is mobilised by the pile due to the combined effect of
swelling, and hence softening, of the clay in the walls of the borehole. Softening results from seepage of water
from fissures in the clay and from the un-set concrete, and also from 'work softening' during the boring
operation.
The mobilisation of full end-bearing capacity by large-diameter piles requires much larger displacements than
are required to mobilise full skin-friction, and therefore safety factors of 2.5 to 3.0 may be required to avoid
excessive settlement at working load.

Carrying capacity of piles in layered soil

Bearing capacity of piles

When a pile extends through a number of different layers of soil with different properties, these have to be
taken into account when calculating the ultimate carrying capacity of the pile. The skin friction capacity is
calculated by simply summing the amounts of resistance each layer exerts on the pile. The end bearing
capacity is calculated just in the layer where the pile toe terminates. If the pile toe terminates in a layer of
dense sand or stiff clay overlying a layer of soft clay or loose sand there is a danger of it punching through to
the weaker layer. To account for this, Meyerhof's equation is used.
The base resistance at the pile toe is
qp = q2 + (q1 -q2)H / 10B but q1
where B is the diameter of the pile, H is the thickness between the base of the pile and the top of the weaker
layer, q2 is the ultimate base resistance in the weak layer, q1 is the ultimate base resistance in the strong layer.

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Effects of groundwater

Bearing capacity of piles

The presence and movement of groundwater affects the carrying capacity of piles, the processes of
construction and sometimes the durability of piles in service.
Effect on bearing capacity
In cohesive soils, the permeability is so low that any movement of water is very slow. They do not suffer any
reduction in bearing capacity in the presence of groundwater.
In granular soils, the position of the water table is important. Effective stresses in saturated sands can be as
much as 50% lower than in dry sand; this affects both the end-bearing and skin-friction capacity of the pile.
Effects on construction
When a concrete cast-in-place pile is being installed and the bottom of the borehole is below the water table,
and there is water in the borehole, a 'tremie' is used.
With its lower end lowered to the bottom of the borehole, the tremmie is filled
with concrete and then slowly raised, allowing concrete to flow from the bottom.
As the tremie is raised during the concreting it must be kept below the surface of
the concrete in the pile. Before the tremie is withdrawn completely sufficient
concrete should be placed to displace all the free water and watery cement. If a
tremie is not used and more than a few centimetres of water lie in the bottom of
the borehole, separation of the concrete can take place within the pile, leading to
a significant reduction in capacity.
A problem can also arise when boring takes place through clays. Site
investigations may show that a pile should terminate in a layer of clay. However,
due to natural variations in bed levels, there is a risk of boring extending into
underlying strata. Unlike the clay, the underlying beds may be permeable and
will probably be under a considerable head of water. The 'tapping' of such
aquifers can be the cause of difficulties during construction.
Effects on piles in service
The presence of groundwater may lead to corrosion or deterioration of the pile's fabric.
In the case of steel piles, a mixture of water and air in the soil provides conditions in which oxidation
corrosion of steel can occur; the presence of normally occurring salts in groundwater may accelerate the
process.
In the case of concrete piles, the presence of salts such as sulphates or chlorides can result in corrosion of
reinforcement, with possible consequential bursting of the concrete. Therefore, adequate cover must be
provided to the reinforcement, or the reinforcement itself must be protected in some way. Sulphate attack on
the cement compounds in concrete may lead to the expansion and subsequent cracking. Corrosion problems
are minimised if the concrete has a high cement/aggregate ratio and is well compacted during placement.

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