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12. SETTLEMENTS OF STRUCTURES

12.1 The settlement process

An important task in the design of foundations is to determine the settlement, this is shown
schematically in Figure 1.

Maximum
Settlement

Soil Layer

Fig. 1 Settlement of a loaded

Fig. 1 Settlement of afooting
loaded footing

As discussed earlier the skeletal soil material and the pore water are relatively incompressible and any
change in volume can only occur due to change in the volume of the voids. For the volume of the voids
to change, pore water must flow into or out of a soil element. Because this cannot happen
instantaneously when a load is first applied to a soil there cannot be any immediate change in its
volume. For one-dimensional conditions with no lateral strain this implies that there is no immediate
vertical strain and hence that the excess pore pressure is equal to the change in vertical stress.
However, under more general conditions both lateral (or horizontal) and vertical strains can occur.
Immediately after load is applied there will be no change in volume, but the soil deformations will result
in an initial settlement. This is said to occur under undrained conditions because no pore water has
been able to drain from the soil. With time the excess pore pressures generated during the undrained
loading will dissipate and further lateral and vertical strains will occur. Ultimately the settlement will
reach its long term or drained value.

When the load is first applied to the soil there will be a tendency for the more highly stressed parts of
the soil to compress and thus for there to be a reduction in the volume of the voids. The pore water
will respond to this tendency towards a decrease in volume by undergoing an increase in pore water
pressure and so initial excess pore water pressures will develop. Subsequently there will be a flow of
water from regions of high excess pore water pressure to regions of low excess pore water pressure,
and the load induced excess pore water pressures will dissipate. This is the process of consolidation,
and during this process the soil will undergo a settlement which varies with time. Ultimately after a long
period of time all the excess pore water pressures will have dissipated and the settlement of the soil will
cease and it will reach its long term or drained settlement (the term drained is used because all excess
pore water pressures have dissipated and there will be no further drainage of water from the voids
although the voids will still remain saturated). The process of consolidation is shown schematically in
Figure 2.
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It should be stated that the process described above represents a simplification because some soils tend
to creep. For such soils there will be additional creep settlements even though the effective stress does
not change.

Total
Stress

Time

Excess
Pore
Pressure

Time

Effective
Stress

Time

Fig. 2a Variation of stress and pore pressure at a typical point under a footing

Settlement
Consolidation
settlement
Final
settlement

Initial
settlement

Time
Fig. 2b Variation of settlement with time

12.2 Analysis of Settlement under three dimensional conditions

Previously the settlement under foundations has been estimated assuming purely one-dimensional
conditions. However, it is clear from consideration of the stress changes (predicted by the theory of
elasticity) under the centre and edges of various loaded areas that in general the stress changes may
differ significantly from those deduced using the purely one-dimensional assumption.
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If it is hypothesised that the soil can be treated as a linear isotropic elastic material then solutions for
the settlement can be obtained using the theory of elasticity. This assumption involves a considerable
level of approximation which is necessary because:

• real soil behaviour is highly non-linear

• the geometry of the foundation is often complex
• simple models enable calculations to be easily performed

Linear isotropic elasticity is used because:

• closed form solutions which are easily evaluated can be obtained

• complicated loadings can be synthesised from simple components using superposition
• only 2 material constants are required from (E, ν, G, K)
• the solutions obtained agree with intuition and experience

12.3 Theory of Elasticity for Saturated Soils

In an isotropic elastic solid it is found that Hooke’s law relates the changes in stress to the changes in
strain as described in equation (1):

∆σ xx − ν( ∆σ yy + ∆σ zz )
∆ε xx =
E
∆σ yy − ν( ∆σ zz + ∆σ xx )
∆ε yy = (1a)
E
∆σ zz − ν( ∆σ xx + ∆σ yy )
∆ε zz =
E

where ∆εxx , ∆εyy , ∆εzz denote the strains which arise from the changes in stress ∆σxx , ∆σyy , ∆σzz and
where E is Young’s modulus and ν is Poisson’s ratio.

Hooke’s law in this form does not apply to soil except for undrained conditions which will be discussed
later. For soil the correct relationship is one between effective stress and strain as shown below:

∆σ ′xx − ν′( ∆σ ′yy + ∆σ ′zz )

∆ε xx =
E′
∆σ ′yy − ν′( ∆σ ′zz + ∆σ ′xx )
∆ε yy = (1b)
E′
∆σ ′zz − ν′( ∆σ ′xx + ∆σ ′yy )
∆ε zz =
E′

where E´ is called the effective stress, or drained, Young’s modulus and ν´ is called the effective stress,
or drained, Poisson’s ratio, and where the increments of effective stress are related to the increments of
total stress and the increment of pore water pressure by:
∆σ ′xx = ∆σ xx − ∆u
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∆σ ′yy = ∆σ yy − ∆u (1c)
∆σ ′zz = ∆σ zz − ∆u

The relationship between effective stress and strain can always be used to calculate the deformation of
soils. However, to do so it is necessary to know both the change in total stress and the change in pore
water pressure. The change in total stress can usually be estimated using elastic solutions, but the
change in pore pressure is, in general, very difficult to determine.

One important case where the effective stresses are known is in the long term. In this situation all
excess pore water pressures have dissipated and thus the change in effective stress is equal to the
change in total stress. The settlement can then be calculated using the effective stress, strain relations.

Equations (1b) can be modified as follows:

∆σ ′xx − ν ′( ∆σ ′yy + ∆σ ′zz )

∆ε xx =
E′
∆σ ′xx (1 + ν ′) − ν′(∆σ ′yy + ∆σ ′zz + ∆σ ′xx )
=
E′
∆σ ′xx (1 + ν ′) − 3ν ′∆σ ′m
= (2)
E′
where
(∆σ ′yy + ∆σ ′zz + ∆σ ′xx )
∆σ ′m =
3

this alternative form of Hooke’s law is useful as will be seen below.

12.4 Behaviour of an elastic soil under undrained conditions

It was shown above that the long term behaviour of soil can be analysed using Hooke’s law since all
excess pore pressures have dissipated and so the effective stress equals the total stress. Another
important case which can be analysed using Hooke’s law is immediately after loading when no water
has drained out of the soil pores and no excess pore pressures have dissipated, i.e. undrained behaviour.
To establish this note that under such conditions there can be no volume change and thus:

∆ε v = ∆ε xx + ∆ε yy + ∆ε zz = 0 (3a)

The volume strain can be calculated using equations (2) and (3a) giving:

3(1 − 2 ν ′)∆σ ′m
∆ε v = (3b)
E′

If the volume strain is zero the change in mean effective stress is zero and thus:
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3(1 − 2 ν ′) ∆σ ′m
∆ε v = = 0
E′
then

∆σ ′m = ∆σ m − ∆u = 0 (3c)

thus

∆u = ∆σ m

This enables the increment in excess pore water pressure to be expressed in terms of the total stress.
Using this relation and substitution into equation (2) leads to the following relation between total stress
and strain:

(1 + ν ′)(2 ∆σ xx − ∆σ yy − ∆σ zz )
∆ε xx = (4)
3 E′

This and similar expressions for ∆εyy and ∆εzz are equivalent to Hooke’s law for undrained loading,
which may be written as:

∆σ xx − ν u ( ∆σ yy + ∆σ zz )
∆ε xx =
Eu
∆σ yy − ν u ( ∆σ zz + ∆σ xx )
∆ε yy = (5)
Eu
∆σ zz − ν u ( ∆σ xx + ∆σ yy )
∆ε zz =
Eu

The quantities Eu , and νu are called the undrained Young’s modulus and Poisson’s ratio respectively.
By comparing equations (4) and (5) it can be seen that these quantities are related to the drained or
effective stress relations as follows:

3E ′
Eu =
2(1 + ν′) (6)
νu =
1
2

It is interesting to note that so far there has been no mention of shear behaviour, for shear stresses and
strains Hooke’s law may be written as:

∆σ yz
∆γ yz =
G′
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∆σ zx
∆γ zx = (7)
G′
∆σ xy
∆γ xy =
G′

where G´ is a material property called the shear modulus which is related to the effective stress
parameters as follows.

E′
G′ = (8)
2(1 + ν ′)

It is interesting to observe that:

E′
G′ = = u = = Gu
E Eu
(9)
2(1 + ν ′) 3 2(1 + ν u )

Showing that the shear modulus (and shear strain) is unaffected by the state of drainage in the soil.

It is important to emphasise that the relation between effective stress parameters and undrained
parameters is based on many approximations (soil assumed elastic) and should not be expected to be
exact. Thus, although the undrained value of Poisson’s ratio will be precisely 1/2 for a saturated soil
because of incompressibility, the undrained Young’s modulus should be measured directly rather than
determined from the effective E´ value.

12.5 Values of the Elastic Parameters for soils

The selection of parameters to use in elastic analyses of settlement prediction presents considerable
difficulties in geotechnical engineering. Soil is not a linear elastic material. In selecting values for the
"elastic" parameters consideration must be given to:

The initial effective stresses in the ground.

• The values of E´,ν´ are both dependent on the mean effective stress, (σ ′xx + σ ′yy + σ ′zz ) , with the
1
3
moduli increasing with stress level.

The soil stress history

• OCR for clays

• Relative density (Id) for sands
• For a given stress level, the moduli will increase with increasing OCR or Id

The strain level

• It is advisable to use an appropriate secant modulus for the expected strain level under the footing.
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12.5.1 Values of E'

Typical values may be selected from the following values given in the data sheets (p. 65)

Soft normally-consolidated clays ( 1400 - 4200 kPa)

Medium clays ( 4200 - 8400 kPa)

Stiff clays ( 8400 - 20000 kPa)

Loose normally-consolidated sands ( 7000 - 20000 kPa)

Medium normally-consolidated sands (20000 - 40000 kPa)

Dense normally-consolidated sands (40000 - 84000 kPa)

For over-consolidated sands, double the above values.

12.5.2 Values of v'

Soft clay 0.35 - 0.45

Medium clay 0.30 - 0.35

Stiff Clay 0.2 - 0.3

Medium sand 0.3 - 0.35

These typical values should be used with caution. Soils are extremely variable materials and
considerable expertise is needed to determine accurate parameters.

Example - Strains during undrained loading

A cuboidal soil specimen is in equilibrium with a uniform stress acting on all faces of 100 kPa, and no
pore pressure, that is u = 0. The vertical stress is then increased by 90 kPa with the stresses on the
other faces remaining constant and with the sample prevented from draining. Calculate the vertical and
lateral strains if E´ = 10 MPa and ν´ = ¼.

Initially: σ1 = σ2 = σ3 = 100 kPa; u = 0

Analysis of undrained loading can be performed in terms of undrained parameters (Total Stress
Analysis) or drained parameters (Effective Stress Analysis).
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1. Total Stress Analysis

3 E′
Calculate undrained parameters νu = 0.5, E u = = 12 MPa
2 (1 + ν ′)
Now the total stress changes are ∆σxx = 0 kPa, ∆σyy = 0 kPa, ∆σzz = 90 kPa

Use Hooke’s Law in terms of Total Stress

∆σ zz
∆ε zz = ( ∆σ zz − ν u ( ∆σ xx + ∆σ yy )) =
1
Eu Eu

− ν u ∆σ zz
∆ε xx = ( ∆σ xx − ν u ( ∆σ zz + ∆σ yy )) = = ∆ε yy
1
Eu Eu

Hence

∆εzz = 90/12000 = 0.0075

∆εxx = ∆εyy = - 0.5 × 0.0075 = - 0.00375

2. Effective stress analysis

Changes in effective stress are needed to evaluate the effective Hooke’s Law relations.

Calculate ∆u = ∆σm for undrained loading (see above)

( ∆σ xx + ∆σ yy + ∆σ zz )
1
=
3
= 90/3 = 30 kPa

Hence ∆σ´xx = - 30 kPa, ∆σ´yy = - 30 kPa, ∆σ´zz = 60 kPa

Now using Hooke’s Law

∆σ ′xx − ν ′( ∆σ yy
′ + ∆σ zz
′ ) −30 − 0.25 ( −30 + 60 )
∆ε xx = = = − 0.00375
E′ 10000
∆σ ′yy − ν ′( ∆σ zz
′ + ∆σ xx
′ )
∆ε yy = = − 0.00375
E′
∆σ ′zz − ν ′( ∆σ xx
′ + ∆σ ′yy ) 60 − 0.25 (− 30 × 2)
∆ε zz = = = 0.0075
E′ 10000

giving the same result as before.

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Example – Strains during drained loading

If the same sample from example 1 is now allowed to drain and consolidate, without any change to the
applied stresses, what strains will develop.

Only an effective stress analysis is relevant. Total stress analysis cannot be used because the total stress
parameters (Eu, νu) are only relevant to undrained loading, that is when deformation occurs at constant
volume.

In this example during consolidation the total stresses remain constant. The effective stress changes are
thus ∆σ´xx = + 30 kPa, ∆σ´yy = + 30 kPa, ∆σ´zz = + 30 kPa, they are all equal to the reduction in
pore water pressure. Then from Hooke’s Law

∆εxx = ∆εyy = ∆εzz = 0.0015

Note that the total strains due to the undrained loading followed by consolidation are

∆εxx = ∆εyy = - 0.00375 + 0.0015 = -0.00225

∆εzz = 0.0075 + 0.0015 = 0.009

The same total strains are obtained if the load is applied slowly so that no pore pressures are obtained.
In this case the pore pressure change is zero and hence the change in total stress is the same as the
change in effective stress (∆σ´xx = 0 kPa, ∆σ´yy = 0 kPa, ∆σ´zz = 90 kPa). The strains are then given
by

∆σ ′zz
∆ε zz = ( ∆σ zz
′ − υ ′ (∆σ ′xx + ∆σ ′yy )) = = 0.009
1
E′ E′

− υ ′ ∆σ zz
′
∆ε xx = (∆σ ′xx − υ ′ ( ∆σ ′zz + ∆σ ′yy )) = = ∆ε yy = − 0.00225
1
E′ E′

Note that the strains are identical to those determined as a result of undrained loading followed by
consolidation. This result is not surprising when it is remembered that this is an elastic analysis.