Advanced Geotechnical &

Foundation Engineering
CA4682

Weeks 1-9: Shallow and Deep Foundations

Kostas Senetakis
Assistant Professor
City University of Hong Kong
1
 Chapter 2

CA4682

Chapter 2
Performance Requirements

2
 Chapter 2

Some questions …
What means “a satisfactory performance” of a foundation ?

A settlement of 22 mm of a spread footing is “acceptable” ?

Who will decide what is acceptable and what is not acceptable performance ?

3
 Chapter 2

Because of geotechnical structure failure …

Impact of retaining wall failure to a small building in

its vicinity (Chi-Chi Taiwan earthquake, 1999)

4
 Chapter 2

Because of super-structure failure …

Damage caused by a soft story at 1st floor level

This is not geotechnical-type failure …

5
 Chapter 2

Some comments …
The performance requirements, that is design criteria & real performance,
depend on the specific structure under consideration. For example,
different “demands” will be considered for a 3-story residential building, a
school building, a hospital and a nuclear power plant.

The performance requirements for structural foundations are the following :

- Strength requirements
- Serviceability requirements
- Constructibility requirements
- Economic requirements

… what do we need to do as a first step in foundation design?

… the first step in foundation design is to define the design loads.

The design loads are imparted from the superstructure to the foundation.

6
 Chapter 2

Loads Acting on Structures – Foundations

Typical loads

Effect of wind 7
 Chapter 2

Design Loads : Variables

Axis
Types of structural loads acting on a foundation:

► Normal loads, P T
act parallel to the foundation axis (z)
P
► Shear loads, Vx, Vy
act perpendicular to the foundation axis (x, y)
Mx
► Moment loads, Mx, My My
act on the planes yz and xz respectively,
in general important Vy
Vx
► Torsion loads, T
y x
act on the plane xy,
usually ignored

8
 Chapter 2

Design Loads : Classification

According to their sources, the structural loads are also classified as:

► Dead loads, D, caused by the weight of the structure

► Live loads, L, caused by the intended use and occupancy
► Snow loads, S, & rain loads, R, special type of live loads
► Earth pressure loads, H, caused by the weight and lateral pressure from
soil/rock, e.g. on a retaining wall
► Fluid loads, F, caused by fluids with well-defined pressures and max height,
e.g. water in storage tank
► Earthquake loads, E, caused by the acceleration of the ground because of
seismic wave propagation
► Wind loads, W, imparted by the wind onto the structure
► Self-straining loads, T, caused by temperature changes, shrinkage,
moisture changes, creep, differential settlement etc
► Impact loads, I, caused by dynamic loading, impact & vibration, e.g. loads
from vessels in bridge and port facilities
► Stream flow loads, SF, & ice loads, ICE, caused by the action of water
and ice, important in bridge and offshore platforms
► Centrifugal, CF, & braking loads, BF, caused by the motion of vehicles
9
e.g. My,E → moment load caused by an earthquake
 Chapter 2

Method of Expression
There are two methods expressing & working with design loads :

1.The allowable stress design (ASD)

Also known as “The working stress method”.

The design loads reflect conservative estimates of the actual service
loads.

2.The load and resistance factor design (LRFD)

Also known as “The ultimate strength design method”.

Load factors “γ” are applied to the nominal loads in order to obtain the
“factored load, U”. The load factors “γ” are usually > 1.0.

10
 Chapter 2

ASD – Evaluating the Design Loads [ANSI/ASCE]

The design load is the most critical combination of the various load
sources, as defined by the codes. The ANSI/ASCE Minimum Design
Loads for Buildings and Other Structures (ASCE, 1996) defines the
ASD design load as the greatest of the following four load combinations
[ANSI/ASCE 2.4.1]:
D (2.1)

D +L +F +H + T + L r or S or R  (2.2)

D +L + Lr or S or R  +  W or E  (2.3)

D +  W or E  (2.4)

Note 1: These equations are applicable to all types of loads. For example,
for normal load → P = PD + PW or P = PD + PE
Note 2: Equation (2.1) governs only when some loads act in the opposite
directions. 11
 Chapter 2

ASD – Alternative Method for Wind & Seismic Loads

Some codes (IBC) permit greater allowable load capacities in structural
materials and soil when considering load combinations that include wind
or seismic components. This increase is usually one-third greater than
the static load capacity.
For example, if a particular foundation has allowable bearing capacity of
500 kN, then the allowable bearing capacity under wind or seismic loads
would be 500x1.33=665 kN.

0.75× D +L + Lr or S or R  +  W or E  (2.3-modified)

0.75× D +  W or E  (2.4-modified)

Note 1: Equations (2.1) & (2.2) are as in previous page.

Note 2: Instead of increasing directly the bearing capacity, we decrease
the design loads in equations (2.3) & (2.4), where 0.75 = 1/1.33.
12
 Chapter 2

Example 2.1
A column carries the following vertical compressive loads; dead load =
1,800 kN (downward), live load = 1,250 kN (downward), wind load = 400
kN (upward). Determine the design normal load to be used in the
foundation design based on the ASD load combination.

Example 2.1 – ANSWER

We know that PD=1,800 kN, PL=1,250 kN & PW=-400 kN (compressive
loads are considered as positive in soil mechanics).
Thus, we use equations (2.1),(2.2),(2.3-modified),(2.4-modified).
P = PD = 1,800 kN
P = PD +PL = 1,800 +1,250 = 3,050 kN Critical combination
P = 0.75× PD +PL +PW  = 0.75× 1,800 +1,250 - 400  = 1,988 kN
P = 0.75× PD +PW  = 0.75× 1,800 - 400  = 1,050 kN
Note : If not required in a different way, for load combinations that include
wind or seismic loads we use equations (2.3-modified) & (2.4-modified).
13
 Chapter 2

Example 2.2
A column carries the following moment loads, My; dead load = +59 kNm,
live load = +18 kNm, earthquake load = +27 kNm. Determine the design
moment load My to be used in the foundation design based on the ASD
load combination.

Example 2.2 – ANSWER

We know that My,D=+59 kNm, My,L =+18 kNm & My,E=+27 kNm.
We use equations (2.1),(2.2),(2.3-modified),(2.4-modified).
My = My,D = 59 kNm Critical combination
My = My,D +My,L = 59 +18 = 77 kNm
My = 0.75 × My,D +My,L +My,E  = 0.75 ×  59 +18 + 27  = 78 kNm
My = 0.75 × My,D +My,E  = 0.75 ×  59 + 27  = 65 kNm

14
 Chapter 2

LRFD – General formula

Load factors “γ” are applied to the nominal loads in order to obtain the
factored load, “U”. The load factors “γ” are usually > 1.0. For normal loads:

Pu = γD ×PD + γL ×PL + ... (2.5)

Design codes present a series of equations in the form of equation (2.5),

each with a different load combination, and define the factored load as
the largest load derived from these equations.

The LRFD method also applies a resistance factor, φ (“strength reduction

factor”) to the ultimate capacity from a strength limit analysis. Nearly all
resistance factors are < 1.0. Finally, the design must satisfy the following
criteria:
Pu ≤ φ ×Pn (2.6)
where Pu=factored normal load, γ=load factor, PD=normal dead load,
PL=normal live load, φ=resistance factor, Pn=nominal normal load
capacity.
Note: If shear load instead of normal → Vx,u, Vy,u 15
 Chapter 2

LRFD [ACI – American Concrete Institute]

According to the ACI (ACI, 1999), the factored load is defined as the
largest of those derived from the following equations [ACI 9.2]:

U = 1.4  D +1.7  L (2.7) U = 0.75 1.4  D +1.7  L +1.4  T  (2.8)

U = 0.9  D +1.4  F (2.9) U = 1.4  D +1.7  L +1.4  F (2.10)

U = 1.4  D +1.7  L +1.7  H (2.11) U = 0.9  D +1.3  W (2.12)

U = 0.9  D +1.43  E (2.13) U = 0.75 1.4  D +1.7  L +1.7  W  (2.14)

U = 1.4 × D + T  (2.15) U = 0.75 1.4  D +1.7  L +1.87  E  (2.16)

U = 0.9  D +1.7  H (2.17)

e.g.1 for My and for the combination (2.13) → My,U = 0.9 x My,D +1.43 x My,E

e.g.2 for Vx and for the combination (2.16) → Vx,U = 0.75 x (1.4 x Vx,D + 1.7 x Vx,L + 1.87 x Vx,E)
16
 Chapter 2

LRFD [ANSI/ASCE & AISC ]

According to the ANSI/ASCE, the factored load is defined as the largest
of those derived from the following equations [ANSI/ASCE 2.3.2]:

U = 1.4 ×D (2.18)

U = 1.2 × D +F + T  +1.6 × L +H  + 0.5 L r or S or R  (2.19)

U =1.2  D +1.6× Lr or S or R  +  0.5×L or 0.8  W  (2.20)

U =1.2×D +1.3× W + 0.5×L + 0.5× L r or S or R  (2.21)

U = 1.2 ×D +1.0 ×E + 0.5 ×L + 0.2 ×S (2.22)

U = 0.9  D + 1.3  W or 1.0  E  (2.23)

e.g.1 for P and for the combination (2.18) → PU = 1.4 x PD

e.g.2 for Vy and for the combination (2.23) → Vy,U = 0.9 x Vy,D + (1.3 x Vy,W or + 1.0 x Vy,E )

17
 Chapter 2

EXAMPLE 2.3
Solve EXAMPLE 2.1 based on LRFD – ANSI/ASCE.

EXAMPLE 2.3 – ANSWER

We know that PD=1,800 kN, PL=1,250 kN & PW=-400 kN. Thus, we use
equations (2.18)-(2.23).
Critical combination
PU = 1.4 ×PD = 1.4 ×1,800 = 2,520 kN
PU = 1.2 ×PD +1.6 ×PL = 1.2 ×1,800 +1.6 ×1,250 = 4,160 kN
PU = 1.2 ×PD +  0.5 ×PL or 0.8 ×PW  = 1.2 ×1,800 + 625 = 2,785 kN
0.5 ×PL = 625 kN, 0.8 ×PW = -320 kN

PU = 1.2 ×PD +1.3 ×PW + 0.5 ×PL = 1.2 ×1,800 -1.3 × 400 + 0.5 ×1,250 = 2,265 kN
PU = 1.2 ×PD + 0.5 ×PL = 1.2 ×1,800 + 0.5 ×1,250 = 2,785 kN
PU = 0.9 ×PD +1.3 × W = 0.9 ×1,800 -1.3 × 400 = 1,100 kN

18
 Chapter 2

Strength Requirements
After defining the design loads (ASD or LRFD), the foundation design
must satisfy a series of requirements. The strength requirements are
intended to avoid catastrophic failures.

► Geotechnical Requirements, address the ability of the soil/rock to

accept the loads transferred by the foundation without failure. We satisfy
strength requirements by comparing shear stresses and shear strength.
For example, in case of footing, the strength is expressed in terms of the
bearing capacity of the soil.

Bearing capacity failure of the soil

that causes the foundation to collapse

► Structural requirements, address the foundation’s structural integrity

and its ability to safely carry the applied loads. 19
 Chapter 2

Strength Requirements

close-up view of building

Bearing capacity failure of apartment building in

Niigata-Japan, the failure was caused by soil
liquefaction (Niigata earthquake 1964)

20
 Chapter 2

Serviceability Requirements
It is possible for a foundation that satisfies the strength requirements (the
developed stresses e.g. beneath a footing are lower than the bearing capacity
of the soil and thus there is no failure), not to satisfy the serviceability
requirements. These requirements are primarily associated with the
occurrence of extensive settlements (total and/or differential).

In summary, the serviceability requirements are :

► Settlement, downward movement as a result of applied loads

► Heave, upward movement, usually because of swelling of expansive soils
► Tilt, when settlement or heave occurs on one side of the building
► Lateral movement, horizontal deformations caused by lateral loads
► Vibration, due to earthquakes, machine vibrations, problem of resonance
► Durability, caused by physical, chemical and biological processes that
cause deterioration, important in water-front structures.

21
 Chapter 2

Settlement
The vertical downward load is commonly the greatest load acting on
foundations. Therefore, the resulting downward movement is usually the
largest and most important.
Is it feasible to design foundation with zero settlement ?
stress = stiffness x strain  whenever we have applied stresses there are
strains ….
The “key” is to design a foundation (e.g. decision for foundation geometry
and depth) that will result in “tolerable” or “acceptable” settlements and
“satisfactory” overall performance of the superstructure.

uniform
uniform Tilting but no distortion
distortion
22
Typical modes of settlement
 Chapter 2

Settlement

Excessive settlement-tilting of buildings Excessive movements of retaining wall

23
 Chapter 2

Settlement

The response of structures to foundation settlements is complex.

In practice and for the majority of structures, we simplify the problem by
describing settlement using two parameters :

Total settlement Differential settlement

24
 Chapter 2

Total Settlement
Total settlement is the change in foundation elevation from the original
“unloaded” position to the final “loaded” position.
P

δ
before loading
after loading

In cases of excessive total settlements, the typical problems faced are :

► connections with existing structures ► utility lines ► access

► surface drainage ► aesthetics

25
 Chapter 2

Total Settlement
What is a typical range of total settlements used in current practice ?

Typical allowable total settlement (δa)

(mm) (in)
12-50 0.5-2.0
Office buildings
(25 commonly) (1.0 commonly)
Heavy industrial buildings 25-75 1.0-3.0
Bridges 50 2.0

δ  δa  δ = Total settlement, δa = allowable settlement

If predicted settlement greater than allowable ?
► we may adjust the foundation design, e.g. increase foundation size
► we may consider a different type of foundation (shallow vs deep)
► we may improve the properties of the soil
► We may re-design the structure 26
 Chapter 2

Differential Settlement
Angular distortion :
δDij L
θij =
Lij
Differential settlement, δDij Lij
vs allowable differential
settlement, δDa :
δDij ≤ δDa δi

δDij = θij ×Lij δD,max δmax

δDij
δDa = θa ×Lij

δi = total settlement of footing i, δmax = maximum total settlement

δDij = differential settlement between footing i and footing j (i.e. absolute
difference between settlement of footing i and settlement of footing j)
δD,max = maximum differential settlement
Lil = length between footing i and footing j, L = total length 27
 Chapter 2

Differential Settlement
Allowable angular distortion (θa)

Type of structure (θa)

Steel tanks 1/25

Bridges with simply-supported spans 1/125
Bridges with continuous spans 1/250
Typical commercial & residential buildings 1/500
Buildings tolerant to differential settlements 1/250

For example, for a typical residential building with a distance between columns equal
to 5 m, the allowable differential settlement between two footings is :

1
δDa = θ a ×Lij = ×5 = 0.01 m = 1 cm
500
28
 Chapter 2

Constructibility Requirements
Constructibility requirements are more important in deep foundation design.
There must be an understanding of the available techniques and
“capabilities” in construction with respect to specific constructors and
overall with constructors of a particular region.

- Available techniques (construction methods)

- Available materials
- Possible maximum length of deep foundation

There is always a collaboration between the engineer that designs a deep

foundation system and the constructor from early stages of analysis-design
of the structure.

29
 Chapter 2

Economic Requirements
The design of foundation systems is in general more conservative that the
design of the superstructure.

Some reasons:

- Uncertainties in soil/rock properties.

- Precision during construction of foundations.
- Damage of structural materials of foundations (e.g. development of cracks
during driving of a pile).
- Uncertainties of foundation-ground interaction (e.g. transfer of loads to the
ground from the foundation, settlements …).
- The consequences of a catastrophic failure of a foundation.

30
 Chapter 2

Abbreviations …
► ANSI  American National Standards Institute

► ASCE  American Society of Civil Engineers

► IBC  International Building Code

► ACI  American Concrete Institute

References …
► ASCE (1996). “Minimum Design Loads for Buildings and Other
Structures”, ANSI/ASCE 7-95, ASCE.

31
 Chapter 2

End of Chapter 2

32