Codal Provisions for Foundation Design on Soils and

Rocks: A Review

Gaurav Sharma1, Pradeep Kumar1, Koushik Pandit1 [0000-0001-8741-8685] and Sayantani

Lala1
1
CSIR – Central Building Research Institute, Roorkee 247 667, India
www.cbri.res.in

Abstract. Usual design of building foundations are performed based on pre-

scribed serviceability and strength criteria as laid down by various standard
codes adopted by different countries. Generally, total settlement of a foundation
is described under the serviceability criterion; whereas a strength criterion is de-
scribed by bearing capacity of the soil or rock underlying the foundation. Both
of these safeguard a foundation from its stability and structural integrity point
of view against the acting design loads that may appear during its lifetime. The
important most function of a foundation is to transfer super-structure load to the
underlying strata which are composed of either soil or rock or both in layers.
Engineering properties of both soils and rocks vary geo-spatially in small to
large scale. In view of the wide spectrum of soil/rock characteristics, the analy-
sis and design of foundations are provided by understanding of basic soil and
rock mechanics principles. Although, a detailed analysis of site-specific solu-
tions is a must for a vital and large-scale project as well as for a problematic site
condition. Building codes present the most relevant guidance in design and con-
struction of foundations. An attempt has, therefore, been made in the present
study to revisit and compare foundation design methodology, by studying and
investigating three popular design codes, namely Indian Standard Code (IS
code), American Concrete Institute Code (ACI) and International Building
Code (IBC) by the International Code Council (ICC). In this study, basic tech-
nical information on (i) ‘general behaviour of soil and rock’ i.e. nature of soil,
rock types, stability and properties along with its behaviour under foundation,
(ii) ‘effect of groundwater’ i.e. effect of underground water on foundation, (iii)
‘foundation settlement’ i.e. foundation failure modes, and (iv) ‘preventive and
strengthening measures’ i.e. improvement of bearing capacity of strata through
stabilizing methods, etc. have been covered in brief.

Keywords: Settlement, Bearing Capacity, Foundation Design, Standards and

Codes; Comparative Study.

1 Introduction

Any building structure transmits its super-structure load through foundations which
are constructed over soil or rock, together termed as sub-strata. Foundations are hence
called the sub-structure buried beneath the natural ground level (NGL). Elementary
2

design of a foundation is based on satisfactory bearing capacity and tolerable settle-

ment of the sub-strata on which it rests [1]. Design load pressure in excess of the bear-
ing capacity of the sub-strata causes ruptures and develops failure surfaces between
the footing edges and ground surface. Diverse failure modes in the sub-strata have
been observed and listed as (a) general shear failure: the load beyond ultimate bearing
capacity develops, shear force within the soil underlying the footing causes its sudden
settlement and bulging over the ground surface; (b) local shear failure: the settlement
is accompanied by sudden jerks and little bulging over ground surface and further
increase in load causes large settlement and heaving; and (c) punching shear failure:
only vertical settlement of soil and footing occurs without any heaving on the ground
surface [2, 3]. The design methodologies of sub-structure are thus formulated to suit
the indigenous soil conditions for an efficient building design without foundation
failure.

Some mechanical properties of soils and rocks are complex and difficult to deter-
mine precisely, probably because they are not a manufactured standard product like
rolled steel or mix-designed concrete and the origin and process of rock and soil cy-
cles are mainly governed by physical and chemical changes within their micro-
structures. Further, the selection of site for construction of a building and its founda-
tion is not entirely within the engineer's control and many times, a structure is to be
built on an apparently weak soil site or highly weathered and fissured rocky topogra-
phy. Hence, the stability and function of a building largely depend upon the behaviour
of the soil or rock upon which it is built.

Characteristically, serviceability is typically a long-term trait for a building founda-

tion related to time-dependent consolidation phenomenon of the bearing sub-strata,
whereas, bearing capacity may be a short-term feature (e.g. an embankment construc-
tion on an undrained clay foundation) or a long-term feature where the maximum
foundation load may appear at an unknown time. Usually, bearing capacity of shallow
and deep or pile foundations is estimated using codal provisions developed after clas-
sical soil mechanics principles utilized by Terzaghi & Meyerhoff (Terzaghi, 1943 [4];
Meyerhof, 1951 [5]) and static formula by Tomlinson (1981) [6], respectively.

For the purpose of design of foundation, a number of codes are available in various
countries around the world. As the soil and climatic conditions differ geo-spatially,
the design parameters also alter accordingly, even if the principles of the design
methodologies are essentially the same. However, a comparative study of the founda-
tion codes have revealed some inconsistency in the principles considered for design
methodologies which should be studied and modified, if and when necessary.

An attempt has, therefore, been made in the present study to revisit and compare
foundation design methodology, by studying and investigating three popularly re-
ferred and used design codes, namely Indian Standard Codes (IS codes) [7-18], Amer-
ican Concrete Institute Codes (ACI) [19, 20] and International Building Codes (IBC)
[21] by the International Code Council (ICC). In this study, basic information on na-
 3

ture of soil, rock types, stability and properties along with its behaviour under founda-
tion, effect of groundwater on foundation, foundation failures, and improvement of
bearing capacity of strata through soil stabilizing methods, etc. have been covered in
brief.

2 Comparison of Codal Design Methodology

For the comparative study three international building codes, namely IS, ACI &
UBC/IBC are considered. After studying and analyzing the different clauses of these
codes, comparative discussions have been made along with highlighting some re-
search gaps. These comparisons will facilitate the scope of improvement in building
codes after further studies and validations.

There are several Indian Standards for foundation on soil and rocks like IS 1080 on
“Code of Practice for Design and Construction of Shallow Foundations in Soils (Oth-
er Than Raft, Ring And Shell)” [7], IS 1904 on “Code of Practice for Design and
Construction of Foundations in Soils: General Requirements” [8], IS 2911 (Part 1 to
Part 4) “Design and Construction of Pile Foundations - Code of Practice” [9, 10, 11,
12], IS 6403 [13], IS 12070 on “Code of Practice for Design and Construction of
Shallow Foundations on Rocks” [14], IS 13063 on “Code of Practice for Structural
Safety of Buildings on Shallow Foundations on Rocks” [15], IS 14243 (Part 2) on
“Guidelines for selection and development of site for building in hill areas” [16], IS
14593 on “Design and Construction of Bored Cast-in-situ Piles Founded on Rocks -
Guidelines” [17] and IS 14804 on “Siting, design and selection of materials for resi-
dential buildings in hilly areas – Guidelines” [18]. Prevailing building codes on con-
crete constructions in the USA are provided in ACI: 318-14 [19], and ACI: 332R-84
[20]. The main regulations for foundations in the International Building Code [21] are
located in Section 1808 (Foundations), Section 1809 (Shallow Foundations), and
Section 1810 (Deep Foundations).

2.1 Depth of footing

According to all the considered codes in this paper, footing depth is the depth below
the natural ground surface at which the required bearing capacity of soil/rock for load
transmission is obtained. The clauses defining the depth of footing according to vari-
ous codes have been listed below.

Indian Standard. All foundations shall extend to a depth of at least 0.5 m below
NGL where the bearing strata is soil. This minimum depth is required to ensure the
availability of safe bearing capacity and optimum frost depth [8] (sec. 7.1, 7.2). For
foundation depth in rocks, Cl. 5.4 of [15] is referred to. It says that (i) in partially
weathered, jointed and sheared rocks, foundation base is to be kept at least 0.5 m
inside rock; whereas, (ii) for very low strength, rock, foundation material shall be
4

treated to be as soil and depth is defined using IS 1904 [8] provisions; and (iii) for
sound and massive rock, foundation line shall be above frost penetration limit.

ACI. Depth of footing above reinforcement should not to be less than 0.15 m even
though firm bearing soil is found at a shallower depth. A practical minimum depth is
taken as 0.25 m. However, the overall depth of pile foundation shall be selected such
that the effective depth of bottom reinforcement is at least 0.3 m as per Cl. 13.3.1.2
and 13.4.2.1 of [19], and Cl. 8.3.2 [20].

IBC. According to IBC (sec. 1805.2 and sec.1805.2.1) [21], concrete footings and
solid masonry foundations shall extend below the frost line. Foundation walls sup-
porting wood shall extend at least 0.15 m above the finish grade adjacent to the wall
at all points. However for masonry buildings, IBC suggests that, depth of footings
shall extend to 0.3 m and should confirm to sufficient frost depth.

Discussion. After a preliminary overview, it is noted that the minimum foundation

depth prescribed in IS codes is almost double than the other two referred standards.
This may be due to heavy weight of solid masonry and concrete (the most common
materials of construction used in India), as compared to various light weight IBS
prevalent in other countries [22]. The IBC [21] prescribes regulations about commer-
cial construction whereas IRC: The International Residential Code [23] prescribes
regulation on residential construction along with home remodeling issues. Hence, the
UBC/IBC [21] is a more generic code and prescribes range of values for the determi-
nation of the minimum depth of the foundation. IBC/UBC has also included consider-
ations of frost depth in defining the minimum depth of foundation.

2.2 Cover to Footing Reinforcements

The main reason of providing the cover is to protect the reinforcement from the chem-
ical agents present in the atmosphere. Because inappropriate cover depth results into
the corrosion of constituent elements which ultimately reduce the life of the structure.

Indian Standard. Cl. 5.3.6 of [8] recommends a minimum cover of 50 mm for foot-
ings. But the actual cover may be even more depending on the presence of harmful
chemicals, water table etc. For locations with considerable salt and sulphate content in
water, Cl. 26.4.2.2 of IS 456: 2000 [24] suggests that dense M-20 concrete along with
pozzolana could be used. A thick layer of bitumen can be laid before laying founda-
tion concrete, to prevent infiltration of water from sulphate bearing soil.

ACI. American building Code [19] specifies the cover depth for different regions
(Table 1).
 5

IBC. There should be a minimum of 3 inches (7.62 cm) concrete between reinforce-
ment and the other main structural member in which the concrete is deposited against
the ground and 2 inches (5.08 cm) for concrete surfaces which are just in contact with
natural ground level. IBC also suggests a concrete cover of 3.2 cm for prestressed
square piles of 12 inches (30.5 cm) or smaller size and 3.8 cm for larger piles. For
foundations exposed to seawater, the minimum 6.4 cm of protective concrete cover is
prescribed in Sec. 1809.2.3.5 of [21].

The following Table 1 gives a summary of concrete cover specification by ACI code
[19].

Table 1. Summary of concrete cover specification by ACI code [19].

Concrete exposure Member Specified cover (mm)

Permanent ground contact All 75
Exposed to weather or in contact
All 40 to 50
with ground
Not exposed to weather or in con- Slab joists 40
tact with ground Walls 20
Beams, columns, pedes-
40
tals, and tension ties

Discussion. ACI specifies the cover thickness depending upon the type of reinforce-
ment. However, the IS and IBC codes specify concrete cover to foundation as per the
climatic conditions irrespective of the provided diameter of the foundation slab rein-
forcements.

2.3 Longitudinal reinforcement and Dowel length

The forces and moments developed at column face must be conveyed to footing
through the pedestal. The compressive force is delivered to the concrete while the
tensile force is taken by the reinforcement steel. However, for balancing large permis-
sible bearing stresses dowel bars or column extensions should be provided.

Indian Standard. As prescribed in IS, these extending bars should be at least 0.5
percent of the cross-sectional area of the supported column or pedestal. Minimum of
four bars shall be provided whose diameter should not exceed the diameter of column
bars by 3 mm as per Cl. 34.4 of [24].

ACI. For columns, minimum dowel reinforcement is given as, As (min.) = 0.005 Ag,
where Ag is column gross cross-sectional area. Required dowel reinforcement is giv-
en by:
6

As (req) = (Pu – Φ * Pn) / (Φ * fy), where the value of strength reduction factor (Φ) is
0.65, as per Cl. 15.8.2.1 of [19].

IBC. According to IBC [21], the total sectional area of dowels shall not be less than
the sectional area of the longitudinal reinforcement of the member and in no case less
than four dowels should be used. Also, the diameter of the dowels shall not exceed the
diameter of the column bars by more than 1/8 inch (nearly 3 mm) as per Sec. 2623 (h)
of UBC [25].

Discussion. As per IS and ACI codes, the minimum sectional area of dowels should
be 0.5% of the sectional area of the column or pedestal whereas, in UBC/IBC the
corresponding minimum area is simply taken as equal to column reinforcement. This
lead to contradiction and diverse values, because different codes have different meth-
ods for defining the minimum nominal reinforcement.

2.4 Allowable lateral soil or rock pressure and bearing capacity

The bearing capacity or allowable lateral soil pressure of soil is the gross pressure that
the footing can withstand such that, the soil doesn’t fails in shear and settlement occur
within the safe limits [3, 15].

Indian Standard. As per Sec 5.2.2.1 of [13], the equation for calculating of ultimate
bearing capacity is:
Qnu = c*(Nc ic Sc dc) + q*(Nq-1)*(iq Sq dq) + 0.5Bγ * Nγ * (iγ Sγ dγ) * W'

Where, Nγ = 2(Nq+1) tanΦ

Nc = (Nq-1) cotΦ
and, Nq = e^ᴨ*tanΦ*tan2(450+Φ/2)

Here, S, d and i are empirical correlation factors for shape, depth and inclination of
loading respectively.
If depth of water below ground > (Df) then, reduction factor, W' = 1
If water table at depth = (Df), then, W' = 0.

As per, IS 12070 [14], Cl. 4 gives calculation of safe bearing pressure (SBP) on
rock based on rock mass material types (massive crystalline bedrock, having SBP
1000 t/m2 to Soft or broken bedrock, having SBP 40 t/m2). Although, universally
applicable SBP values based on rock mass classification cannot be given but, accord-
ing to Cl. 5 of [14], Rock Mass Rating (RMR) values (100 to 0) could be used to de-
termine SBP values (600-448 t/m2 for RMR = 100 to 81, to 55-45-40 t/m2 for RMR =
20 to 0). For good quality rock with wide joint spacing i.e. 1 m to ≥ 3 m, Cl. 6.1 gives
an empirical equation to determine SBP based on average UCS of rock cores. Alter-
natively, Cl. 7 of [14] suggests an empirical equation based on pressure-meter tests to
determine SBP for low strength fragmented or weathered rock masses with closely
 7

spaced (5 to 30 cm) discontinuities. In common practice, such cases are considered as

granular mass and foundation design is based on conventional soil mechanics. Again,
Cl. 9 of [14] outlines a different method to calculate the SBP based on plate load tests
performed at field on poor rocks suspected to have bearing capacity less than 100
t/m2.
Although, SBP values can be calculated based on above methods, but settlement
criterion often plays the pivotal role in limiting the SBP value which is finally taken
for foundation design. Total settlement shall not be more than permissible settlement
as prescribed in Cl. 5.2.2 of [15], whereas, differential settlement and tilt of the build-
ing shall be not more than the recommended values specified in Cl. 5.2.3 of [15].

ACI. The theoretical bearing capacity of soil (X1) can be calculated as, X1 = (qult * m1
– γ*Df), where, m1 = model error for the bearing capacity. According to Meyerhof
(1995) [5], the model error m1 can be represented by a random variable with a bias
factor of 1.0 and a coefficient of variation of 0.25.

IBC. Allowable foundation pressure and lateral bearing pressure of soil or rock as per
IBC [21] is given in Table 2 below.

Table 2. Allowable foundation pressure and lateral bearing pressure of soil/rock as

per IBC [21].

Class of materials Allowable foundation Lateral bearing pres-

pressure (kN/m2) sure of soil (kN/m2)
Bed rock 575 575
Sedimentary rock 190 19
Sandy gravel 145 9.5
Sand 95 8
Clay 70 5

Discussion. Allowable bearing capacity in different building codes are different

which can be used for proportioning footings. On the basis of the building’s perfor-
mance, a presumptive bearing capacity value is assumed. But these values are used
only for preliminary design or for less important structures [26]. It is recommended
by IS 1904 [8] that the safe bearing capacity should be estimated only after analyzing
soil test data. If water table is present near the footing on non-cohesive soil, then these
values should be further reduced to 50%.

2.5 Foundations adjacent to slopes

Cl. 10.2 of IS 1904 [8] stipulates the different requirements for construction of
building foundations on a sloping terrain. It says that any construction on a suspected
unstable landslip area should be avoided. Spread footing on sloping sites should be
8

prepared resting on horizontal bearing strata by making a stepped ground profile by

cut and fill method. At all level changes, the footings should be lapped at the steps for
a minimum distance of foundation thickness or twice the height of step, whichever is
the maximum (Cl. 10.2.4 of [8]). On valley side, clearance on valley side i.e. the min-
imum edge distance of the footing from slope’s crest should be more than 1.5 m and
should rest on a firm soil or rock as per Cl. 6.1 of IS 14243 Part 2 [16].

3 Strengthening Measures for Foundations

There are some guidelines provided by the IS codes to strengthen the foundation of
buildings to make it stable under the prevailing design loads. These guidelines may be
summarized as below:
 For water covered bearing strata, suitable drainage arrangement shall be pro-
vided (Cl. 6.2.5 of [15]). For prevention of water entry into foundation, a
minimum of 0.75 m wide apron should be provided all around the building
(Cl. 6.3 of [16]).
 For wide joints, cracks, areas of disintegrated rock, the foundation should
grouted with 1:1 cement sand mortar up to maximum frost depth [15].
 If at the time of actual excavation, major solution cavities have been found
which have rendered the ground surface uneven, the depth of foundation
should be taken to a level such that 80% rock area is available. It must be en-
sured that the raft does not over hang at any corner (Cl. 10.1 of [15]).
 Due attention should be paid to problems of foundation on heterogeneous
rocks, particularly foundations on rock slopes and necessary remedial
measures should be taken (10.5 of [15]).
 Foundations should be checked for total and differential settlements to trace
any distress in the foundation after construction of the super-structure [27].
 The foundation should be well beyond the influence shear zone created due
to cuttings or excavations or due to proximity of the foundation to a sloping
ground (Cl. 10.2.5 of [8]).
 If the probable slip surface passes through a support structure like a retaining
wall, then it should be made strong enough to resist any unbalanced thrust
coming due to slope movement.
 The minimum horizontal spacing between an existing footing and a new one
shall be equal to the width of the wider one (Cl. 14 of [8]).

4 Conclusion

The present comparative study of foundation design methodology was taken up by

studying and investigating several design codes that prescribes the standards for the
efficient foundation design. Later in this paper, contrasting discussions of clauses
 9

along with some propositions are thus been delivered for further detailed analysis for
codal improvement. However the study here has been limited to only three code of
practice of foundation design. It has been found that in some sections, a common
basic assessment criteria has not been followed, and hence should be considered for
future ongoing studies.

Though the codes listed above provide every necessary details of foundation de-
sign, but there is a need to update the depth consideration in the Indian Standards in
accordance with the various climatic classifications. Footing located at insufficient
depth is subjected to frost damage due to formation of ice lenses and consequent frost
heave. During summer, thawing occurs and melted water is entrapped. As the soil
water freezes and melts, the footing is lifted during cold weather and it settles during
warm weather due to an increase in water content. To prevent frost damage, the foot-
ing should be placed below the frost depth, which may be 1 m or more in cold climate
[1, 26]. India being considered a tropical country, the frost depth has not been taken
into consideration while calculating minimum footing depth. However, several re-
gions in India record snowfall in winter and hence this criteria should be considered
in the codal methodology. Also in Annexure-V of CPWD handbook of plinth area
rates, the depth dependency is based upon the soil bearing capacity alone [28]. Be-
tween the different building codes of the United States, it is difficult to determine
which frost penetration charts should be followed. However, in warm states for con-
crete or block wall foundations, frost depth could extend to 45 cm whereas in regions
like Canada and Alaska, the required depth can even extend to 150 cm. Similar to
these charts, a frost depth map is also needed suiting to the geophysical conditions of
the Indian terrain.

On the other side, the IBC and ACI codes give more descriptive details of concrete
cover to reinforcements for foundations which should be followed in Indian stand-
ards. According to ACI, even if the bearing strength of concrete is not exceeded, rein-
forcement must be provided at column interface. This type of specification is not
provided in other two codes. Also ACI provides the upper limiting value of dowel
reinforcement i.e. no. 36 (35.81 mm in dia.), while IS and UBC agree on the mini-
mum diameter of dowel should not extend the diameter of reinforcement by 3 mm.
Dowels should extend in supported member at least the greater of the development
length of the longitudinal bar in compression which is entirely different due to differ-
ent methods of design. Apart from this, there is requirement of a standard formula in
IS code for calculation of dowel reinforcement.

The comparison drawn between different codes for the presumptive safe bearing
pressures of foundations on different soils and rocks show much variance in the val-
ues of SBP, even for the same type of soil. Though the soil characteristic of different
regions are different but this much deviation should be taken into consideration and
needed to be checked again.
10

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 11

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