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102 Gourvenec and Mana
Table 1. Summary of published studies reporting undrained vertical bearing capacity factors of shallow foundations
sufficiently remote so as not to affect the foundation or soil to an interface adhesion factor aside 5 0, 0?5 and 1, where
response. Zero-displacement boundary conditions restrained the shear strength on the interface is given by asu. The base
the external edges of the mesh from out-of-plane displace- of the foundation was modelled as fully rough for each case
ments. Each mesh was created to a similar template after of side roughness and smooth for the case of smooth sides.
which an iterative approach to mesh refinement was under- A rough base was considered to represent a skirted
taken to ensure the best-estimate bearing capacity factor was foundation a plated foundation with vertical skirts that
obtained. The best-estimate bearing capacity factor was taken penetrate the soil encasing a soil plug. The soil plug is
to have been achieved when further mesh refinement did not constrained to act as a rigid block by the provision of
result in a further reduction in the calculated bearing capacity. internal skirts but the interface at foundation level is
Mesh refinement concentrated on gradual modifications of predominantly soilsoil (i.e. abase 5 1). A rough base may
the size and distribution of elements rather than the absolute also be an appropriate assumption for a solid concrete
number of elements in the mesh. The number of elements foundation. Reduced shear strength properties along the
required for the best-estimate mesh ranged between 3000 and sides of the foundation were considered to account for
10 000. The size and distribution of elements adjacent and possible remoulding of the soil during installation or in-
close to the foundation, particularly at foundation level, had service loading. The case of a smooth base and smooth
the greatest influence on the value of bearing capacity factor sides was considered to provide a lower limit to the bearing
predicted, and smaller elements were required in this region capacity factor. A smooth base and partially or fully rough
with increasing degree of soil strength heterogeneity. Bearing
capacity factors in deposits with significant soil strength
heterogeneity could be up to 10% greater than the optimum
value if calculated with the mesh discretisation as used for the
uniform soil case.
The soil was represented as a linear elastic perfectly
plastic Tresca material with a linearly increasing undrained
shear strength profile with depth given by
su ~sum zkz (1)
where sum is the shear strength at the mudline and k is the
gradient of increase in shear strength with depth z. Soil
strength heterogeneity is defined by the dimensionless
quantity kB/sum or kD/sum 5 0 (homogeneous), 5, 20, 100
and 200 (essentially a normally consolidated deposit with
nominal shear strength intercept at the mudline). The soil
was prescribed an effective unit weight c of 7 kN/m3, an
undrained stiffness modulus Eu varying with depth in
proportion to the undrained shear strength giving an
undrained stiffness ratio Eu/su 5 500 and undrained
Poissons ratio of n 5 0?499.
The vertical foundationsoil interface over the embedded
portion of the foundation was represented as fully smooth,
of intermediate roughness and fully rough corresponding Fig. 1. Example of finite-element mesh
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Undrained vertical bearing capacity factors for shallow foundations 103
80 20
FEA circular
70 FEA strip
ABC
60
Houlsby & Wroth (1983)
Nc0 = qult/su0
Nc0 = qult/su0
15
50
40
30
10
20
0 5
0 50 100 150 200 0 5 10 15 20
kB/sum, kD/sum kB/sum, kD/sum
(a) (b)
Fig. 2. Validation of FEA results for surface foundation: (a) 0 # kB/sum, kD/sum # 200; (b) detail showing 0 # kB/sum, kD/sum # 20
sides was not considered as this combination is unrealistic. Figure 2 shows bearing capacity factors, expressed as Nc0
To simulate intermediate interface roughness, a narrow 5 qult/su0, where qult is the ultimate unit bearing capacity
band of soil elements was provided along the foundation and su0 is the shear strength at foundation level (i.e. the
soil interface and this was prescribed a shear strength of base of the foundation and coincident with the mudline for
half the shear strength of the rest of the soil at that depth. the case of the surface foundation), predicted by FEA and
Eight-node biquadratic quadrilateral elements with ABC (Martin, 2003), along with another set of solutions
reduced integration (Abaqus element types CPE8R and obtained using the method of characteristics (Houlsby &
CAX8R) were used to model the soil in the plane strain and Wroth, 1983). As mudline strength tends to zero, the
axisymmetric models. The foundations were modelled as theoretical bearing capacity factor of a surface foundation
rigid bodies with a single load reference point located along tends to infinity. However, it should be borne in mind that,
the midline of the foundation at foundation level. in reality, a surface foundation laid on a soil with a very
Foundation load was applied by a vertical velocity low shear strength at the mudline will simply settle to a
prescribed at the load reference point. Failure was clearly depth at which sufficient soil strength can be mobilised to
defined by a plastic plateau in loaddisplacement space. support the foundation load, such that bearing capacity
The portion of the foundation above the mudline was factors at high soil strength heterogeneity shown in Fig. 2
modelled as weightless, while the portion of the foundation are of theoretical rather than practical interest.
below the mudline was prescribed equal effective unit Bearing capacity factors predicted by FEA for embedded
weight to the soil to ensure geostatic equilibrium at the strip foundations were validated against lower and upper
start of the analyses and that the weight of the foundation bound solutions obtained using OxLim (Martin, 2011) and
equalised the buoyancy force (cV ) according to upper-bound solutions calculated with LimitState:Geo
Archimedes principle. (LimitState:Geo, 2010) for each embedment ratio, founda-
tionsoil interface roughness condition and soil strength
heterogeneity considered in this study (a total of 120 cases).
VERIFICATION The upper and lower bounds predicted by OxLim were
Bearing capacity factors predicted by the FEA for the bracketed to within 1% (defined by (UB 2 LB)/(LB + UB),
surface strip and circular foundations were within 2% of a user-defined tolerance for optimisation), and the upper
solutions obtained with the method of characteristics. bounds were consistently lower than those predicted by
90
abase=1, aside=1 14
abase=1, aside=05
Bearing capacity factor, Nc0 = qult/su0
85
Bearing capacity factor, Nc0 = qult/su0
60 9
55 8
50 7
0 02 04 06 08 10 0 02 04 06 08 10
Embedment ratio, d/B Embedment ratio, d/B
(a) (b)
Fig. 3. Validation of FEA results for embedded strip foundations: (a) kB/sum 5 0; (b) kB/sum 5 200. Note: in (a) the data series for
smooth base, smooth sides (abase 5 0, aside 5 0) is coincident with the data series for rough base, smooth sides (abase 5 1, aside 5 0)
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104 Gourvenec and Mana
11 16
FEA (this study) FEA (this study)
15 UB (Martin, 2001)
10 UB (Martin, 2001)
LB (Martin, 2001) 14 LB (Martin, 2001)
9
Nc0 = qult/su0
Nc0 = qult/su0
13
8
12
7
11
6 10
5 9
0 02 04 06 08 10 0 02 04 06 08 10
d/D d/D
(a) (b)
Fig. 4. Validation of FEA results for embedded circular foundations: (a) smooth side, rough base foundations (aside 5 0, abase 5 1),
kD/sum 5 0; (b) rough side, rough base foundations (aside 5 1, abase 5 1), kD/sum 5 200 (FEA) and (bound solutions)
kB/sum = 0 kB/sum = 5
9 11
abase=1, aside=1
abase=1, aside=05
8 abase=1, aside=0 10
abase=0, aside=0 Nc0 = qult/su0
Nc0 = qult/su0
7 9
6 8
5 7
0 02 04 06 08 10 0 02 04 06 08 10
d/B d/B
(a) (b)
kB/sum = 100
kB/sum = 20
14
13 50
20
18 13 40
12 16 30
Nc0
Nc0
14 20
12 12
11 10 10
Nc0 = qult/su0
Nc0 = qult/su0
8 11 0
0 005 010 015 020 0 005 010 015 020
10 d/B d/B
10
9
9
8 8
7 7
0 02 04 06 08 10 0 02 04 06 08 10
d/B d/B
(c) (d)
kB/sum = 200
15
80
14 60
Nc0
13 40
20
12
Nc0 = qult/su0
0
0 005 010 015 020
11
d/B
10
7
0 02 04 06 08 10
d/B
(e)
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Undrained vertical bearing capacity factors for shallow foundations 105
kD/sum = 0 kD/sum = 5
14 13
abase=1, aside=1
13
abase=1, aside=05 12
12
abase=1, aside=0
11 abase=0, aside=0 11
Nc0 = qult/su0
Nc0 = qult/su0
10
10
9
8 9
7
8
6
5 7
0 02 04 06 08 10 0 02 04 06 08 10
d/D d/D
(a) (b)
Nc0
14 20
13
10
Nc0 = qult/su0
Nc0 = qult/su0
13
12 0
12 0 005 010 015 020
d/D
11
11
10
10
9 9
8 8
0 02 04 06 08 10 0 02 04 06 08 10
d/D d/D
(c) (d)
kD/sum = 200
15
60
50
14 40
Nc0
30
13 20
Nc0 = qult/su0
10
12 0
0 005 010 015 020
11 d/D
10
8
0 02 04 06 08 10
d/D
(e)
LimitState:Geo. The LimitState:Geo analyses were carried the over-prediction was less than 1%. Figure 3 shows
out using the finest generic nodal density option (fine); results of the validation for each embedment ratio and
this sets a target number of (uniformly distributed) nodes foundationsoil interface roughness condition for the
that the program will use to solve the problem at 1000 bounding cases of kB/sum 5 0 and 200. A similar validation
(compared to coarse, which targets a solution with 250 as applied to the plane strain FEA was not possible for the
nodes, and medium, which targets a solution with 500 circular foundation geometry since the available numerical
nodes). An iterative process was undertaken to ensure the limit analysis programs are restricted to plane strain
size of the problem domain was minimised (i.e. the soil conditions. The discretisation identified for the optimal
part was just sufficient to accommodate the failure mesh configuration for each of the plane strain analyses
mechanism) since the size of the domain is directly related was applied to the meshes for the circular foundations
to the effective nodal density because nodal spacing is followed by an iterative procedure of mesh refinement to
uniform. identify the optimal bearing capacity factor (as described
The finite-element predictions of bearing capacity from earlier). Figure 4 shows bearing capacity factors predicted
this study were consistently lower than or equal to the by the FEA for circular foundations compared with
upper bounds predicted by LimitState:Geo but in some available published lower and upper bound solutions. It
cases over-estimated bearing capacity compared with the is worth noting the divergence between lower and upper
OxLim upper bounds, although in over 90% of the cases bound solutions, reaching 40% for a rough-sided circular
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106 Gourvenec and Mana
Table 2. Bearing capacity factors Nc0 5 qu/su0 for strip foundations
Nc0 rough base (abase 5 1), varying side adhesion factor aside
kB/sum d/B Nc0 smooth base, smooth sides
abase 5 0, aside 5 0 aside 5 0 aside 5 0?5 aside 5 1
foundation with an embedment ratio of unity in normally remarkably linear across the values of embedment ratio
consolidated soil. and soil strength heterogeneity considered. Two examples
It is worth reiterating that bearing capacity factors are shown in Fig. 7, and similar linear relationships hold
predicted by the FEA were sensitive to mesh refinement, over the range of soil strength heterogeneity coefficients 0
especially for high soil strength heterogeneity and low # kB/sum, kD/sum # 200 for both strip and circular
embedment where the failure mechanism was localised, foundations. It therefore follows, that the bearing capacity
close to the foundation. Similar caution is relevant to the factor N c0 for a strip or circular foundation with
LimitState:Geo results, which could exceed their lowest (i.e. embedment ratio d/B or d/D can be described by a simple
optimal) value by up to 10% when mesh boundaries were linear expression. For a strip foundation
positioned remote from the mechanism or if coarse nodal
spacing was selected. By contrast, the adaptivity and d
Nc0 ~Nc0,a~0 zC a (2a)
remeshing used in OxLim ensures that the variation of B
the bearing capacity factor Nc0 is largely independent of the and for a circular foundation
initially defined mesh geometry.
d
Nc0 ~Nc0,a~0 zC a (2b)
D
RESULTS
where Nc0,a~0 defines the bearing capacity factor for a
Figures 5 and 6 show the bearing capacity factor as a
smooth-sided rough-based foundation (i.e. the intercept of
function of embedment ratio for the discrete values of
the Nc0 against a plot at aside 5 0 (as in Fig. 7)) and C is a
foundationsoil interface roughness and soil strength
constant defined as a function of soil strength hetero-
heterogeneity coefficient considered in this study.
geneity. Nc0,a~0 can be read from Figs 5 and 6 or
Ideally, an approximating expression could be found to
interpolated from the data given in Tables 2 and 3.
describe the bearing capacity factor as a function of
The constant C describes the gradient of a plot of bearing
embedment ratio, foundationsoil interface roughness and
capacity factor against foundationsoil interface roughness
soil strength heterogeneity, but the complexity of the inter-
factor (DNc0/Daside) plotted against embedment ratio d/B or
relationships (evident in Figs 5 and 6) has prevented this to
d/D, as illustrated in Fig. 8, which can be described by an
date. As an alternative, bearing capacity factors from Figs 5
exponential function of the soil strength heterogeneity
and 6 are provided in Tables 2 and 3 to enable interpolation
coefficient kB/sum or kD/sum. For a strip foundation
of bearing capacity factors for foundation and soil conditions
between the selected values of the variables presented here. z
kB
It is interesting to note that the relationship between C~Clim zx exp y (3a)
sum
bearing capacity factor and interface roughness was
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Undrained vertical bearing capacity factors for shallow foundations 107
Table 3. Bearing capacity factors Nc0 5 qu/su0 for circular foundations
Nc0 rough base (abase 5 1), varying side adhesion factor aside
kD/sum d/D Nc0 smooth base, smooth sides
abase 5 0, aside 5 0 aside 5 0 aside 5 0?5 aside 5 1
Nc0 = qult/su0
11 11
10 10
9 9
8 8 d/B = 01 d/B = 02
7 7 d/B = 03 d/B = 05
6 6
d/B = 10
5 5
0 02 04 06 08 10 0 02 04 06 08 10
Interface roughness, aside Interface roughness, aside
(a) (b)
Fig. 7. Examples of linear relationship between bearing capacity factor and foundationsoil interface adhesion factor (similar linear
relationships hold over the range 0 # kB/sum, kD/sum # 200 for both strip and circular foundation geometry)
and for a circular foundation
5 z
kD
FEA circular C~Clim zx exp y (3b)
sum
4 FEA strip
Clim defines the asymptotic value of the constant C with
3
increasing soil strength heterogeneity and is constant for a
C
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108 Gourvenec and Mana
Table 4. Coefficients for calculation of constant C Hu, Y., Randolph, M. F. & Watson, P. G. (1999). Bearing
response of skirted foundations on non-homogeneous soil. J.
Clim x y z Geotech. Eng. Div. ASCE 125, No. 11, 924935.
LimitState Ltd (2010). LimitState:Geo Manual v 2.0. LimitState
Strip 1?66 0?60 20?5 0?5 Ltd, Sheffield, UK.
Circular 2?67 1?76 20?2 1?4 Lyamin, A. V. and Sloan, S. W. (2002a). Upper bound limit
analysis using linear finite elements and nonlinear programming.
Int. J. Num. Analyt. Methods Geomech. 26, No. 2, 181216.
circular shallowly embedded foundations with varying Lyamin, A. V. and Sloan, S. W. (2002b). Lower bound limit
analysis using nonlinear programming. Int. J. Num. Analyt.
interface roughness in soils with varying strength hetero-
Methods Geomech. 55, No. 5, 573611.
geneity. The data have been provided in tabulated form to Mana, D. S. K., Gourvenec, S. and Randolph, M. F. (2010). A
enable bearing capacity factors to be interpolated explicitly numerical study of the vertical bearing capacity of skirted
and an approximating expression for prediction of bearing foundations. Proc. 2nd Int. Symp. Front. Off. Geotech.
capacity factors has been presented. (ISFOG), Perth, 433438.
Makrodimopoulos, A. & Martin, C. M. (2006). Lower bound
limit analysis of cohesive-frictional materials using second-
ACKNOWLEDGEMENTS order cone programming. Int. J. Num. Methods Engng 66, No.
The work described in this letter forms part of the activities 4, 604634.
of the Special Research Centre for Offshore Foundation Makrodimopoulos, A. & Martin, C. M. (2007). Upper bound
limit analysis using simplex strain elements and second-order
Systems, established under the Australian Research cone programming. Int. J. Num. Methods Engng 31, No. 6,
Councils Research Centres Program and currently sup- 835865.
ported through Centre of Excellence funding from the State Makrodimopoulos, A. & Martin, C. M. (2008). Upper bound
Government of Western Australia. The work presented limit analysis using discontinuous quadratic displacement
here was supported through ARC grant DP0988904. This fields. Comm. Num. Methods Engng 24, No. 11, 911927.
support is gratefully acknowledged. Martin, C. M. (2001). Vertical bearing capacity of skirted circular
foundations on Tresca soil. Proc. Int. Conf. Soils Mech. and
Geotech. Engng (ICSMGE), Istanbul, 1, 743746.
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