T H E ULTIhIATE U P L I F T CAPACITY O F F O U N D A T I O N S

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G . G . M E YE R W[ 0 F Nova Scstia Techniece2 College, Halifax

J . I . AD AM S

Hydro-Electric Power Contntfssion of Ontario, Toronto

The ultimate uplift capacity of foundations with special reference to bansmission tower footings is evaluated. A number of model uplift tests made by the authors and by others were studied aild compared with full-scale tests. These tests showed a complex failure mechanism which varied with the depth of the foundation. Ushg simplifying assumptions a general theory was produced. It was shown that with suitable modification for shape and depth a useful relationship was available for computing the full-scale uplift ca acity of foundations. It was further &own by model tests that the theory could be modified to take into account group action. Further research is required to evaluate the effect of combined loads and long-term effects.

La rkistance b i t e i I'arrachement des fondations, tout particuli6rement dans le cas des tours cie balmsmission, est kvaluke dans le prksent article. Les rksultats d'un certain nsmbre d'essais d'arrachement faits sur mod6les redtiits par l a auteurs et par d'autres chercheurs ont 6th 6tudi6s et coinpar& aux rksultats d'essais A g a n d e kchelle. Ces essais ont montrd que le mbcanisme de rupture est con~plexe et variable en fonction de la profondeur de la fondation. Partant d'hypothkses simplificatrices, les auteurs suggbrent une thdorie g6nQale qui, avec une modification approprike pour tenif con~pte de la forrne et de la profondeur de la fondation, fournit une relation utile permettant de calculer la rksktance Q l'arrachment dm fondations Q l'6chelle naturelle. De plus, il a kt&dhontrB au moyen d'essais sur moddle que la th6orie peut 6tre modifike pour tenir compte de l'effet de groupe. Des 6tudes supplkmentaires seront nkcessaires pour permettre ulme Bvaluation de I'effet des charges combinkes et du conlportement & long-terme des fondations.

In the design of many foundations it is necessary to evaluate the resistance of the soil to uplifting loads. This is of particular importance in the design of transmission towers and many radio and television towers. In these cases the requirement for uplift resistance is due mainly to the application of a horizontal load above ground level. This results in a combination of forces at footing level, the largest of which act vertically in uplift or compression. The resistance of soil to compression is reasonably well understood; however, the resistance to uplift is uncertain and there are many conflicting theories reported in the literature. In this paper a number of the existing theories on uplift are examined
Canadian Geotechnical Journal, vol. V, no. 4. Printed in Canada.

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CANADIAN GEOTECHNICAL JOURNAL

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and the difficulties particular to the problem are brought out. The results of a number of model uplift tests in sands and clays performed by thc Ontario Hydro Research Division and the Nova Scotia Technical College are reported. A semitheoretical relationship for both clay and sand is produced and evaluated using the results of the model tests and a number of full-scale field uplift tests. . 4 number of group model tests by the Nova Scotia Technical College are also reported and a modification of the theory is presented to account for group behaviour. The experience of many large utilities has indicated that an augercd cnst-inplace concrete footing or pier has an important economic advantage over the conventional grillage or pier-type footing. For the conventional footing the uplift resistance was largely judged on the basis of purely empirical wies. With the increased use of the augered footing the need far a rational design procedure which accounted for the in-place strength of the soil became apparent. The theories presented apply generally to the cast-in-place type of footing or pile but can be applied to the conventional footing if the disturbed or compacted properties of the soil are considered. The study was concerned with the ultimate resistance of foundations under purely vertical uplift. The effects of moment and horizontal shear components which are also important and the movements which occur both vertically and laterally are mcntioned but are not evaluated.
PIIEVICBUS THEORY

In the literature, uplift theories have generally been based on either a slip surface rising vertically from the edge of the footing, or a surface rising at 30 degrees from the vertical, forming a frustum. For the vertical-surface theory, shear resistance along the sides of the plane or cylinder was calculated and added to the dead weight of the soil or concrete above the footing. For the 30-degrce-cone theory, only the dead weight within the frustum was usually considered. Experience has shown that neither of these methods provides reliable uplift values. The cone method is usually conservative at shallo~v depth, but can be quite the opposite at large depth (Turner 1962). Pam and Vanner ( 1962) have shown that the vertical-failure-surface approach did not apply to flared-out footings in clay but may apply to bacldilled footings where the strength of the backfill is effectively mobilized. Turner considered several modes of failure of flared-out footings in clay and concluded that the shape of failure surface varied with the footing dimension and soil strength; he noted a distinct difference in behaviour between shallow and deep footings. He suggested the use of empirical equations both for deep and for shallow footings, the undrained strength and the footing dimensions being variables. Balla (1961) showed that in dense sand the failure surface for shallow- footings was approximately circular in elevation, and that the tangent to the surface of ground contact was at an angle of approximately 45' -4912 to the horizontal. Assuming a circular failure path he obtained a reasonable correlation between theory and the results of full-scale tests on shallow footings. Using model tests in sand, Mlacdanald (1963) showed that for shallow depths the failure surface was approximately parabolic and for greater depths the failure plane was

MEYERHBF AND OAMS : WLTIPU~ATE UPLIFT CAPACITY OF FOUNBA'P~ONS

227

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approximately vertical, the diameter of the cylinder formed being about 1.75 times the base diameter of the footing. Macdonald developed two theories to account approximately for this behaviour. For the shallow case, failure was assumed to be conical, with angle of inclination equal to one-half the angle of internal friction; for the deep case, failure was assumed to be cylindrical with a cylinder diameter of 1.15times the base diameter. The results of model tests were in reasonable agreement with this theory. Sutherland (1961) demonstrated a relation between the ratio of unit uplift resistance to overburden pressure and that of footing depth to width. This dimensionless empirical relation was useful to Sutherland in predicting fullscale behaviour. Spence ( 1965) examined a theory in which shear was mobilized on a cylindrical surface extending only partially to ground level. The ratio of the cylinder height to base diameter was found to be consistent with that of the depth to base diameter where full suction and soil weight were considered. It would appear that the l ~ c k of agreement on uplift-capacity theory lies in the difficulty of predicting the geometry of the failure zone. In bearing-capacity theory the stresses are distributed below the footing in a continuo& medium which is assumed to be h~moge~neous and isotropic: consequently the geometry of the failure zone is predictable, and consistent with conventional soil mechanics theory. In uplift capacity the stresses are distributed above the footing, and their distribution appears to be uniquely influenced by the surface boundary. The uplift behaviour of deep footings has been generally reported to be distinctly different from that of shallow footings. In dense sand, the shape of the failure surface has been found to be generally parabolic in section near the footing edge, tending to a more vertical (cylindrical) shape as the footing depth becomes greater. In clays the failure surface is more complex; tension cracks, through which failure eventually occurs, have been commonly observed.
I

LABOR4TORY MODEL TESTS

A series of model uplift tests in sand and clay were carried out by the Ontario Hydro Research Division. Details of these tests were reported by Adams and Hayes ( 1967). Briefly these consisted of small metal discs varying from 1to 4 in. in diameter. Tests were carried out at various depths in uniformly graded and well graded sands in both a loose and dense condition. A few tests in uniform sand were made by relative densities intermediate between the loose and dense condition. A similar series of tests in well graded sand were performed at the Nova Scotia Technical College by Macdonald (1963). These tests generally showed that in dense sand the uplift capacity increased geometrically with depth within the depth range tested. In the well-graded material the uplift loads were appreciably higher. In loose sands the increase in uplift capacity with depth is approximately linear and much less than in the dense material. The behaviour of both dense and loose uniform sand was obserc~edin semi-spatial using time exposure photographs. These are shown in Figure 1. In the dense sand at shallow depth, a distinct slip surface occurs which extends in a shallow arc from the anchor edge to the surface. At greater depth the failure surface is less distinct being initially curved and then essentially vertical and extending to

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o / a 4.5 on top, 2.5 and 2 below

FIGURE

I. Laboratory pullout tests in silica sand: dense condition on left, loose on right;

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the surface. In loose sand, at large depth, the failure surface was essentially vertical and limited to a short distance above the anchor. In loose sand at shallow depth the failure surface was again essentially vertical but extending to the ground surface. It was clearly evident that the shearing resistance was mobilized over a much greater surface area in the dense sand than in the loose sand. A similar series of tests although of more limited nature wme c a r r i d out i n clay. The Ontario Hydro tests were reported by Adams and Hayes (1967). The Nova Scotia tests were reported by Spence ( 1965). The clays tested varied from soft to stiff.' It was found that in both soft and stiff clay the uplift resistance increases with depth finally reaching a constant value. Of particular interest was the large amount of movement in the clays compared with the rather small movement in sands prior to failure. Photographs of failure behaviour in clay are shown in Figure 2. These observations show clearly that a forn of tension failure occurs at least at shallow depth. Measurenlents of pore water pressures Adams and Hayes (1967) showed that s i w c a n t negative water pressures are set up both above and below the anchors duiing pullout. A number of group model tests in both sands and clays have recently been completed at the Nova Scotia Technical College. The tests were carried out on groups of model footings in sand by Wiseman (1966) and in clay by Langley (1987) to determine the effect of number, spacings, and dimensions of the footings in the group and the properties of the soil on the uplift resistance of the groups. Semi-spatial tests showed that for close footing spacings the failure surface was curved at the outside of the footings and that the soil between the footings moved upward with the footings. As the footing spacing increased, the failure surfaces became more like those of individual footings.
THSIEORY OF UPLIFT RESISTANCE

An approximate general theory of uplift resistance in soil has been developed which is blased on the observations and test data presented. Because of the comQ LI

A . SHALLOW DEPTH

B. GREAT DEPTH

FIGURE 3. Failure

of soil above a strip footing under uplift load 1. The clays tested were in a remoulded condition.

MEYERHOF AND ADAMS : ~

M UPLIFT A ~ CAPACITY OF FOUNDATIONS

23 1

plex form of the failure surfaces, simplifying assumptions in respect to the actual failure surfaces are made. The theory is derived for a strip or continuous footing and is then modified for use in sands and clays for circular and rectangular footings and for group action.
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Strip f aoting

( a ) Shallow depth: At the ultimate uplift load Qua soil mass having an approximately truncated pyramidal shape is lifted up and, for shallow footing depths, the failure surface reaches the ground surface ( Figure 3a ) . Accordingly, a state of general shear failure exists along the failure surface on which a cohesive force CIand friction force F are mobilized based on a unit shearing resistance,
(I)
t,=c+atan+,

where c = unit cohesion, o = normal stress on failure surface, and = angle of internal friction of soil. The ultimate load per unit length of footing may then be expressed by

Q, = 2Cf cos a 2Ei' css P (2) where W = weight of lifted soil mass and weight of footing, and a and are average inclination with vertical of forces C, and F, respectively. In the absence of a rigorous solution for the stresses on the failure surface, it may be assumect that Quis approximately given by
whcre C = cD = cohesion along vertical plane through footing edge and P, = total passive earth pressure inclined at average angle 6 acting downward on vertical plane through footing edge. Expressing the normal component of P,
(4)

+w

P, cos 6

(112/2)~,

where K , = coefficient of passive earth pressure and substituting into equation ( 3)

= unit weight of soil, and

where K,, = K , tan 8. Test results on model strip footings given below indicate that, for sands, the average angle of the failure surface with the vertical varies between about +/3 and 2+/3. For an average value of about + / 2 for this angle, trial calculations have shown that 6 is approximately w/3. From the corresponding passive earth pressure coefficients K, based on curved failure surfaces (Caquot and Kerisel P949), the vertical component & , governing the uplift resistance has been evaluated and is shown in Figure 4. It is of interest to note that for a given value of 4, the value of &, is not very sensitive to changes of 6 in the range of about +/2 and 39/4, and the corresponding theoretical failure surface has roughly the observed shape.

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10

20

30

40

ANGLE OF INTERNAL FRICTION

FIGURE

4. Theoretical uplift coefficients of earth pressure for strip footing

For csnve,nience of the analysis and coniparison with test results the value of

% ,may be expressed by
(6)

K,,

K, tan 4

where K , = nominal uplift coeEcient of earth pressure on vertical plane through footing edge. Thus equation ( 5 ) becomes

The corresponding theoretical values of K , are shown in Figure 4 and are found to vary from about 0.7 to nearly unity. For granular materials therefore it will be seen that K,, is relatively constant for a wide range of 4 and may for all practical purposes be taken as 0.95 for strip footings as shown in Figure 5. ( b ) Great depth: With increasing depth of the footing the compressibility and deformation of the soil mass above the footing prevent the failure surface from reaching the ground surface (Figure 3b). The extent of this local shear f a1 '1ure may be included i n the analysis by limiting the vertical extent H of the failure surface and utilizing the surcharge pressure above the level of the failure surface Po = y ( D-H ) . On t h i s basis equation ( 7 ) may be modified for great footing depths and written"

The magnitude of H which can at present only b e determined from the observed extent of the failure surface and an analysis of test results s h o r n later, is given in Table I.
*In model tests rod friction is mobilized above the distance H which is ignored in this expression.

MEYERMOF AND D A M S : ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS

TABLE

1
-a

--

Frictionangle4 Depth H / B

20" 2.5

25" 3

30" 4

35" 5

40" 7

45" 9

48" 11

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The upper limit of the uplift resistance is given by the sum of the bearing capacity of the footing and the skin friction on the anchor shaft

where A, = suiface area of shaft, f , = average unit skin friction of soil on shaft, and N , and N , are bearing capacity factors as for a footing under downward loads ( hleyerhof 1951 ) .
Circular and rectanguhr footings ( a ) Circulur footing: The analysis for strip footings can be extended to circular

footings by determining the shearing resistance from cohesion and passive earth pressure inclined at 6 on a vertical cylindrical surface through the footing edge ( Figure 3 ) . Thus for shallow depths ( D < H ), equations ( 3 ) and ( 7 ) become

Qu = RCBD S ( R / ~ ) ~ B D tan ~K 4, W (11) where s = shape factor governing the passive earth pressure on a convex cylindrical wall. Similarly for great depths ( D > H), equation ( 11 ) becomes*

with an upper limit as for the bearing capacity of a footing under downward loads ( similar to equation 9 ) . Test results on model circular footings reviewed below have shown that for sands the average angle of the failure surface with the vertical varies between about 4/4 and $/2. For an average value of about +/3, the mgle S is approximately 2+/3 and the corresponding values of the shape factor s can be estimated from approximate earth pressure theories based on plane failure surfaces ( Berezantzev 1952 and MacKay 1986). For small ratios of footing depth to width of D/B the theoretical results can be approximately represented by

with a maximum of

where H f B is given in Table I and the coefficient m has the values given in
'In model tests rod friction is mobilized above the distance H which is ignored in this expression.

234
---

CANADIAN GEOTECHNICAL JOURNAL

--

Friction angle Coefficient n z

Max factor s

- ----35" 40" 20" 25" 30" 45" 48" 0.6 0.05 0 . 1 0.15 0.25 0.35 0.5 1.12 1.30 1.60 2.25 3.45 5.50 7.60

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Table 11. The corresponding earth pressure coefficients designated as sK, are shown in Figure 5 for circular footings at shallow and great depths in sands.

( b ) Rectangular footing: An approximlate analysis for the ultimate uplift load of a rectangular footing of width B and length L can be obtained as for downward loads (Meyerhof 1951) by assuming that the earth pressure along the perimeter of the two end portions of length B / 2 is governed by the shape factor s as for circular footings, while the passive earth pressure along the central portion of length L B is the same as for a strip footing. On this basis it can be shown that for shallow depths
while for great depths' with an upper limit as for the bearing capacity under downward loads. For square footings B = L in the above expressions.
Footing groups The ultimate uplift load of a footing group is the smaller value of either the sum of the uplift loads of the individual footings or the uplift load of an equivalent pier foundation consisting of the footings and enclosed soil mass. While the sum of the uplift loads of the individual footings can readily be determined from the expressions given for single footings, the uplift load of the equivalent pier foundation can be estimated by the method suggested for rectangular footings. Thus for a group of circular footings it is assumed that the passive earth pressure along the curved portions of the perimeter of the group is governed by the shape factor s and the passive earth pressure along the straight portions is the same as for a strip footing. For example, a rectangular group at shallow depth has approximately an ultimate uplift resistance of

with a maximum of

where a and b = distance between centres of comer footings on length and width, respectively, of group, n = number of footings in group, W, = weight
"In naodel tests rod friction is mobilized above the distance H which is ignored in this expression.

MEYERHBF AND ADAMS: ULTIMATE UPLIFT CAPACITY OF FOUNDATTO~S

235

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CIRCLE OR SQUARE FOOTINGS STRlP FOOTING

RATIO O F DEPTH TO WIDTH D / B

RECENT DATA - RECTANGULAR FOOTINGS SLENDER SHAFTS 'MEYEWHOFs) WELL-GRADED SAND

PUBLISHED DATA
0

- CIRCULAR
0

FOOTINGS

- SLENDER

SHAFTS

DENSE SILICA SAND @ = 34O DENSE CONCRETE SAND DENSE SILICA SAND @ = 42" DENSE SAND @

ADAMS AND HAYES 11967)

C I

- 45"

= 47O

ADAMS AND HAYES (1967)

@ DENSE I 7 X I2
@
i m s ~ l s r r a

BAKER AND KONDER '1966,

I
I

DiA:g;LR

4s0 - MAC DONALD (19631

LOOSE SILICA SAND

28O - ADAMS AND HAYES '1967)

9 LOOSE SAND

O =

31

- M A C DONALD (1963)

FIGURE

5. Cornparis011of theory and model tests for footings in sa11d

of footing group and weight of enclosed soil mass, and other symbols as before. The ratio of the uplift load of the equivalent pier foundation to the sum of the uplift loads of the individual footings, or the efficiency of this group, is then given by the ratio of equation ( 17) to equation ( 18).
UPLIFT RESISTANCE I NSAND

In order to compare the results of the model tests with the present theory of uplift resistance, the experimental data were analysed to determine the value of sK, in the proposed equations for circular and long rectangular footings at various ratios of depth to width of footing D / B . The test results, u~hvhichare shown in Figure 5, indicate a rather wide scatter of points, which is to be expected due to the different types and densities of sand used. For a given type of sand, the values of sK, for circular footings increase with the internal friction and with the ratio of D / B to a maximum value, which remains roughly constant for large ratios of D / B . On the other hand, the values of sK, for long rectangular footings are sensibly independent of the friction angle of the sand and the ratio of D / B . These observed relationships are in reasonable agreement with the proposed theory. It will be seen that in all cases the sK, values for loose materials are very low generally about unity. In this case, as would be suggested by the photographs, a form of local shear occurs in which a very limited shear zone is developed. Although the theory takes into account a form of local shear at great depth, it

F O O T 1NG
0 CIRCLE
-

SHAFT CIRCLE

-o

RECTANGLE

X RECTANGLE

( L / B = 81 D/'B = 12

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0.2
OF

0 4

0 6

08

1.0

ANGLE O F ?.KINFRICTION ANGLE O F INTERNAL FRICTION

FIGURE

6. Observed laboratory relationship between uplift coefficient and friction angle

does not account for this very limited zone. From a practical standpoint however, the sK, value for a variety of soiIs in a loose condition was about unity for a wide depth range. The s K , values for dense sands follow the trend indicated by theory, although the tests points fall somewhat above the theoretical lines. The discrepancy is therefore on the safe side. The results of additional model tests on circular and long rectangular shafts were anaIysed in a similar manner, and the resuIts are compared with corresponding footing data in Figure 6. It is found that the uplift resistance of the shafts increase with the degree of roughness of the shaft and that the footing resistance corresponds to an angle of skin friction of roughly two-thirds of the friction angle 4,as would be expected theoreticalIy. It is also of interest to note that for a given density of the sand and roughness of the shaft, the skin friction of a circular shaft is greater than that of a rectangular shaft (except for loose sand) and the corresponding shape coefficients are similar to those for corresponding footings. Full-scale uplift tests were performed by the Ontario Hydro on a number of shallow cylindrical cast-in-place footings. These were about 3 ft in diameter and the depth was varied from 6 to 12 ft. These results along with a number of tests reported in the literature were analysed using the sK, theory. The s K , values obtained from the field tests are compared in Figure 7 with theoretical values. It will be seen that the field sK,, values in the loose range vary from about 0.5 to 1.5. In the dense range the values plot generally on or above the theoretical lines. In the absence of full-scale tests on footing groups, the results of the present uplift tests on small groups of circular model footings and rough circular shafts will be analysed to give an indication of efficiencies of the groups at the maxi-

MEYERHOF AND ADAMS : ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS

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RATIO O F DEPTH TO WIDTH D/ B

DENSE

SAND

o ADAMS AND HAYES (1967)

v
0

ACIAMS AND HAYES (1967)

a SUTHERLAND (1965) 0
BALL4 (1961)a = 3(1O

- HAMILTON - SUDBURY 36O - 42"

0

P) '40

0=

30"

x +

BAKER AND KONDER (1966) MORS (1959) P) LOOSE

' 35" - 4oe

- 37O

SAND

+
A
FIGURE

ADAMS AND HAYES (1967) ADAMS AND HAYES (1967) BALLA(1961) 0

- ESSA P) = 32" - ISLINGTON 0

30

30

GIFFELS ~ ~ ~ ~ ( 1 0 9 6 =6 so ) MORS (1959)

' 26O - 30

7'. Cornparisan of theory and full-scale tests in sand

mum uplift loads. The results are shown in Figure 8 for loose and dense sands and various depths of footings and shafts. For a given density of the sand the uplift efficiencies of the groups increase mughly linearly with the spacing of the footings or shafts, and the efficiencies increase as the depth of embedment becomes smaller. These increases of the uplift efficiencies may be explained by the corresponding decrease of the overlap of the failure zones of the individual footings and shafts as their spacing incremes and their depth decreases. The uplift efficiencies decrease as the number of footings or shafts in the group increases and as the density of the sand increases. Although the trend of these observations is reflected in the proposed theory of group action, comparison between theory and test results shows that agreement is much better at great depths than at shallow depths where the estimates are rather conservative.
UPLIFT RESISTANCE LE3 CLAY

Tension cracks have been widely observed in clays subjected to uplift loads. They appear, however, to b e restricted to rather shallow depths where the soil is stressed largely in flexure. Negative pore water pressures have been recorded both above and below model anchors which substantiate a tension force in the clay mass. At large depths, however, it was thought that flexing of the clay mass would be prevented by the weight of the overburden and that the resistance to

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DENSE 5AND

------ 2 BASES

TEST

RESULTS

4 BASES

D/

B = 20

2 ROUGH SHAFTS

RATIO OF SPACING TO WIDTH O F BASE

FIGURE

8. Cornparison sf theory and msdd group tests in sand

uplift would be determined by the shear strength of the clay. For this case the limiting uplift capacity of a plate would be approximately equal to the bearing capacity of the clay. To test this assumption tlle results of all model tests were analysed using the following expression which is analogous to the bearing capacity expression

in which Nu is an uplift coefficient and W is the weight of material above the footing. Experimental values of N u were calculated from the pullout loads and plotted against the L) to B ratios in Figure 9. In these tests it was known that a

h,fEYEFtHOPAND ADAMS: WLTIMAT'E UPLIFT CAPACITY OF FQWNDATIQNS

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SPENCE (1965) AND LANGLEY (1967) I" T O 4 " DIAMETER FOOTINGS (SLENDER SHAFTS)

I
J
12

1
0

ALL POINTS SHOWN ARE CORRECTED FOR SUCTION

10

RATIO O F DEPTH T O

WIDTH B/ B

FIGURE

9. C o m p a ~ o sf n theory and mode1 tests for footings in clay

full or partial suction was developed below the anchors and therefore the pullout loads were corrected for full suction in calculating the Nu value. It will be seen that the Nu values increase with depth to a m & m m level generally around 9 or 10. A semitheoretical line is shown on this chart in which the equivalent IVlh was determined from a calculated pullout load based on full shear developed on the cylindrical surface (equations 11 and 12) the limiting value being taken as the bearing capacity coefficient N , ( Mverhof 1951) similar to equation ( 9 ) . The results indicate that for shallow depths the observed uplift capacities are aboui one half of those estimated from the cylindrical theory. This diflerence can at least partly be explained by the relatively large deformation to failure of the clay, which reduces the embedment depth especially in soft clays, and by the influence of tension cracks due to premature tensile failure of the clay. Undrained tests on one of the soft clays used in the present uplift tests gave a tensile strength of about 0.4 times the compressive strength. For great footing depths the N , values shown are generally in the theoretical range. The results of the present uplift tests on smdl groups of circular model footings and rough circular shafts in soft clay were analysed to determine the efficiencies of the groups at the maximum uplift loads. The test results, which are shown in Figure 10, indicate that the uplift efficiencies increase with the spacing of the footings or shafts and as the depth of embedment decreases. The uplift efficiencies decrease somewhat as the number of footings or shafts in the group increases. The observed relationships for the uplift resistance of groups are in good agreement with those found previously ( Whitaker 1957) for free-standing

NUMBER O F BASES !:2 OR 4) THEORY

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D/B=20

2ROUGH SHAFFS

-4-

D/ B ' 20

4 ROUGH SHAFTS

RATIO O F SPACING P O WIDTI-! O F EASE

FIGURE

10. Co~nparison of theory and model group tests in clay

pile groups with downward loads. For the usual spacings of the footings or shafts the observed efficiencies are smaller than estimated theoretically, as had been found under downward loads. This difference is believed to be due partly to the iduences mentioned under the analysis of the single footings and partly to t h e overlap of the individual zones of shearing deformation, which prevents the mobilization of the full shearing strength of the clay in the groups. A number of full-scale uplift tests have been performed in clay by the Ontario Hydro. These footings had a shaft diameter between 2 and 3 ft and were belled out to between 3 and 5 ft. The depths varied from 6 to 12 ft. The results, along with those from others, reported in the literature were analysed using N , theory The Nu values calculated are shown in F i y r e 1 1 in comparison with the range of laboratory values. In these calcu~ationsthe effect of shaft friction and base suction was i g n ~ r e dIt .~ will be seen that the oalculated N , values from the field tests are only about % the laboratory-derived values at least at shallow depth. It is worthy to note that the majority of the field tests were carried out in relatively shallow depth in stiff clays which were fairly brittle and fissured. It is probable that the strength mobilized in these soils is considerably less than the laboratory "peak" value and possibly as low as the "residual" value.
SHOBT-TERM \TIISUS LONG-TERM UPLIFT CAPAClTY

It has been demonstrated that negative pore water pressures occur in clays during uplift, particularly with shallow foundations. The uplift capacity under sustained loads in clay was expected, therefore, to be less than under short-term loads. In sands or other free-draining material, long-tenn and short-term capacity should be the same. To investigate this premise a few simple tests were performed by use of small
2. Measurements of negative water pressure during field pullout tests in fissured clay have indicated very low suction values.

MEYERPIOP AND ADAMS: ULTIMATE UPLIFT CAPACITY OF POUNDATIO'NS

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NOTE

A L L POlNTS ARE NOT

RATIO O F DEPTH T O WIDTH D/ B ADAMS AND HAYES (19673 - HAMILTON NOBLETON KLEINBURG TORONTO TURNER (19623

V O FIGURE

PARR AND VANNER (19621 PATEUSON AND URlE ,19643

1I. Comparison of theory and full-scale tests in clay

model anchors in clay. Short-term tests were carried out in a manner similar to that described previously. Long-term tests were performed by adding small increments of laad each day until pullout occurred. The results of these tests are shown in Figure 12. It will be seen that in the stiff clay the long-term capacity is a small fraction of the short-term capacity, whereas in the soft clay the long-term capacity is a much higher percentage of the short-term load. LVith the belief that the long-term uplift capacity would be dependent on the drainedor frictional-strength parameters of the clay, for each of the sustained loading test cases the capacity was estimated by use of the K, theory developed for sand and the N , relation for clay. The effective angle of shearing resistance ( ) of the clay was 26 degrees. From Figure 12, the estimated long-term capacity on this basis is seen to be in reasonable agreement with the measured long-term pullout capacity. The long-term strength of soil under a sustained load is dependent on its drained-strength parameters. With a clay under bearing loads, usually positive water pressures develop immediately on application of load; in time, as the water is squeezed out, the soil hardens, with a corresponding increase in bearing capacity. In clay under uplift loads, negative water pressures have been found to occur, at least at shallow depth. Under a sustained load, therefore, softening of the soil would be expected, with a corresponding reduction in uplift capacity.

..... ...., .,.. ....

MEASURED UNDRAINED STRENGTH (SHORT-TERM)

MEASURED DRAINED STRENGTH (LONG-TERM) ESTIMATED DRAINED STRENGTH

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BRICK CLAY

5" X 5" ANCHOR

DEPTH: 1 2 IN oie = 2.4 I ST! FF!

BRICK CLAY 1 . 1 2 5 ' ANCHOR ~ ~ DEPTH.7.5 IN D i B = 6.7 (ST1FF)

FIGURE

BRICK CLAY 1.125'1-DIAANCHOR DEPBH:2 IN e i e = 1.48 (STIFF)

la

NIAGARA CLAY 1 . 1 2 5 ' L ~ lA ~N C H m DEPTH:5 IN D ~ = B 4.4 (SOFT)

2.1.
ADAM5

FIGURE

12. Comparison of short-term and long-term node1 pullout tests in clay

The stiffer the soil the greater would be the extent of softening and the greater the capcity decrease with timea3Since the drained strength of soil is largely determined by its fridion characteristics, the uplift capacity will be related to the normal component of the soil weight resisting uplift, or indirectly to the depth of the foundation below ground level. Also, with increasing depth the pore water pressure changes under uplift loading would be expected to be modified or even reversed. It would follow that for a given foundation in clay, the long-term capacity will increase with depth and at a certain depth be equal to the short-term capacity. This critical depth will be greater with increasing stiffness of the soil. Under actual field conditions, because of atmospheric drying and fissuring in the upper surface of the soil the softening effect may not be as great as the theory would indicate. The above reasoning is believed to be consistent with basic soil mechanics theory and may be useful where the capacity of foundations undcr sustained uplift loading is being considered.
CONCLUSIONS

The resistance of soil to an uplifting foundation is a combination of the soil weight land shear resistance mobilized within a defined boundary or failure
3. A s t 8 clay in this sense is considered to be "overconsnlidated.'"

MEYERMOP AND ADAMS: ULTIMATE UPLIFT CAPACITY OF FOUNDATIONS

243

surface. In sands the geometry of the failure surface is fairly dstinct but varies in shape and extent depending on the depth/width ratio of the foundation and on the rigidity or relative density of the soil. In clay the failure surface is complicated by the formation of horizontal cracks which occur at shallow depth and are presumably due to tensile stresses. An approximate general theory for uplift capacity for a continuous or strip footing is presented. The theory is simplified by considering the forces acting on a cylindrical surface above the foundation. Shape sactors are applied to the general expression to account for the three-dimensional effect of individual square or circular footings. In clay it is shown that the general theory does not apply at shallow depth and this is attributed to the failure of the soil in tension. An empirical procedure was employed utilizing a Nu coefficient which related the uplift coefficient of clay to mdrained strength. The uplift theories derived were applied to a number of full-scale field tests in both sands and clays and it was found that useful correlations were available. The theories derived for both clay and sand were modified to take into account the effect of group action of square and rectangular pile or footing arrangements. The basis of this was to consider the maximum capacity of a group to be the sum of the uplift capacity of each individual unit while the n~inimum capacity to be the value of the group as being one unit. Intermediate capacities were interpolated between the two limits depending on the spacing between individual units. The results of model tests of groups in both sand and clay showed a reasonable basis for the determination of efficiency factors. The drained or long-term uplift capacity in clay can b e appreciably less thlan the undrained or short-term capacity, particularly at shallow depth. The reduction with time is attributed to the dissipation of negative pore water pressures which allow softening of the soil. It was indicated that the drained or long-term capacity can be estimated using the theory applicable to sand or frictional material. Using the clay relationship for short-term capacity and sand relationship for long-term capacity it was shown that the reduction in capacity is most prevalent in stiff clays at shallow depth and that for each clay there is a certain depth at which the long-term capacity will become greater than the short-term capacity. Of practical importance is the fact that an appreciable portion of the uplifting force on a tower foundation is of a transient nature and only a small portion of this component need b e considered along with the sustained c m ponent in a long-term uplift analysis. The study has considered the ultimate uplift capacity of soils under purely vertical loading. In most tower foundations a combination of Ioads occur at ground level consisting of n moment, a horizontal shear force, and either a vertical uplift or compression force. While the vertical forces are by far the greatest, the effect of the moment and horizontal forces are important in tower design. Basic research is needed to evaluate the behaviour of foundation under combined loads, in particular the movements which occur at design load intensities. The effect of fissuring on the strength mobilization in stiff clay also requires further detailed study.
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ACKNOWLEDGMENT

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The research at the Nova Scotia Technical College was carried out with financial support from the National Research Council and Franki Canada Limited. The research at the Ontario Hydro was carried out by the Research Division Soils Section. Field testing was done by the Struct~~ral Section of the Research Division as requested by the Transmission and Distribution Bepartmen t .
REFERENCES

ADAMS, J. I., and HAYES, D. C., 1967. The uplift capacity of shallow foundations. Ontario Hydro Research Quarterly 19, 1. BAKER, W. H., and KONDER, R. E., 1966. Pullout load capacity of a circular earth anchor buried in sand. Highway Research Record 108. BALLA,A., 1961. The resistance to breaking out of mushrooin foundations for pylons. Proc. 5th Int. Corrf. Soil Mech. and Found. Eng. 1. BEREZANTZEV, V. G., 1952. Axial Symmetrical Probletn of the Limit Eyuilibrium Theory of Earthy Medium ( Moscow ) . CAQUOT, A., and KERISEL, L., 1949. Trait6 de m6caniqzce des sols ( Paris ) . GIFFELS,W. C., G I L ~ H AR. M E., , and MOOK, J. F., 1W0. Concrete cylinder anchors. Electrical wo.p\d W 7 * Dec. 13. ?Q~.-zs" EANGLEY, W. S., 1967. Uplift resistance of groups of bulbous piles in clay. MSc thesis, Nova Scotia Technical College. H. F.,1963. Uplift resistance of caisson piles in sand. MSc thesis, Nova Scotia MACDONALD, Technical College. MACKAY, R. B., 1966. Active and passive pressures on curved surfaces. Sols (Paris) 5. MEYERHOF, G . G., 1951. The ultimate bearing capacity of foundations. Gdotechniyue 2. Mom, H . , 1959. The behaviour of most foundations subjected to tensile forces. Bautecltnik 10, C. E. Trans, 1801. PARR,R. G . , and VANNEH, M . J., 1W2. Strength tests on overhead line tower foundations. Electrical Research Association, Report O/T28 PATERSON, G., and URIE, R. E., 1964. Uplift resistance tests on full size transmission tower foundations. Conf. Znt. des Grand Res. Elect. d Haute Ten. 203 (Paris). SPENCE, B. E., 1965. Uplift resistance of piles with enlarged bases in clay. MSc thesis, Nova Scotia Technical College. SUTHERLAND, H. B., 1985. Model studies for shaft raising through cohesionless soils. PTOC. 5th Znt. Conf. Soil Mech. and Found. Eng. 2 . TURXER, E. A., 196.2. Uplift resistance of transmission tower footings. J . Power Die., Pro@. ASCE, 88, Paper 3187. W ~ T A K ET., R , 1957. Experiments with model piles in groups. Gkotechniyue 7. WISEMAN, R. J., 1966. Uplift resistance of groups of bulbous piles in sand. MSc thesis, Nova Scotia Technical College.

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