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ABSTRACT
The effect of isolated single cavity in rock on mechanical behaviour and failure mechanisms
of shallow foundation was studied under uniaxial compressive conditions. Various variables
were investigated and those were : rock properties, cavity size, and cavity depth. Upper bound
mechanisms had been derived depending on failure mechanisms obtained from experimental
results in this study. Two upper bound mechanisms were made for circular shallow
foundation resting on rock with spherical isolated single cavity and those were : gradually
cavity roof failure mechanism, and punching cavity roof failure mechanism. For each failure
mechanism, the foundation ultimate collapse pressure equation was developed as a function
of rock properties, and the geometry of the mechanism. These equations can be used to
determine the ultimate bearing capacity of shallow foundation resting on rock with cavities.
The equations results were compared with previous works results. There was a good
agreement between the results.
1. Introduction
Rock masses are generally composed of cavities, joints, faults, fractures, and bedding planes.
The presence of cavities in a rock mass may affect on its mechanical behaviour, and failure
mechanism. The correct estimation of the failure mechanisms of rock plays an important role
in the design of foundations in it. The design of rock foundations includes, bearing capacity
and settlement analyses. Bearing capacity of structures founded on rock masses is dependent
upon joint spacing with respect to foundation width, joint orientation, joint condition (open or
closed), and rock type. The bearing capacity equations represent either empirical or semi-
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Rock Mass Condition
Failure Illustration Failure Mode
No. Joint Dip Joint Spacing
Brittle Rock :
a Local shear failure caused by
localized brittle fracture.
Intact
N/A S ˃˃ B
Ductile Rock :
b General shear failure along
well defined failure surfaces.
Open Joints :
c Compressive failure of
individual rock columns, near
vertical joint set (s).
Steeply Dipping Joints
S˂ B
Closed Joints :
d o
70 ˂ α ˃ 90 o General shear failure along
well defined failure surfaces
near vertical joint set (s).
set(s)
Failure wedge
f 20 o ˂ α ˂ 70 o General shear failure with
can develop
potential for failure along
along joints
joints.
with respect to
0 ˂ α ˂ 20 o
B is dependent
upon material Thin Rigid Upper Layer :
properties Failure initiated by punching
h tensile failure of the thin rigid
upper layer .
joint sets :
i N/A S˂˂B General shear failure with
irregular failure surface
through rock mass.
Figure (1) Typical bearing capacity failure modes (after Sowers 1979, Kulhawy and
Goodman 1980).
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empirical approximations of the ultimate bearing capacity and are dependent on the mode of
potential failure. So that selection of an appropriate equation must anticipate likely modes of
potential failure, (Egyptian Code for Foundation on Rock, 2008). Sowers (1979) and
Kulhawy and Goodman (1980), suggested typical failure modes according to rock mass
conditions, as shown in figure (1). Failure modes were described according to four general
rock mass conditions: intact, jointed, layered, and fractured.
Wang and Hsieh (1987) developed three failure mechanisms that are considered to model the
collapse of strip footing centered above a single circular void by using upper bound theorem
of limit analysis, as shown in figure (2).
Kiyosumi et al. (2011) reported the results of laboratory scale model tests of strip footing on
stiff ground with continuous square voids and stated three upper-bound mechanisms for a
single void from the experiments those were : roof failure, sidewall failure, and combined
failure, as shown in figure (3). The upper-bound solutions of bearing capacity for strip footing
were respectively derived and the parametric study was presented.
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The ultimate bearing capacity (qub) for the upper-bound solution is defined by the total rate of
energy dissipation (D) and the total rate of work done ( W ) as
qub = ( D ─ W ) / V0 B
The total rate of energy dissipation (D) and the total rate of work done ( W ) for the roof
failure mode are
Where c and ϕ are strength parameters; γ is unit weight of the soil; B is footing width; lac ~ ldg
are side lengths of the various zones; θ1~4 are angles of zones; θ5 is inclination of VIV; and AI
~ IV are areas of zones.
The expressions for the side lengths of the various zones are obtained from
The expressions for angles of zones and the inclination of VIV are written by
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The expression for the areas of zones are calculated by
Most of previous studies of the bearing capacity of foundations above cavities have been
investigated the behavior of cavities considering continuous shapes. Although it is recognized
that the cavities exist in nature in continuous and isolated shape. Previous experimental
studies of the bearing capacity of foundations above cavities have been used extremely weak
materials (range from 0.1 to 4.8 Mpa). Although the rocks containing cavities such as
limestone with uniaxial compressive strength can range between 1.5 and more than 150 MPa,
(Sowers 1996 ). The bearing capacity equation presented by previous studies were complex,
very long and very difficult for application. This paper presents results of a series of
laboratory model tests carried out on a circular shallow foundation resting on rock with
isolated spherical cavities, the uniaxial compressive strengths of the tested rock were 6.7 Mpa
and 20.12 Mpa. Simple upper-bound calculations were also presented to interpret the changes
of bearing capacity observed because of the presence of the cavity.
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Table (1) Properties and classification of selected Rock Like Material
γ qu σt E
Group υ Classification
(KN/m3) (MPa) (MPa) (GPa)
Very Low Density, Low Strength
C 16 6.7 1.27 0.51 0.19
Like to Sedimentary Rocks
Model tests of cubic blocks are prepared in laboratory from rock like materials to simulate
rock mass containing isolated, empty, spherical cavities. The dimensions of each block are
150 × 150 × 150 mm. The isolated empty spherical cavities is made from plastic. The model
of shallow foundation resting on the block is a circular footing with 20 mm diameter and 10
mm thickness.
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Table (2) Testing Program for group C
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(1) Selected materials were mixed and cast manually in steel mould with dimensions of 150 ×
150 × 150 mm.
(2) Empty cavities with different sizes and depths were placed inside mixed materials in the
mould by using steel stamps for detecting location and depth of cavities accurately.
(3) All blocks were stored at laboratory chamber for 28 days after casting.
2.4 Test procedure
Test procedure were as follow :-
(1) All blocks were weighted before testing.
(2) Position of the foundation was detected at the block centerline before testing the models.
(3) All models were tested in uniaxial compression, after 28 days from casting, by using
manual hydraulic jack. The blocks are loaded using a fixed lower platen and model of circular
shallow foundation fixed with upper platen. Circular shallow foundation was situated at the
center of block, the applied load was increased such that failure occurs; the load was recorded
for each 0.25 mm settlement and the failure load “P” is recorded.
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3.2 Shallow foundation resting on rock with a single cavity
The bearing pressure-settlement curves for model tests of group C presented in figures (6),
(7), and (8). Also the bearing pressure - settlement curves for model tests group L presented in
figures (9), (10), and (11). These curves are compared with groups C-w, and L-w.
140
Bearing Pressure (Mpa)
120
100 Without Cavity
D/B = 0.5
80
D/B = 0.75
60
D/B = 1
40 D/B = 1.5
20
0
0 50 100 150 200
Settlement / B ( % )
Figure (6) Bearing pressure-settlement curves (C-w, C-1, C-4, C-7, C-10)
140
120
Bearing Pressure (Mpa)
20
0
0 50 100 150 200 250
Settlement / B (%)
Figure (7) Bearing pressure-settlement curves (C-w, C-2, C-5, C-8, C-11)
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Relation Between Bearing Pressure and Settlement / B
at H / B = 4
140
120
20
0
0 10 20 30 40 50 60
Settlement / B (% )
250
Bearing Pressure (Mpa)
0
0 50 100 150 200
Settlement / B ( %)
Figure (9) Bearing pressure-settlement curves (L-w, L-1, L-4, L-7, L-10)
250
Bearing Pressure(Mpa)
Figure (10) Bearing pressure-settlement curves (L-w, L-2, L-5, L-8, L-11)
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Relation Between Bearing Pressure and Settlement / B
at H / B = 4
250
0
0 10 20 30 40
Settlement / B (%)
Figure (11) Bearing pressure-settlement curves (L-w, L-3, L-6, L-9, L-12)
According to results, failure mechanisms for shallow foundation resting on rock containing a
single cavity may be classified into three categories as follow :-
3.2.1 Small shallow cavity :
This category include cavity with size of D/B = 0.5, and cavity depths of H/B = 1 , 2, for
groups of (C-1, C-2, L-1,and L-2). For groups C-1, and L-1. Gradually settlement and
collapse are observed. There is a low reduction in bearing pressures range between 18.04 %,
and 13.12 %, for group C, and range between 3.53 %, and 0.98 %, for group L. The reduction
in bearing pressures is happened due to the cavity is located inside the critical region below
foundation. The gradually settlement or collapse are due to the arching effect of small cavity,
where cavity can bridge the load and transfer it into the rock mass that surround its sides.
Failure mechanism is a splitting failure, with gradually cavity roof failure. Local shear failure
initiated at the edge of the foundation as localized crushing and develops into rigid block as a
conical wedge below the foundation. Conical wedge is moving vertically downward and
dissipating the bonds between vertical faces of the conical block and the surrounding rock
mass, then reach to the cavity roof and break it causing block failure as shown in figure (12).
Figure (12) Failure mechanisms for small shallow single cavity, C-1 : ( D/B = 0.5, H/B = 1 )
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Local shear failure initiated and develops into conical wedge moving vertically downward
and dissipating the bonds between vertical faces of the conical block and the surrounding rock
mass without cavity roof failure. The cavity doesn't fail, because it is located outside the
critical region. Beside of arching effect of small cavity. The rock mass cover over the cavity
acting as rigid beam, that bridging the cavity by transferring the loads to the rock mass
surround the cavity.
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bearing pressure is observed. The reduction in bearing pressures is low, it range between 9.18
%, and 24.28 % for group C, and range between 0 %, and 11.27 %, for group L.
Failure mechanism is a splitting failure, without cavity roof failure. Local shear failure
initiated at the edge of the foundation as localized crushing and develops into rigid block as a
conical wedge below the foundation. Conical wedge is moving vertically downward and
dissipating the bonds between vertical faces of the conical block and the surrounding rock
mass. Foundation pressure didn't reach to the cavity, and the cavity didn't affect on the
stability of foundation, it is outside the critical region, as shown in figure (14). This is because
the cavity is located well far from the foundation base, the rock mass thickness under the
foundation can hold more shear strain before failure. Besides, the arching marked shearing
resistance of rock (Terzaghi, 1943).
(a) L - 3 (b) C - 6
(c) L - 9 (d) C - 12
Figure (14) Failure mechanisms for deep single cavity (a) L - 3, (b) C - 6, (c) L - 9, (d) C - 12.
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For each failure mechanism, the rate of energy dissipation along active wedge movement, the
rate of work done by foundation pressure, and rock weight are obtained. By equating the rate
of energy dissipated and rate of work done, the equation for foundation collapse pressure as a
function of foundation width, cavity size, cavity depth, and rock properties is formulated.
Each equation contained one or more variables that define the geometry of failure mechanism.
Not that, in the equations, the pressure inside the cavity is assumed to be zero. Also the
external work done by the rock weight is expressed in terms of volume of rock mass involved,
since the three-dimensional analysis is made. Simple mathematical models are used for study
the global equilibrium for summation of vertical forces (external and inner forces). The
collapse load is equal to the difference between plastic power and force power ( Di ─ De). The
three upper bound mechanisms are discussed in the flowing.
Figure (15) Upper-bound mechanism for gradually cavity roof failure mechanism,
(D/B = 0.5, H/B = 1, 2)
The ultimate bearing capacity (qult) for the upper-bound solution is defined by the total rate of
energy dissipation (Di) and the total rate of work done (W). The total rate of energy
dissipation (Di) along active wedge movement for gradually cavity roof failure mechanism is
consider as the result of multiply of uniaxial compressive strength (qu) into surface areas of
conical wedge (a b c ), and part of sphere (a b d e), as shown in figure (12). The total rate of
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work done (W) by foundation pressure is consider as the result of multiply of rock mass unit
weight (γ ) into volume of active zone (a b d e).
qult = (1/A) { [qu { cos ϴ [ ( π (B/2) ( (B/2)2 + H2 )0.5 ] + [π (H+D) (H+(D/2))] } ]
─ [γ { (π/6) (H + (D/2)) [ 3 (D/2)2 + 3 (B/2)2 + (H + (D/2)2 ] } ] } (1)
Where :
qult = Ultimate bearing capacity.
A = Foundation area.
qu = Uniaxial compressive strength of intact rock core.
B = Foundation width.
H = Cavity depth below foundation.
γ = Density of the rock material
D = Cavity diameter.
Figure (16) Upper-bound mechanism for punching cavity roof failure mechanism,
(D/B = 0.75, H/B = 1, 2)
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Figure (17) show the upper-bound mechanism for punching cavity roof failure mechanism, at
( D/B = 1, H/B = 1, 2 ).
Figure (17) Upper-bound mechanism for punching cavity roof failure mechanism,
(D/B = 1, H/B = 1, 2)
Figure (18) show the upper-bound mechanism for punching cavity roof failure mechanism, at
( D/B = 1.5, H/B = 1, 2 ).
Figure (18) Upper-bound mechanism for punching cavity roof failure mechanism,
(D/B = 1.5, H/B = 1, 2).
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5. Verification of results
It is important to check the results against those from other previous works where possible.
Figure (19) illustrate a comparison between present study results, and results of Wang and
Hsieh, 1987 for large shallow single cavity with diameter greater than foundation width (D/B
= 2.4). It is seen that the curves are parallel. This is verify the precise of present study results.
D / B = 2.4
70
60
50
qult / qw (%)
40
30
0
0.5 1 1.5 2
H/B
Figure (19) Comparison between present study results, and results of Wang and Hsieh, 1987.
Figure (20) presents a comparison between present study results, and results of Kiyosumie et
al., 20011 for small shallow single cavity at D/B = 0.5, (D/B = 0.5, H/B = 0.5). It is noticed
that the curves are similar, and approach together. The results of Kiyosumie et al., 2011 are
verified the results of present study.
D / B = 0.5
18
16
14
12
qult / qu
10
Figure (20) Comparison between present study results, and results of Kiyosumie et al., 2011
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6. Conclusions
1- Failure mechanism for rock without cavity was longitudinal splitting fracture, this is due to
uniaxial compression for brittle rock. This is confirm with Jaeger and Cook ,1979.
2- Bearing capacity failure mechanism for rock without cavity was a local shear failure.
Localized shear failures are generally associated with brittle rock. This is a good agreement
with results that obtained by Sowers (1979) and Kulhawy and Goodman (1980).
Gradually
cavity
a 0.5 1
roof
failure
Punching
of cavity
b 0.75 2
roof
failure
H/B ≤ 2
L/B = 0
Single
Cavity
Punching
of cavity
c 1 3
roof
failure
Punching
of cavity
d 1.5 4
roof
failure
Figure (21) Typical bearing capacity failure mechanisms for rock with cavities
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3- Failure mechanisms for rock containing a single cavity was a splitting Failure, this was due
to uniaxial compression for brittle rock.
4- There are two upper bound failure mechanisms for shallow foundation resting on rock
containing cavities :
(1) Gradually cavity roof failure for small shallow single cavity.
(2) Punching of cavity roof failure for large shallow single cavity.
5- For each failure mechanism, the ultimate collapse pressure estimation equation for shallow
foundation resting on rock containing single cavity was developed as a function of rock
properties, and the geometry of the mechanism. These equations can be used to determine the
ultimate bearing capacity of shallow foundation resting on rock with single cavities.
6- Based on present study results, failure mechanisms for rock with single cavity below
shallow foundation are illustrated in figure (21).
7. References
(1) Egyptian Code for Soil Mechanics and Foundation, Ten part, Foundation on Rock, 2008,
Housing and Building National Research Center Cairo, Egypt.
(2) Jaeger J. C, Cook N. G. W. Fundamentals of rock mechanics [M]. 3rd edition. London:
Chapman and Hall, 1979.
(3) Kiyosumi M, Kusakabe O, Ohuchi M. ,2011. Model tests and analyses of bearing capacity
of strip footing on stiff ground with voids. Journal of Geotechnical and Geoenvironmental
Engineering;137, pp. 363 –375.
(4) Kulhawy, F. H. and Goodman, R. E., 1980, Design of foundations on discontinuous rock,
Proc. Int. Conf. Structural Foundations on Rock, Sydney, 1, p.p. 209-220.
(5) Sowers, G. F., 1979, Introductory Soil Mechanics and Foundations: Geotechnical
Engineering (4th edn), MacMillan, New York.
(6) Sowers, G. F. 1996, Building on sinkholes, design and construction of foundations in karst
terrain. ASCE Press, Reston (out of print).
(7) Terzaghi, K., "Arching in Ideal Soils," Chapter 5, Theoretical Soil Mechanics, John Wiley
and Sons, Inc., New York, N. Y., 1943, pp. 66-76.
(8) Wang M. C., Hsieh C. W., 1987. Collapse load of strip footing above circular void. J
Geotech Eng;113, pp. 511– 515.
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قذرة التحمل لصخر ري تكهفات فردية أسفل األساسات السطحية
الملخص بالعربي
د ممي نم رمسممن ا رمسكيممل كي م ط سمملي رت ةكممل تممإ راممدرا ة رعممي السنكممي تعثيرمملت تممت كد رمثية مملت رمساالحمممي علمثدعممي رم
م م سملذر رت ثذمل منصخد ذي رمثية لت طع ل رألعلعلت رمسط كي .م قم تمإ رامدرا رمث سكمل علماممح رمس م ي نم
قالةمل من دكمح مد م ح مإ رمثية ملت م ساةمل م رم م ر ن رمسثمكدرت م م رم رعي .كسل تإ ة رعي تت كد رمال
ع مي علمثسل مل حم ك دكمح رمال م ة .م علت ثسملة نم س ي من ط عالمي تية ملت ة ل ع را كل ت دة ي طم رمال ة م
- كلمثلم ثلئج رم رعي رمسالسنكي تإ رعثاثلر سطكن مال ةكل م
مساف رمثية لت رم دة ي رمسط كي رمصمكدة طع ل دكح رمال ة. .1سح رت ةكل رمث
.2سح رت ةكل رت ثدرق مساف رمثية لت رم دة ي رمسط كي رميذكدة طع ل دكح رمال ة.
كسل تإ رعثاثلر اللةتت حسلب ق ة رمث سل رماص ي منصخد ذي رمثية لت حسب ط سملي رت ةكمل رمسم ك ة لمكم .م منثتكم
ن ةقي ثلئج رمساللةتت رمسسثاث ي تإ ال ثةل عاثلئج رمذلحثكن رمسلعاكن م تالحظ رمث ر ق رم ك عكن اسكع رماثلئج.
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