SETTLEMENT OF SHALLOW

FOUNDATIONS

1
 Outline

Outline:

 Introduction

 Stress beneath shallow foundations

 Settlement of shallow foundations:

 From soil mechanics theory

 From in-situ test results

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 Settlement of shallow foundations

Increment of vertical stress vertical settlement

 It is practically impossible to prevent settlement under a shallow

foundations. At least, elastic settlement will occur.

 If vertical stress increments regard different soil’s layers, fine-grained

soils (i.e. clayey soils) generate larger settlement respect to sandy
layers.

 NC and lightly OC clay soils develop larger settlement

 A geotechnical engineer must prevent the foundation system from

reaching a serviceability limit state.

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 Settlement of shallow foundations

Settlement
st=si + sc + ss

Immediate Primary Consolidation Secondary Consolidation

Settlement Settlement Settlement
si sc ss

Immediate Settlement: Occurs immediately after the

construction. This is computed using elasticity theory.

load
Primary Consolidation Settlement: Due to gradual
dissipation of pore pressure induced by external
loading and consequently expulsion of water from the Time, t
soil mass, hence the volume change. It is important
for fine-grained soils.

settlement
Secondary Consolidation Settlement: Occurs at
constant effective stress since Δu reached zero value,
hence the volume changes due to rearrangement of
particles (creep).

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 Settlement of shallow foundations

METHODS FOR THE COMPUTATION OF

SETTLEMENTS FOR SHALLOW FOUNDATIONS

1. Settlements from elastic theory (immediate

settlement)

2. Settlements from consolidation theory

2.1. primary consolidation

2.2. secondary consolidation

3. Analysis using in-situ test data

2.1. SPT

2.2. CPT
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 Settlement of shallow foundations
1 – SETTLEMENTS FROM ELASTIC THEORY
Influence factor
Eq. 1
Young’s modulus
Poisson’s ratio

B smaller dimension
(for a circular foundation
it is the diameter)
• linear Elastic, homogeneous, isotropic
• Semi-infinite space (Boussinesq)
Figure from F.A. Izquierdo

Influence factors (Is) for vertical stress due to point load (from Knappett &
Craig 2012)
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 Settlement of shallow foundations
1 – SETTLEMENTS FROM ELASTIC THEORY
Flexible foundation: The contact pressure between the loaded area and the
supporting mass is uniform (load everywhere equal to q). We sould consider the
two principal cases of fine-grained and coarse-grained soil, respectively.
In a homogeneous deposit of saturated clay, it is a reasonable approximation to
assume that E is constant throughout the deposit and the distribution of Figure (a)
of settlements applies.
In the case of sands, the value of E varies with confining pressure, and therefore
will vary across the width of the loaded area, being greater under the centre of the
area than at the edges. As a result, the distribution of vertical displacement will be
of the form shown in Figure (b). Due to the variation of E, and to heterogeneity,
elastic theory is little used in practice in the case of sands.

Distributions of vertical displacement beneath a flexible area: (a) clay, (b) sand
(from Knappett & Craig 2012) 7
 Settlement of shallow foundations
1 – SETTLEMENTS FROM ELASTIC THEORY
Rigid foundation (infinitely stiff in bending): the vertical displacement will be
uniform across the width of the area and its magnitude will be only slightly less
than the average displacement under a corresponding flexible area (as reported
on table of influence factor Is). Under a rigid area, the contact pressure
distribution is thus not uniform. For a circular area the forms of the distributions
of contact pressure on clay and sand, respectively, are shown in Figures (a)
and (b).

Contact pressure distribution beneath a rigid area: (a) clay, (b) sand (from
Knappett & Craig 2012)

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 Settlement of shallow foundations
1 – SETTLEMENTS FROM ELASTIC THEORY
In many cases, the soil deposit will be of limited thickness and will be underlained by a hard
stratum (e.g. Bedrock). The average vertical displacement under a flexible area carrying q is:

Eq. 2
The principle of superposition can
be used in cases of a number of
soil layers each having a different
Christian and Carrier value of E
(1978)

Figure from Knappett & Craig 2012

Coefficients μo and μ1 for vertical displacement (after Christian and Carrrier, 1978)
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 Settlement of shallow foundations
1 – SETTLEMENTS FROM ELASTIC THEORY
An embedded foundation significantly influences settlement:

• Soil stiffness generally increases with depth, so the footing loads will be transmitted
to a stiffer soil than the surface soil  smaller settlement

• Normal stresses from the soil above the footing base reduce the settlement by
providing increased confinement on the deforming half space. This is called the
trench effect or embedment effect (Eden, 1974; Gazetas and Stokoe, 1991).

• Part of the load on the footing is transmitted to the side walls depending on the
amount of shear resistance mobilized at the wall-soil interface  reduces
settlement. This is called the side-wall contact effect.

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 Settlement of shallow foundations
Gazetas et al. 1985
Arbitrarily shaped rigid foundation
embedded in a homogeneous soil.
The elastic settlement is:
Eq. 3

sei 
2Qa
EL1
1   u2  semb wall

soil-stiffness parameter
0.38
A 
s  0.45  b2 
 L1 
embedment effect parameter
Df  4  Ab 
emb  1  0.08 1   2  
B1  3  L 1 
side-wall contact parameter where Qa is allowable (design) vertical
A 
0.54 load, E is the elastic modulus (E = Eu for
 wall  1  0.16 w  fine-grained soils, E = E for coarse-grained
 Ab  soils; the subscript u denotes undrained
Ab is the area of base foundation, Aw area of load condition and u = Poisson’s ratio for
the wall in contact with embedded portion undrained condition
and B1 the width of a circunscribed rectangle 11
 Settlement of shallow foundations
Conclusions and problem related to the elastic theory:

si e 
2Qa
EL1
1   u2  semb wall

Soil properties?
 It should be noted that, unlike the expressions for the variation with depth of
the vertical stress (Δσz), the expressions for vertical displacement are dependent
on the values of elastic modulus (E) and Poisson’s ratio (v) for the soil in
question.

 There is some uncertainties on how to obtain these elastic parameters

(uniform value with depth). Thus, the values of vertical displacement calculated
from elastic theory are less reliable than values of vertical stress.

 The precision of settlement predictions is much more influenced by

inaccuracies in the values of soil parameters than by shortcomings in the
methods of analysis.

 Sampling disturbance can have a serious effect on the values of parameters

determined in the laboratory. In settlement analysis the same degree of precision
should not be expected as, for example, in structural calculations
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 Settlement of shallow foundations
Conclusions:

 Eqs. (1), (2) and (3) are mainly used to estimate the immediate settlement
si (i.e. occurring prior to consolidation) of foundations on fine-grained soils

 In order to make use of the two equations the elastic properties E and ν
must be determined

 Such settlement occurs under undrained conditions so the appropiate

value of Poisson’s ratio (υu) is equal to 0.5 (constant volume) and the value of
the undrained modulus Eu has to be determined.

 The undrained modulus Eu can be calculated from the shear modulus G that
may be determined from in-situ tests (seismic CPT or PMT).

 But for most soils, the modulus increases with depth. Thus, make use of a
constant value of Eu overestimates immediate settlement
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 Settlement of shallow foundations
Conclusions:
 In principle, the three equations (1), (2) and (3) may be used to estimate the
ultimate (drained) settlements of foundations on either coarse or fine-grained
soils using the drained Young’s modulus E′ and Poisson’s ratio ν′.

 However, ν′ (unlike νu) is a material-dependent parameter, and therefore

must be determined from CD triaxial tests with on-sample measurement.

 Coupling the potential difficulties in obtaining reliable values of ν′ with the

estimation of an appropriate strain level for determination of G (and hence E′)
gives drained elastic settlement values which are unreliable in practice.

 In place of this, for fine-grained soils consolidation settlements are

computed and added to the immediate settlements calculated using elastic
theory.

 For coarse-grained soils empirical methods are used based on either SPT
or CPT data
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 Settlement of shallow foundations
Example 1 (from Budhu, Foundations and earth retaining structures)
Determine the immediate settlement of a rectangular foundation 4m x 6m embedded
in a deep deposit of homogeneous clay with the three methods seen before.
Assume wall friction is negligible.

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 Settlement of shallow foundations
1. Elastic solution

Load applied at the centre of a

rectangular based foundation Is = 1.52

2. Cristian and Carrier

H has not been provided,

hence we consider an
infinite value

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 Settlement of shallow foundations

3. Gazetas

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 Settlement of shallow foundations
Example 2 (from Budhu, Foundations and earth retaining structures)
Determine the immediate settlement of the foundation shown in figure. The
undrained elastic modulus varies with depth as shown in the figure and vu = 0,45

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 Settlement of shallow foundations
Example 2, solution
Length and base of the circumscribed rectangle:

𝐿′ = 8 + 4 = 12𝑚
𝐵′ = 6 + 4 = 10𝑚

4000 + 8000
𝐸𝑢 𝑎𝑣𝑔 = = 6𝑀𝑃𝑎
2

10000 + 30000
𝐸𝑢 𝑎𝑣𝑔 = = 20𝑀𝑃𝑎
2

harmonic 𝑛 − 1 𝐸𝑢,1 + 1𝐸𝑢,2 2 ∙ 6 + 20

𝐸𝑢 = = = 10.67𝑀𝑃𝑎
mean value 𝑛 3 19
 Settlement of shallow foundations
Example 2, solution

0.38 −0.38
A  72
s  0.45  b2  = 0.45 = 0.59
 L1  122

D  4  Ab  𝑠𝑖 = 26𝑚𝑚
emb  1  0.08 f 1   2   = 0.94
B1  3  L 1 
0.54 0.54
 Aw  176
 wall  1  0.16  = 1 − 0.16 = 0.74
 Ab  72

𝐴𝑤 = 8 + 6 + 5 + 4 + 3 + 4 + 4 + 3 + 4 + 3 ∙ 4 = 176𝑚2

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 Settlement of shallow foundations
Example 2, solution

Christian and Carrier’s method

1- consider the 1st layer

𝐻 4 𝐿 12
= = 0.4 = = 1.2 𝜇0 = 0.95 𝜇1 = 0.2
𝐵 10 𝐵 10
𝑑 4 5000/72 ∙ 10
= = 0.4
𝐵 10 𝑠𝑖,1 = 0.95 ∙ 0.2 = 22𝑚𝑚
6

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 Settlement of shallow foundations
Example 2, solution

Christian and Carrier’s method

2- consider the two layers combined with Eu = 20MPa

𝐻 8 𝐿 12
= = 0.8 = = 1.2 𝜇0 = 0.93 𝜇1 = 0.3
𝐵 10 𝐵 10
𝑑 12 5000/72 ∙ 10
= = 1.2
𝐵 10 𝑠𝑖,1 = 0.93 ∙ 0.3 = 10𝑚𝑚
20

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 Settlement of shallow foundations
Example 2, solution

Christian and Carrier’s method

3- consider the upper layer with Eu = 20MPa

𝐻 4 𝐿 12
= = 0.4 = = 1.2 𝜇0 = 0.95 𝜇1 = 0.2
𝐵 10 𝐵 10
𝑑 4 5000/72 ∙ 10
= = 0.4
𝐵 10 𝑠𝑖,1 = 0.95 ∙ 0.2 = 6𝑚𝑚
20

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 Settlement of shallow foundations
Example 2, solution

Christian and Carrier’s method

Hence using the principle of superposition:

𝑠𝑖 = 𝑠𝑖,1 + 𝑠𝑖,2 − 𝑠𝑖,3 = 22 + 10 − 6 = 26𝑚𝑚

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 Settlement of shallow foundations
Example 3 (from Knappett and Craig)
A foundation 4 × 2 m, carrying a uniform pressure of 150 kPa, is located at a depth
of 1 m in a layer of clay 5 m thick for which the value of Eu is 40 MPa. This layer is
underlained by a second clay layer 8 m thick for which the value of Eu is 75 MPa.
Hence, a hard stratum lies below the second layer.

Determine the average immediate settlement si under the foundation with Christian
and Carrier’s method and Gazetas approach neglecting the wall adhesion factor
and considering vu = 0.35.

D = 1m
H1 = 5m
B = 2m

H2 = 8m

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 Settlement of shallow foundations
2 – SETTLEMENTS FROM CONSOLIDATION THEORY
2.1 – PRIMARY CONSOLIDATION SETTLEMENT
 It is estimated from parameters deduced from oedometer test, hence several
assumptions are made:

• one-dimensional conosolidation (vertical compression)

• lateral strain is zero

• saturated soil

• no settlement occurs from shear strain

• the initial excess pore water pressure is equal to the increase in total vertical
stress

• immediate settlement is zero (constant volume), thus consolidation settlement

equal to the total settlement

• excess pore water pressures are only dissipated vertically

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 Settlement of shallow foundations
2.1 – PRIMARY CONSOLIDATION SETTLEMENT

Case 1: Normally Consolidated Clays  OCR = 1

𝜎′𝑧0 = 𝜎′𝑝
A Applying an increment
of vertical stress ∆𝜎′𝑧
the state pass from
B point A to B

𝜎′𝑝

From A to B:

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 Settlement of shallow foundations
2.1 – PRIMARY CONSOLIDATION SETTLEMENT

Overconsolidated Clays  OCR > 1

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 Settlement of shallow foundations
2.1 – PRIMARY CONSOLIDATION SETTLEMENT

sed   i  i Hi   i Hi

  o'   
H  CR  log  
 o 
'

  p'    o'   
H  RR  log  '   CR  log  
    p'
 o   

  o'   
H  RR  log  
  '
o 

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 Settlement of shallow foundations
2.1 – PRIMARY CONSOLIDATION SETTLEMENT

It is also possible to use the modulus of compressibility, mv.

Unlike cc, which is constant, mv varies with the vertical stress level applied. We have
to compute an average value mv over the stress range from σ’z0 to σ’fin.

The difference of stress should not exceed 100 kPa.

It is also possible to consider smaller sub-layers in order to consider vertical stress

increments similar to the range of the calculated value of mv throught an oedometer
test and then evaluate the total settlement as a sum of the different contribution.

The advantage here is that we don’t have to determine the void ratio.
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 Settlement of shallow foundations
Skempton and Bjerrum correction (1957)

 Due to the confining ring in the oedometer the lateral strain in the test specimen is
zero, and for this condition the initial excess pore water pressure is equal
theoretically to the increase in total vertical stress.

 In practice, The condition of zero lateral strain (one-dimensional consolidation

theory) is approximately satisfied in the cases of thin clay layers and of layers
under loaded areas which are large compared with the layer heigth. In many
practical situations, significant lateral strain will occur, and the initial excess pore
water pressure will depend on the in-situ stress conditions.

 Skempton and Bjerrum (1957) proposed that the effect of lateral strain be
neglected in the calculation of consolidation settlement (sc), thus enabling the
oedometer test to be maintained as the basis of the method. But, since it was
admitted that this simplification could involve errors of up to 20% in prediction of
the vertical settlements (but in safety conditions! The total settlement is
overestimated), a correction factor has been introduced.

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 Settlement of shallow foundations
Skempton and Bjerrum correction (1957)
It has been proposed a simple method to modify the one-dimensional consolidation
equation in order to take into account for lateral stresses.

The consolidation settlement is related to the one-dimensional settlement derived from

oedometer analyisis by means of a settlement coefficient μc that take into account the
variation of both vertical and lateral stresses:

In case of square
footing, B is the
equivalent diameter
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 Settlement of shallow foundations
2.2 – SECONDARY CONSOLIDATION SETTLEMENT

• Aspect of typical concern for clays.

• In general, one could consider a log

linear trend derived from oedometer
test.

• For sands, there are methods that

enable to take into account such
 t 
time effects (e.g. Schmertmann, ss  c  H  log  
Burland & Burbidge).  100 
t
 z
c 
 log t
Note: over-consolidated soils do not creep significantly but creep
settlements in normally consolidated and sensitive soils can be
very significant.
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 Settlement of shallow foundations
Conclusion: procedure to estimate settlement
1. If the soil layer is thick, divide the soil layer into convenient sub-layers

2. Calculate the initial effective stress (zo) and the initial void ratio (eo) at the
center of the soil layer (or each sub-layer).
3. Calculate the applied stress increase (z) at the center of the soil layer (or
each sub-layer) using the appropriate method.
4. Calculate the final vertical effective stress fin = zo + z.

5. Calculate the elastic settlement (immediate settlement).

6. Calculate the primary consolidation settlement using the corrected index value
(or using mv).
7. Correct the primary consolidation settlement for lateral stresses (Skempton and
Bjerrum).
8. Calculate the secondary compression term if the soil is NC or sensitive.

9. Sum the sifferent contribution of elastic settlement, corrected primary

consolidation settlement and the secondary compression.
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 Settlement of shallow foundations
Example 4 (from Knappett and Craig)
A footing 6 m square, carrying a net pressure of 160 kPa, is located at a depth of 2
m in a deposit of stiff clay 17 m thick: a firm stratum lies immediately below the clay.
From oedometer tests on specimens of the clay the value of mv was found to be
0.13 m2/MN, and from triaxial tests the value of A was found to be 0.35.
The undrained Young’s modulus for the clay is estimated to be 55 MPa.

Determine the total settlement under the centre of the footing.

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 Settlement of shallow foundations
Example 4, solution
Step 1 – immediate settlement, Christian and Carrier’s method

𝐻 15 𝐿 4
= = 2.5 = = 2 𝜇0 = 0.95 𝜇1 = 0.55
𝐵 6 𝐵 2
𝑑 2 160 ∙ 6
= = 0.33
𝐵 6 𝑠𝑖,1 = 0.95 ∙ 0.55 = 9𝑚𝑚
55

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 Settlement of shallow foundations
Example 4, solution
Step 2 – primary consolidation settlement
We have to estimate the vertical stress increase at each sublayer:
∆𝜎′ = 4 ∙ 𝑞𝑧 ∙ 𝐼 Square footing (BxL)
𝑧 𝑧

1 2

3 4

𝑠𝑜𝑒𝑑 = 𝑚𝑣 ∙ ∆𝜎 ′ 𝑧 ∙ 𝐻 = 0.13 ∙ ∆𝜎 ′ 𝑧 ∙ 3

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 Settlement of shallow foundations
Example 4, solution
Step 2 – primary consolidation settlement

𝐻 15
= = 2.2 B is the equivalent
𝐵 = 2 𝐴/𝜋 = 2 36/𝜋 = 6.77𝑚
𝐵 6.77 diameter:

𝜇𝑆𝐵 = 0.55

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 Settlement of shallow foundations
Example 4, solution

Step 2 – primary consolidation settlement

𝑠𝑐 = 𝜇𝑆𝐵 ∙ 𝑠𝑜𝑒𝑑 = 0.55 ∙ 116.6 = 64𝑚𝑚

Step 3 – total settlement

𝑠 = 𝑠𝑖 + 𝑠𝑐 = 9 + 64 = 73𝑚𝑚

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