THE SAUDI BUILDING CODE

FOR
SOILS AND FOUNDATIONS
Code and Commentary

(SBC 303-CC)
Key List of the Saudi Codes: Designations and brief titles
Title Code Req.1 Code & Com.2 Arabic Prov. 3
The General Building Code SBC 201-CR SBC 201-CC SBC 201-AR
Structural Loading and Forces SBC 301-CR SBC 301-CC SBC 301-AR
Structural Construction SBC 302- CR SBC 302-AR
Structural Soil and Foundations SBC 303- CR SBC 303-CC SBC 303-AR
Structural Concrete Structures SBC 304- CR SBC 304-CC SBC 304-AR
Structural Masonry Structures SBC 305- CR SBC 305-CC SBC 305-AR
Structural Steel Structures SBC 306-CR SBC 306-CC SBC 306-AR
Electrical Code SBC 401- CR SBC 401-AR
Mechanical Code SBC 501-CR SBC 501-CC SBC 501-AR
Energy Conservation- Nonresidential SBC 601- CR SBC 601- CC SBC 601- AR
Energy Conservation-Residential SBC 602- CR SBC 602- CC SBC 602- AR
Plumbing Code SBC 701- CR SBC 701-CC SBC 701-AR
Private sewage Code SBC 702- CR SBC 702-AR
Fire Code SBC 801- CR SBC 801-CC SBC 801-AR
Existing Buildings Code SBC 901- CR SBC 901-CC SBC 901-AR
Green Construction Code SBC 1001- CR SBC 1001-CC SBC 1001-AR
Residential Building Code-V1 SBC 1101- CR SBC 1101-CC SBC 1101-AR
Arch. Planning and Structural Reqs.
Residential Building Code-V2 SBC 1102- CR SBC 1102-CC SBC 1102-AR
MEP, Gas and Energy Requirements
1. CR: Code Requirements without Commentary
2. CC: Code Requirements with Commentary
3. AR: Arabic Code Provisions

SBC 303-CC-18 i
 THE SAUDI BUILDING CODE
FOR
SOILS AND FOUNDATIONS
Code and Commentary

(SBC 303-CC)

COPYRIGHT © 2018
by
The Saudi Building Code National Committee (SBCNC).
(Edition 200923)

ALL RIGHTS RESERVED. All intellectual property rights of this Saudi Code are owned by the National
Committee of Saudi Building Code as per the Saudi laws of the intellectual property. No part of this code may
be reproduced, distributed or leased in any form or by any means, including but not limited to publishing on
cloud sites, computer networks or any electronic means of communication, without prior written permission
from the National Committee of the Saudi Building Code. The purchase of an electronic or a paper copy does
not exempt the individual or entity from complying with the above limitations.

SBC 303-CC-18 i
 THE TECHNICAL COMMITTEE
(SBC 303-CC)
Code and Commentary

THE SAUDI BUILDING CODE

FOR
SOILS AND FOUNDATIONS
1 Prof. Mosleh A. Al-Shamrani Chairman
2 Dr. Abdullah H. Alsabhan Member
3 Dr. Muawia A. Daf'allah Member
THE SAUDI BUILDING CODE NATIONAL
COMMITTEE (SBCNC) REVIEW COMMITTEE
1 H. E. Dr. Saad O. AlKasabi Chairman 1 Dr. Naif M. Alabbadi Chairman
2 Dr. Naif M. Alabbadi Vice Chairman 2 Dr. Khaled M. Aljammaz Member
3 Dr. Abdulrahman G. Al-Enizi Member 3 Dr. Abdulrahman G. Al-enizi Member
4 Engr. Saeed K. Kadasah Member 4 Eng. Saeed K. Kadasah Member
5 Dr. Hassan S. Alhazmi Member 5 Eng. Tawifik I. Aljrayed Member
6 Engr. Badr S. AL-maayoof Member
REVIEWERS
7 Engr. Fayez A. Alghamdi Member
8 Engr. Mohammed A. Alwaily Member Dr. Mubashir Aziz Abdulaziz RCJY team
9 Dr. Bandar S. Alkahlan Member
EDITORIAL COMMITTEE
10 Engr. Ahmad N. Hassan Member
11 Engr. Abdulnasser S. Alabdullatif Member 1 Prof. Ahmed B. Shuraim Chairman
12 Dr. Hani M. Zahran Member 2 Dr. Abdallah M. Al-Shehri Member
13 Engr. Khalifa S. Alyahyai Member 3 Eng. Tawifik I. Aljrayed Member
14 Dr. Khaled M. Aljammaz Member
EDITORIAL SUPPORT
15 Dr. Ibrahim O. Habiballah Member
16 Dr. Saeed A. Asiri Member Prof. Nadeem A. Siddiqui Engr. Rais Mirza
17 Dr. Abdallah M. Al-Shehri Member
18 Engr. Saad S. Shuail Member
THE ADVISORY COMMITTEE
1 Dr. Khaled M. Aljammaz Chairman
2 Eng. Khalifa S. Alyahyai Vice Chairman
3 Dr. Hani M. Zahran Member
4 Prof. Ali A. Shash Member
5 Prof. Ahmed B. Shuraim Member
6 Dr. Khalid M. Wazira Member
7 Dr. Abdulhameed A. Al Ohaly Member
8 Dr. Hamza A. Ghulman Member
9 Engr. Hakam A. Al-Aqily Member
10 Prof. Saleh F. Magram Member
11 Engr. Nasser M. Al-Dossari Member
12 Dr. Waleed H. Khushefati Member
13 Dr. Waleed M. Abanomi Member
14 Dr. Fahad S. Al-Lahaim Member

SBC 303-CC-18 ii
PREFACE

PREFACE
The Saudi Building Code for Soils and Foundations referred to as SBC 303 provides minimum requirements
pertaining to material properties of soils, and design and construction of foundation systems. The first edition
of SBC 303 was published in the year of 2007. SBC 303-18 is the second edition of SBC 303 and covers:
geotechnical investigations; excavation grading and fill; presumptive load-bearing of soils; spread footings;
foundation walls; retaining walls; combined footings and mats; design for expansive soils; design for collapsible
soils; design for sabkha soils; design for vibratory loads; dampproofing and waterproofing; and deep
foundations.
The current edition of the Code has been substantially reorganized and reformatted relative to its 2007 edition.
The code is reorganized into 14 chapters. The reorganization was in response to past requests concerning the
difficulty in finding provisions. The new layout is more user-friendly and will better facilitate the use of the
design provisions.
The International Code Council (ICC) materials, especially Chapter 18 of IBC, and local and regional
geotechnical reports were used in the development of this Code. Saudi Building Code National Committee
(SBCNC) has made an agreement with the ICC to use their materials and modify them as per the local
construction needs and regulatory requirements of Saudi Arabia. The ICC is not responsible or liable in any
way to SBCNC or to any other party or entity for any modifications or changes that SBCNC makes to such
documents.
The writing process of SBC 303-18 followed the methodology approved by the Saudi Building Code National
Committee. Many changes and modifications were made in the referred sources to meet the local weather,
materials, construction and regulatory requirements.
The committees responsible for SBC 303 Code and Commentary have taken all precautions to avoid
ambiguities, omissions, and errors in the document. Despite these efforts, the users of SBC 303 may find
information or requirements that may be subject to more than one interpretation or may be incomplete. The
SBCNC alone possesses the authority and responsibility for updating, modifying and interpreting the Code.
It is a common assumption that engineering knowledge is a prerequisite in understanding code provisions and
requirements; thus, the code is oriented towards individuals who possess the background knowledge to evaluate
the significance and limitations of its content and recommendations. They shall be able to determine the
applicability of all regulatory limitations before applying the Code and must comply with all applicable laws
and regulations.
The Commentary provides the technical background and intent behind various requirements of the Code.
Commentaries, however, are advisory only and shall not be considered as mandatory part of the code. All
Commentaries are indented below the code text and begin with the symbol . The background color of the
Commentary is also different from the white background of the Code text.
The requirements related to administration and enforcement of this Code are advisory only. SBCNC and
governmental organizations, in charge of enforcing this Code, possess the authority to modify these
administrative requirements.

SBC 303-CC-18 iii

SUMMARY OF CHAPTERS

SUMMARY OF CHAPTERS
The entire SBC 303-18 is divided into 14 chapters. A brief outline of these chapters is given below:
Chapter 1. General This chapter explains where SBC 303 Code applies and how it is to be interpreted. This
chapter clarifies that allowable bearing pressures, allowable stresses and design formulas provided in this code
shall be used with the allowable stress design load combinations. The various terminologies used in the Code
are also defined in this chapter.
Chapter 2. Geotechnical Investigations This chapter addresses the conditions that mandate a
geotechnical investigation, as well as the information that must be included in the report. The requirements of
this chapter make it mandatory that geotechnical investigations involving in-situ testing, laboratory testing or
engineering calculations shall be conducted by a registered design professional only.
Chapter 3. Excavation, Grading and Fill This chapter provides the details of safety precautions that
must be considered at all stages of excavation, grading and fill. This chapter also emphasizes that special care,
measures, and techniques shall be followed for excavation below the groundwater table.
Chapter 4. Presumptive Load-Bearing values of Soils This chapter provides presumptive load-bearing
values for the various class of soils and rocks. The chapter also clarifies how to use these presumptive load-
bearing values for foundations and footing design.
Chapter 5. Spread Footings This chapter provides the requirements for the design and construction of
spread footings.
Chapter 6. Foundation Walls Foundation walls typically serve as the enclosure for a basement or crawl
space as well as a below-grade load-bearing foundation component. These walls carry vertical loads from the
structure above, resist wind and any lateral forces transmitted to the foundations and sustain earth pressures
exerted against the walls. This chapter provides the requirements for the design and construction of foundation
walls.
Chapter 7. Retaining Walls This chapter provides minimum requirements for the design of retaining walls
to ensure stability against overturning, sliding, excessive foundation pressure and water uplift. The provisions
of this chapter apply to all matters pertaining to design and construction of rigid gravity, semi-gravity, cantilever,
buttressed, and counterfort retaining walls.
Chapter 8. Combined Footings and Mats This chapter provides requirements for the analysis, design,
and construction of combined footings and mats.
Chapter 9. Design for Expansive Soils Provisions of this chapter apply to building foundation systems
in expansive soil areas. Foundation design and construction shall be based on geotechnical investigations, unless
the building official ascertains that sufficient data upon which to base the design and construction of the
foundation system is available.
Chapter 10. Design for Collapsible Soils Provisions of this chapter apply to building foundation
systems on collapsible soil areas. Foundation design and construction shall be based on site investigations,
unless the building official ascertains that sufficient data upon which to base the design and construction of the
foundation system is available.
Chapter 11. Design for Sabkha Soils Soils with a high content of soluble or insoluble salts and high
salinity with the occasional relatively hard crusty surface can be classified as Sabkha. Provisions of this chapter
apply to building foundation systems in sabkha soil areas. Foundation design and construction shall be based
on geotechnical site investigations unless the building official ascertains that sufficient data upon which to base
the design and construction of the foundation system is available.
Chapter 12. Design for Vibratory Loads This chapter provides minimum requirements for the design of
foundations subjected to dynamic loading due to machinery vibrations.
Chapter 13. Dampproofing and Waterproofing This chapter covers the requirements for
waterproofing and dampproofing those parts of substructure construction that need to be provided with moisture
protection. It identifies the locations where moisture barriers are required and specifies the materials to be used

SBC 303-CC-18 iv
SUMMARY OF CHAPTERS

and the methods of application. The provisions also deal with subsurface water conditions, drainage systems
and other protection requirements.
Chapter 14. Deep Foundations This chapter sets forth the general rules for analyzing, designing,
detailing and installing deep foundations.

SBC 303-CC-18 v
 TABLE OF CONTENTS

TABLE OF CONTENTS ..................................................................................................................................... VI

CHAPTER 1 GENERAL ...................................................................................................................................1
1.1 SCOPE ............................................................................................................................................................ 1
1.2 DESIGN BASIS ................................................................................................................................................ 1
1.3 DEFINITIONS .................................................................................................................................................. 1
CHAPTER 2 GEOTECHNICAL INVESTIGATIONS ........................................................................................2
2.1 GENERAL ....................................................................................................................................................... 2
2.2 SCOPE OF INVESTIGATION .............................................................................................................................. 3
2.3 SOIL CLASSIFICATION .................................................................................................................................... 8
2.4 INVESTIGATION.............................................................................................................................................. 9
2.5 SOIL BORING AND SAMPLING ......................................................................................................................... 9
2.6 REPORTING .................................................................................................................................................. 10
CHAPTER 3 EXCAVATION, GRADING AND FILL ..................................................................................... 15
3.1 GENERAL ..................................................................................................................................................... 15
3.2 COMMENCEMENT......................................................................................................................................... 15
3.3 EXCAVATIONS NEAR FOUNDATIONS ............................................................................................................ 15
3.4 SLOPE LIMITS ............................................................................................................................................... 16
3.5 SURCHARGE ................................................................................................................................................. 16
3.6 PLACEMENT OF BACKFILL ............................................................................................................................ 16
3.7 SITE GRADING .............................................................................................................................................. 17
3.8 GRADING DESIGNATION ............................................................................................................................... 17
3.9 GRADING AND FILL IN FLOOD HAZARD AREAS ............................................................................................. 17
3.10 COMPACTED FILL MATERIAL...................................................................................................................... 18
3.11 CONTROLLED LOW-STRENGTH MATERIAL (CLSM) ................................................................................... 18
CHAPTER 4 PRESUMPTIVE LOAD-BEARING VALUES OF SOILS ......................................................... 21
4.1 LOAD COMBINATIONS .................................................................................................................................. 21
4.2 PRESUMPTIVE LOAD-BEARING VALUES ........................................................................................................ 21
4.3 LATERAL LOAD RESISTANCE ........................................................................................................................ 21
4.4 COMPUTED LOAD-BEARING VALUES ............................................................................................................ 22
CHAPTER 5 SPREAD FOOTINGS ............................................................................................................... 25
5.1 GENERAL ..................................................................................................................................................... 25
5.2 DEPTH AND WIDTH OF FOOTINGS ................................................................................................................. 25
5.3 FOOTINGS ON OR ADJACENT TO SLOPES ....................................................................................................... 25
5.4 DESIGN OF FOOTINGS ................................................................................................................................... 27
5.5 EMBEDDED POSTS AND POLES ...................................................................................................................... 30
5.6 SEISMIC REQUIREMENTS .............................................................................................................................. 32
CHAPTER 6 FOUNDATION WALLS ............................................................................................................ 37
6.1 GENERAL ..................................................................................................................................................... 37
6.2 DESIGN LATERAL SOIL LOADS ...................................................................................................................... 37
6.3 UNBALANCED BACKFILL HEIGHT ................................................................................................................. 37
6.4 RUBBLE STONE FOUNDATION WALLS ........................................................................................................... 37
6.5 CONCRETE FOUNDATION WALLS .................................................................................................................. 37
6.6 PRESCRIPTIVE DESIGN OF CONCRETE FOUNDATION WALLS .......................................................................... 37
6.7 PIER AND CURTAIN WALL FOUNDATIONS ..................................................................................................... 38

SBC 303-CC-18 vi
 TABLE OF CONTENTS

CHAPTER 7 RETAINING WALLS ................................................................................................................ 44

7.1 GENERAL ..................................................................................................................................................... 44
7.2 LATERAL EARTH PRESSURES ........................................................................................................................ 44
7.3 BEARING CAPACITY ..................................................................................................................................... 46
7.4 STABILITY.................................................................................................................................................... 46
7.5 WALL DIMENSIONS ...................................................................................................................................... 47
7.6 WALL CONSTRUCTION ................................................................................................................................. 47
CHAPTER 8 COMBINED FOOTINGS AND MATS ...................................................................................... 52
8.1 GENERAL ..................................................................................................................................................... 52
8.2 LOADINGS .................................................................................................................................................... 52
8.3 CONCRETE ................................................................................................................................................... 52
8.4 CONTACT PRESSURE .................................................................................................................................... 52
8.5 SETTLEMENT ............................................................................................................................................... 55
8.6 COMBINED FOOTINGS .................................................................................................................................. 55
8.7 CONTINUOUS FOOTINGS ............................................................................................................................... 56
8.8 GRID FOUNDATIONS ..................................................................................................................................... 57
8.9 MAT FOUNDATIONS ..................................................................................................................................... 57
8.10 SEISMIC REQUIREMENTS ........................................................................................................................... 59
CHAPTER 9 DESIGN FOR EXPANSIVE SOILS .......................................................................................... 62
9.1 GENERAL ..................................................................................................................................................... 62
9.2 LOADINGS.................................................................................................................................................... 62
9.3 DESIGN ........................................................................................................................................................ 62
9.4 PRE-CONSTRUCTION INSPECTIONS ............................................................................................................... 65
9.5 INSPECTION PRIOR TO PLACEMENT OF CONCRETE ........................................................................................ 66
9.6 CONCRETE ................................................................................................................................................... 66
CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS ................................................................................... 69
10.1 GENERAL ................................................................................................................................................... 69
10.2 LOADINGS.................................................................................................................................................. 69
10.3 DESIGN ...................................................................................................................................................... 69
10.4 INSPECTIONS .............................................................................................................................................. 71
10.5 CONCRETE ................................................................................................................................................. 71
CHAPTER 11 DESIGN FOR SABKHA SOILS ............................................................................................. 80
11.1 GENERAL ................................................................................................................................................... 80
11.2 LOADINGS .................................................................................................................................................. 80
11.3 DESIGN ...................................................................................................................................................... 80
11.4 REQUIRED PREVENTIVE MEASURES ............................................................................................................ 81
11.5 CONCRETE ................................................................................................................................................. 81
11.6 REMOVAL OF SABKHA SOILS ...................................................................................................................... 81
11.7 STABILIZATION .......................................................................................................................................... 82
CHAPTER 12 DESIGN FOR VIBRATORY LOADS ..................................................................................... 85
12.1 GENERAL ................................................................................................................................................... 85
12.2 LOADS ....................................................................................................................................................... 85
12.3 SOIL BEARING PRESSURES, PILE CAPACITIES AND SETTLEMENTS ............................................................... 86
12.4 DESIGN REQUIREMENTS ............................................................................................................................. 86
CHAPTER 13 DAMPPROOFING AND WATERPROOFING ....................................................................... 90
13.1 SCOPE ........................................................................................................................................................ 90

SBC 303-CC-18 vii

 TABLE OF CONTENTS

13.2 DAMPPROOFING ......................................................................................................................................... 92

13.3 WATERPROOFING ...................................................................................................................................... 94
13.4 SUBSOIL DRAINAGE SYSTEM ...................................................................................................................... 96
13.5 UNDERGROUND WATER-RETENTION STRUCTURES ..................................................................................... 98
CHAPTER 14 DEEP FOUNDATIONS ........................................................................................................ 102
14.1 GENERAL ................................................................................................................................................. 102
14.2 ANALYSIS ................................................................................................................................................ 103
14.3 DESIGN AND DETAILING........................................................................................................................... 106
14.4 INSTALLATION ......................................................................................................................................... 130

SBC 303-CC-18 viii

 CHAPTER 1 GENERAL

CHAPTER 1 GENERAL

Alarm Level. The vibration level at which a

1.1 Scope machine is considered to have developed a
1.1.1 The Saudi Building Code for Soils and defect that will result in related downtime.
foundations referred to as SBC 303, provides This level is usually higher than the
minimum requirements for foundation systems. acceptance level to allow for conservatism
This requirement shall govern in all matters and machinery variance and is
pertaining to design, construction, and material recommended as 1.5 times the acceptance
properties wherever this requirement is in conflict level but may be varied, depending on
with requirements contained in other standards specific experience or operational
referenced in this code. requirements.
Allowable Foundation Pressure. The vertical
1.2 Design basis pressure exerted by a foundation on a
1.2.1 Allowable bearing pressures, allowable supporting formation which can be safely
stresses and design formulas provided in this code tolerated without causing detrimental
shall be used with the allowable stress design load settlement or shear failure.
combinations specified in Section 2.4 SBC 301. Allowable Lateral Pressure. The lateral pressure
The quality and design of materials used exerted due to a foundation or earth
structurally in excavations and foundations shall pressure which can be safely tolerated
comply with the requirements specified in SBC without causing neither shear failure nor
301, SBC 304, SBC 305 of the Saudi Building detrimental lateral movement.
Code, and ACI 360. Excavations and fills shall also Augered Uncased Piles. Piles constructed by
comply with SBC 201. depositing concrete into an uncased
augered hole, either during or after the
Design requirements in SBC 303 are generally
based on an allowable stress design (ASD) withdrawal of the auger.
approach. Allowable stresses and service loads Backfill. Earth filling a trench or an excavation
should not be used with the load combinations under or around a building.
for strength design, and vice versa. This section Building Official. The officer or other designated
clarifies the applicable load combinations from authority charged with the administration
SBC 301 that are to be used for the design of and enforcement of this code, or his duly
foundations. authorized representatives.
1.3 Definitions Borehole. A hole made by boring into the ground
to study stratification, to obtain natural
1.3.1 The following words and terms shall, for resources, or to release underground
the purpose of this code, have the meanings shown pressures.
herein. Caisson Piles. Cast-in-place concrete piles
Definitions are intended to facilitate the extending into bedrock. The upper portion
understanding of code provisions and to of a caisson pile consists of a cased pile that
minimize potential confusion. The use and extends to the bedrock. The lower portion
application of all defined terms, as well as of the caisson pile consists of an uncased
undefined terms, are set forth in this section. socket drilled into the bedrock.
Acceptance Level. The vibration level Cantilever Reinforced Concrete Wall. A rigid
(displacement, velocity, or acceleration) at wall consisting of a concrete stem and base
which a machine can run indefinitely slab which forms an inverted T.
without inducing vibration related Cantilever or Strap Footing. A setup of a concrete
maintenance. beam placed on two adjacent footings
Active Zone. The upper zone of soil deposit which support concentrated loads exerted
affected by the seasonal variations in at or close to the edge of the beam. The
moisture content. strap footing is used to connect an
eccentrically loaded column footing to an

SBC 303-CC-18 1
 CHAPTER 1 GENERAL

interior column such that the moment Driven Uncased Piles. Piles constructed by driving
caused from eccentricity is transmitted to a steel shell into the soil to shore an
the interior column footing to obtain unexcavated hole that is later filled with
uniform soil pressure beneath both concrete. The steel casing is lifted out of
footings. the hole during the deposition of the
Cavity. An underground opening with widely concrete.
varying sizes caused mainly by solution of Effective Depth of Section. The distance measured
rock materials by water. from the extreme compression fiber to the
Collapse Index The percentage of vertical relative centroid of tension reinforcement.
magnitude of soil collapse determined at Enlarged Based Piles. Cast-in-place concrete piles
200 kPa as per ASTM D 5333. constructed with a base that is larger than
Collapse Potential. The percentage of vertical the diameter of the remainder of the pile.
relative magnitude of soil collapse The enlarged base is designed to increase
determined at any stress level as per ASTM the load-bearing area of the pile in end
D 5333. bearing.
Collapsible Soils. Soil deposits that are Erosion. The wearing away of the ground surface
characterized by sudden and large volume as a result of the movement of wind and
decrease upon wetting. These deposits are water.
comprised primarily of silt or fine sand- Excavation. The mechanical or manual removal of
sized particles with small amounts of clay, earth material.
and may contain gravel. Collapsible soils Expansion Index The percent swell of soil
have low density, but are relatively stiff and determined in accordance with ASTM-
strong in their dry state. D4829 multiplied by fraction passing No. 4
Column. A structural member with a ratio of sieve multiplied by 100.
height-to-least-lateral dimension exceeding Expansion Joints. Intentional plane of weakness
three, used primarily to support axial between parts of a concrete structure
compressive loads. designed to prevent the crushing and
Combined Footing. A structural unit or assembly distortion, including displacement,
of units supporting more than one column buckling, warping of abutting concrete
load. structural units that might otherwise be
Compaction. Increasing the dry density of soils by developed by expansion, applied loads, or
means such as impact or by rolling the differential movements arising from the
surface layers. configuration of the structure or its
Contact Pressure. The pressure acting at and settlement.
perpendicular to the contact area between Expansive Soil. A soil or rock material that has a
footing and soil, produced by the weight of potential for shrinking or swelling under
the footing and all other forces acting on it. changing moisture conditions.
Continuous or Strip Footing. A combined footing Factor of Safety. The ratio of ultimate bearing
of prismatic or truncated shape, supporting capacity to the allowable load-bearing.
two or more columns in a row. Continuous Fill. A deposit of earth material placed by artificial
or strip footings may be of fixed thickness means.
or upper face can be stepped or inclined Flexural Length. The length of a pile from the first
with inclination or steepness not exceeding point of zero lateral deflection to the
1 unit vertical in 2 units horizontal. underside of the pile cap or grade beam.
Deep Foundation. A foundation element that does Footing. That portion of the foundation of a
not satisfy the definition of a shallow structure which spreads and transmits loads
foundation. directly to the soil.
Distortion Resistance. Distortion resistance Foundation. The portion of a structure which
corresponds to moment resistance to transmits the building load to the ground.
bending of beams, columns, footings and Helical Pile. Manufactured steel deep foundation
joints between them. element consisting of a central shaft and
Drilled Shaft. A cast-in-place deep foundation one or more helical bearing plates. A
element constructed by drilling a hole (with helical pile is installed by rotating it into the
or without permanent casing) into soil or ground. Each helical bearing plate is
rock and filling it with fluid concrete.

SBC 303-CC-18 2
 CHAPTER 1 GENERAL

formed into a screw thread with a uniform with carbonate and evaporite formations
defined pitch. that have been subjected to karst
Geotechnical Engineer. An engineer development during Quaternary pluvial
knowledgeable and experienced in soil and epochs.
rock engineering. Lateral Sliding Resistance. The resistance of
Geotechnical Engineering. The application of the structural walls or foundations to lateral
principles of soils and rock mechanics in sliding, and it is controlled by interface
the investigation, evaluation and design of friction and vertical loads.
civil works involving the use of earth Low-Tuned System. A machine
materials and the inspection and/or testing support/foundation system in which the
of the construction thereof. operating frequency (range) of the
Grade. Grade is the vertical location of the ground machinery (train) is above all natural
surface. frequencies of the system.
Grade Beam. A continuous beam subject to flexure Machine Support/Foundation System. A system
longitudinally, loaded by the line of consisting of the machinery (train)
columns it supports. including base plate and the foundation,
Gravity Concrete Wall. A gravity wall consists of support structure plus all piers, equipment
mass concrete, generally without and process piping supported on the
reinforcement. It is proportioned so that the foundation or machinery. The supporting
resultant of the forces acting on any internal soil, piling or structure shall be considered
plane through the wall falls within, or close part of the machine foundation system.
to, the kern of the section. Mat Area. The contact area between mat
Grid Foundation. A combined footing, formed by foundation and supporting soil.
intersecting continuous footings, loaded at Mat Foundation. A continuous footing supporting
the intersection points and covering much an array of columns in several rows in each
of the total area within the outer limits of direction, having a slab like shape with or
assembly. without depressions or openings, covering
Group R Occupancy. See SBC 201. an area of at least 75 % of the total area
Group U Occupancy. See SBC 201. within the outer limits of the assembly.
Heavy Machinery. Any machinery having rotating Micropile. A bored, grouted-in-place deep
or reciprocating masses as the major foundation element that develops its load-
moving parts (such as compressors, pumps, carrying capacity by means of a bond zone
electric motors, diesel engines and in soil, bedrock or a combination of soil and
turbines). bedrock.
High-Tuned System. A machine Mixed System. A machine support/foundation
support/foundation system in which the system having one or more of its natural
operating frequency (range) of the frequencies below and the rest above the
machinery (train) is below all natural operating frequency (range) of the
frequencies of the system. machinery (train).
Influence Zone. The zone under a foundation Modulus of Elasticity. The ratio of normal stress
within the vertical stress contours of 10% to corresponding strain for tensile or
of the applied pressure. compressive stresses below proportional
Karst Formation. A type of topography that is limit of material.
formed by limestone, dolomite, marble, Modulus of Subgrade Reaction. The ratio
gypsum, anhydrite, halite or other soluble between the vertical pressure against the
rocks. Its formation is the result of chemical footing or mat and the deflection at a point
solution of these rocks by percolating of the surface of contact.
waters that commonly follow the pre- Mortar. A mixture of cementitious material and
existing joint patterns and enlarge them to aggregate to which sufficient water and
caverns. Sinkholes and solution cavities at approved additives, if any, have been added
or near the ground surface are characteristic to achieve a workable, and plastic
features of karst, and pose a hazard in the consistency.
Eastern and Central regions of Saudi Natural Frequency. The frequency with which an
Arabia. Collapse features are widespread in elastic system vibrates under the action of
these regions and are commonly associated

SBC 303-CC-18 3
 CHAPTER 1 GENERAL

forces inherent in the system and in the Rocks. Natural aggregate of minerals or
absence of any externally applied force. mineraloids that are connected together by
Net Pressure. The pressure that can be applied to strong bonds or attractive forces and have
the soil in addition to the overburden due to some degree of chemical and mineralogical
the lowest adjacent grade. constancy.
Overburden. The weight of soil or backfill from Rock Quality Designation (RQD). An index or
base of foundation to ground surface. measure of the quality of a rock mass, and
Overturning. The horizontal resultant of any is calculated as summation of length of
combination of forces acting on the intact pieces of core greater than 100 mm in
structure tending to rotate as a whole about length divided by the whole length of core
a horizontal axis. advance.
Pier Foundations. Isolated cast-in-place concrete Sabkhas. Salt bearing arid climate sediments
structural elements extending into firm covering vast areas of the coasts of Saudi
materials. Piers are relatively short in Arabia. These soils either border partially
comparison to their width, with lengths less land-locked seas or cover a number of
than or equal to 12 times the least continental depressions. The development
horizontal dimension of the pier. Piers of this material is due to low wave energy
derive their load-carrying capacity through allowing the settlement of silt and clay
skin friction, through end bearing, or a particles to take place and then be loosely
combination of both. cemented by soluble material. Varying
Pile Foundations. Concrete or steel structural quantities of calcium carbonate,
elements either driven into the ground or magnesium carbonate, calcium sulphate
cast in place. Piles are relatively slender in and calcium, magnesium, and sodium
comparison to their length, with lengths chlorides are found. The sabkha sediments
exceeding 12 times the least horizontal are highly variable in lateral and vertical
dimension. Piles derive their load-carrying extent; various soil types, primarily
capacity through skin friction, end bearing, composed of clays, silts, fine sands, and
or a combination of both. organic matter are interlayered at random.
Pressed Edge. The edge of footing or mat along In general, sabkha sediments are
which the greatest soil pressure occurs characterized by high void ratios and low
under the condition of overturning. dry densities. Accordingly, upon wetting
Rectangular Combined Footing. A combined sabkha soil is renowned for being highly
footing used if the column which is compressible material with low bearing
eccentric with respect to a spread footing resistance, and hence considered among the
carries a smaller load than the interior weakest of foundation materials.
columns. Settlement. The gradual downward movement of
Registered Design Professional. An individual an engineering structure, due to
who is registered or licensed to practice the compression of the soil below the
respective design profession as defined by foundation.
the statutory requirements of the Shallow Foundation. a relatively near-surface
professional registration laws of the state or individual or strip footing, a mat
jurisdiction in which the project is to be foundation, a slab-on-grade foundation or a
constructed. similar foundation element.
Reinforced Concrete. Structural concrete Shoring. The process of strengthening the side of
reinforced with no less than the minimum excavation during construction stage.
amounts of non-prestressed reinforcement Slope. The inclined surface of any part of the
as specified in SBC 304.
Reinforcement. A material that conforms to SBC Socketed Drilled Shaft. A drilled shaft with a
304 Section 3.5, excluding prestressing permanent pipe or tube casing that extends
steel unless specifically included. down to bedrock and an uncased socket
Retaining Walls. Structures that laterally support drilled into the bedrock.
and provide stability for soils or other Soils. Un-cemented or weakly cemented
materials, where existing conditions do not accumulation of solid particles that have
provide stability with either natural or resulted from the disintegration of rocks.
artificial slope.

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 CHAPTER 1 GENERAL

Soil Mechanics. The branch of geotechnical Transient Dynamic Force. T Any dynamic force
engineering that deals with the physical which is short term in nature such as
properties of soil and the behavior of soil starting torques or short circuit moments in
masses subjected to various types of forces. electrical machinery, hydraulic forces,
It applies the basic principles of kinematics, resonance forces of low-tuned or mixed
dynamics, fluid mechanics, and solid systems during start-up or shut-down.
mechanics to soils. Trapezoidal-Shaped Combined Footing. A
Spiral Reinforcement. Continuously wound combined footing used when the column
reinforcement in the form of a cylindrical which has too limited space for a spread
helix. footing carries the larger load.
Spread Footing. A concrete pad supporting Underpinning. The process of strengthening and
column load. It can take a rectangular, stabilizing the foundation of an existing
square or a circular shape and having a building or other structure. Underpinning
uniform or tapered thickness not less than may be necessary for a variety of reasons
250 mm. including, but not limited to, the original
Spring Constant. The soil resistance in load per foundation is simply not strong enough or
unit deflection obtained as the product of stable enough, the use of the structure has
the contributory area and coefficient of changed, the properties of the soil
vertical subgrade reaction. supporting the foundation may have
Steady-State Dynamic Force. Any dynamic force changed or was mischaracterized during
which is periodic in nature and generated planning, the construction of nearby
during normal operating conditions, such as structures necessitates the excavation of
centrifugal forces due to unbalances in soil supporting existing foundation.
rotating machinery or piston forces in Underpinning is accomplished by
reciprocating machinery. extending the foundation in depth or in
Steel-Cased Piles. Piles constructed by driving a breadth so it either rests on a stronger soil
steel shell into the soil to shore an stratum or distributes its load across a
unexcavated hole. The steel casing is left greater area.
permanently in place and filled with Wall Footing. A strip footing supporting a wall
concrete. such that the centerlines of the footing and
Support/Foundation. The part of the machine the wall coincide.
support not supplied by the equipment Water Table. The planar surface between the zone
manufacturer as part of the machinery of saturation and the zone of aeration. Also
(train). This may include but is not limited known as free-water elevation; free water
to piers, concrete mat or block, pilings, surface; groundwater level; groundwater
steel structures, anchor bolts and embedded surface, groundwater table; level of
foundation plates. saturation; phreatic surface; plane of
Surcharge. The load applied to ground surface saturation; saturated surface; water level;
above a foundation, retaining wall, or and waterline.
slope. Weep Holes. Openings used in retaining walls to
Swell Pressure. The maximum applied stress permit passage of water from the backfill to
required to maintain constant volume of an the front of the wall.
inundated sample in the oedometer.
Table Top. A reinforced concrete structure
supporting elevated machinery.
Total Core Recovery (TCR). The total length of
rock pieces recovered divided by the total
length of core advance.

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CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

2.1 General foundation system. The second objective is of

an exploratory nature. It is warranted where
2.1.1 Geotechnical investigations shall be soils information does not exist or is insufficient
conducted in accordance with Section 2.2 and or unsatisfactory for use in the design of the
reported in accordance with Section 2.6. Where foundation system.
required by the building official or where Regardless of the objective of the soils
geotechnical investigations involve in-situ testing, investigation, the information generally required
laboratory testing or engineering calculations, such includes one or more of the following items for
investigations shall be conducted by a registered determining subsurface conditions:
design professional.
The depth, thickness and composition of each
This section addresses the conditions that soil stratum.
mandate a geotechnical investigation, as well For rock, the characteristics of the rock stratum
as the information that must be included in the (or strata), including the thickness of the rock to
report. The investigation of soils must be done a reasonable depth.
by a registered design professional recognizes The depth of ground water below the site
that testing and calculations require individuals surface.
with expertise in soil and foundation analysis. The engineering properties of the soil and rock
The field of soil mechanics and foundation strata that are pertinent for the proper design
engineering is diverse and complicated, and and performance of the foundation system.
since it is not an exact science, its application For shallow foundations, the soils investigation
requires specialized knowledge and judgment should yield sufficient information to establish
based on experience. Where subsurface the character and load-bearing capacity of the
conditions are found or suspected to be of a soil (or rock) at depths that will receive the
critical nature, the building official is foundations.
encouraged to seek the professional advice of Foundation problems are not uncommon and
experienced foundation engineers. may vary greatly, ranging from very simple and
2.1.2 Investigations required. Geotechnical manageable problems to very complex
investigations shall be conducted in accordance situations that may be either manageable or
without practical remedy.
with Sections 2.1.3 through 2.2.3 .
As indicated in the exception, where
Exception: The building official shall be permitted geotechnical data from adjacent areas are well
to waive the requirement for a geotechnical known, the building official can accept the use
investigation where satisfactory data from adjacent of local engineering practices for the design of
areas is available that demonstrates an investigation foundations.
is not necessary for any of the conditions in Sections 2.1.2.1 No site investigation report is needed if the
2.2.3.1 through 2.2.3.6 and Sections 2.2.3.11 and building meets the following combined criteria:
2.2.3.12.
(1) The net applied pressure on the
Soils investigations to determine subsurface foundation is less than 50 kPa.
conditions should be made prior to the design
and construction of new buildings and other (2) There are no dynamic or vibratory loads
structures. Such investigations should also be on the building.
conducted when additions to existing facilities
are considered and are of such a scope that (3) Questionable or problematic soil is not
would significantly increase or change the suspected underneath the building.
distribution of foundation loads. (4) Cavities are not suspected underneath the
There are two main objectives for conducting a footing of the building.
soils investigation. The first is of a confirmatory
nature. Its purpose is to obtain information
2.1.3 Basis of investigation. Soil classification
already known from adjacent structures, such shall be based on observation and any necessary
as soil-boring records, field test results, tests of the materials disclosed by borings, test pits
laboratory test data and analyses and any other or other subsurface exploration made in appropriate
knowledge useful in the design of the locations. Additional studies shall be made as

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 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

necessary to evaluate slope stability, soil strength, soundings, the equipment used to drill or sample,
position and adequacy of load-bearing soils, the the in-situ testing equipment and the laboratory
effect of moisture variation on soil-bearing testing program shall be determined by a registered
capacity, compressibility, liquefaction and design professional.
expansiveness. Whenever the load capacity of a soil is in doubt
When soils are required to be classified, the and a field investigation is necessary,
classification must be based on observations exploratory borings are to be made to
and tests, such as borings or test pits. In determine the load-bearing value of the soil.
addition to the situations specified that require The investigation is to be performed by a
a soils investigation and classification, the registered design professional, which in most
building official or registered design cases would be a geotechnical engineer.
professional may also require the evaluation of Exploratory borings and their associated tests
slope stability, soil strength, position and should be conducted in each area of relatively
adequacy of load- bearing soils, moisture dissimilar subsoil conditions.
effects, compressibility and liquefaction.
2.2.2 Qualified representative. The
2.1.4 Objectives. Geotechnical site investigation investigation procedure and apparatus shall be in
shall be planned and executed to determine the accordance with generally accepted engineering
following: practice. The registered design professional shall
have a fully qualified representative on site during
(1) Lateral distribution and thickness of the
all borings or sampling operations.
soil and rock strata within the zone of
influence of the proposed construction. 2.2.3 Investigated conditions. Geotechnical
investigations shall be conducted as indicated in
(2) Suitability of the site for the proposed
Sections 2.2.3.1 through 2.2.3.12.
work.
Sections 2.2.3.1 through 2.2.3.12 state
(3) Proposal of best method for construction conditions that necessitate a subsurface
on the site. investigation.
(4) Physical and engineering properties of 2.2.3.1 Classification. Soil materials shall be
the soil and rock formations. classified in accordance with ASTM D 2487.
(5) Groundwater conditions with Where required, soils are to be classified in
consideration of seasonal changes and accordance with ASTM D2487. This standard
the effects of extraction due to provides a system for classifying soils for
construction. engineering purposes based on laboratory
(6) Hazardous conditions including unstable determination of particle size Where required, soils
slopes, active or potentially active faults, are to be classified in accordance with ASTM
regional seismicity, floodplains, ground D2487. This standard provides a system for
subsidence, collapse, and heave classifying soils for engineering purposes based on
potential. laboratory determination of particle size.
(7) Changes that may arise in the 2.2.3.2 Questionable soil. Where the classification,
environment and the effects of these strength or compressibility of the soil is in doubt, or
changes on the proposed and adjacent where a load-bearing value superior to that
buildings. specified in this code is claimed, the building
official shall be permitted to require that a
(8) Advice on the suitability of alternative geotechnical investigation be conducted.
location for the proposed building, if
exists. Whenever relevant soil characteristics are in
doubt, or where a design is based upon load-
(9) Thorough understanding of all bearing values that are greater than those
subsurface conditions that may affect the specified in the code, the building official may
proposed building. require investigation and testing of the soil.

2.2 Scope of investigation One such method of investigation includes

construction test pits for field load-bearing tests.
2.2.1 The scope of the geotechnical investigation Test pits are usually required to be at least 0.4
including the number and types of borings or m2 in area and be excavated down to the

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 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

elevation of the proposed bearing surface. The official shall require geotechnical investigation to
typical test involves placing the test loads on a determine whether such soils do exist.
platform supported on a post through which the
applied loads are transferred to a bearing plate 2.2.3.4 Ground-water table. A subsurface soil
of a specified size and, in turn, to the soil below. investigation shall be performed to determine
A typical setup for field load tests is shown in whether the existing groundwater table is within the
Commentary Figure 2-1. influence zone underneath the foundation of the
It is important that the load (weights on building.
platform) is applied such that all of it will be There are several reasons for conducting a
transmitted to the soil as a static load without subsurface investigation to determine the level
impact, fluctuation or eccentricity. The load of ground-water at a construction site. If the
should be applied incrementally, and ground-water table is above subsurface slabs
continuous records of all settlements should be (i.e., basement floors), then walls and floors
kept. Measurements are usually made by need to be designed to resist hydrostatic
settlement recording devices, such as dial pressures. Foundation walls and basement
gauges, capable of measuring the settlement of slabs may need to be dampproofed or
the test bearing plate to an accuracy of 0.25 mm waterproofed, depending on the location of the
or less. ground-water table. A subsurface investigation
The test is continued until either the maximum will also determine the type of drainage system
test load is reached or the ratio of load needed as a permanent installation, whether
increment to settlement increment reaches a there will be any major water problems that
minimum, steady magnitude sustained for a could affect the excavation operations and
period of 48 hours. After the load is released, construction of the foundation system, and if it
the elastic rebound of the soil is also measured is necessary to provide a temporary drainage
for a period of time. system of a type and size that will control
ground- water seepage.
Load test results are normally presented in a
load settlement diagram in which the applied Ground-water levels can vary significantly over
test load measured in kPa is plotted in relation
to the settlement readings recorded in fractions While it would be ideal to make ground-water
of a centimeter. The bearing capacity of the soil table observations that encompass a full annual
can be computed from the test results. cycle, the reality is that such an undertaking
would not normally facilitate a
There are some drawbacks to the use of field design/construction program and would be
load tests for determining soil-bearing capacity. impractical. Ground-water observations must
Test results can be misleading if the soil under be made in shorter time intervals; however, this
the footing is not uniform for the full depth of situation poses some real problems. For
load influence, which is equal to about twice the example, measurements of ground-water
width of the footing. Also, since a load test is levels in bore holes taken 24 hours after
conducted for a short duration, settlements that completion of the soil borings can provide an
occur due to the consolidation of the soil over a acceptable indication of the water level in
very long time cannot be predicted. Since this permeable soils, such as sand, gravel or
type of field load-bearing testing is relatively sand/gravel mixtures. Fine-grained soils of low
expensive, it is not widely used. permeability, such as clays, require the use of
Other methods for determining the safe bearing observation tubes (piezometers) and,
capacity of soils may be more appropriate. depending on the specific properties of the soil,
Standard laboratory tests can usually produce a time period of 10 weeks or longer to obtain
sufficient proof of satisfactory bearing capacity acceptable readings.
and settlement information. However, there are Water levels established by either of the two
conditions when standard laboratory tests may methods described above are sufficient
not produce reliable results, such as when clay indication of the water conditions at the time of
materials contain a pattern of cracks or when measurement, but do not necessarily represent
stiff clays may have suffered differential the highest possible ground-water levels that
movement or expansion. As stated in Section can occur. For design purposes, the water
2.2, a registered design professional must levels established by field observations may
establish an appropriate testing program. need to be adjusted with the climatological and
2.2.3.3 Problematic soils. In areas likely to have hydrological records of the region in order to
establish the high and low points.
expansive, collapsible, or sabkha soils, the building

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 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

As indicated in the exception, a subsurface cavities, adverse water conditions), as well as a

investigation is not required where floors, walls, history of any seismic activity.
joints and penetrations are waterproofed as
The types of information described above are
required in Section 13.3.
usually obtained by means of soil and rock
2.2.3.5 Deep foundations. Where deep borings, laboratory and field tests and
foundations will be used, a geotechnical engineering analyses. Such information is used
investigation shall be conducted and shall include for determining design loads, types and lengths
all of the following, unless sufficient data upon of piles, driving criteria, selection of equipment
and probable durability of pile materials in
which to base the design and installation is
relation to subsurface conditions.
otherwise available:
2.2.3.6 Rock strata. Where subsurface
(1) Recommended deep foundation types
explorations at the project site indicate variations or
and installed capacities.
in the structure of the rock upon which foundations
(2) Recommended center-to-center spacing are to be constructed, a sufficient number of borings
of deep foundation elements. shall be drilled to sufficient depths to assess the
competency of the rock and its load-bearing
(3) Driving criteria.
capacity.
(4) Installation procedures. Rock may be found at levels near or at the
(5) Field inspection and reporting
procedures (to include procedures for foundations can be supported, or will range
verification of the installed bearing downward to very low levels, upon which piles
and other types of deep foundations can bear.
capacity where required).
Most intact rock will have compressive
(6) Load test requirements. strengths that far exceed the requirements for
(7) Suitability of deep foundation materials foundation support. It is most common,
for the intended environment. however, to find cracks, joints and other defects
in rock formations that will increase the
(8) Designation of bearing stratum or strata. compressibility of the material. Depending on
the nature and extent of the defects, settlement
(9) Reductions for group action, where
may become the governing factor in
necessary. determining allowable load-bearing capacity
A foundation investigation is required when rather than rock strength.
deep foundations are proposed. Such Where the condition of the rock is in doubt,
investigations are needed to define as borings must be performed to verify the
accurately as possible the subsurface soundness of the material and to determine its
conditions of soil and rock materials, establish load-bearing capacity.
the soil and rock profiles across the
construction site and locate the ground-water 2.2.3.6.1 Rock cavities. In areas of karst
table. Sometimes, it may also be necessary to formations, the building official shall require
determine specific soil properties, such as geotechnical investigation to determine the
shear strength, relative density, compressibility potential sizes and locations of cavities underneath
and other such technical data required for the building. If cavities are encountered, such
analyzing subsurface conditions. Foundation
investigation shall recommend remedies and
investigations may also be used to render such
valuable data as information on existing construction procedures.
construction at the site or on neighboring 2.2.3.7 Excavation near foundations. Where
properties (including boring and test records), excavations will reduce support from any
the type and condition of the existing structures, foundation, a registered design professional shall
their age, the type of foundations used and
prepare an assessment of the structure as
performance over the years. Other helpful
information includes knowledge of existing determined from examination of the structure, the
deleterious substances in the soils that could review of available design documents and, if
affect the durability (as well as the necessary, excavation of test pits. The registered
performance) of the piles, data on geologic design professional shall determine the
conditions at the site (including such requirements for underpinning and protection and
information as the existence of mines, earth prepare site specific plans, details and sequence of
work for submission. Such support shall be

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 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

provided by underpinning, sheeting and bracing, or (1) Specifications for the preparation of the
by other means acceptable to the building official. site prior to placement of the CLSM.
Section 3.3 addresses soil stability when (2) Specifications for the CLSM.
excavations are made adjacent to existing
foundations. This provision makes it clear (3) Laboratory or field test method(s) to be
where an assessment by a registered design used to determine the compressive
professional is necessary for these situations. strength or bearing capacity of the
CLSM.
2.2.3.8 Compacted fill material. Where shallow
foundations will bear on compacted fill material (4) Test methods for determining the
more than 300 mm in depth, a geotechnical acceptance of the CLSM in the field.
investigation shall be conducted and shall include (5) Number and frequency of field tests
all of the following: required to determine compliance with
(1) Specifications for the preparation of the Item 4.
site prior to placement of compacted fill As an alternative to compacted fill, the code
material. permits the use of controlled low-strength
(2) Specifications for material to be used as material (CLSM) for the support of footings.
CLSM must be placed in accordance with an
compacted fill.
approved report that includes requirements for
(3) Test methods to be used to determine the the material strength and field verification.
maximum dry density and optimum -compacting
moisture content of the material to be
used as compacted fill. is commonly referred to by a variety of other
names, which include flowable fill, controlled
(4) Maximum allowable thickness of each
density fill, unshrinkable fill and soil-cement
lift of compacted fill material. slurry. Guidance on the use of these materials
(5) Field test method for determining the in- can be found in ACI 229R. Additional
place dry density of the compacted fill. documents that may be useful references for
sampling and testing these materials include
(6) Minimum acceptable in-place dry the following ASTM International standards:
density expressed as a percentage of the
ASTM D4832, Standard Test Method for
maximum dry density determined in Preparation and Testing of Controlled Low-
accordance with Item 3. strength Material (CLSM) Test Cylinders.
(7) Number and frequency of field tests ASTM D5971, Standard Practice for Sampling
required to determine compliance with Freshly Mixed Controlled Low-strength
Item 6. Material.
The information on prepared fill in the soils ASTM D6023, Standard Test Method for Unit
report is necessary to permit a reasonable Weight, Yield, Cement Content, and Air
prediction as to the load-bearing capacity of the Content (Gravimetric) of Controlled Low-
fill material. Where prepared fill is to be utilized strength Material (CLSM).
for foundation support, the geotechnical report
ASTM D6024, Standard Test Method for Ball
is to contain detailed information for approval of
Drop on Controlled Low-strength Material
the fill. Additionally, when prepared fill is to be
(CLSM) to Determine Suitability for Load
utilized where special inspections are required,
Application.
the fill operation itself must be performed under
the scrutiny of a special inspector. Where one ASTM D6103, Standard Test Method for Flow
(or more) of the exceptions in Section 1704.1 of Consistency of Controlled Low-strength
SBC 201 applies, special inspection of the Material (CLSM).
prepared fill operation is not required.
2.2.3.10 Alternate setback and clearance. Where
2.2.3.9 Controlled low-strength material setbacks or clearances other than those required in
(CLSM). Where shallow foundations will bear on Section 5.3 are desired, the building official shall be
controlled low-strength material (CLSM), a permitted to require a geotechnical investigation by
geotechnical investigation shall be conducted and a registered design professional to demonstrate that
shall include all of the following: the intent of Section 5.3 would be satisfied. Such an
investigation shall include consideration of

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material, height of slope, slope gradient, load 2.2.3.12 Seismic Design Category D through F.
intensity and erosion characteristics of slope For structures assigned to Seismic Design Category
material. D, E or F, the geotechnical investigation required
Section 5.3 regulates the placement of
by Section 2.2.3.11 shall also include all of the
foundations adjacent to slopes that are greater following as applicable:
than one unit vertical to three units horizontal (1) The determination of dynamic seismic
(33.3-percent slope). This section provides the lateral earth pressures on foundation
building official the authority to approve
walls and retaining walls supporting
alternative setbacks and clearances to those
required in Section 5.3. The building official has more than 1.8 m of backfill height due to
the authority to require an investigation by a design earthquake ground motions.
registered design professional to show that the (2) The potential for liquefaction and soil
intent of the code has been met. This item also strength loss evaluated for site peak
specifies the parameters that must be
ground acceleration, earth-quake
considered by the registered design
professional in the investigation. magnitude and source characteristics
consistent with the maximum considered
2.2.3.11 Seismic Design Category C through F. earthquake ground motions. Peak ground
For structures assigned to Seismic Design Category acceleration shall be determined based
C, D, E or F, a geotechnical investigation shall be on one of the following:
conducted, and shall include an evaluation of all of
the following potential geologic and seismic (i) A site-specific study in
hazards: accordance with Section 21.5 of
SBC 301.
(1) Slope instability. (ii) In accordance with Section
(2) Liquefaction. 11.8.3 of SBC 301.

(3) Total and differential settlement. (3) An assessment of potential consequences

of liquefaction and soil strength loss
(4) Surface displacement due to faulting or including, but not limited to, the
seismically induced lateral spreading or following:
lateral flow.
(i) Estimation of total and
The potential for liquefaction, surface rupture or differential settlement.
slope instability at a building site is greater in
(ii) Lateral soil movement.
areas of moderate and high seismicity than in
areas of low seismicity. Also, the consequences
(iii) Lateral soil loads on
of damage resulting from such hazards are foundations.
more severe for buildings in higher risk (iv) Reduction in foundation
categories (such as essential facilities). Thus, soil-bearing capacity and lateral
this section requires an investigation report, for soil reaction.
building sites that are assigned to Seismic (v) Soil downdrag and reduction in
Design Category C or higher, that includes an axial and lateral soil reaction for
evaluation of the specific earthquake hazards pile foundations.
listed. The purpose of this section is to reduce (vi) Increases in soil lateral
the hazard of large ground movement and the pressures on retaining walls.
damaging effects on the structure. Liquefaction
of saturated granular soils has been a major
(vii) Flotation of buried structures.
source of building damage during past (4) Discussion of mitigation measures such
earthquakes. Loss of bearing strength, as, but not limited to, the following
differential settlement and differential horizontal
displacement due to lateral spread were the (i) Selection of appropriate
direct causes of damage. foundation type and depths.
For more information regarding evaluation of
(ii) Selection of appropriate
slope instability, liquefaction and surface structural systems to
rupture caused by faulting or lateral spreading, accommodate anticipated
see Section 7.4 of the National Earthquake displacements and forces.
Hazards Reduction Program (NEHRP) (iii) Ground stabilization.
Provisions commentary (FEMA 450-2).

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(iv) Any combination of these 2.3.3 Expansive soils. Soils meeting all four of
measures and how they shall be the following provisions shall be considered
considered in the design of the expansive. Compliance with Items 1, 2 and 3 shall
structure. not be required if the test prescribed in Item 4 is
This section includes additional requirements conducted:
for the soil investigation report for sites with (1) Plasticity index of 15 or greater,
structures assigned to Seismic Design determined in accordance with ASTM D
Categories D and higher. The investigation 4318.
must determine lateral earth pressures on
basement and retaining walls caused by (2) More than 10 percent of the soil particles
earthquake motions. Earthquake motions pass a No. 200 sieve (75 micrometers),
create increased lateral soil pressure on walls determined in accordance with ASTM D
below the ground surface, especially in soft 422.
soils in areas of high seismicity. This
requirement makes certain that the dynamic (3) More than 10 percent of the soil particles
soil pressures are included in the design of are less than 5 micrometers in size,
basement and retaining walls. Because the determined in accordance with ASTM D
requirement can be onerous for small 422.
structures and retaining walls, the applicability
is limited to those walls that are higher than 1.8 (4) Expansion index greater than 20,
m. Section 7.5.1 of the 1997 NEHRP Provisions determined in accordance with ASTM D
commentary includes a discussion about how 4829.
earth-retaining structures have been designed
for dynamic loads.
Additionally, a thorough assessment of have the characteristics of swelling when
potential consequences of any liquefaction and absorbing water and shrinking and cracking
soil strength loss needs to be made and when drying. Significant volume changes can
considered in the design of the structure. See cause serious damage to buildings and other
the commentary to Section 2.2.3.11 for a structures as well as to pavements and
discussion of earthquake damage caused by sidewalks.
liquefaction. Design to mitigate damage
caused by liquefaction consists of three parts: There is a general relationship between the
1. Evaluation of liquefaction hazard; 2. plasticity index (PI) of a soil, as determined by
Evaluation of potential ground displacement; the ASTM D4318 standard test method, and the
and 3. Designing to resist ground displacement, potential for expansion, as shown in
reducing the potential for liquefaction or Commentary Figure 2-2.
choosing an alternative site with a lower
hazard. The assessment is required to be made plastic material: with a PI of 15 or greater (Item
1); with more than 10 percent of the soil
consistent with the maximum considered particles passing a No. 200 sieve (Item 2); less
earthquake (MCE) ground motions. In this way, than 5 micrometers in size (Item 3); and having
the potential for liquefaction as well as the an expansion index (EI) greater than 20 (Item
effects of liquefaction during the MCE are 4). Alternatively, the EI in accordance with
considered in the design. This is consistent with ASTM D4829 can be used exclusively. The EI
the risk-based targets for collapse prevention value is a measure of the swelling potential of
as a performance goal and other evaluations for the soil. A soil with an EI value of 20 or less has
the MCE. a very low potential for expansion.
2.3 Soil classification The amount and depth of potential swelling that
can occur in a clay material are, to some extent,
2.3.1 Where required, soils shall be classified in functions of the cyclical moisture content in the
accordance with Sections 2.3.2 , 2.3.3 , 2.3.4 , or soil. In dryer climates where the moisture
2.3.5 . content in the soil near the ground surface is
low because of evaporation, there is a greater
2.3.2 General. For the purposes of this section,
potential for extensive swelling than the same
the definition and classification of soil materials for soil in wetter climates where the variations of
use in Table 4-1shall be in accordance with ASTM moisture content are not as severe. Volume
D 2487. changes in highly expansive soils typically
range between 7 and 10 percent. Occasionally,

SBC 303-CC-18 8
 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

under abnormal conditions, changes can reach equipment and the laboratory testing program shall
as high as 25 percent. be determined by a registered design professional.
2.3.4 Collapsible soils. Soils meeting all four of In areas likely to have problematic soils, field
the following provisions shall be considered explorations shall include:
collapsible. Compliance with Items 1, 2 and 3 shall (1) Investigations of soils between the
not be required if the test prescribed in Item 4 is ground surface and the bottom of the
conducted: foundation, as well as materials beneath
(1) Desiccated Alluvial (Wadi) soils. the proposed depth of foundation.

(2) Dry field density less than 17 kN/m3 (2) Evaluations and interpretations of the
determined in accordance with ASTM environmental conditions that would
D1556. contribute to moisture changes and their
probable effects on the behavior of such
(3) Clay content 10 to 30 percent, soils.
determined in accordance with ASTM
D422. 2.4.3 Number of boreholes. The minimum
number of boreholes in a given site shall be taken in
(4) Collapse index greater than 1-percent, accordance with Table 2-1 and its provisions. The
determined in accordance with ASTM values included in Table 2-1 shall be considered as
D5333. minimum guideline.
2.3.5 Sabkha soils. Soils meeting the following 2.4.4 Depth of boreholes. The depth of
shall be suspected as sabkha soils: boreholes shall cover all strata likely to be affected
(1) Very soft, with SPT values in the range by the loads from the building and adjacent
of 0 to 8, determined in accordance with buildings. The minimum depth of boreholes shall be
ASTM D1586. taken from Table 2-1.
(2) Precipitated salts of different sizes, 2.5 Soil boring and sampling
shape, and composition within the 2.5.1 The soil boring and sampling procedure
sediments. and apparatus shall be in accordance with generally
(3) High soluble salt content. accepted engineering practice. The registered
design professional shall have a fully qualified
(4) Soil exhibits significant variations in its representative on the site during all boring and
chemical composition. sampling operations.
(5) Soil exhibits high degree of variability of 2.5.2 Soil boring and sampling of expansive
its sediments in both vertical and lateral soils. In areas likely to have expansive soils the
extent within a considerably short following shall be taken into considerations:
distance.
(1) Air drilling shall be used to maintain the
(6) Upon wetting soil becomes impassible. natural moisture contents of the samples
2.4 Investigation more effectively.
2.4.1 Soil investigation shall be based on (2) The use of lubricant that might react with
observation and any necessary tests of the materials the soil and change its properties shall be
disclosed by borings, test pits or other subsurface avoided.
exploration made in appropriate locations. (3) The depth of sampling shall be at least as
Additional studies shall be made as necessary to deep as the probable depth to which
evaluate slope stability, soil strength, position and moisture changes will occur (active
adequacy of load-bearing soils, the effect of zone) but shall not be less than 1.5 times
moisture variation on soil-bearing capacity, the minimum width of slab foundations
compressibility, liquefaction, expansiveness, and to a maximum of 30 meters and a
collapsibility. minimum of three base diameters
2.4.2 Exploratory boring. The scope of the beneath the base of shaft foundations.
geotechnical investigation including the number (4) Undisturbed samples shall be obtained at
and types of borings or soundings, the equipment intervals of not greater than 1500 mm of
used to drill and sample, the in-situ testing

SBC 303-CC-18 9
 CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

depth. Sampling interval may be (2) Grading of sabkha shall be determined

increased with depth. by using wet sieving with non-polar
solvent (sabkha brine, methylene
(5) A coating of wax shall be brushed on the
chloride).
sample before wrapping.
(3) Basic properties including moisture
(6) The outer perimeter of the sample shall
content and specific gravity shall be
be trimmed during the preparation of
determined by using oven drying at 60oC
specimens for laboratory tests, leaving
in accordance with ASTM D854 and
the more undisturbed inner core.
ASTM D2216.
(7) The sample shall be taken as soon as
possible, after advancing the hole to the 2.6 Reporting
proper depth and cleaning out the hole, 2.6.1 The soil classification and design load-
and personnel shall be well trained to bearing capacity shall be shown on the construction
expedite proper sampling, sealing, and document. Where geotechnical investigations are
storage in sample containers. required a written report of the investigations shall
2.5.3 Soil boring and sampling of collapsible be submitted to the building official. The
soils. In areas likely to have collapsible soils the geotechnical report shall include, but need not be
following shall be taken into considerations: limited the following information:

(1) Air drilling shall be used to maintain the (1) Introduction with location map depicting
natural moisture content of the samples. adjacent buildings, existing roads, and
utility lines.
(2) The depth of sampling shall be at least as
deep as the probable depth to which (2) Climatic conditions such as rain rate,
moisture changes will occur but shall not storm water discharge, etc. if relevant
be less than 2 times the minimum width effect is suspected on the soil or rock
of foundation to a maximum of 30 meters formations.
and a minimum of three base diameters (3) Description of site topography and
beneath the base of shaft foundations. relevant geological information.
(3) Undisturbed samples shall be obtained at (4) A plot showing the location of test
intervals of not greater than 1500 mm of borings and/or excavation pits.
depth.
(5) A complete record of the soil samples.
(4) In the event undisturbed samples cannot
be obtained from a borehole, test pits (6) A complete record of the borehole log
shall be excavated to sufficient depth and with the stand ard penetration test, SPT,
dry density of the soil shall be measured values at the corresponding depths for
at various horizons in the pit. soil samples and RQD and TCR values
for rock samples.
(5) Where possible, hand carved undisturbed
samples taken in a vertical direction shall (7) A record of the soil profile.
be obtained for odometer testing. (8) Elevation of the water table, if
Alternately, plate load test in unsoaked encountered and recommended
and soaked conditions shall be procedures for dewatering, if necessary.
performed to determine the most critical
(9) Brief description of conducted laboratory
collapse potential below foundation
and field tests (or its SASO or ASTM
level.
standards, or equivalent standard
2.5.4 Soil boring and sampling of sabkha soils. number) and a summary of the results.
In areas likely to have sabkha soils the following
(10) Recommendations for foundation type
shall be taken into considerations:
and design criteria, including but not
(1) A full chemical analyses on soil and limited to: bearing capacity of natural or
ground water to determine the average compacted soil; provisions to mitigate
and range of the aggressive compounds the effects of problematic soils
and the variation in content with depth. (expansive, collapsible, sabkha, etc.);

SBC 303-CC-18 10
CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

mitigation of the effects of liquefaction, (15) Compacted fill material properties and
differential settlement and varying soil testing in accordance with Section 3.10.
strength; and the effects of adjacent
(16) Controlled low-strength material
loads. The recommendations for
properties and testing in accordance with
foundation design must be based on the
Section 2.2.3.9 .
facts stated in the report, i.e. on the
borehole records and test data. They must (17) Recommended sites for waste material
not be based on conjecture. disposal.
(11) Expected total and differential (18) Suitability of excavated material for
settlements. reuse as fill material in site.
(12) Deep foundation information in If a written report is required by the building
accordance with Section 14.2. official, it is required to include at a minimum the
items listed in this section. These items will
(13) Combined foundations and mats establish a retrievable and verifiable record of
information in accordance with Section the soil conditions if problems are encountered
8.1. in the future. These items also provide the
minimum necessary information for compliance
(14) Special design and construction with the code and an adequate foundation
provisions for foundations founded on system.
problematic soils in accordance with
CHAPTER 9 , CHAPTER 10 , and
CHAPTER 11 , as necessary.

SBC 303-CC-18 11
CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

TABLES AND FIGURES OF CHAPTER 2

Table 2-1 Minimum number and minimum depthsof boreholes for buildingsa,b,c,d,e

MINIMUM DEPTHf OF MINIMUM DEPTHf

NO. OF BUILT AREA NO. OF
TWO THIRDS OF THE OF ONE THIRD OF
STORIES (m2) BOREHOLES
BOREHOLES (m) THE BOREHOLES (m)
< 600 3 4 6

2 or less 600 5000 3 10g 5 8

> 5000 Special investigation

3-4 < 600 3
600 5000 3 10g 6-8 9 - 12
> 5000 Special investigation
5 or higher Special investigation
a. If possible, standard penetration tests, SPT, shall be performed at all sites.
b. If questionable soils do exist underneath the building, a minimum of one borehole shall penetrate all layers
containing this soil.
c. Seasonal changes in groundwater table and the degree of saturation shall be considered.
d. If sufficient data is available, a registered design professional may use number and depth of boreholes that are
different from the tabular values.
e. For foundation of pole and towers, a minimum of one boring with sufficient depth shall be located in the center
of the foundation.
f. Depth is measured from level of foundation bottom.
g. Number of boreholes shall be selected by a registered design professional based on variations in site
conditions, and contractor shall advice if additional or special tests are required.

SBC 303-CC-18 12
CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

Commentary Figure 2-1 Typical setup for conducting static load test.

Commentary Figure 2-2 Swelling potential of soils and plasticity index.

[Source: R.B. Peck, W.E. Hanson and T.H. Thornburn. Foundation Engineering, 2nd ed., New York: John Wiley
& Sons, 1974]

SBC 303-CC-18 13
CHAPTER 2 GEOTECHNICAL INVESTIGATIONS

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SBC 303-CC-18 14
 CHAPTER 3 EXCAVATION, GRADING AND FILL

CHAPTER 3 EXCAVATION, GRADING AND FILL

3.1 General (2) Exploratory excavations under the

direction of geotechnical engineers.
3.1.1 Proper safety precautions shall be
considered at all stages of excavation. Special care, (3) An excavation which (a) is less than 600
measures, and techniques shall be followed for mm in depth, or (b) which does not create
excavation below groundwater table. a cut slope greater than 1500 mm in
height and steeper than three units
3.1.1.1 The investigation and report provisions of
horizontal to two units vertical.
CHAPTER 2 shall be expanded to include, but need
not be limited to, the following: (4) A fill less than 300 mm in depth and
placed on natural terrain with a slope
(1) Property limits and accurate contours of flatter than five units horizontal to one
existing ground and details of terrain and unit vertical, or less than 1000 mm in
area drainage. depth, not intended to support structures,
(2) Limiting dimensions, elevations or finish does not exceed 40 cubic meters on any
contours to be achieved by the grading, one lot and does not obstruct a drainage
and proposed drainage channels and course.
related construction.
3.3 Excavations near foundations
(3) Detail plans of all surface and subsurface
3.3.1 Excavations for any purposes shall not
drainage systems, walls, cribbing, and
reduce lateral support from any adjacent foundation
other protective systems to be
without first underpinning or protecting the
constructed with, or as a part of, the
foundation against detrimental lateral or vertical
proposed work.
movement, or both.
(4) Location of any buildings or structures
The purpose of this section is to provide for
on the property where the work is to be stability of adjacent foundations when
performed and the location of any excavations are made. The method to be used,
buildings or structures on adjacent land whether shoring or underpinning, must be
which are within 5 m of the property or addressed by the assessment as required in
which may be affected by the proposed Section 2.2.3.7. Because of its lack of shear
grading operations. strength, cohesionless soils, such as sand, will
slide to the bottom of an excavation until a
(5) Conclusions and recommendations certain slope of the sides is reached. This slope
regarding the effect of geologic
conditions on the proposed construction,
and the adequacy of sites to be developed excavation.
by the proposed grading. Cohesive (fine-grained) soils, such as clay,
3.2 Commencement behave much differently than granular
materials. For example, unsupported vertical
3.2.1 Excavation, grading and fill shall not be cuts of 6100 mm or more can be made in stiff
commenced without first having obtained a permit plastic clay materials. This is because of a firm
from the building official. bond between the particles of the cohesive soil.
But the strength of this bond (cohesiveness) will
Exception: Permit shall not be required for the vary based on the conditions of the soil, such
following: as density, water content, plasticity and
sensitivity (loss of shear strength on
(1) Grading in an isolated, self-contained
disturbance).
area if there is no apparent danger to
private or public property. In cohesive soils, when a certain critical depth
of excavation is reached, the sides of the cut
will fail and the soil mass will fall to the bottom.

SBC 303-CC-18 15
 CHAPTER 3 EXCAVATION, GRADING AND FILL

Unlike granular materials, such as sand, the 3.4 Slope limits

steepest slope at which a cohesive soil will
stand decreases as the depth of the excavation 3.4.1 Slopes for permanent fill shall not be
increases. Technically, in cohesive soils, the steeper than one-unit vertical in two units horizontal
resistance against sliding is a function of the (50-percent slope). Cut slopes for permanent
shearing resistance of the material and its excavations shall not be steeper than one-unit
corresponding angle of internal friction vertical in two units horizontal (50-percent slope).
(frictional resistance between particles). Deviation from the foregoing limitations for cut
The use of the angle of internal friction (and slopes shall be permitted only upon the presentation
other factors) to calculate slope stability is of a soil investigation report acceptable to the
applicable not only to cohesive soils, but also to building official and shows that a steeper slope will
granular materials. For example, when the be stable and not create a hazard to public or private
slope angle of an excavation in a bed of sand property.
exceeds the angle of internal friction of the
material, the sand will slide down the slope; 3.5 Surcharge
therefore, the steepest slope that sand can
attain is equal to the angle of internal friction. 3.5.1 No fill or other surcharge loads shall be
The angle of repose (previously discussed) will placed adjacent to any building or structure unless
be approximately the same value as the angle such building or structure is capable of
of internal friction only when the sand is in a dry withstanding the additional loads caused by the fill
and loose condition (such as in a stockpile) or or surcharge. Existing foundations which can be
is fully immersed in water. affected by any excavation shall be underpinned
For simplicity, what we have been dealing with adequately or otherwise protected against
in this part of the commentary is slope stability settlement and shall be protected against lateral
as it relates to homogeneous soils, such as movement.
sand and clay. In nature, however, soils often
occur as mixtures or layers (strata) of different 3.6 Placement of backfill
materials, making the determination of slope 3.6.1 The excavation outside the foundation shall
stability a highly technical and complex subject. be backfilled with soil that is free of organic
Normally for shallow excavations,
material, construction debris, cobbles and boulders
determination of safe slopes is a matter of
applying local experience. In cases of deep
or a controlled low-strength material (CLSM). The
cuts, however, slope stability is best determined ground surface shall be prepared to receive fill by
through tests and analytical methods performed removing vegetation, noncomplying fill, topsoil
by professionals experienced in foundation and other unsuitable materials. The backfill shall be
engineering. placed in lifts and compacted, in a manner that does
not damage the foundation or the waterproofing or
3.3.2 Underpinning. Where underpinning is
dampproofing material. Special inspections of
chosen to provide the protection or support of
compacted fill shall be in accordance with Section
adjacent structures, the underpinning system shall
2.7 of SBC 302.
be designed and installed in accordance with
provisions of SBC 303 and Chapter 33 of SBC 201. Exception: CLSM need not be compacted.
Where the structure is to be protected by This section requires that soils used for
underpinning, this section states the general backfilling foundation excavations must be free
requirements that apply. of organic material, construction debris or large
rocks. The type of soil used for backfill
3.3.2.1 Underpinning sequencing. Underpinning purposes becomes an important consideration
shall be installed in a sequential manner that in the design of foundation walls. For example,
protects the neighboring structure and the working clean sand, gravel or a mixture of these two
construction site. The sequence of installation shall granular materials is considered the best kind
be identified in the approved construction of backfill to use because each is free draining.
documents. On the other hand, fine-grained soils, such as
clays, tend to accumulate moisture and are
This provision improves underpinning susceptible to swelling and shrinking. Such
installation by making the sequencing a backfill materials, particularly at times when
required part of the construction documents. shrinkage cracks occur, can become loaded
with rainwater, thus subjecting foundation walls
and basement floors to hydrostatic pressures
and possible structural damage.

SBC 303-CC-18 16
 CHAPTER 3 EXCAVATION, GRADING AND FILL

Backfilling and related work should be potential for water standing under and around
performed in such a way as to prevent the the building.
movement of the earth of adjoining properties
Where a full 3000 mm of slope is not available
or the subsequent caving in of backfilled areas.
on a building site, an alternative method of
Backfilling should not be done until retaining
diverting water away from the foundation is
walls, foundation walls or other construction
permitted by providing a minimum 5-percent
against which backfill is to be placed is in a
slope to an approved diversion structure. The
suitable condition to resist lateral pressures.
use of swales to convey surface water is
This section requires that backfill be free of
recognized, provided the minimum slope is
organic materials, construction debris, cobbles
provided where necessary.
and boulders.
The exception permits the slope to be reduced
In addition to carefully selecting the backfill
to a rate of 1-unit vertical in 48 units horizontal
material, the soil should be placed in lifts,
(2-percent slope) where climatic or soil
usually 300 mm or less, and compacted to
conditions warrant. This exception would be
prevent significant subsidence due to
applicable in arid areas or sites that are
consolidation under its own weight. While
surrounded by free-draining soils, such as
compaction is done by hand-operated tampers
sand.
or other portable compaction equipment, care
should be taken to prevent any possible 3.8 Grading designation
damage to water- proofing or dampproofing
installations and to avoid overcompaction of 3.8.1 The faces of cut and fill slopes shall be
backfill since it may cause excessive earth prepared and maintained to control against erosion.
pressure against foundation walls. As an All grading in excess of 3500 cubic meters shall be
alternative to compacted backfill, the code also performed in accordance with the approved grading
permits CLSM (see commentary, Section plan prepared by a registered design professional,
3.11).
3.7 Site grading Grading involving less than 3500 cubic meters shall
3.7.1 The ground immediately adjacent to the by the building official to be considered as
foundation shall be sloped away from the building
at a slope of not less than one-unit vertical in 20
units horizontal (5-percent slope) for a minimum 3.8.1.1 For engineering grading, grading plan shall
distance of 3000 mm measured perpendicular to the be prepared and approved by a registered design
face of the wall. If physical obstructions or lot lines professional. For regular grading, the building
prohibit 3000 mm of horizontal distance, a 5- official may require inspection and testing by an
percent slope shall be provided to an approved approved agency. Where the building official has
alternative method of diverting water away from the cause to believe that geologic factors may be
foundation. Swales used for this purpose shall be involved, the grading operation shall conform to
sloped a minimum of 2 percent where located
within 3000 mm of the building foundation. 3.9 Grading and fill in flood hazard
Impervious surfaces within 3000 mm of the areas
building foundation shall be sloped a minimum of 2
percent away from the building. 3.9.1 In flood hazard areas established in Section
1612.3 SBC 201, grading, fill, or both, shall not be
Exception: Where climate or soil conditions approved:
warrant, the slope of the ground away from the
building foundation shall be permitted to be (1) Unless such fill is placed, compacted and
reduced to not less than one-unit vertical in 50 units sloped to minimize shifting, slumping
horizontal (2 percent slope). and erosion during the rise and fall of
flood water and, as applicable, wave
The procedure used to establish the final ground action.
level adjacent to the foundation shall account for
additional settlement of the backfill. (2) In floodways, unless it has been
demonstrated through hydrologic and
This section requires that the ground
immediately adjacent to the foundation be
hydraulic analyses performed by a
sloped away from the building. The intent is to registered design professional in
facilitate water drainage and reduce the accordance with standard engineering
practice that the proposed grading or fill,

SBC 303-CC-18 17
CHAPTER 3 EXCAVATION, GRADING AND FILL

or both, will not result in any increase in ASCE 24 specifies that fill may not be used for
flood levels during the occurrence of the structural support of buildings in these areas.
design flood. 3.10 Compacted fill material
(3) In coastal high hazard areas, unless such 3.10.1 Where shallow foundations will bear on
fill is conducted and/or placed to avoid compacted fill material, the compacted fill shall
diversion of water and waves toward any comply with the provisions of an approved
building or structure. geotechnical report as set forth in CHAPTER 2 .
(4) Where design flood elevations are Exception: Compacted fill material 300 mm in
specified but floodways have not been depth or less need not comply with an approved
designated, unless it has been report, provided the in-place dry density is not less
demonstrated that the cumulative effect than 90 percent of the maximum dry density at
of the proposed flood hazard area optimum moisture content determined in
encroachment, when combined with all accordance with ASTM D 1557. The compaction
other existing and anticipated flood shall be verified by special inspection in accordance
hazard area encroachment, will not with Section 1705.6 SBC 201.
increase the design flood elevation more
than 3 m at any point. Where prepared fill is to be utilized for
foundation support, the geotechnical report is to
This section puts limitations on fill and grading contain detailed information for approval of the
in flood hazard areas. In many flood hazard fill. The information on the prepared fill in the
areas, it is common to use fill to achieve the geotechnical report is necessary to permit a
appropriate elevation of the building's lowest reasonable prediction as to the load- bearing
floor. Item 1 intends to minimize the risk of fill capacity of the fill material. Additionally, when
materials becoming unstable. Fill materials that prepared fill is to be utilized where special
become saturated during conditions of flooding inspections are required, the fill operation itself
may become unstable and fill slopes may be must be performed under the scrutiny of a
exposed to erosive velocities and waves. When special inspector. The exception permits a
placed in a flood hazard area, fill and grading limited depth of fill to be placed in accordance
should be done so as to be stable as flood- with prescriptive criteria rather than requiring
waters rise and, in particular, as floodwaters fall details of fill placement in a geotechnical report.
and the saturated materials drain. Special inspection is a requirement.
Item 2 permits grading or fill in a floodway, if 3.10.2 Oversized materials. No rock or similar
designated on a Flood Insurance Rate Map irreducible material with a maximum dimension
(FIRM), only if it is demonstrated that it will not
greater than 300 mm shall be buried or placed in
adversely affect surrounding areas by
increasing the design flood elevation. As fills within 1.5 m, measured vertically, from the
defined, a "Floodway" is that portion of flood bottom of the foundation or lowest finished floor
hazard areas along rivers and streams that elevation, whichever is lower, within the building
must be reserved for the discharge of the pad. Oversized fill material shall be placed so as to
design flood event. assure the filling of all voids with well-graded soil.
In coastal high-hazard areas, fill can divert the Specific placement and inspection criteria shall be
flow of floodwaters and increase flood risks on stated and continuous special inspections shall be
other properties. Item 3 provides coordination carried out during the placement of any oversized
with ASCE 24 provisions relating to fill in fill material.
coastal high-hazard areas and Coastal A
Zones. Coastal high-hazard areas are 3.11 Controlled low-strength material
commonly referred to as "V zones," and (CLSM)
typically are indicated on flood hazard maps of 3.11.1 Where shallow foundations will bear on
com- munities along the open coast. See the
commentary
controlled low-strength material (CLSM), the
CLSM shall comply with the provisions of an
in these areas. Changing the shape of the approved geotechnical report, as set forth in
ground through grading or fill can divert erosive CHAPTER 2 .
flows and increase wave energies that, in turn, As an alternative to compacted fill in
increase the forces that affect a building and accordance with Section 3.9, this section
any adjacent structures. It is also notable that permits the use of CLSM for the support of
footings. CLSM must be placed in accordance

SBC 303-CC-18 18
CHAPTER 3 EXCAVATION, GRADING AND FILL

with an approved report that includes flowable fill, controlled density fill,
requirements for the material strength and field unshrinkable fill and soil-cement slurry.
verification. In CHAPTER 2, CLSM is defined Guidance on the use of these materials can be
- found in ACI 229R (see Section 2.2.3.9).
This class of material is commonly referred to
by a variety of other names, which include

SBC 303-CC-18 19
CHAPTER 3 EXCAVATION, GRADING AND FILL

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SBC 303-CC-18 20
 CHAPTER 4 PRESUMPTIVE LOAD-BEARING VALUES OF SOILS

CHAPTER 4 PRESUMPTIVE LOAD-BEARING VALUES OF SOILS

4.1 Load combinations official deems the load-bearing capacity of mud,

organic silt or unprepared fill is adequate for the
4.1.1 The presumptive load-bearing values
support of lightweight and temporary structures.
provided in Table 4-1 shall be used with the
allowable stress design load combinations specified While unprepared fill materials such as mud,
in Section 1605.3 of SBC 201. The values of muck, organic silt and soft clay are considered
vertical foundation pressure and lateral bearing to have no presumptive load-bearing value, soil
tests may show that they do have some limited
pressure given in Table 4-1 shall be permitted to be
load-bearing capacity and, based on this type
increased by one-third where used with the of evidence, the building official may approve
alternative basic load combinations of Section the construction of light- weight structures upon
1605.3.2 SBC 201 that include wind or earthquake such soils.
loads.
The presumption is that the building official
This section clarifies the use of the presumptive possesses sufficient technical knowledge on
load- bearing values relating to foundations and the character and behavior of subsurface
footing design. Foundation design is based on materials to render a valid judgment on the
the ASD approach. Since SBC 301 includes adequacy of the soil to support satisfactorily the
provisions and load combinations for strength lightweight or temporary structure, or he or she
design [load and resistance factor design has sought and gained specific advice through
(LRFD)], it is necessary to clarify that these consultation with professionals who are
values are to be used with the ASD load competent in the field of foundation
combinations. engineering. It would be an unwise practice to
authorize construction on exceptionally weak
4.2 Presumptive load-bearing values soils without the benefit of technical knowledge
4.2.1 The load-bearing values used in design for to make judgmental decisions.
supporting soils at or near the surface shall not 4.3 Lateral load resistance
exceed the values specified in Table 4-1 unless data
to substantiate the use of a higher values are 4.3.1 Where the presumptive values of Table 4-1
submitted and approved by the building official. are used to determine resistance to lateral loads, the
Where the building official has reason to doubt the calculations shall be in accordance with Sections
classification, strength or compressibility of the 4.3.2 through 4.3.5 .
soil, the requirements of Section 2.5 shall be When the tabulated values for lateral load
satisfied. In case of thin soft layers existing between resistance of soils are utilized, certain
layers of high bearing values, the foundation shall limitations must be considered. They are
be designed according to the bearing capacity of the contained in the following subsections.
thin soft layers. 4.3.2 Combined resistance. The total resistance
Where the load-bearing capacity of the soil has to lateral loads shall be permitted to be determined
not been determined by borings, as specified in by combining the values derived from the lateral
CHAPTER 2, the presumptive load-bearing bearing pressure and the lateral sliding resistance
values listed in Table 4-1 are intended to apply specified in Table 4-1.
in the design of shallow foundation systems.
4.2.1.1 Presumptive load-bearing values shall apply resistance to be determined by combining the
to materials with similar physical characteristics lateral bearing and lateral sliding values from
and depositional conditions. Table 4-1.
4.2.1.2 Mud, organic silt, organic clays or 4.3.3 Lateral sliding resistance limit. For clay,
unprepared fill shall not be assumed to have a sandy clay, silty clay, and clayey silt, silt and sandy
presumptive load-bearing capacity unless data to silt, in no case shall the lateral sliding resistance
substantiate the use of such a value are submitted. exceed one-half the dead load.
Exception: A presumptive load-bearing capacity For cohesive soils, the tabulated lateral sliding
shall be permitted to be used where the building value is set at 6 kPa. However, this section also

SBC 303-CC-18 21
 CHAPTER 4 PRESUMPTIVE LOAD-BEARING VALUES OF SOILS

stipulates that for clay, sandy clay, silty clay and 4.4 Computed load-bearing values
clayey silt, the lateral sliding resistance cannot
exceed one-half the dead load. 4.4.1 It shall be permitted to obtain the ultimate
bearing capacity from appropriate laboratory and/or
4.3.4 Increase for depth. The lateral bearing field tests including, but need not be limited to,
pressures specified in Table 4-1 shall be permitted standard penetration test conforming to ASTM
to be increased by the tabular value for each D1586 and plate load test conforming to ASTM
additional 300 mm of depth to a maximum of 15 D1194. Where the soil to a deep depth is
times the tabular value. homogeneous, the plate load test shall be conducted
The lateral sliding resistance is calculated as at the level of footing base. In case the soil consists
the sum of the lateral bearing and lateral sliding of several layers, the test shall be conducted at each
values from Table 4-1. The lateral bearing layer to a depth equal to not less than twice the
values are determined as the product of the width of footing measured from the bottom of
tabular value and the depth below natural footing. In case there is a large difference between
grade. This section essentially limits the
the footing width and plate size, plates of different
foundation depth for which the lateral bearing
values can be increased to 4500 mm.
sizes shall be used to establish the relationship
between footing width and load-bearing.
4.3.5 Increase for poles. Isolated poles for uses
such as flagpoles or signs and poles used to support 4.4.1.1 It shall be permitted to use formulae in the
buildings that are not adversely affected by a 13 mm computations of ultimate bearing capacity that are
motion at the ground surface due to short-term of common use in geotechnical engineering practice
lateral loads are shall be permitted to be designed or based on a sound engineering judgment and
using lateral-bearing pressures equal to two times subject to approval to the building official.
the tabular values. 4.4.2 Effect of water table. The submerged unit
For isolated poles used as supports for weight shall be used as appropriate to determine the
flagpoles or signs, and poles used to support actual influence of the groundwater on the bearing
buildings that are not adversely affected by a 13 capacity of the soil. The foundation design shall
mm motion at the ground surface due to short- consider the buoyant forces when groundwater is
term lateral loads, the tabulated lateral bearing above or expected to rise above the foundation
values are permitted to be doubled. level.

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 CHAPTER 4 PRESUMPTIVE LOAD-BEARING VALUES OF SOILS

TABLES AND FIGURES OF CHAPTER 4

Table 4-1 Presumptive load-bearing values

LATERAL LATERAL SLIDING
VERTICAL BEARING RESISTANCE
FOUNDATION PRESSURE
CLASS OF MATERIALS
PRESSURE (kPa/m below Coefficient Cohesion
(kPa) natural of frictiona (kPa)b
grade)
1. Crystalline bedrock 600 200 0.70
2. Sedimentary and foliated rock 200 60 0.35
3. Sandy gravel and/or gravel (GW and GP) 150 30 0.35
4. Sand, silty sand, clayey sand, silty gravel
and clayey gravel (SW, SP, SM, SC, GM 100 25 0.25
and GC)
5. Clay, sandy clay, silty clay, clayey silt,
75 15 6
silt and sandy silt (CL, ML, MH and CH)
a. Coefficient to be multiplied by the dead load.
b. Cohesion value to be multiplied by the contact area, as limited by Section 4.3

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SBC 303-CC-18 24
 CHAPTER 5 SPREAD FOOTINGS

CHAPTER 5 SPREAD FOOTINGS

5.1 General the lower edges of adjoining footings shall not have
a slope steeper than 30 degrees with the horizontal,
5.1.1 Spread footings shall be designed and unless the material supporting the higher footing is
constructed in accordance with Sections 5.1 through braced or retained or otherwise laterally supported
5.6.
in an approved manner or a greater slope has been
5.1.2 Supporting soils. Footings shall be built on properly established by engineering analysis that is
undisturbed soil, compacted fill material or CLSM. accepted by the building official.
Compacted fill material shall be placed in The bottoms of adjacent footings bearing on
accordance with Section 3.10. CLSM shall be granular soil are to be located so that a line
placed in accordance with Section 3.11. drawn between their closest edges would not
It is important that shallow foundations be built be steeper than 30 degrees from the horizontal.
on undisturbed soil of known bearing value or The exceptions are where the soil surrounding
properly compacted fill, with known bearing the higher footing is laterally braced or retained
capacity. As an alternative to compacted fill, the as approved by the building official or where
code permits the use of CLSM (see engineering analysis shows that a greater slope
commentary, Section 3.10). can be tolerated. The purpose of this restriction
is to provide conditions of safety against the
5.1.3 Stepped Footings. The top surface of possible influence of lateral and vertical soil
footings shall be level. The bottom surface of pressures transmitted to the lower footing(s) by
footings shall be permitted to have a slope not the loads of higher adjacent foundations (see
exceeding one unit vertical in 10 units horizontal Commentary Figure 5-2).
(10-percent slope). Footings shall be stepped where 5.2.3 Shifting or moving soils. Where it is
it is necessary to change the elevation of the top known that the shallow subsoils are of a shifting or
surface of the footing or where the surface of the moving character, footings shall be carried to a
ground slopes is more than one unit vertical in 10 sufficient depth to ensure stability.
units horizontal (10-percent slope).
Shallow foundations placed on or within a mass
The tops and bottoms of footings are required of shifting or moving soils must be designed
to be essentially level, with a slope of 1 unit with great rigidity and strength in order to
vertical in 10 units horizontal (10-percent slope) adequately resist soil movement and avoid
permitted for the bottom of footings. Where the damage. This section requires foundations to
slope of the surface of the ground exceeds one be carried to a sufficient depth for adequate
unit vertical in 10 units horizontal (10-percent stability. Adequate stability implies, among
slope), footings are required to be stepped. other things, the consideration of uplift and
Although not specifically mentioned, crack perpendicular forces exerted on the footings
propagation at the joints should be considered because of soil movement.
when determining the overlapping and vertical
dimensions of the steps. 5.3 Footings on or adjacent to slopes
5.2 Depth and width of footings 5.3.1 The placement of buildings and structures
on or adjacent to slopes steeper than one unit
5.2.1 The minimum depth of footing below the vertical in three units horizontal shall conform to
natural ground level shall not be less than 1200 mm Sections 5.3.2 through 5.3.6.
for cohesionless soils, 1500 mm for silty and clay
soils and 600 mm to 1200 mm for rocks depending The provisions of this section apply to buildings
on strength and integrity of the rock formations. placed on or adjacent to slopes steeper than 1
unit vertical in 3 units horizontal.
Where applicable, the depth of footings shall also
conform to Sections 5.2.2 through 5.2.3 . The 5.3.2 Building clearance from ascending
minimum width of footings shall be 300 mm. slopes. In general, buildings below slopes shall be
set a sufficient distance from the slope to provide
5.2.2 Adjacent footings. Footings on granular
protection from slope drainage, erosion and shallow
soil shall be so located that the line drawn between

SBC 303-CC-18 25
 CHAPTER 5 SPREAD FOOTINGS

failures. Except as provided for in Section 5.3.6 and 5.3.4 Pools. The setback between pools and
Figure 5-1, the following criteria will be assumed to slopes shall be equal to one-half the building
provide this protection. Where the existing slope is footing setback distance required by this section.
steeper than one-unit vertical in one-unit horizontal That portion of the pool wall within a horizontal
(100 percent slope), the toe of the slope shall be distance of 2100 mm from the top of the slope shall
assumed to be at the intersection of a horizontal be capable of supporting the water in the pool
plane drawn from the top of the foundation and a without soil support.
plane drawn tangent to the slope at an angle of 45 This section specifies the required setback
degrees to the horizontal. Where a retaining wall is distances for pools located near ascending or
constructed at the toe of the slope, the height of the descending slopes. The minimum setback
slope shall be measured from the top of the wall to distance is established as one-half the required
the top of the slope. building setback from Section 5.3.3. The pool
wall that is within 2100 mm of the top slope is
Code Figure 5-1 depicts criteria for locating
required to be self-supporting without support
buildings adjacent to slopes. The setback is
from the soil, and is intended to provide
intended to provide protection to the structure
additional safety measures should localized
not only from shallow slope failures (sometimes
minor sliding and sloughing occur.
and slope drainage. At ascending slopes, the 5.3.5 Foundation elevation. On graded sites, the
setback also provides access around the top of any exterior foundation shall extend above
building and helps create a light and open-air the elevation of the street gutter at point of
environment. Where an existing slope is discharge or the inlet of an approved drainage
steeper than 1:1, the toe of the slope is
system a minimum of 300 mm plus 2 percent.
assumed to be at a distance determined by the
intersection of a horizontal line at the top of the Alternate elevations are permitted subject to the
foundation and a line drawn at a 45-degree approval of the building official, provided it can be
angle to the horizontal line, and terminating at demonstrated that required drainage to the point of
the top of the slope. This determination of slope discharge and away from the structure is provided
height and measurement of the setback is at all locations on the site.
illustrated in Commentary Figure 5-3).
Commentary Figure 5-5 depicts the
5.3.3 Foundation setback from descending requirements of this section regarding elevation
slope surface. Foundation on or adjacent to slope for exterior foundations with respect to the
surfaces shall be founded in firm material with an street, gutter or point of inlet of a drainage
embedment and set back from the slope surface system. The elevation of the street or gutter
shown is that point at which drainage from the
sufficient to provide vertical and lateral support for
site reaches the street or gutter.
the footing without detrimental settlement. Except
as provided for in Section 5.3.6 and Figure 5-1 , the This requirement is intended to protect the
following setback is deemed adequate to meet the building from water encroachment in case of
criteria. Where the slope is steeper than one unit heavy or unprecedented rain and may be
modified on the approval of the building official
vertical in one unit horizontal (100 percent slope),
if he or she finds that positive drainage slopes
the required setback shall be measured from are provided to drain water away from the
imaginary plane 45 degrees to the horizontal, building and that the drainage pattern is not
projected upward from the toe of the slope. subject to temporary flooding due to
The provisions of this section restrict the landscaping or other impediments to drainage.
placement of footings at the top of slopes so This section is related more directly to the
that vertical and lateral support for the footing is provisions for site grading in Section 3.6 than it
provided. This setback is shown in Figure 5-1. is to Section 5.3 requirements for footings
When the slope is greater than one unit vertical adjacent to slopes.
in one unit horizontal, the setback is measured 5.3.6 Alternate setback and clearance.
from a top of the slope that is established as the Alternate setbacks and clearances are permitted,
intersection of the ground surface and an
imaginary plane at 45 degrees to the horizontal,
subject to the approval of the building official. The
projected from the toe of the slope. This building official shall be permitted to require a
requirement is illustrated in Commentary geotechnical investigation as set forth in CHAPTER
Figure 5-3. For most conditions, the required 2 Section 2.2.3.10 .
setbacks will provide adequate lateral support This section provides the building official the
for the foundations. authority to approve alternative setbacks and

SBC 303-CC-18 26
 CHAPTER 5 SPREAD FOOTINGS

clearances from slopes, provided he or she is Another design method for obtaining equal
satisfied that the intent of this section has been bearing pressures and keeping the footings at
met. The building official has the authority to a common elevation is to size the footings in
require a foundation investigation by a accordance with the allowable bearing capacity
registered design professional to show that the of the soil at each location, thus producing a
intent of the code has been met. This item also balanced design of the foundation system and
specifies the parameters that must be preventing differential settlement.
considered by the registered design
professional in the investigation. 5.4.1.1 Design loads. Footings shall be designed
for the most unfavorable effects due to the
5.4 Design of footings combinations of loads specified in SBC 301 Section
5.4.1 General. Footings shall be designed that 2.4. The dead load is permitted to include the weight
the allowable bearing capacity of the soil is not of foundations, footings and overlying fill. Reduced
exceeded, and that the total and differential live loads, as specified in SBC 301 Section 4.8,
settlements are tolerable. The design of footings shall be permitted to be used in the design of
shall be under the direct supervision of a registered footings.
design professional who shall certify to the building Footings are permitted to be designed using
official that the footing satisfies the design criteria. either ASD or strength design. The appropriate
Footings in areas with expansive soils shall be load combinations are investigated to
designed in accordance with the provisions of determine the most severe structural effects.
CHAPTER 9 . Footings in areas with collapsible Live load reductions permitted in Section 1607
of SBC 201 apply equally to the foundation
soils shall be designed in accordance with the
design loads. This section also clarifies what
provisions of CHAPTER 10 . Footings in areas with portions of the foundation construction are
sabkha soils shall be designed in accordance with considered dead loads. See the commentary to
the provisions of CHAPTER 11 . Footings subject to Section 1606 of SBC 201 for a discussion of
vibratory loads shall be designed in accordance dead load estimates.
with the provisions of CHAPTER 12 .
5.4.1.1.1 Seismic overturning. Where foundations
Regardless of the type of shallow foundation are proportioned using the load combinations of
used, the allowable bearing capacity of soil Section 2.3.2 SBC 301, and the computation of
must not be exceeded. There are two premises seismic overturning effects is by equivalent lateral
by which allowable soil-bearing pressures are
force analysis or modal analysis, the proportioning
established. The first premise requires that the
safety factor against ultimate shear failure of shall be in accordance with Section 12.13.4 of SBC
the soil be adequate. The second premise 301.
requires that settlements under allowable This requirement correlates with SBC 301
bearing pressures not exceed tolerable values. earthquake load requirements. When using
In most cases, settlement governs the value LRFD load combinations to size foundations,
established for allowable soil-bearing capacity. the seismic overturning computed by the
Bearing capacity is usually determined from a equivalent lateral force method or the modal
soils investigation and engineering analysis. analysis method is permitted to be reduced.
When the soils profile of a construction site is
established by a sufficient number of test SBC 301 permits the reduction of seismic
borings, and it indicates that a nonuniform soil overturning for foundation design where either
condition exists where the strata of suitable strength design or ASD load combinations are
bearing materials occurs at varying thicknesses used. This provision refers to Sections 1605.2
or different depths, the foundation design must and 1605.3.1 of SBC 201, which correspond to
be adjusted to the subsurface condition to the SBC 301 load combinations. Because the
provide for the proper and safe performance of load combinations in Section 1605.3.2 of SBC
the foundation system. 201 include 0.9D, where overturning is
assessed (rather than 0.6D as in Section
Under such circumstances, it becomes 1605.3.1 of SBC 201), reduction of seismic
necessary in the design of shallow foundations overturning would be unconservative where
to determine the different depths at which those load combinations are used.
isolated or continuous stepped footings need to
be placed in order to obtain equal bearing 5.4.1.1.2 Surcharge. No fill or other surcharge
pressures and avoid serious structural damage loads shall be placed adjacent to any building or
caused by differential (unequal) settlement of structure unless such building or structure is
the different parts of the foundation system. capable of withstanding the additional loads caused

SBC 303-CC-18 27
 CHAPTER 5 SPREAD FOOTINGS

by the fill or the surcharge. Existing footings or 5.4.1.5 Design settlements. Settlements shall be
foundations that will be affected by any excavation estimated by a registered design professional based
shall be underpinned or otherwise protected against on methods of analysis approved by the building
settlement and shall be protected against official. The least value found from Table 5-1 and
detrimental lateral or vertical movement or both. Table 5-2 shall be taken as the allowable differential
settlement.
Exception: Minor grading for landscaping
purposes shall be permitted where done with walk- Exceptions: Structures designed to stand excessive
behind equipment, where the grade is not increased total settlement in coastal areas or heavily loaded
more than 300 mm from original design grade or structures, like silos and storage tanks, shall be
where approved by the building official. allowed to exceed these limits subject to a
This provision prohibits the addition of
recommendation of a registered design professional
surcharge loading on any foundation unless it and approval of a building official.
has been designed to withstand such loading. 5.4.1.6 Factor of safety. Factor of safety shall not
The intent is to address significant grading and be less than 3 for permanent structures and 2 for
compaction work that would require heavy
temporary structures. Consideration shall be given
construction equipment. The exception allows
minor grading that may occur during to all possible circumstances including, but not
landscaping or other maintenance works. limited to, flooding of foundation soil, removal of
existing overburden by scour or excavation, and
5.4.1.2 Eccentric loads. When the footings are change in groundwater table level.
subjected to moments or eccentric loads, the
maximum stresses shall not exceed the allowable 5.4.2 Concrete Foundations. The design,
bearing capacity of the soil specified in CHAPTER materials and construction of concrete foundations
4 . The centeroid of the loads exerted on the footings shall comply with Sections 5.4.2.1 through 5.4.2.8
shall coincide with the centeroid of the footing area, and the provisions of SBC 304 where applicable.
and if not possible the eccentricity shall not exceed Exception: Where a specific design is not provided,
1/6 times the dimensions of the footing on both concrete footings supporting walls of light-frame
sides. For the purpose of estimating the ultimate construction are permitted to be designed in
load-bearing, the effective width shall be taken as accordance with Table 5-3.
the actual width minus twice the eccentricity.
The design, construction and materials used for
5.4.1.3 Inclined loads. For design of footings concrete foundations are to comply with SBC
subjected to inclined loads, it shall be permitted to 304, and also the provisions of this section that
use the following simplified formula or any method are specific to concrete foundations.
of analysis, subject to the approval of the building The exception applies to concrete footings
official. supporting walls of light-frame construction
when a specific footing design is not provided.
The purpose of Table 5-3 is to specify footing
(5-1) sizes that can be used to safely support walls of
light-frame construction. The table is based on
anticipated loads on foundations due to wall,
where: floor and roof systems.

= Vertical component of inclined load; 5.4.2.1 Concrete or grout strength and mix
proportioning. Concrete or grout in footings shall
= Horizontal component of inclined load; have a specified compressive strength ( ) of not
= Allowable vertical load; and less than 20 MPa at 28 days.

= Allowable horizontal load. This section of the code establishes a minimum

compressive strength for concrete and grout
5.4.1.3.1 Horizontal component shall not exceed
soil passive resistance along the footing vertical that concrete or grout used as structural
edge and friction resistance at the footing soil material for foundation construction will be of
interface taking a factor of safety of 2. sufficient strength and durability to satisfy
safety requirements.
5.4.1.4 Adjacent loads. Where footings are placed
at varying elevations the effect of adjacent loads 5.4.2.2 Footing seismic ties. Where a structure is
shall be included in the footing design. assigned to Seismic Design Category D, E or F, in

SBC 303-CC-18 28
 CHAPTER 5 SPREAD FOOTINGS

accordance with Chapters 9 through 16, SBC 301, Generally, when concrete is to be placed under
individual spread footings founded on soil defined water, the mixture should be proportioned to
in Section 9.4.2, SBC 301 as Site Class E or F shall provide a good plastic mix and high workability
be interconnected by ties. Unless it is demonstrated so that it will flow without segregation. The
slump of the concrete should be 130 mm or
that equivalent restraint is provided by reinforced
greater. This desired consistency can be
concrete beams within slabs on grade or reinforced obtained by the use of rounded aggregates, a
concrete slabs on grade, ties shall be capable of higher percentage of fines and entrained air.
carrying, in tension or compression, a force equal to Cement content should be increased by 10 to
the lesser of the product of the larger footing design 15 percent above the quantities required for
gravity load times the seismic coefficient similar mixtures placed in air to compensate for
divided by 10 and 25 percent of the smaller footing increases in water-cement ratios (see Chapter
design gravity load. 19 of SBC 201). In no case should the cement
content be less than 355 kg/m3 of concrete.
This section requires that spread footings on
soft soil profiles be interconnected by ties when 5.4.2.4 Protection of concrete. Water shall not be
they support structures assigned to Seismic allowed to flow through the deposited concrete.
Design Categories D and higher. The purpose
Concrete for foundations should not be placed
of this section is to preclude excessive
during rain unless adequate protection, as
movement of one column or wall with respect to
approved by the building official, is provided.
another. One of the prerequisites of adequate
Such protection, when required, is to be
structural performance during an earthquake is
provided during the concreting operations and
that the foundation of the structure acts as a
for a period of not less than five days thereafter.
unit. This is typically accomplished by tying
Rainwater or water from other sources must not
together the individual footings with ties
be allowed to flow through freshly deposited
capable of carrying, in tension or compression,
concrete so as to increase the mixing water
the smaller of 10 percent of the larger footing
content or to damage the surface finish.
gravity load multiplied by S DS or 25 percent of
the smaller footing design gravity load. SDS is 5.4.2.5 Forming of concrete. Concrete footings are
the design spectral response acceleration at permitted to be cast against the earth where, in the
short periods, as determined in Section opinion of the building official, soil conditions do
1613.3.4 of SBC 201. This tie can be provided not require forming. Where forming is required, it
by concrete floor slabs or tie beams. The
shall be in accordance with Section 20.6 of SBC
differential movement of the foundation should
not exceed that included in the design of the 304.
seismic- force-resisting system. Where earth cuts are used as the concrete form
in foundation construction, the soil must have
5.4.2.3 Placement of concrete. Concrete shall be
sufficient stiffness to maintain the desired
placed in such a manner as to ensure the exclusion shape and dimensions before and during
of any foreign matter and to secure a full-size concreting operations. In the event that the soil
foundation. Concrete shall not be placed through is deemed to be unstable for such purpose, the
water unless a tremie or other method approved by building official is to require that form work be
the building official is used. Where placed under or built in accordance with the provisions of SBC
in the presence of water, the concrete shall be 304.
deposited by approved means to ensure minimum 5.4.2.6 Minimum concrete cover to
segregation of the mix and negligible turbulence of reinforcement. When the concrete of footings is
the water. poured directly on the ground or against excavation
Placing concrete under water should be walls the minimum concrete cover to reinforcement
avoided wherever possible. The risk of shall not be less than 75 mm. This cover shall also
segregation of the concrete mixture is much satisfy other requirements with regard to concrete
greater when depositing under water as exposure conditions presented in SBC 304.
opposed to air; however, when concrete must
be placed under water, it should be done by any 5.4.2.7 Concrete cover. The concrete cover
one of several accepted methods used for such provided for prestressed and nonprestressed
construction, including tremie. Due care must reinforcement in foundations shall be no less than
be exercised in the concreting operations so as the largest applicable value specified in section
to avoid or minimize segregation of the mix and 20.6 of SBC 304. Longitudinal bars spaced less
turbulence of the water. than 40 mm bundled bars for which the concrete
cover provided shall also be no less than that

SBC 303-CC-18 29
 CHAPTER 5 SPREAD FOOTINGS

required by Section 20.6.1.3.4 of SBC 304. interaction, thereby facilitating the design of
Concrete cover shall be measured from the cantilevered poles used to support outdoor
concrete surface to the outermost surface of the advertising. While more accurate methods are
steel to which the cover requirement applies. available for determining the resistance of posts
or poles to axial and lateral loads, the other
Where concrete is placed in a temporary or
methods are much more complex, and the
permanent casing or a mandrel, the inside face of results do not differ significantly from this
the casing or mandrel shall be considered the method.
concrete surface.
5.5.2 Limitations. The design procedures
A minimum thickness of concrete cover must be outlined in this section are subject to the following
provided to protect reinforcement against
limitations:
corrosion from the moisture or severe
environments, such as salt water. (1) The frictional resistance for structural
5.4.2.8 Dewatering. Where footings are carried to walls and slabs on silts and clays shall be
depths below ground water level, the footings shall limited to one-half of the normal force
be constructed by a method that will provide the imposed on the soil by the weight of the
depositing or construction of sound concrete in dry footing or slab.
conditions. (2) Posts embedded in earth shall not be used
5.4.3 Steel grillage footings. Grillage footings of to provide lateral support for structural or
structural steel elements shall be separated with nonstructural materials such as plaster,
approved steel spacers and be entirely encased in masonry or concrete unless bracing is
concrete with at least 150 mm on the bottom and at provided that develops the limited
least 100 mm at all other points. The spaces deflection required.
between the elements shall be completely filled The limitations imposed by this section are
with concrete or cement grout. intended to address both structural stability and
serviceability. The limitation of the frictional
Steel grillage footings were extensively used resistance for structural walls and slabs on silts
during the latter part of the 19th century, but the and clays is consistent with Section 4.3 and
development and use of reinforced concrete Table 4-1, which also limit the sliding
foundations have made this type of construction resistance to one-half the dead load. The
all but obsolete. They are, however, still used limitations on the types of construction
for underpinning purposes. materials that utilize lateral support of poles are
A typical grillage footing consists of two or more based on the brittle nature of the materials. In
tiers of steel beams (usually I-sections) with order to prevent excessive distortions, which
each tier placed at right angles to the one below would produce cracking of these brittle
it. The beams in each tier are usually held materials, this section limits the use of poles
together by a system of bolts and pipe spacers. unless some type of rigid cross bracing is
The beams should be clean and unpainted, and provided to limit the deflections to those that
the whole system completely filled and encased can be tolerated by the materials.
in concrete with at least 150 mm of cover on the
5.5.2.1 Wood poles shall be treated in accordance
bottom and 100 mm at all other points. In lieu of
concrete (other than the encasement), the with AWPA U1 for sawn timber posts (Commodity
spaces between the steel beams may be filled Specification A, Use Category 4B) and for round
with cement grout. timber posts (Commodity Specification B, Use
Category 4B).
5.5 Embedded posts and poles
5.5.3 Design criteria. The depth to resist lateral
5.5.1 Designs to resist both axial and lateral loads loads shall be determined by the design criteria
employing posts or poles as columns embedded in established in Sections 5.5.3.1 through 5.5.3.3 , or by
earth or embedded in concrete footings in the earth other methods approved by the building official.
shall conform to the requirements of Sections 5.5.2
through 5.5.4 . The design criteria developed in 1940s address
the conditions where constraint is provided at
The criteria in this section applies to the lateral the ground surface, such as a rigid floor, and
resistance of posts or poles embedded either where no constraint is provided. The original
directly in earth or in a concrete footing. They design criteria established a 13 mm lateral pole
were originally developed to reduce the deformation at the surface of the ground. [Note
complexity of analyzing the soil-structure that where 13 mm movement can be tolerated,

SBC 303-CC-18 30
 CHAPTER 5 SPREAD FOOTINGS

Section 4.3.5 allows the lateral bearing This two-step process is expressed as a single
pressure to be increased.] These criteria were trial-and-error equation, which requires an
also based on field tests conducted in a range iterative process to arrive at a satisfactory depth
of sandy and gravelly soils and of silts and of embedment.
clays.
Note that the allowable lateral soil bearing
5.5.3.1 Nonconstrained. The following formula pressure is in accordance with Section 4.2. This
shall be used in determining the depth of includes increases permitted in Section 4.3.5.
embedment required to resist lateral loads where no In particular, the allowable lateral bearing
constraint is provided at the ground surface, such as values can be doubled for poles supporting
structures that can tolerate 13 mm of movement
rigid floor or rigid ground surface pavement, and
at the ground surface generally considered
where no lateral constraint is provided above the applicable to isolated poles.
ground surface, such as a structural diaphragm.
5.5.3.2 Constrained. The following formula shall
be used to determine the depth of embedment
(5-2) required to resist lateral loads where constraint is
provided at the ground surface, such as by a rigid
floor or pavement.
where:
(5-3)
= Depth of embedment in earth in meter but not
over 3600 mm for purpose of computing lateral
pressure; or alternatively
= Distance in meter from ground surface to point
; (5-4)
;
where:
= Applied lateral force in kN;
= Moment in the post at grade, in kN-m; and
= Allowable lateral soil-bearing pressure in kPa
as set forth in Section 4.3 based on a depth of one- = Allowable lateral soil-bearing pressure in kPa
third the depth of embedment; and as set forth in Section 4.3 based on a depth equal to
the depth of embedment.
= Diameter of round post or footing or diagonal
dimension of square post or footing in meter. The required embedment depth for posts or
poles that are restrained at the ground surface
The required embedment depth for posts or is determined by Equation (5-3) or Equation (5-
poles that are not restrained at or above the 4). A constrained post has stiff resistance at
ground surface is determined by Equation (5- grade, compared to the stiffness of the soil. This
2). Nonconstrained conditions include flexible point of support acts as a fulcrum for the lateral
pavements, such as asphalt. The code further load. The pole is free to rotate about this point
restricts the use of this equation to structures rather than being fixed.
that have no lateral support, such as from a
floor diaphragm, provided above the ground 5.5.3.3 Vertical load. The resistance to vertical
level. From an analysis standpoint, the loads shall be determined by the allowable soil-
embedded pole is free to rotate and translate at bearing pressure set forth in Table 4-1.
the point of load application. The pole rotates
about a point below the soil surface, which is While no specific limit is provided with respect
where the direction of the passive pressure on to vertical loading, this methodology was
the embedded pole changes direction. originally developed for cantilevered posts
Determining the minimum embedment depth of where the primary concern is lateral resistance
a vertical member resisting lateral loads (see commentary, Section 5.5). The above
requires two steps: determination of embedment length is
independent of the vertical load (see the
Assuming an embedment depth, calculate the commentary, Section 4.2 and Table 4-1).
soil pressure that the embedded member
imposes on the soil; and compare the 5.5.4 Backfill. The backfill in the space around
calculated pressure to an allowable lateral soil columns not embedded in poured footings shall be
bearing pressure. done by one of the following methods:

SBC 303-CC-18 31
CHAPTER 5 SPREAD FOOTINGS

(1) Backfill shall be of concrete with a In order for the post or pole to meet the
specified compressive strength of not conditions and limitations of research for which
less than 20 MPa at 28 days. The hole the above criteria were established, backfill in
shall not be less than 100 mm larger than the annular space around a column not
embedded in a concrete footing must be either
the diameter of the column at its bottom
20 MPa concrete, CLSM (see commentary,
or 100 mm larger than the diagonal Section 3.10) or clean sand thoroughly
dimension of a square or rectangular compacted by tamping in layers not more than
column. 200 mm in depth.
(2) Backfill shall be of clean sand. The sand 5.6 Seismic requirements
shall be thoroughly compacted by
tamping in layers not more than 200 mm 5.6.1 For footings of structures assigned to
in depth. Seismic Design Category C, D, E, or F provisions
of SBC 301 and SBC 304 shall apply when not in
(3) Backfill shall be of controlled low- conflict with the provisions of CHAPTER 5 .
strength material (CLSM) placed in
accordance with Section 3.11.

SBC 303-CC-18 32
CHAPTER 5 SPREAD FOOTINGS

TABLES AND FIGURES OF CHAPTER 5

Table 5-1 Maximum allowable total settlement

TOTAL SETTLEMENT
FOOTING TYPE (mm)
CLAY SAND
Spread Footings 60 40
Mat Foundations 80 60

Table 5-2 Maximum allowable angular distortion

BUILDING TYPE L/H

Multistory reinforced concrete structures founded on mat foundation --- 0.0015
Steel frame structure with side sway --- 0.008
Reinforced concrete or steel structure with interior or exterior glass or
--- 0.002-0.003
panel cladding
Reinforced concrete or steel structure with interior or exterior glass or >5 0.002
panel cladding <3 0.001
Slip and high structures as silos and water tanks founded on stiff mat
--- 0.002
foundations
Cylindrical steel tank with fixed cover and founded on flexible footing --- 0.008
Cylindrical steel tank with portable cover and founded on flexible
--- 0.002-0.003
footing
Rail for supporting hanged lift --- 0.003
= Building length; = Span between adjacent footings; = Overall height of the structure; = Differential
settlement

Table 5-3 Footings supporting walls of light-frame construction a, b, c, d, e

NUMBER OF FLOORS WIDTH OF THICKNESS OF

SUPPORTED BY THE FOOTING FOOTING
FOOTINGf (mm) (mm)
1 300 150
2 375 150
3 450 200
a. Depth of footings shall be in accordance with Section 5.2.
b. The ground under the floor is permitted to be excavated to the elevation of the top of the footing.
c. Interior-stud-bearing walls are permitted to be supported by isolated footings. The footing width and length
shall be twice the width shown in this table, and footings shall be spaced not more than 1800 mm on center.
d. See SBC 304 Chapter 21 for additional requirements for footings of structures assigned to Seismic Design
Category C or D, E, or F.
e. For thickness of foundation walls, see CHAPTER 6.
f. Footings are permitted to support a roof in addition to the stipulated number of floors. Footings supporting
roof only shall be as required for supporting one floor.

SBC 303-CC-18 33
CHAPTER 5 SPREAD FOOTINGS

Figure 5-1 Foundation clearances from slopes.

Commentary Figure 5-2 Isolated footings.

SBC 303-CC-18 34
CHAPTER 5 SPREAD FOOTINGS

Commentary Figure 5-3 Buildings adjacent to ascending slope exceeding 1 to 1.

Commentary Figure 5-4 Buildings adjacent to descending slope exceeding 1 to 1.

SBC 303-CC-18 35
CHAPTER 5 SPREAD FOOTINGS

Commentary Figure 5-5 Footing elevation on graded sites.

SBC 303-CC-18 36
 CHAPTER 6 FOUNDATION WALLS

CHAPTER 6 FOUNDATION WALLS

6.1 General illustration of unbalanced backfill height where

an interior slab on grade is in contact with the
6.1.1 Foundation walls shall be designed and foundation wall, see Commentary Figure 6-1.
constructed in accordance with Sections 6.2 through
6.6. Foundation walls shall be supported by 6.4 Rubble stone foundation walls
foundations designed in accordance with 6.5 Concrete foundation walls
CHAPTER 5 .
6.5.1 Concrete and masonry foundation walls
Foundation walls typically serve as the shall be designed in accordance with SBC 304, as
enclosure for a basement or crawl space as
applicable.
well as a below-grade load-bearing foundation
component. Where applicable, they are Exception: Concrete and masonry foundation walls
designed to resist lateral soil pressures as well shall be permitted to be designed and constructed in
as dead, live, wind, and seismic loads. This accordance with Section 6.6.
section contains the provisions applicable to the
design and construction of foundation walls. Foundation walls are usually designed and
constructed in accordance with accepted
6.2 Design lateral soil loads engineering practices to carry vertical loads
from the structure above, resist wind and any
6.2.1 Foundation walls shall be designed for the
lateral forces transmitted to the foundations and
lateral soil loads set forth in Section 1610 of SBC sustain earth pressures exerted against the
201. walls. For reinforced and plain concrete, the
This section requires that foundation and physical properties and design criteria are
retaining walls be designed to resist the lateral provided in Chapter 19 of SBC 201. An
soil loads in accordance with Section 1610 of exception permits the use of prescriptive
SBC 201. The code provides lateral soil loads foundation walls when the applicable limitations
in Table 1610.1 of SBC 201 for use where a are met.
specific geotechnical investigation has not been
performed. Consideration must be also given to
6.6 Prescriptive design of concrete
hydrostatic loads in addition to lateral pressures foundation walls
resulting from surcharge loads, such as a 6.6.1 Concrete and masonry foundation walls
sloping backfill. that are laterally supported at the top and bottom
6.3 Unbalanced backfill height shall be permitted to be designed and constructed
in accordance with this section.
6.3.1 Unbalanced backfill height is the difference
in height between the exterior finish ground level This section allows prescriptive design of
and the lower of the top of the concrete footing that concrete foundation walls that are primarily
intended for, but not necessarily limited to,
supports the foundation wall or the interior finish
basement construction in residential and light
ground level. Where an interior concrete slab on commercial buildings or other light structures.
grade is provided and is in contact with the interior For the actual load limit on these prescriptive
surface of the foundation wall, the unbalanced concrete foundation walls, see Section 6.6.3,
backfill height shall be permitted to be measured Item 7. Since the designs in the table are only
from the exterior finish ground level to the top of applicable to foundation walls that are laterally
the interior concrete slab. supported at the top and bottom, foundation
walls that are not laterally supported at the top
This provision establishes unbalanced backfill and bottom must be designed as described in
height as the difference in height of the exterior Section 6.5.
and interior finished ground levels. The height
of unbalanced backfill quantifies the magnitude 6.6.2 Foundation wall thickness. The thickness
of the lateral soil load for the different of prescriptively designed foundation walls shall not
classifications of soils presented in the be less than the thickness of the wall supported,
prescriptive foundation wall tables. For an except that foundation walls of at least 200 mm

SBC 303-CC-18 37
 CHAPTER 6 FOUNDATION WALLS

nominal width shall be permitted to support brick- (7) The unfactored axial load in kN per
veneered frame walls and 250 mm cavity walls linear meter of wall shall not exceed
provided the requirements of Section 6.6.3 is met. , where t is the specified wall
The minimum thicknesses in this section are to thickness in mm.
facilitate the support of the wall above grade. The section contains the limitations on
The thickness requirements in this section are construction details and material properties that
empirical and have been used successfully for are needed to utilize the prescriptive designs of
many years. Table 6-1 for concrete foundation walls. The
concrete wall thickness and reinforcing (if any)
6.6.3 Concrete foundation walls. Concrete
must be as shown in Table 6-1, based on the
foundation walls shall comply with the following:
(1) The thickness shall comply with the as well as the applicable lateral soil pressure.
requirements of Table 6-1 The minimum required concrete strength is
(2) The size and spacing of vertical given as well as the yield strength of
reinforcement steel that was used as the basis
reinforcement shown in Table 6-1 are
for the tabulated vertical reinforcement. The
based on the use of reinforcement with a use of other grades of reinforcing steel is
minimum yield strength of 420 MPa. permitted provided the appropriate adjustment
Vertical reinforcement with a minimum is made to the spacing of the vertical bars.
yield strength of 270 MPa or 350 MPa
shall be permitted, provided the same 6.6.3.1 Seismic requirements. Based on the
size bar is used and the spacing shown in seismic design category assigned to the structure in
the table is reduced by multiplying the accordance with Section 1613 of SBC 201, concrete
spacing by 0.67 or 0.83, respectively. foundation walls designed using Table 6-1 shall be
subject to the following limitations:
(3) Vertical reinforcement, when required,
shall be placed nearest to the inside face (1) Seismic Design Categories A and B. Not
of the wall a distance, d, from the outside less than one bar diameter 16 mm shall
face (soil face) of the wall. The distance, be provided around window, door and
d, is equal to the wall thickness, t, minus similar sized openings. The bar shall be
30 mm plus one-half the bar diameter, anchored to develop fy in tension at the
, [ ]. The corners of openings.
reinforcement shall be placed within a (2) Seismic Design Categories C, D, E, and
tolerance of ± 10 mm where d is less than F. Tables shall not be used except as
or equal to 200 mm or ± 12 mm where d allowed for plain concrete members in
is greater than 200 mm. Section 1905.1.7 SBC 201.
(4) In lieu of the reinforcement shown in For structures classified as either Seismic
Table 6-1, smaller reinforcing bar sizes Design Category A or B, the prescriptive
with closer spacings that provide an concrete foundation wall Table 6-1 applies
equivalent cross-sectional area of along with the provisions stated in Item 1 of this
reinforcement per unit length shall be section. For other seismic design categories,
the use of the prescriptive concrete foundation
permitted.
wall Table 6-1 is limited by Section 1905.1.8 of
(5) Concrete cover for reinforcement SBC 201. That section allows the use of plain
measured from the inside face of the wall concrete foundation walls (i.e., walls that do not
shall not be less than 20 mm. Concrete comply with the SBC 304 definition of
cover for reinforcement measured from - and two-family
dwellings.
the outside face of the wall shall not be
less than 40 mm for bars diameter 16 mm 6.6.4 Masonry foundation walls.
and smaller, and not less than 50 mm for
Empty
larger bars.
(6) Concrete shall have a specified 6.7 Pier and curtain wall foundations
compressive strength, , of not less than 6.7.1 Except in Seismic Design Category D, E,
20 MPa. and F, pier and curtain wall foundations shall be
permitted to be used to support light- frame

SBC 303-CC-18 38
 CHAPTER 6 FOUNDATION WALLS

construction not more than two stories above grade top course shall be filled with
plane, provided the following requirements are met: concrete or grout.
(1) All load-bearing walls shall be placed on (4) The maximum height of a 100 mm load-
continuous concrete footings bonded bearing masonry foundation wall
integrally with the exterior wall footings. supporting wood frame walls and floors
shall not be more than 1220 mm in
(2) The minimum actual thickness of a load-
height.
bearing masonry wall shall not be less
than 100 mm nominal or 90 mm actual (5) The unbalanced fill for 100 mm
thickness, and shall be bonded integrally foundation walls shall not exceed 600
with piers spaced 1800 mm on center mm for solid masonry, nor 300 mm for
(O.C.). hollow masonry.
(3) Piers shall be constructed in accordance Pier and curtain wall foundations are only
with chapter 21 SBC 201 and the permitted to support structures of light-frame
following: construction (wood or light- gage steel framing
members) not more than two stories in height
(i) The unsupported height of the and assigned to Seismic Design Category A, B
masonry piers shall not exceed or C. Seismic detailing requirements for higher
10 times their least dimension. seismic design categories have not yet been
(ii) Where structural clay tile or in this
hollow concrete masonry units
are used for piers supporting
minimum 100 mm- thick masonry load-bearing
beams and girders, the cellular
walls. The provisions apply to simple wood-
spaces shall be filled solidly frame buildings where the combined loads are
with concrete or Type M or S minimal.
mortar.
This type of foundation system is also
Exception: Unfilled hollow piers shall be permitted addressed in Section R404.1.5.3 of the
where the unsupported height of the pier is not more International Residential Code® (IRC®), which
than four times its least dimension. includes an accompanying figure illustrating the
code requirements. This IRC figure is
(iii) Hollow piers shall be capped reproduced here as Commentary Figure 6-2.
with 100 mm of solid masonry
or concrete or the cavities of the

SBC 303-CC-18 39
CHAPTER 6 FOUNDATION WALLS

TABLES AND FIGURES OF CHAPTER 6

Table 6-1 Concrete foundation wallsb, c
Minimum Vertical Reinforcement-Bar Size and Spacing (mm)
Design lateral soil loada (kPa/m per 300 mm of depth)
Maximum Wall
Maximum Unbalanced 4.7 d 7.1 d 9.5
Height (mm)
Backfill Height (mm) Minimum wall thickness (mm)
200 250 300 200 250 300 200 250 300
1200 PC PC PC PC PC PC PC PC PC
1500
1500 PC PC PC PC PC PC PC PC PC
1200 PC PC PC PC PC PC PC PC PC
1800 1500 PC PC PC PC PC PC PC PC PC
1800 PC PC PC PC PC PC PC PC PC
1200 PC PC PC PC PC PC PC PC PC
1500 PC PC PC PC PC PC PC PC PC
Dia 16 at
2100 1800 PC PC PC PC PC PC PC PC
1200
Dia 16 at Dia 20 at
2100 PC PC PC PC PC PC PC
1100 1200
1200 PC PC PC PC PC PC PC PC PC
1500 PC PC PC PC PC PC PC PC PC
Dia16 at
1800 PC PC PC PC PC PC PC PC
1100
2400
Dia16 at Dia 20 at
2100 PC PC PC PC PC PC PC
1000 1100
Dia16 at Dia 20 at Dia 20 at Dia 20 at
2400 PC PC PC PC pc
1200 1100 800 1100
1200 PC PC PC PC PC PC PC PC PC
1500 PC PC PC PC PC PC PC PC PC
Dia16 at
1800 PC PC PC PC PC PC PC PC
1000
Dia16 at Dia 20 at Dia16 at
2700 2100 PC PC PC PC PC PC
900 900 900
Dia16 at Dia 20 at Dia16 at Dia 22 at Dia 20 at Dia 14 at
2400 PC PC PC
1000 900 900 1000 1000 1200
Dia 20 at Dia 22 at Dia 20 at Dia 22 at Dia 22 at Dia 20 at
2700d PC PC PC
1100 1000 1000 700 1000 1000
1200 PC PC PC PC PC PC PC PC PC
1500 PC PC PC PC PC PC PC PC PC
Dia 16 at
1800 PC PC PC PC PC PC PC PC
900
Dia 20 at Dia 20 at Dia 20 at
2100 PC PC PC PC PC PC
1200 900 1200
3000
Dia16 at Dia 22 at Dia 20 at Dia 22 at Dia 22 at Dia 20 at
2400 PC PC PC
900 1200 1200 800 1900 1100
Dia 20 at Dia 14 Dia 22 at Dia 22 at Dia 14 Dia 20 at Dia 22 at Dia 22 at
2700d PC
1000 at 1200 900 1200 at 1200 500 900 1200
Dia 22 at Dia 20 Dia 22 at Dia 22 at Dia 20 Dia 20 at Dia 22 at Dia22 at
3000d PC
1100 at 1100 700 1000 at 900 500 950 900
a. For design lateral soil loads, see Section 1610 SBC 201.
b. Provisions for this table are based on design and construction requirements specified in Section 6.6.3.
c. "PC" means plain concrete.
d. Where unbalanced backfill height exceeds 2400 mm and design lateral soil loads from Table 1610.1 of SBC 201 are used, the
requirements for 4.7 and 7.1 kPa/m per 300 mm of depth are not applicable (see Section 1610 of SBC 201).

SBC 303-CC-18 40
CHAPTER 6 FOUNDATION WALLS

Commentary Figure 6-1 Unbalanced backfill height.

SBC 303-CC-18 41
CHAPTER 6 FOUNDATION WALLS

Commentary Figure 6-2 Foundation wall clay masonry curtain wall with concrete masonry
piers.

SBC 303-CC-18 42
CHAPTER 6 FOUNDATION WALLS

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SBC 303-CC-18 43
 CHAPTER 7 RETAINING WALLS

CHAPTER 7 RETAINING WALLS

7.1 General Table 7-3 shall be used in computations that include

effects of wall friction.
7.1.1 Retaining walls shall be designed in
accordance with Sections 7.2 through 7.6 to ensure 7.2.3 Wall movement. The effect of wall
stability against overturning, sliding, excessive movement on the earth pressure coefficients shall
foundation pressure and water uplift. conform to the provisions of Sections 7.2.3.1 and
7.2.3.2 .
This chapter provides design considerations for
a retaining wall. 7.2.3.1 Rotation. If the wall is free at the top and
7.1.2 Scope. This Chapter shall apply to all there are no other structures associated with, wall
matters pertaining to design and construction of tilting shall not exceed 0.1 times the height of the
rigid gravity, semi gravity, cantilever, buttressed, wall. Where the actual estimated wall rotation is
and counterfort retaining walls. For special types of less than the value required to fully mobilize active
retaining walls, provisions of this code shall apply or passive conditions set forth in Table 7-1, the earth
where applicable. General safety measures during pressure coefficient shall be adjusted in accordance
construction shall comply with provisions of with Figure 7-1.
CHAPTER 3 . 7.2.3.2 Translation. It shall be permitted to
consider uniform translation required to mobilize
7.2 Lateral earth pressures
ultimate passive resistance or active pressure
7.2.1 Computations of lateral earth pressures equivalent to movement of top of wall based on
shall comply with the provisions of Sections 7.2.2 rotation given in Table 7-1.
through 7.2.7 . Wall movements set forth in Table
7.2.3.3 Restrained wall. Where wall is prevented
7-1 shall be considered the magnitude required for
from even slight movement, the earth pressure shall
active and passive conditions to exist. Soil
be considered to remain at-rest conditions.
permeability characteristics, boundary drainage and
loading conditions, and time shall be considered in 7.2.3.4 Basement and other below grade walls.
selection of strength parameters. In soils where Pressures on walls below grade shall be computed
partial drainage occurs during the time of based on restrained conditions that prevail, type of
construction, analysis shall be performed for short- backfill, and the amount of compaction. The
term and long-term conditions, and the wall shall be provisions of CHAPTER 6 shall apply where
designed for the worse conditions. applicable.
Section 7.2 requires that the Table 7-1 lateral 7.2.3.5 Wall on rock. Where the wall is founded on
pressures be used unless other values are rock, sufficient rotation of the base and wall so that
substantiated by a geotechnical investigation. active pressure is developed, shall be accomplished
The lateral pressure of the soil against the by placing 150 to 300 mm thick earth pad beneath
retaining wall is greatly influenced by soil
the base and by constructing the stem with
moisture. Backfill is usually kept from being
saturated for an extended length of time by sufficient flexibility to yield with the soil pressure.
placing drains near the base of the retaining 7.2.4 Groundwater conditions. Pressure
wall to remove the water in the soil behind it. computations shall include uplift pressures and the
7.2.2 Wall friction. Wall friction and vertical effect of the greatest unbalanced water head
movement, slope of the wall in the backside and anticipated to act across the wall. For cohesionless
sloping backfill shall be considered in determining materials, increase in lateral force on wall due to
the lateral pressures applied against the wall. Unless rainfall shall be considered and walls shall be
data to substantiate the use of other values are designed to support the weight of the full
submitted and approved by a registered design hydrostatic pressure of undrained backfill unless a
professional, the values set forth in Table 7-2 and drainage system is installed in accordance with
Sections 13.4.3 and 13.4.4.

SBC 303-CC-18 44
 CHAPTER 7 RETAINING WALLS

7.2.5 Surcharge. Stability shall be checked with

and without surcharge. Lateral pressure on wall due
to point and line loads shall be computed based on
the assumption of an unyielding rigid wall and the (7-1)
lateral pressures are set equal to double the values
obtained by elastic equations. The applicability of
the assumption of an unyielding rigid wall shall be
evaluated for each specific wall. For uniform where:
surcharge loading it shall be permitted to compute
= Combined resultant active force;
lateral stress by treating the surcharge as if it were
backfill and multiplying the vertical stress at any = Coefficient of active earth pressure;
depth by the appropriate earth pressure coefficient.
= Wall height;
It shall be permitted for design purposes to
considerer a distributed surface load surcharge on = Slope of wall back with respect to vertical;
the order of 15 kPa to account for construction = Inclination of soil surface (upward slopes away
materials and equipment placed within 5 to 10
from the wall are positives);
meters from the wall. Where construction
equipment is anticipated within 2 meters of the = + )= Modified slope of wall back;
wall, it must be accounted for separately. = + )= Modified inclination of soil surface;
7.2.6 Compaction. For backfill of granular soils
= Unit weight of soil; and
compacted in a confined wedge behind the wall, the
horizontal pressure beyond those represented by = Seismic inertia angle given as follows:
active or at-rest values shall be computed in
accordance with Figure 7-2. Compaction-induced
pressures shall not be considered in bearing, (7-2)
overturning and sliding analyses and need to be
considered for structural design only. Backfill shall
be brought up equally on both sides until the lower ; and
side finished grade is reached and precautions shall
be taken to prevent overcompaction which will
cause excessive lateral forces to be applied to the 7.2.7.2 For modified slope angle *
and *
, the
wall.
modified coefficient of earth pressures ( *, *)
7.2.6.1 Clays and other fine-grained soils, as well as shall be calculated from the Coulomb theory.
granular soils, with amount of clay and silt greater Dynamic pressure increment shall be obtained by
than 15 percent shall not be used as a backfill subtracting static active force (to be determined
behind retaining wall. Where they must be used, the from Coulomb theory for given and ) from
lateral earth pressure shall be calculated based on combined active force given by Equation (7-1).
at-rest conditions, with due consideration to Location of resultant shall be obtained by
potential poor drainage conditions and swelling.
considering the earth pressure to be composed of a
Where loose hydraulic fill is used it shall be placed static and dynamic component with the static
by procedures which permit runoff of wash water component acts at the lowest third point, whereas
and prevent building up of large hydrostatic the dynamic component acts above the base at 0.6
pressures. times the height of the wall. Under the combined
7.2.7 Earthquake loading. For retaining walls effect of static and earthquake load the factor of
assigned to Seismic Design Category C, D, E, or F safety shall not be less than 1.2.
provisions of SBC 301 and SBC 304 shall apply 7.2.7.3 Where soil is below groundwater table, the
when not in conflict with the provisions of hydrodynamic pressure computed from the
CHAPTER 7 .
following formula shall be added
7.2.7.1 The combined resultant active force due to
initial static pressure and increase in pressure from
ground motion shall be computed from the (7-3)
following formula:

SBC 303-CC-18 45
 CHAPTER 7 RETAINING WALLS

where: The factor of safety against sliding shall not be less

than 1.5 for cohesionless backfill and 2.0 for
= Hydrodynamic pressure at depth z below
cohesive backfill.
groundwater table;
Exception: Where earthquake loads are included,
= Height of water;
the minimum safety factor for retaining wall sliding
= Depth below the groundwater table; and shall be 1.1.
= Unit weight of water (9.81 kN/m3). 7.4.3 Overturning stability. For walls on
relatively incompressible foundations, overturning
7.3 Bearing capacity check is ignored if the resultant is within the middle
7.3.1 The allowable soil pressure shall be third of the base for walls founded on soils and if
determined in accordance with the provisions of the resultant is within the middle half for walls
CHAPTER 4 . The determination of the allowable founded on rocks. Where foundation soil is
bearing pressure shall be made according to the compressible, settlement shall be computed based
bearing capacity of a foundation subjected to on any method approved by the building official.
eccentric loads. The bearing capacity shall be Tilt of rigid wall shall be obtained from the
checked for the same loading conditions as estimated settlement. Differential settlement shall
determined by the overturning analysis for each be limited to the amount of tilting that shall not
case analyzed. Where the wall is founded on sloped exceed 5 percent of wall height. If the consequent
ground, methods for determination of ultimate tilt exceeds acceptable limits, the wall shall be
bearing capacity that deal with this situation shall proportioned to keep the resultant force at the
be used. The factor of safety with respect to bearing middle third of base. The retaining wall shall be
capacity shall not be less than 3. For walls founded proportioned so that the factor of safety against
on rocks, high toe pressure that may cause breaking overturning is not less than 1.5. The value of
the toe from the remainder of the base shall be angular distortion (settlement/length of structure) of
avoided by proportioning the footing so that the retaining walls shall not exceed 0.002 radians.
resultant falls near its centroid. Exception: Where earthquake loads are included,
7.4 Stability the minimum safety factor for retaining wall
overturning shall be 1.1.
7.4.1 Retaining walls shall be designed to ensure
stability against overturning, sliding, and stability 7.4.4 Deep-seated sliding. Where retaining
of supporting ground. Stability analyses shall walls are underlain by weak soils, the overall
conform to the provisions of Sections 7.4.2 through stability of the soil mass containing the retaining
7.4.5 . wall shall be checked with respect to the most
critical surface of sliding. The stability analysis
7.4.2 Sliding stability. The base shall be at least shall be made for after construction and for long-
1000 mm below ground surface in front of the wall. term conditions. The factor of safety for the overall
Sliding stability shall be adequate without including stability of the soil mass containing the wall shall
passive pressure at the toe. Where insufficient not be less than 2.
sliding resistance is available, one provision shall
be taken including, but not limited to, increasing the 7.4.5 Wall with key. Prior to performing an
width of the wall base, founding the wall on piles or overturning analysis, the depth of the key and width
lowering the base of the wall. If the wall is of the base shall be determined from the sliding
supported by rock or very stiff clay, it shall be stability analysis. For a wall with a horizontal base
permitted to install a key below the foundation to and a key, it shall be permitted to assume the
provide additional resistance to sliding. The key shearing resistance of the base to be zero and the
shall conform to the provisions of Section 7.4.5 . horizontal resisting force acting on the key is that
Where a keyway is extended below the wall base required for equilibrium. For a wall with a sloping
with the intent to engage passive pressure and base and a key, the horizontal force required for
enhance sliding stability, lateral soil pressures on equilibrium shall be assumed to act on the base and
both sides of the keyway shall be considered in the the key. In both cases the resisting soil force down
sliding analysis. The safety factor against lateral to the bottom of the toe shall be computed using at-
sliding shall be taken as the available soil resistance rest earth pressure if the material on the resisting
at the base of the retaining wall foundation divided side will not lose its resistance characteristics with
by the net lateral force applied to the retaining wall. any probable change in water content or

SBC 303-CC-18 46
 CHAPTER 7 RETAINING WALLS

environmental conditions and will not be eroded or extend through the expansion joint. For cantilever
excavated during the life of the wall. concrete walls, it shall be permitted to locate the
vertical expansion joints only on the stem, and the
7.5 Wall dimensions footing is a continuous placement.
7.5.1 Thickness of the upper part of the wall shall 7.6.3.1 The thickness of joint filler necessary to
not be less than 300 mm, whereas thickness of the provide stress relief shall be determined from the
lower part of the wall shall be enough to resist shear estimated initial contraction and subsequent
without reinforcement. Depth of wall foundation
expansion from maximum temperature variation.
shall be located below line of seasonal changes and
shall be deep enough to provide adequate bearing 7.6.4 Drainage. Regardless of the drainage
capacity and soil sliding resistance. The wall system used, the wall must have an adequate factor
foundation shall be proportioned such that the wall of safety assuming the drainage system is
does not slide or overturn, the allowable bearing inoperative. Where drainage measures are
capacity of the soil is not exceeded, and that total considered they shall be designed by a registered
and differential settlements are tolerable. The base design professional and subject to the approval of
and other dimensions shall be such that the resultant the building official. As a minimum, there shall be
falls within the middle third of the base. Where weep holes with pockets of coarse-grained material
additional front clearance is needed, it shall be at the back of the wall, and a gutter shall be
permitted to construct counterfort retaining walls provided for collecting runoff. All retaining walls
without a toe provided that the sliding and shall have adequate surface drainage to dispose of
overturning stability requirements stated in surface water. A layer of impervious soil shall be
Sections 7.4.2 and 7.4.3 are met. placed on top of the soil backfill to reduce surface
infiltration of rainfall. It shall be permitted to use
7.6 Wall construction inclined and horizontal drains in conjunction with
7.6.1 Concrete shall not be placed through water back drain.
unless a tremie or other method approved by the 7.6.4.1 The weep holes shall be of sufficient size
building official is used. Where placed under or in and be carefully surrounded with a granular filter or
the presence of water, the concrete shall be by the use of filter fabric on the backfill side and
deposited by approved means to ensure minimum directly surrounding the entrance to the weep holes.
segregation of the mix and negligible turbulence of The weep holes shall be spaced not more than 3 m
the water and that will provide the depositing or apart vertically and horizontally. Where
construction of sound concrete in the dry condition. longitudinal drains along the back face are used, a
7.6.2 Minimum concrete cover to layer of free-draining granular material shall be
reinforcement. When the concrete of retaining placed along the back of the wall and surrounding
walls is poured directly on the ground or against the drain pipes opening. The gradation of the filter
excavation walls the minimum concrete cover to shall satisfy the following piping or stability
reinforcement shall not be less than 75 mm and not criterion.
less than 40 mm when concrete is poured against
lean concrete or vertical forms. This cover shall also
satisfy other requirements with regard to concrete (7-4)
exposure conditions presented in SBC 304.
7.6.3 Joints. Construction and expansion joints
where:
shall be provided where needed. Construction joints
shall be constructed into a retaining wall between = size of filter material at 15 percent passing;
successive pours of concrete both horizontally and and
vertically. Horizontal construction joints shall be = size of protected soil at 85 percent passing.
kept to a minimum and the top surface of each lift
shall be cleaned and roughened before placing the and
next lift. Long walls shall have expansion joints at
intervals of 10,000 mm. Where vertical-expansion
joints are considered, they shall be placed along the (7-5)
wall at spacing of 20,000 to 30,000 mm.
Reinforcing steel and other fixed metal embedded
or bonded to the surface of the concrete shall not where:

SBC 303-CC-18 47
 CHAPTER 7 RETAINING WALLS

= size of filter material at 50 percent passing; are used within drainage blanket, they shall be large
and enough to carry the discharge and have adequate
slope to provide sufficient velocity to remove
= size of protected soil at 50 percent passing.
sediment from the drain. Segregation of sand and
The filter material shall be more permeable than the gravel during construction shall be avoided. Filter
material being drained and the following condition or drain materials contaminated by muddy water,
shall be met. dust, etc. shall be replaced and filter materials
subject to cementation shall be rejected.
7.6.4.3 In lieu of a granular filter, it shall be
(7-6)
permitted to use prefabricated geocomposite drains
with adequate filter flow capacity and acceptable
retention. The size of filter material at 50 percent
where:
passing, , shall not be less than the diameter of
= size of filter protected soil at 15 percent the hole for circular openings and shall be 1.2 times
passing. slot width for slotted openings. The drainage
7.6.4.2 Where a blanket of well-graded sand and backfilling and compaction near the composite shall
gravel that is placed along the back of the wall it be followed.
shall satisfy the requirements of Equation (7-4)
through Equation (7-6). Where longitudinal drains

SBC 303-CC-18 48
CHAPTER 7 RETAINING WALLS

TABLES AND FIGURES OF CHAPTER 7

Table 7-1 Magnitude of rotation to reach failure

ROTATION
SOIL TYPE AND CONDITION
ACTIVE PASSIVE
Dense cohesionless soil 0.0005 0.002
Loose cohesionless soil 0.002 0.006
Stiff cohesive soil 0.01 0.02
Soft cohesive soil 0.02 0.04
a.
= Horizontal translation at the top of the wall; = Height of the wall

Table 7-2 Ultimate friction factors for dissimilar materials

INTERFACE MATERIALS FRICTION FACTOR,

Clean sound rock 0.7
Clean gravel, gravel-sand mixtures, coarse sand 0.55 0.60
Clean fine to medium sand, silty medium to coarse sand, silty or clayey 0.45 0.55
gravel
Clean fine sand, silty or clayey fine to medium sand 0.35 0.45
Fine sandy silt, nonplastic silt 0.30 0.35
Very stiff and hard residual or preconsolidated clay 0.40 0.50
Medium stiff and stiff clay and silty clay 0.30 0.35
a
Values for shall not exceed one-half the angle of internal friction of the backfill soils for steel and precast concrete
and two-third the angle of internal friction of the backfill soils for cast-in place concrete.

Table 7-3 Ultimate adhesion for dissimilar materials

COHESION ADHESION
INTERFACE MATERIALS
(kPa) (kPa)
Very soft cohesive soil 0 10 0 10
Soft cohesive soil 10 25 10 25
Medium stiff cohesive soil 25 50 25 35
Stiff cohesive soil 50 100 35 45
Very stiff cohesive soil 100 200 45 60

SBC 303-CC-18 49
CHAPTER 7 RETAINING WALLS

Figure 7-1 Effect of wall movement on wall pressures (nafac, 1986).

Figure 7-2 Horizontal pressure on walls from compaction effort (Nafac, 1986).

SBC 303-CC-18 50
CHAPTER 7 RETAINING WALLS

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SBC 303-CC-18 51
 CHAPTER 8 COMBINED FOOTINGS AND MATS

CHAPTER 8 COMBINED FOOTINGS AND MATS

8.1 General foundations, footings and overlying fill. Reduced

live loads, as specified in Section 4.8 SBC 301, are
8.1.1 Analysis and design of combined footings permitted to be used in designing footings. Strength
and mats shall conform to all requirements of ACI design of reinforced concrete systems and elements
336.2R Suggested Analysis and Design Procedures shall comply with load combinations specified in
for Combined Footings and Mats except as SBC 304.
modified by CHAPTER 8 . All provisions of SBC
303 not specifically excluded, and not in conflict 8.3 Concrete
with the provisions of CHAPTER 8 shall apply to
8.3.1 Material, construction, and placement of
combined footings and mats, where applicable.
concrete shall be in accordance with the provisions
Design of combined or mat foundations shall be
of Section 5.4.2 . For mats construction joints shall
based on the Strength Design Method of SBC 304.
be carefully located at sections of low shear stress
8.1.2 Combined footings and mats shall be or at the center lines between columns. An elapse of
designed and constructed on the basis of a site at least 24 hours shall be left between pours of
investigation as defined in CHAPTER 2 , unless the adjacent areas. If bar splicing is needed, sufficient
building official ascertains that sufficient data upon overlapping shall be provided. The concrete shall be
which to base the design and installation is strong enough to transfer the shear stress across the
available. The investigation and report provisions joint. If necessary, the mat may be thickened to
of CHAPTER 2 shall be expanded to include, but provide sufficient strength in the joints.
need not be limited to, the following:
8.4 Contact pressure
(1) Values for modulus of subgrade reaction.
8.4.1 Soil contact pressure acting on a combined
(2) Recommended shapes of combined footing or mat and the internal stresses produced by
footings. them shall be determined from one of the load
8.1.3 Approval of special systems of design or combinations given in Section 2.4 SBC 301,
construction. Sponsors of any system of design or whichever produces the maximum value for the
construction within the scope of CHAPTER 8 , the element under investigation.
adequacy of which has been shown by successful 8.4.2 The combinations of unfactored loads
use or by analysis or test, but which does not which will produce the greatest contact pressure on
conform to or is not covered by CHAPTER 8 , shall a base area of given shape and size shall be selected.
have the right to present that data on which their The allowable soil pressure shall be determined in
design is based to the building official or to a board accordance with the provisions of CHAPTER 4 .
of examiners appointed by the building official. Loads shall include the vertical effects of moments
This board shall be composed of competent caused by horizontal components of these forces
geotechnical and structural engineers and shall have and by eccentrically applied vertical loads.
authority to investigate the data so submitted, to Buoyancy of submerged parts where this reduces
require tests, and to formulate rules governing the factor of safety or increases the contact
design and construction of such systems to meet the pressures, as in flood conditions shall be
intent of CHAPTER 8 . These rules when approved considered.
by the building official and promulgated shall be of
the same force as the provisions of CHAPTER 8 . 8.4.3 The maximum unfactored design contact
pressures shall not exceed the allowable soil
8.2 Loadings pressure as obtained from CHAPTER 4 or cause
settlements that exceed the values set forth in Table
8.2.1 Combined footings and mats shall be
5-1 and Table 8-3. Where wind or earthquake forces
designed for the most unfavorable effects due to the
form a part of the load combination, the allowable
combinations of loads specified in SBC 301 Section
soil pressure may be increased as allowed by the
2.4. The dead load shall include the weight of
SBC or approved by the building official.

SBC 303-CC-18 52
 CHAPTER 8 COMBINED FOOTINGS AND MATS

8.4.4 In determination of the contact pressures minimum soil pressures may then be calculated
and associated subgrade response, the validity of from the following formula, which applies only to
simplifying assumptions and the accuracy of any the rectangular base areas and only when
resulting computations shall be approved by the eccentricity is located along one of the principal
building official and evaluated on the basis of the axes of the footing.
following variables:
(1) The increased unit pressures developed (8-1)
along the edges of rigid footings on
cohesive soils and at the center for rigid
footings on cohesionless soils. where:
(2) The effect of embedment of the footing = Maximum soil contact pressure;
on pressure variation.
= Minimum soil contact pressure;
(3) Consideration in the analysis of the
behavior of the foundations immediately = Any force acting perpendicular to base area;
after the construction as well as the = Foundation width or width of beam column
effects of long-term consolidation of element;
compressible layers.
= Eccentricity of resultant of all vertical forces
(4) Consideration of size of the footing in with centroid of footing area ( ); and
determination of the modulus of
subgrade reaction of soil. = Foundation base length or length of beam
column element.
(5) The variation of contact pressures from
eccentric loading conditions. For footings with eccentricity about both axes (two-
way eccentricity), soil pressure is obtained from:
(6) Consideration of the influence of the
stiffness of the footing and the
superstructure on deformations that can (8-2)
occur at the contact surface and the
corresponding variation on contact
pressure and redistribution of reactions where:
occurring within the superstructure
frame. = Soil contact pressure;

8.4.5 Distribution of soil reactions. Contact = Eccentricity of resultant of all vertical forces
pressures at the base of combined footings and mats with respect to the x-axis;
shall be determined in accordance with Sections = Eccentricity of resultant of all vertical forces
8.4.5.1 through 8.4.5.3. with respect to the y-axis; and
8.4.5.1 General. Except for unusual conditions, the = Any force acting perpendicular to base area.
contact pressures at the base of a combined footings
and mats may be assumed to follow either a 8.4.5.2.2 Contact pressure over part of area. The
distribution governed by elastic subgrade reaction soil pressure distribution shall be assumed
or a straight-line distribution. At no place shall the triangular and the resultant has the same magnitude
calculated contact pressure exceed the allowable and colinear, but acts in the opposite direction of the
bearing capacity as determined from CHAPTER 4 . resultant of the applied forces.
8.4.5.2 Straight-line distribution of contact 8.4.5.2.2.1 The maximum soil pressure at the
pressure. It shall be permitted to assume a linear footing edge under this condition shall be calculated
distribution for soil contact pressure if continuous from the following expression:
footings meet the requirement of Section 8.7.2 and
mats conform to the requirements of Section
8.9.3.3 . (8-3)

8.4.5.2.1 Contact pressure over total base area. If

the resultant force is such that the entire contact area The minimum soil pressure at distance L1 is set
of foundation is in compression, the maximum and equal to zero, where L1 is the footing effective

SBC 303-CC-18 53
 CHAPTER 8 COMBINED FOOTINGS AND MATS

length measured from the pressed edge to the plate load tests and shall be obtained using subgrade
position at which the contact pressure is zero and is reaction theory, but shall be modified to
given by: individually consider dead load, live load, size
effects, and the associated subgrade response.
Zones of different constant subgrade moduli shall
(8-4) be considered to provide a more accurate estimate
of the subgrade response as compared to that
predicted by a single modulus of subgrade reaction.
Equation (8-3) and Equation (8-4) are applied based
on the assumption that no tensile stresses exist 8.4.5.3.2.2.1 The value for the modulus of subgrade
between footing and soil and for cases where the reaction for use in elastic foundation analysis may
resultant force falls out of the middle third of the be estimated from a plate load test carried out in
base. accordance with ASTM D1194. Since plate load
tests are conducted on small plates, great care must
8.4.5.3 Distribution of contact pressure be exercised to ensure that results are properly
governed by the modulus of subgrade reaction. extrapolated. The modulus of subgrade reaction
It shall be permitted to get the distribution of contact from plate load test shall be converted to that of mat
pressure based on modulus of subgrade reaction using the following formula:
obtained from Section 8.4.5.3.2 . The thickness shall
be sized for shear without using reinforcement. The
flexural steel is then obtained by assuming a linear (8-5)
soil pressure distribution and using simplified
procedures in which the foundation satisfies static
equilibrium. The flexural steel may also be obtained where:
by assuming that the foundation is an elastic
member interacting with an elastic soil. = Coefficient (or modulus) of vertical subgrade
reaction; generic term dependent on dimensions of
8.4.5.3.1 Beams on elastic foundations. If the loaded area;
combined footing is assumed to be a flexible slab,
it may be analyzed as a beam on elastic foundation. = Coefficient of subgrade reaction from a plate
It shall be permitted to analyze a beam on elastic load test;
foundation using the discrete element method, the = Mat width;
finite element method, or any other method as
approved by the building official. = Plate width; and
8.4.5.3.2 Estimating the modulus of subgrade = Factor that ranges from 0.5 to 0.7.
reaction. The value for modulus of subgrade
8.4.5.3.2.2.2 Allowance shall be made for the depth
reaction may be obtained from one of the methods
of compressible strata beneath the mat and if it is
in Sections 8.4.5.3.2.1 through 8.4.5.3.2.4 . It shall be
less than about four times the width of footing,
permitted to use a constant value for the modulus of
lower values shall be used.
subgrade reaction except where the rigidity of the
footing and superstructure is considered small, the 8.4.5.3.2.3 Modulus of subgrade reaction from
decrease in the value of modulus of subgrade elastic parameters. It shall be permitted to estimate
reaction, , with increasing applied load shall be the value for the modulus of subgrade reaction
taken into consideration. based on laboratory or in situ tests to determine the
elastic parameters of the foundation material. This
8.4.5.3.2.1 Presumptive modulus of subgrade
shall be done by numerically integrating the strain
reaction values. It shall be permitted to use values
over the depth of influence to obtain a settlement
for the modulus of subgrade reaction for supporting
and back computing as:
soils as set forth in Table 8-1 and Table 8-2 to
determine about the correct order of magnitude of
the subgrade modulus obtained from Sections (8-6)
8.4.5.3.2.1 through 8.4.5.3.2.5 . These values shall be
used only as a representative guide.
8.4.5.3.2.2 Modulus of subgrade reaction from where:
plate load test. For mat foundations, this soil = Applied pressure; and
property shall not be estimated on the basis of field

SBC 303-CC-18 54
 CHAPTER 8 COMBINED FOOTINGS AND MATS

= Settlement. settlement due to consolidation, and differential

settlement of the foundation.
8.4.5.3.2.3.1 Several values of strain shall be used
in the influence depth of approximately four times 8.5.3 Total settlements. Total settlement of
the largest dimension of the base. combined footings and mats shall not exceed the
value set forth in Table 5-1.
8.4.5.3.2.3.2 It shall be permitted to estimate the
modulus of subgrade reaction based on laboratory 8.5.4 Differential settlement. Differential
measured modulus of elasticity such that settlements for combined footings shall not exceed
the values set forth in Table 5-2. For mats the
differential settlement shall be taken as three-fourth
(8-7) of the total settlement if it is not more than 50 mm
or determined based on relative stiffness, , as
shown in Table 8-3.
where:
8.6 Combined footings
= Poisons ratio for soil; and
8.6.1 Combined footings shall be designed and
= Modulus of elasticity for soil. constructed in accordance with Sections 8.6.2
8.4.5.3.2.4 Modulus of subgrade reaction from through 8.6.4 .
load bearing. In the absence of a more rigorous 8.6.2 Rectangular-shaped footings. The length
data, it shall be permitted to consider a value for the and width of rectangular-shaped footings shall be
modulus of subgrade reaction equal to 120 times the established such that the maximum contact pressure
allowable load bearing. The value for shall be at no place exceeds the allowable soil pressure as
verified from in situ tests in case of sensitive and obtained from CHAPTER 4 . All moments shall be
important structures. calculated about the centeroid of the footing area
8.4.5.3.2.5 Time-dependent subgrade response. and the bottom of the footing. All footing
Consideration shall be given to the time-dependent dimension shall be computed on the assumption
subgrade response to the loading conditions. An that the footing acts as a rigid body.
iterative procedure may be necessary to compare 8.6.2.1 When the resultant of the column loads,
the mat deflections with computed soil response. including consideration of the moments from lateral
Since the soil response profile is based on contact forces, coincides with centroid of the footing base,
stresses which are in turn based on mat loads, it shall be permitted to assume that the contact
flexibility, and modulus of subgrade reaction, pressure is uniform over the entire area of the
iterations shall be made until the computed mat footing. The resultant of the load of the two
deflection and soil response converge are within columns shall not fall outside the middle third of the
acceptable tolerance. footing. In case where this provision cannot be
8.5 Settlement fulfilled the contact pressure may be assumed to
follow a linear distribution such that it varies from
8.5.1 Settlements of combined footings and mats a maximum at the pressed edge to a minimum either
shall conform to the provisions of Sections 8.5.2 beneath the footing or at the opposite edge to zero
through 8.5.4 . at a distance that is equal three times the distance
8.5.2 General. The combinations of unfactored between the point of action of the resultant of loads
loads which will produce the greatest settlement or and the pressed edge.
deformation of the foundation, occurring either 8.6.2.2 Consideration shall be given to horizontal
during and immediately after the construction or at forces that can generate vertical components to the
a later stage, shall be selected. Loadings at various foundation due, but need not be limited to, wind,
stages of construction such as dead load or related earth pressure, and unbalanced hydrostatic
internal moments and forces, stage dead load pressure. A careful examination of the free body
consisting of the unfactored dead load of the must be made with the geotechnical engineer to
structure and foundation at a particular time or stage fully define the force systems acting on the
of construction, and stage service live load foundation before the structural analyses are
consisting of the sum of all unfactored live loads at attempted.
a particular stage of construction, shall be evaluated
to determine the initial settlement, long-term 8.6.3 Trapezoidal or irregularly shaped
footings. For reducing eccentric loading conditions,

SBC 303-CC-18 55
 CHAPTER 8 COMBINED FOOTINGS AND MATS

it shall be permitted to design a trapezoidal or = Overturning moment; and

irregularly shaped footing with the footing
= Least resultant of all forces acting
considered to act as a rigid body and the contact
perpendicular to base area under any condition of
pressure determined in accordance with Section 8.4.
loading simultaneous with the overturning moment.
8.6.4 Strap footings. The strap shall be rigid
8.6.5.2 Both cases of rectangular and triangular
enough to avoid rotation of the exterior footing and
distribution of the soil pressure along the pressed
the footings shall be proportioned for
edge of the footing shall be considered and the value
approximately equal soil pressure. A large
for FS shall not be less than 1.5.
difference in footing width shall be avoided to
reduce differential settlement. It shall be permitted 8.7 Continuous footings
to consider the strap to be rigid if it has a moment
of inertia that is not less than four times that of the 8.7.1 Continuous footings shall be designed and
constructed in accordance with Sections 8.7.2
attached footing. The width of the strap shall be
through 8.7.3 .
equal to the smallest column width.
8.7.2 Design for rigid structures. Continuous
8.6.4.1 Shear reinforcement in the strap shall not be
strip footings supporting structures which, because
used to increase rigidity. If the depth of footing is
of their stiffness, will not allow the individual
restricted, the depth of the strap may be increased to
columns to settle differentially may be designed
obtain the necessary rigidity. The strap shall be out
using the rigid body assumption with a linear
of contact with soil. The strap shall be securely
distribution of soil pressure as determined based on
fixed to the column and footing by dowels so that
the system acts as a unit. The footings shall be principles of statics.
proportioned so that the least lateral dimensions are 8.7.2.1 Rigidity check based on relative stiffness.
within 300 to 600 mm of each other and the soil If the analysis of the relative stiffness of the footing
pressures are approximately equal. yields a value greater than 0.5, the footing can be
considered rigid and the variation of soil pressure
8.6.5 Overturning calculations. In analyzing
shall be determined on the basis of simple statics. If
overturning of the footing, the combination of
the relative stiffness factor is found to be equal or
unfactored loading that produces the greatest ratio
less than 0.5, the footing shall be designed as a
of overturning moment to the corresponding
flexible member using the foundation modulus
vertical load shall be used. Where the eccentricity
approach as described under Section 8.7.3 . The
is inside the footing edge, the factor of safety
against overturning shall be taken as the ratio of relative stiffness shall be determined as:
resisting moment to the maximum overturning
moment. The maximum overturning moment and
(8-9)
the resisting moment caused by the minimum dead
weight of the structure; both shall be calculated
about the pressed edge of the footing. The factor of
where:
safety shall not be less than 1.5.
= Relative stiffness;
8.6.5.1 If overturning is considered to occur by
yielding of the subsoil inside and along the pressed = Modulus of elasticity of the material used in the
edge of the footing, the factor of safety against superstructure;
overturning shall be calculated from: = Modulus of elasticity of soil;
= Base width of foundation perpendicular to
(8-8) direction of interest; and
= Moment of inertia per unit width of the
superstructure.
where:
An approximate value for the flexural rigidity of
= Factor of safety;
structure and footing, EIB, for unit width of the
= Distance from resultant of vertical forces to structure can be obtained by adding the flexural
overturning edge; rigidity for footing, EfIf, flexural rigidity for each
member in the superstructure, EIb, and flexural
= Distance from the pressed edge to
rigidity for shear walls, Eah3/12 as follows:

SBC 303-CC-18 56
 CHAPTER 8 COMBINED FOOTINGS AND MATS

supported by subgrade reactions, if the footing

meets the following basic requirements:
(8-10)
(1) The minimum number of bays is three.

where; (2) The variation in adjacent column loads is

not greater than 20 percent.
= Wall height;
(3) The variation in adjacent spans is not
= Wall thickness; greater than 20 percent.
= Modulus of elasticity for footing; (4) The average length of adjacent spans is
between the limits of
= Moment of inertia for any member making up
the frame resistance perpendicular to ; and If these limitations are met, the contact pressures
can be assumed to vary linearly, with the maximum
= Moment of inertia per unit width of the value under the columns and a minimum value at
foundation. the center of each bay.
8.7.2.2 Rigidity check based on column spacing. 8.8 Grid foundations
If the average of two adjacent spans in a continuous
strip having adjacent loads and column spacings 8.8.1 Grid foundations shall be designed and
that vary by not more than 20 percent of the greater constructed in accordance with provisions of
Sections 8.7. Grid foundations shall be analyzed as
considered rigid and the variation of soil pressure independent strips using column loads proportioned
shall be determined on the basis of simple statics. in direct ratio to the stiffness of the strips acting in
each direction.
8.9 Mat foundations
8.9.1 General. Mats shall be designed and
(8-11)
constructed in accordance with Sections 8.9.1
through 8.9.3 . Mats may be designed and analyzed
as either rigid bodies or as flexible plates supported
where: by an elastic foundation (the soil). In the analysis
= Width of continuous footing or a strip of mat and design of mats, a number of factors shall be
between centers of adjacent bays; considered that include, but need not be limited to,
the following:
= Modulus of elasticity of concrete;
(1) Reliability of proposed value for the
= Moment of inertia of the strip; and modulus of subgrade reaction obtained in
= Modulus of subgrade reaction of soil. accordance with Section 8.4.5.3.2 .

8.7.2.2.1 If the average length of two adjacent spans (2) Finite soil-strata thickness and variations
(as limited above) is greater than , the beam- in soil properties both horizontally and
on-elastic foundation method noted in Section 8.7.3 vertically.
shall be used. For general cases falling outside these (3) Shape of the mat.
limitations, the critical spacing at which the
(4) Variety of superstructure loads and
subgrade modulus theory becomes effective shall
probability of their occurrence.
be determined individually.
(5) Effect of superstructure stiffness on mat
8.7.3 Design for flexible footings. A flexible
and vice versa.
continuous footing (either isolated or taken from a
mat) shall be analyzed as a beam-on-elastic 8.9.1.1 The design and construction of mats shall be
foundation. Thickness shall be established on the under the direct supervision of a registered design
basis of allowable wide beam or punching shear professional having sufficient knowledge and
without use of shear reinforcement. The evaluation experience in foundation slab engineering, who
of moments and shears can be simplified from the shall certify to the building official that the mats as
procedure involved in the classical theory of a beam constructed satisfy the design criteria.

SBC 303-CC-18 57
 CHAPTER 8 COMBINED FOOTINGS AND MATS

8.9.2 Excavation heaves. The influence of heave for columns. The reinforcing steel for bending is
on subgrade response shall be determined by a designed by treating the mat as a rigid body and
geotechnical engineer. Recovery of the heave considering strips both ways, if the following
remaining after placing the mat shall be treated as criteria are met:
either a recompression or as an elastic problem. If
(1)
the problem is analyzed as a recompression
mat is very thick.
problem, the subsurface response related to
recompression shall be obtained by a geotechnical (2) Relative stiffness kr as noted in Equation
engineer. The subsurface response may be in the (8-9) is greater than 0.5.
form of a recompression index or deflections (3) Variation in column loads and spacing is
computed by the geotechnical engineer based on not over 20 percent.
elastic and consolidation subsurface behavior.
These strips are analyzed as combined footings with
8.9.3 Design. A mat may be designed using the multiple columns loaded with the soil pressure on
Strength Design Method of SBC 304. Analyses and the strip, and column reactions equal to the factored
designs using computer programs shall be permitted (or unfactored) loads obtained from the
provided design assumptions, user input, and superstructure analysis.
computer-generated output are submitted. The mat
plan shall be proportioned using unfactored loads 8.9.3.3.1 Consideration shall be given to the shear
and any overturning moments. The pressure transfer between strips to satisfy a vertical load
diagram is considered linear and computed from summation.
Equation (8-2) and shall be less than allowable load 8.9.3.4 Flexible design. For mats not meeting the
bearing capacity of soil. Loads shall include the criteria of Section 8.9.3.3 , it shall be designed as a
effect of any column moments and any overturning flexible plate in accordance with Sections 8.9.3.4.1
moment due to wind or other effects. Any moments and 8.9.3.4.2 .
applied to the mat from columns or overturning,
etc., shall be included when computing the 8.9.3.4.1 Uniform loads and spacings. If variation
eccentricity. in adjacent column loads and in adjacent spans is
not greater than 20 percent it shall be permitted to
8.9.3.1 The contact pressure shall not exceed the analyze mats as continuous footings that can be
allowable load bearing capacity of soil determined analyzed according to the provisions of Section
from CHAPTER 4 . The allowable soil pressure may 8.7.3 . The mat shall be divided into strips the width
be furnished as one or more values depending on of each is equal to the distance between adjacent
long-term loading or including transient loads such bays. Each strip shall be analyzed independently
as wind. The soil pressure furnished by the considering column loads in both directions. The
geotechnical engineer shall be factored to a pseudo contact pressure is equal to the average contact
pressure evaluated for each strip in each direction.
pressure with the ratio of the sum of factored design
loads to the sum of the unfactored design loads. 8.9.3.4.2 Nonuniform loads and spacings. If
columns have irregular spacings or loads, mats may
8.9.3.2 Mat thickness. The minimum mat be analyzed based on theory of modulus subgrade
thickness based on punching shear at critical reaction, elastic, plate method, finite difference
columns shall be computed based on column load method, finite grid method, finite element method,
and shear perimeter. The depth of the mat shall be or any other method approved by the building
computed without using shear reinforcement and official.
determined on the basis of diagonal-tension shear as
noted in SBC 304 Chapter 15. Investigation of a 8.9.4 Circular mats or plates. For tall structure,
two-sided (corner column) or three-sided diagonal differential settlements shall be carefully controlled
tension shear perimeter shall be made for columns to avoid toppling when the line of action of gravity
adjacent to mat edge. An investigation for wide- forces falls out of the base. The plate depth shall be
beam or diagonal tension shall be made for designed for wide-beam or diagonal-tension shear
perimeter load-bearing walls. as appropriate.
8.9.3.3 Rigid design. It shall be permitted to design 8.9.5 Ring foundations. For ring foundations
mats as rigid body with linear distribution for used for water-tower structures, transmission
contact pressure if the mat, superstructure, or both towers, television antennas, and various other
are rigid enough not to allow differential settlement possible superstructures, analysis and design shall

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 CHAPTER 8 COMBINED FOOTINGS AND MATS

be carried out using advanced method of analysis shall apply when not in conflict with the provisions
and carried out by a registered design profession of CHAPTER 5 . Strips between adjacent columns
knowledgeable in geotechnical and structural shall be capable of carrying, in tension or
engineering. compression, a force equal to the product of the
larger column load times the seismic coefficient SDS
8.10 Seismic requirements divided by 10 unless it is demonstrated that
8.10.1 For combined footings and mats of equivalent restraint is provided by the strips.
structures assigned to Seismic Design Category C,
D, E, or F, provisions of SBC 301 and SBC 304

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CHAPTER 8 COMBINED FOOTINGS AND MATS

TABLES AND FIGURES OF CHAPTER 8

Table 8-1 Presumptive modulus of subgrade reaction values for cohesionless soils
MODULUS OF SUBGRADE REACTION (kN/m 3)
UNCORRECTED SPT-N
RELATIVE DENSITY
VALUES DRY AND MOIST
SUBMERGED SOILS
SOILS
Loose Less Than 10 15000 10000
Medium dense 10-30 45000 30000
Dense >30 175000 100000

Table 8-2 Presumptive modulus of subgrade reaction

Values for cohesive soils
SHEAR STRENGTH FROM
MODULUS OF SUBGRADE
CONSISTENCY UNCONFINED COMPRESSION TEST
REACTION (kN/m3)
(kPa)
Stiff 105-215 25000
Very stiff 215-430 50000
Rigid > 430 100000

Table 8-3 Maximum allowable differential settlements of mats

SHAPE DIFFERENTIAL SETTLEMENT (mm)
Rectangular base
0
Square base
0.5 -
>0.5 Rigid mat: no differential settlement
a.
= Total settlement estimated based on approved methods of analysis but shall not exceed values
in Table 5-1.

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 CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

9.1 General 9.3.2 General requirements. Foundations

placed on or within the active zone of expansive
9.1.1 Provisions of this chapter shall apply to soils shall be designed to resist differential volume
building foundation systems in expansive soil changes and to prevent damage to the supported
areas. Foundation design and construction shall be structure. Deflection and cracking of the supported
based on geotechnical investigations as defined in structure shall be limited to that which will not
CHAPTER 2 , unless the building official ascertains
interfere with the usability and serviceability of the
that sufficient data upon which to base the design structure. Foundations placed below where volume
and construction of the foundation system is
change occurs or below expansive soil shall comply
available. with the following provisions:
9.1.2 Approval of special systems of design or (1) Foundations extending into or penetrating
construction. Sponsors of any system of design or expansive soils shall be designed to prevent
construction within the scope of CHAPTER 9 , the
uplift of the supported structure.
adequacy of which has been shown by successful
use or by analysis or test, but which does not (2) Foundations penetrating expansive soils
conform to or is not covered by CHAPTER 9 , shall shall be designed to resist forces exerted
have the right to present that data on which their on the foundation due to soil volume
design is based to the building official or to a board changes or shall be isolated from the
of examiners appointed by the building official. expansive soil.
This board shall be composed of competent Shallow foundation systems placed on or within
geotechnical and structural engineers and shall have a mass of expansive soil must be designed with
authority to investigate the data so submitted, to great rigidity and strength in order to adequately
require tests, and to formulate rules governing resist swelling pressures and avoid serious
design and construction of such systems to meet the structural damage. Sometimes footings and
intent of CHAPTER 9 . These rules when approved piers, as well as foundation walls and grade
by the building official and promulgated shall be of beams, are isolated from the swelling soils by
the same force as the provisions of CHAPTER 9 . intervening fills or granular materials. While this
type of insulation serves to cushion or diminish
9.2 Loadings lateral pressures, it will not prevent structure
heaving, except for grade beams constructed
9.2.1 Foundations shall be designed for the most on collapsible forms.
unfavorable effects due to the combinations of
loads specified in Section 2.4 SBC 301. The dead One method of foundation construction in
expansive soils is the use of drilled piers with
load shall include the weight of foundations and
belled footings extending below the zone of
overlying fill. Reduced live loads, as specified in swelling activity, or at least to a soil stratum
SBC 301 Section 4.8, are permitted to be used in where the seasonal moisture content of the
designing foundations. Strength design of expansive soil will remain within a tolerable
reinforced concrete systems and elements shall range. This type of construction is made
comply with load combinations specified in SBC possible in swelling soils because the material
304. usually consists of stiff clays that do not contain
free water, providing excellent conditions for
9.3 Design drilling holes in the ground.
9.3.1 Design for expansive soils shall be in Piers with belled footings have been widely
accordance with the provisions of Sections 9.3.2 used for foundations in expansive soils, even in
through 9.3.6 . Provisions of CHAPTER 5 and the construction of single-family dwellings.
CHAPTER 8 not specifically excluded and not in The concrete shaft must be reinforced for its
conflict with the provisions of CHAPTER 9 shall entire length because the swelling soil is apt to
apply, where applicable. exert high uplift forces and subject the drilled
pier construction to tensile stresses. This

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 CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

condition can be prevented or sufficiently be designed using as high bearing pressure, as

mitigated by isolating the concrete from the practicable.
swelling soil by surrounding the shaft with a
vertical layer of granular soil or other suitable 9.3.3.2 Slab-on-ground foundations. Moments,
materials that possess little or no shearing shears and deflections for use in designing slab-
strength (e.g., vermiculite). on-ground, mat or raft foundations on expansive
soils shall be determined in accordance with
9.3.2.1 Geotechnical investigation report shall
WRI/CRSI Design of Slab-on-Ground Foundations.
indicate the value or range of heave that might take
It shall be permitted to analyze and design such
place for the subject structure. Potential soil
slabs by other methods that account for soil-
movement shall be determined based on the
structure interaction, the deformed shape of the soil
estimated depth of the active zone in combination
support, the plate or stiffened plate action of the slab
with either of the following:
as well as both center lift and edge lift conditions.
(1) ASTM-D 4546, or any other method Such alternative methods shall be rational and the
which can be documented and defended basis for all aspects and parameters of the method
as a good engineering practice in shall be available for peer review.
accordance with the principles of
It is not uncommon for concrete slabs on
unsaturated soil mechanics carried out by ground to be reinforced (prestressed) with post-
a Geotechnical Engineer and approved tensioned strands so that the flexural stresses
by the building official. induced in the slab from uplift of the soil are
9.3.3 Foundations. Foundations for buildings reduced, thus avoiding cracking of the concrete
at its top surface. All things being equal, a post-
and structures founded on expansive soil areas shall
tensioned slab on ground can be more
be designed in accordance with Sections 9.3.3.1, economical than a conventionally reinforced
9.3.3.2, or 9.3.3.3. Alternate foundation designs slab because the precompression reduces the
shall be permitted subject to the provisions of flexural stresses, making it unnecessary to
Section 9.1.2. Foundation design need not comply increase the thickness of the slab or use a
with Section 9.3.3.1, 9.3.3.2, or 9.3.3.3 where the higher strength concrete. It has also been a
soil is removed in accordance with Section 9.3.5, practice to cast the slab on cellular forms made
nor where the building official approves of cardboard or other collapsible materials that
stabilization of the soil in accordance with Section will support wet concrete, but will yield when
9.3.5, nor where the superstructure is designed by a subjected to swelling pressures. Since there is
no rebound of the form material after
registered design professional to accommodate the
subsidence of the soil, floors must be designed
potential heave. as structural slabs.
9.3.3.1 Shallow foundations. Continuous or This section recognizes the analytical
spread footings shall not be used on expansive soils procedures in the Wire Reinforcing
unless the soil deposit has a low expansion Institute/Concrete Reinforcing Steel Institute
potential, as determined in accordance with Table (WRI/CRSI) Design of Slab-on-Ground
9-1 or the superstructure is designed to account for Foundations and the Post-tensioning Institute
the potential foundation movement. The uplift (PTI) DCI 10.5 for slab-on-ground foundations
pressures on the sides of the footing shall be located on expansive soils. The WRI/CRSI
minimized as much as possible. document also provides design requirements
for reinforced concrete slabs. The PTI DCI 10.5
9.3.3.1.1 For continuous footings, the swell standard addresses design requirements for
pressure shall be counteracted without exceeding post-tensioned concrete slabs on expansive
the bearing capacity of the soil deposit by soils.
narrowing the width of the strip footing and/or 9.3.3.2.1 A conventionally reinforced slab-on-
providing void spaces within the supporting beam ground mat or raft foundation shall conform to
or wall. The continuous foundation shall be applicable provisions of SBC 304, where
stiffened by increasing the reinforcement around applicable. All variables affecting finished-slab
the perimeter and into the floor slab. performance shall be considered when selecting a
9.3.3.1.2 For spread footings, a void space shall be slab type and when specifying or executing a slab
provided beneath the grade beams using the same design. All slab-on-ground mat or raft foundations,
technique as described for pier and grade beam with the exception of conventionally reinforced
construction in Section 9.3.3.3 . The footings shall slabs less than 50 m2, shall be designed by a

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 CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

registered design professional having sufficient (8) Upward movement of the top of the pier
knowledge and experience in structural and and the tensile forces developed in the
foundation engineering. Design of slab shall be pier shall be considered in the design of
conducted for conditions of both center and edge drilled piers.
heave. Construction joints shall be placed at
(9) Mushrooming of the pier near the top
intervals not exceeding 4.5 m.
shall be avoided. Cylindrical cardboard
9.3.3.3 Beam-on-drilled pier. The design at/or extended above the top of the
provisions of Chapter 13 SBC 304 shall be concrete shall be used to prevent
expanded to include, but need not be limited to, formation of mushroomed piers.
the requirements of Sections 9.3.3.3.1 and
9.3.3.3.2 Reinforcement. Reinforcing steel shall
9.3.3.3.2 .
extend the entire length of the pier and shall be
9.3.3.3.1 General requirements. hooked into the belled bottom, if used, and into the
grade beam at the top. The area of the steel shall be
(1) A void space shall be maintained beneath
designed to resist all tensile loads to which the pier
the grade beam between the piers. The
may be subjected but shall not be less than a
required void space shall be determined
minimum of 1 percent of the cross- sectional area
based on the predicted heave of the soil
of the pier.
beneath the beam but shall not be less
than 150 mm. 9.3.4 Removal of expansive soil. Where
expansive soil is removed in lieu of designing
(2) Care shall be taken in the design to
foundations in accordance with Section 9.3.3.1 ,
provide for sealing the space between the
9.3.3.2 , or 9.3.3.3 , the soil shall be removed to a
soil and the pier, such that deep seated
depth sufficient to ensure constant moisture
heave that may result from water gaining
content in the remaining soil. Fill material shall not
access to soils below active zone along
contain expansive soils and shall comply with
the shaft of the pier, is prevented.
Sections 3.6 and 3.10 or 3.11. If the expansive strata
(3) Sufficient field penetration resistance are not entirely removed, the fill material shall be
tests shall be performed not only to impermeable enough not to provide access for water
establish the proper friction value but into expansive grades or foundation soils.
also to ensure that soft soils are not the
Exception: Expansive soil need not be removed to
cause of tensile forces developed in the
the depth of constant moisture, provided the
pier.
confining pressure in the expansive soil created by
(4) The upper 1.5 m of soil around the pier the fill and supported structure exceeds the swell
shall be excluded when calculating the pressure.
pier load capacity.
The best way to avoid the problems associated
(5) Friction piers shall not be used at sites with expansive soils is to remove such soil from
where groundwater table is either high or the construction site and, where necessary,
expected to become high in the future. replace it with suitable compacted fill material.
Expansive soil shrinks when the water content
(6) Uplift skin friction shall be permitted to decreases and swells when the water content
be assumed constant throughout the increases. To minimize the chances of swelling
active zone. and shrinking, the code requires removal to a
depth that provides a constant moisture content
(7) Where the upper soils are highly in the soil that is left in place. The exception to
expansive or if there is a possibility of removing to this depth alludes to an alternative
loss of skin friction along the lower method of stabilization that is discussed in the
anchorage portion of the shaft due to rise commentary to Section 9.3.5.
of groundwater table, the bottom of the 9.3.5 Stabilization. Where the active zone of
shaft shall be belled or under-reamed. expansive soils is stabilized in lieu of designing
The vertical side shall be a minimum of foundations in accordance with Section 9.3.3.1,
150 mm high and the sloping sides of the 9.3.3.2 , or 9.3.3.3, the soil shall be stabilized by
bell shall be formed at either 60o or 45o. chemical, installation of moisture barriers, pre-
For piers founded well below the active wetting or other techniques designed by a
zone, the shaft may not be under-reamed. geotechnical engineer knowledgeable in

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 CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

unsaturated soil mechanics and approved by the ensured that all water from downspout is
building official. In pre-wetting technique, the discharged away from the building into
effect of strength loss shall be evaluated to ensure storm sewer or suitable ground surface
that strength criteria are met. Limitations and location downhill.
implementation procedures of the contemplated
(3) The ground surface shall slope away
stabilization technique shall receive careful
from the structure. Bare or paved areas
consideration and thorough evaluation.
shall have a slope not less than 2 %, and
This section allows expansive soils to be if possible the ground surface within 3
stabilized by either chemical, presaturation or meters of the structure shall be sloped at
dewatering methods or by other equivalent a 10 percent grade.
techniques. These methods, however, have
limited use. (4) Storage tanks and septic tanks shall be
reinforced to minimize cracking and
Chemical stabilization may be effectively
accomplished by the use of lime thoroughly have adequate flexible water-proofing as
mixed with the soil and compacted at per Section 13.5.
approximately the optimum moisture content. (5) Plants and irrigation systems shall not be
The purpose of using lime is to reduce the placed immediately adjacent to the
plasticity of the soil, which will reduce the
structure and spray heads shall be
swelling potential (see commentary, Section
9.3.3). Since this method requires a uniform directed away from the structure. Large
mix of lime and soil, however, it is generally trees and bushes shall be kept away from
limited to compacted fills. There is a method of the foundations for a distance greater
pressure injecting lime slurry into heavily than half of their mature height.
fissured clay materials, but the method is not
appropriate for all site conditions.
(6) If horizontal moisture barriers are
installed around the building to move
Presaturation by flooding the site is rarely a edge effects away from the foundation
totally effective way to stabilize expansive soils, and minimize seasonal fluctuations of
since it takes a very long time for the water to water content directly below the
penetrate to any great depth. Dewatering of
structure, care shall be taken to seal
expansive soils that consist generally of dense
clays without free water is not an effective way joints, seams, rips, or holes in the barrier.
to control moisture content. One good method Horizontal moisture barriers may take
of stabilization is to place sufficient fill material different forms including, but not
on the site so that the downward pressures of necessarily limited to, membranes, rigid
the fill will, to the extent possible, balance the paving (concrete aprons, etc.), or flexible
upward swelling pressures of the soil. The paving (asphalt membranes, etc.).
effectiveness of this balancing concept
depends on the pressures developed by the (7) If vertical moisture barriers are used
expansive soil as a function of estimated around the perimeter of the building they
volume change and the depth of compacted fill shall be installed at least one meter from
material necessary to counteract these the foundation to a depth equal to or
pressures. The application of this stabilization greater than the depth of seasonal
method is usually economically feasible when moisture variation (active zone). Theses
the soil pressures are low, around 24 kPa; barriers may consist of polyvinyl
however, pressures occasionally have reached chloride, polyethylene, polymer-
as high as 1900 kPa.
modified asphalt or any other approved
9.3.6 Required preventive measures. methods or materials.
Applicable provisions of CHAPTER 13 shall be
(8) If the structure has a basement, the
expanded to include, but need not be limited to, the
backfill shall consist of non-expansive
following:
soils and it shall comply with Sections
(1) All water-supply pipes and wastewater 3.6 and 3.10 or 3.11.
pipes shall be watertight and have
flexible connections and couplings. 9.4 Pre-construction inspections
(2) All rainwater pipes shall be ducted well 9.4.1 A pre-construction site inspection shall be
away from the foundations. It shall be performed to verify the following:

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CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

(1) Vegetation and associated root systems 9.5 Inspection prior to placement of
have been removed from the concrete
construction site.
9.5.1 Prior to the placement of concrete, an
(2) No beam trench cuttings or scarified inspection of the beam geometrics, penetrations,
material have been placed as fill material. cable(s), anchorage/steel placements and other
(3) All fill has been placed in accordance details of the design shall be made to verify
with Sections 3.6 and 3.10 or 3.11 in any conformance with the design plans.
portions or sections of the foundation 9.6 Concrete
supporting grade.
9.6.1 Material, construction, and placement of
(4) Proper soil compaction of the foundation concrete shall be in accordance with the provisions
footprint and fill material has been of Section 5.4.2 and Section 8.3.
performed to a minimum of 95 percent
standard proctor density.

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CHAPTER 9 DESIGN FOR EXPANSIVE SOILS

TABLES AND FIGURES OF CHAPTER 9

Table 9-1 Classification of expansion potential

Expansion Index (EI) Expansion Potential

0 - 20 Very low
21 - 50 Low
51 - 90 Medium
91 - 130 High
> 130 Very high

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 CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

10.1 General soil areas shall be designed in accordance with

Sections 10.3.2.1 through 10.3.2.2 Alternate
10.1.1 Provisions of this chapter shall apply to foundation designs shall be permitted subject to the
building foundation systems on collapsible soil provisions of Section 10.1.2. Footing or foundation
areas. Foundation design and construction shall be design need not to comply with Sections 10.3.2.1
based on site investigations as defined in CHAPTER and 10.3.2.2 where the soil is removed in
2 , unless the building official ascertains that
accordance with Section 10.3.3 , nor where the
sufficient data upon which to base the design and building official approves stabilization of the soil in
construction of the foundation system is available. accordance with Section 10.3.4 , nor where the
10.1.2 Approval of special systems of design or superstructure is designed by a registered design
construction. Sponsors of any system of design or professional to accommodate the potential collapse
construction within the scope of CHAPTER 10 , the settlements.
adequacy of which has been shown by successful 10.3.2.1 Classification of collapse potential.
use or by analysis or test, but which does not Collapse potential shall be permitted to be
conform to or is not covered by CHAPTER 10 , shall classified in accordance with one of the methods
have the right to present that data on which their prescribed in Sections 10.3.2.1.1 , 10.3.2.1.2 , or
design is based to the building official or to a board 10.3.2.1.3 .
of examiners appointed by the building official.
This board shall comprise of competent 10.3.2.1.1 Collapse index method. The
geotechnical and structural engineers and shall collapsibility of a particular soil under specified
have authority to investigate the data so submitted, conditions could be determined in accordance with
to require tests, and to formulate rules governing ASTM D5333. The specimen collapse shall be
design and construction of such systems to meet the classified according to the collapse index, Ie, as set
intent of CHAPTER 10 . These rules when approved forth in Table 10-1.
by the building official and promulgated shall be of 10.3.2.1.2 Standard plate load test method.
the same force as the provisions of CHAPTER 10 .
Where undisturbed soil specimens are
10.2 Loadings irretrievable, collapse potential for specific field
conditions could be estimated from standard plate
10.2.1 Footings shall be designed for the most load tests (SPLT), conducted in a test pit under
unfavorable effects due to the combinations of unsoaked and soaked conditions in accordance with
loads specified in Section 2.4 SBC 301. The dead ASTM D1194.
load shall include the weight of foundations,
footings and overlying fill. Reduced live loads, as 10.3.2.1.3 BREA infiltration and plate load test
specified in SBC 301 Section 4.8, are permitted to method. Collapse potential could be determined in
be used in designing footings. Strength design of accordance with BREA Building Regulations in
reinforced concrete systems and elements shall Eastern Arriyadh Sensitive Soils procedures
comply with load combinations specified in SBC (BPLT). The procedures shall apply to tests
304. performed in test pits or trenches. The infiltration
field test shall be performed in accordance with the
10.3 Design procedure set forth in Table 10-2 and the field plate
10.3.1 Design for collapsible soils shall be in load test shall be carried following the procedure
accordance with the provisions of Sections 10.3.2 outlined in Table 10-3. The stability of the reaction
through 10.3.4 . Provisions of CHAPTER 5 and column and side-wall of the test pit shall be
CHAPTER 8 not specifically excluded and not in considered, particularly for test pits deeper than 4
conflict with the provisions of CHAPTER 10 shall meters.
apply, where applicable. 10.3.2.1.3.1 Design curve construction. A design
10.3.2 Foundations. Footings or foundations for curve for the site shall be constructed in accordance
buildings and structures founded on collapsible with the steps outlined in Table 10-4 . A data sheet

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 CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

in the form shown in Table 10-4 may be used for the is taken equal to the value corresponding to
raw data gathered during the test and for the reduced settlement of test plate determined from Equation
data. (10-3) as follows:
10.3.2.2 Design procedure. Based on the method
used in estimating the collapse potential of the soil
(10-3)
deposit as provided in Sections 10.3.2.1.1 ,
10.3.2.1.2 , or 10.3.2.1.3 , design for collapsible soils
shall be in accordance with Sections 10.3.2.2.1 , where:
10.3.2.2.2 , or 10.3.2.2.3, respectively.
= Settlement of test plate;
10.3.2.2.1 Design based on collapse index.
Potential settlement that may occur in a soil layer = Design settlement of prototype foundation
under the applied vertical stress is obtained as taken to be equal to half the allowable settlement
follows: value given from Section 5.4.1.5;
= Width of prototype footing; and
(10-1) = Width of test plate.
10.3.2.2.2.1 Based on the obtained allowable load
where: bearing, the foundation system shall be designed in
accordance with the provisions of CHAPTER 5 and
= potential settlement; CHAPTER 8 , where applicable.
= Thickness of the collapsible soil layer; and Limitations. In determining the bearing pressure
Collapse potential, determined using a for the specified tolerable differential settlement,
predetermined applied vertical stress applied to a the validity and accuracy of any resulting
soil specimen taken from the soil layer as follows: computations shall be approved by the building
official and evaluated on the basis of the following
variables:
(10-2) (1) Dependence of the amount of settlement
on the extent of the wetting front and
availability of water, which can rarely be
where: predicted prior to collapse.
= Specimen height at the appropriate stress level (2) The influence depth set to be four times
before wetting; the footing width is significantly
different for the model versus prototype
Specimen height at the appropriate stress level
footing.
after wetting; and
(3) Increased soil stiffness due to increase in
= Initial specimen height. confinement with depth.
10.3.2.2.1.1 Based on settlement value determined 10.3.2.2.3 Design based on BPLT. Design of
by Equation (10-1), the foundation system shall be spread and strip footings shall conform to the
designed in accordance with the provisions of provisions of Section 10.3.2.2.3.1 and mats shall
CHAPTER 5 and CHAPTER 8 , where applicable.
be designed in accordance with the provisions of
10.3.2.2.1.2 Limitations. Amount of settlement Section 10.3.2.2.3.2 .
depends on the extent of wetting front and
10.3.2.2.3.1 Spread and continuous footings.
availability of water, which can rarely be predicted Spread and continuous footings are permitted to be
prior to collapse. Prediction of settlement based on used without modifications in areas with low
collapse potential shall be viewed and interpreted collapse potential, as determined in accordance
accordingly. with. In areas with higher collapse potential, strip
10.3.2.2.2 Design based on SPLT. From the load- footings are permitted, provided that the
deformation curve obtained from standard plate requirements for additional distortion resistance
load test under soaked condition in accordance specified in Table 10-8 are met.
with Section 10.3.2.1.2 , the allowable load bearing

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 CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

10.3.2.2.3.2 Stiffened mat foundations. The be evaluated to ensure that strength criteria are met.
design procedure for mat foundations in collapsible Great care must be exercised when using pre-
soils is summarized in Table 10-9. The mat shall be wetting near existing structures that underlain by
designed and constructed in accordance with the collapsible soils, particularly if the soil has strong
provisions of CHAPTER 8 , where applicable, and stratification, as in the case of many alluvial soils,
the requirements for additional distortion and injected water may flow horizontally more than
resistance specified in Table 10-8 shall be met. it does vertically. Limitations and implementation
procedures of the contemplated stabilization
10.3.3 Removal of collapsible soil. Where
technique shall receive careful consideration and
collapsible soil is removed in lieu of designing
thorough evaluation.
footings or foundations in accordance with Section
10.3.2 , the soil shall be removed to a sufficient 10.4 Inspections
depth to ensure constant moisture content in the
remaining soil. Fill material shall not contain 10.4.1 A pre-construction site inspection shall be
collapsible soils and shall comply with the conducted to verify that the provisions of Section
9.4 have been met.
provisions of Sections 3.6 and 3.10 or 3.11.
10.3.4 Stabilization. Where collapsible soils are 10.5 Concrete
stabilized in lieu of designing footings or 10.5.1 Material, construction, and placement of
foundations in accordance with Section 10.3.2 , the concrete shall be in accordance with the provisions
soil shall be stabilized by compaction, pre-wetting, of Section 5.4.2 and Section 8.3. Prior to the
vibroflotation, chemical, or other techniques placement of concrete, an inspection of the beam
designed by a geotechnical engineer knowledgeable geometrics, reinforcements and other details of the
in unsaturated soil mechanics and approved by the design shall be made to verify conformance with the
building official. The provisions of Section 9.3.6 design plans.
shall also be considered, where applicable. In pre-
wetting technique, the effect of strength loss shall

SBC 303-CC-18 71
CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

TABLES AND FIGURES OF CHAPTER 10

Figure 10-1 Extra steel in wall and floor for mat foundation.

Table 10-1 Classification of collapse potential

Collapse index (Ie)a % Degree of Collapse

0 None
0.1-2.0 Slight
2.1-6.0 Moderate
6.1-10.0 Moderately severe
10 Severe
a,
where = change in void ratio resulting from wetting, and = initial void ratio.

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CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-2 BREA infiltration field test procedure

1. Excavate a trench or test pit to the desired depth of testing and provide a smooth flat surface for testing. Do not backfill to
achieve smoothness.

2. At a distance no less than 3 plate diameters (3D) from the trench or test pit excavated in step 1, excavate a shallow
infiltration pit to a depth of 60 to 100 mm and a diameter of 2D. This pit for the preliminary rate-of-infiltration test shall be
separated by 3D from the supports of the reference beam. Measure the depth of the dry infiltration pit at the center.

3. Fill the infiltration pit with water and note the time at which wetting was commenced. Add water during infiltration as
needed to keep the bottom of the pit covered.

4. After an infiltration time, , of about 10 to 20 minutes, remove the excess water from the test pit, quickly excavate at the
center of the pit to locate the depth of wetting, and measure down to the wetting front. The depth of wetting from the
preliminary infiltration test ( ) is equal to depth of wetting front minus the original depth of the dry pit.

5. The infiltration coefficient for the preliminary test ( ) is computed as

Where:

= depth of infiltration for the preliminary infiltration test, mm.

= infiltration coefficient for the preliminary infiltration test, mm/min1/2.

= time duration of infiltration for the preliminary infiltration test, min.

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CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-3 BREA Plate Load Test Procedure (BPLT)

1. For the BPLT, choose the target depth of infiltration ( ), equal to 0.5 plate diameters (0.5D).

2.
Compute target time of infiltration ( ) from:

3. Place the loading plate on a smooth flat surface and twist and tap lightly. The bottom of the loading plate may be coated with
5-10 mm of quick setting epoxy before placing it on the soil.
4. Construct a berm to hold water in preparation for ponding. The outside diameter of the ponded water shall be about 2D.

5. Install the reference beam to rest on firm supports located at least 3D from center of loading plate.

6. Attach displacement gauges so that they touch the loading plate on opposite sides and approximately equidistant from the
center of the plate.

7. Install the loading jack and reaction column.

8. Apply a seating load of 3 to 8 kPa and zero the displacement gauges. It may be convenient to use the weight of the loading
jack and plate as the seating load.

9. Increase load to 15 kPa. Wait one minute and take displacement readings.

10. Commence wetting and note starting time. Maintain water level 10 to 20 mm above the top of the plate.

11. Continue wetting until (computed from step 2) has elapsed. Read displacement gauges, note time and increase load to 40
kPa.

12. Wait minutes, read displacement gauges, note time, increase load to 100 kPa. The time increment may be chosen as
the larger of 2 minutes or 0.1 . For convenience, may be rounded to the nearest minute.

13. Wait minutes, read displacement gauges, note time, increase load to 200 kPa.

14. Wait minutes, read displacement gauges, note time, increase load to 400 kPa.

15. Wait minutes, read displacement gauges, note time, remove load from the plate, remove the plate and quickly excavate to
determine the final depth ( ) and note the corresponding time .

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 CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-4 Data reduction for design curve construction

1. In column-1, description of the test stage. This will give meaning to column-2 (time column).
2. In column-2, time shall be recorded.
3. In column-3, elapsed time ( ) shall be computed. Elapsed time is set equal to zero when ponding is commenced.
4. In column-4, pressure reading on the jack shall be recorded. A load cell could be substituted for the pressure gauge on the jack.
5. In column-5, the added load on the plate shall be recorded.
In column-6, the total load on the plate shall be recorded. This is obtained by adding column-5 to the weight (in kN) of the jack and
6.
the loading plate.
7. In column-7, the left and right displacement gauges readings shall be recorded.
In column-8, the displacement, , for the left and right gauges shall be recorded. They are obtained by subtracting the initial gauge
8.
readings at seating load from each subsequent reading.
9. In column-9, the average displacement is obtained by averaging the values from the left and right reading in column-8.

10. In column-10, the depth of wetting ( ) shall be computed by first determining from:
and then use it with to get from:
11. In be computed (column-10 divided by plate diameter).
12. In column-11, shall column-12, the influence factors and obtained from the below figure at shall be recorded.
13. In column-13, the contact pressure ( ) shall be calculated by dividing column-6 by the plate area.
In column-14, the average stress within the wetted zone shall be calculated by multiplying column-13 by column-12 (
14.
for first loading or for subsequent loadings).
In column-15, the average strain shall be computed by dividing column-9 by column-10 ( ) and multiplying the
15.
result by 100.
16. Plot versus for different tests on the same diagram. Obtain the average of all tests and draw a DESIGN CURVE.

Data sheet and computations

Date: Depth of Test Pit: Cip:
Job No.: Ground Surface Ztar:
Test Location: Elevation: Zwp: ttar:
Test Pit No.: tp : t:
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15)
Stage Time Elapsed Pressure reading Added load Total load Dial gauge Displacement Have Zw Zw/D IF or IS qcon qave
ave
(min.) time, tw on Jack (kN) on plate reading (mm) (mm) (mm) (mm) (kPa) (kPa) (percent)
(min.) (kN) Left Right Left Right
Seating load
applied
Dry loading

Wetting
commenced
etc.

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 CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-5 Design of spread and strip footings on collapsible soils

1. From Table 10-6, use strain under the plate corresponding to a stress of 100 kPa ) to classify the site with respect to
collapse potential.
2. Pre-wetting is required for very high collapse potential, and permitted but not required for high collapse potential.
3. When pre-wetting is chosen or required, the DESIGN CURVE constructed in Table 10-4 is replaced with a recompression design
curve whose strain values are everywhere 15-percent of those on the original design curve, and the site is reclassified accordingly.
4. Use Table 10-6 and Table 10-7 to obtain required design parameters (foundation depth), (depth of wetted bulb),
foundation type, required distortion resistance, and .
5. From Table 10-7 use column spacing, , to compute , then compute from the same table.
6. Compute .
7. Compute maximum allowable .
8. Compute the overburden pressure at .
9. From the DESIGN CURVE, get allowable corresponding to .
10. If from step-7, change , foundation type or stiffness level and recalculate.
11. If , use allowable in the DESIGN CURVE to get allowable , then find as follows:

12. Assume a first trial value of (footing width). Compute , find from the figure below and compute as follows:

13. Use the trial value of , footing shape and column load to compute If then value is accepted, otherwise change
and iterate until convergence, then proceed with structural design.
14. In case of no convergence or if or are not acceptable, increase , change footing type, change distortion stiffness or a
combination of those.

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CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-6 Minimum design parameters as a function of collapse potential

Minimum design Required
100 Collapse Minimum Df Allowable types of
depth of wetting distortion
(percent) potential (m) foundation
Dwdes (m) stiffness
0 - 0.5 Low 1.0 3.5 Level 0 Spread, Strip, Mat
0.5 - 1.5 Moderate 1.5 3.5 Level I Strip, Mat
1.5 - 5.0 High 2.0 3.5 Level II Strip, Mat
> 5.0 Very high 2.5 3.5 Level II Strip, Mat

Table 10-7 Required minimum ratios of differential to totalsettlement as a function of

foundation type and distortion stiffness
Type of Min. Design H diff / Htot as a function of Required Extra
foundation H diff /L Distortion Resistance
Level 0 Level I Level II
Spread 1/500 0.85 0.75 0.65
Strip 1/500 0.65 0.55 0.45
Mat 1/500 0.35 0.30 0.25

Table 10-8 Requirements for extra distortion resistance

Distortion Type of Extra Extra Extra Steel Extra Steel Extra Steel in
Stiffness Foundation Concrete in Concrete in in Footing in Wall and Foundation
Grade Beam Footing Floor Column
Level 0 Refers to standard design and requires no extra distortion resistance
Spread 10 percent 10 percent
2 bars 3 bars
Footing higher thicker
Strip 10 percent 10 percent
Level I 2 bars 3 bars
Footing higher thicker
15 percent, see
Mat
Figure 10.1
Spread 20 percent 20 percent
3 bars 6 bars
Footing higher thicker
Strip 20 percent 20 percent
Level II 3 bars 6 bars
Footing higher thicker
25 percent, see
Mat
Figure 10.1

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CHAPTER 10 DESIGN FOR COLLAPSIBLE SOILS

Table 10-9 Design of mat foundation on collapsible soils

1. From Table 10-6 , use strain under the plate corresponding to stress of 100 kPa ) to classify the site with respect to
collapse potential.
2. Pre-wetting is required for very high collapse potential, and permitted but not required for high collapse potential.
3. When pre-wetting is chosen or required, the DESIGN CURVE is replaced with a recompression design curve whose
strain values are everywhere 15-percent of those on the original design curve, and the site is reclassified accordingly.
4. Use

Table 10-6 and Table 10-7 to obtain required design parameters (foundation depth), (depth of wetted bulb),
5. Compute .
6. Compute .
7. Compute maximum allowable .
8. Compute the overburden pressure at 1/3 of the way from the base of the foundation to . For mat foundations,
only a fraction of the acts on the soil during wetting as seen from the table below.
9. The average contact stress under a mat, , is governed by the weight of the structure including the mat and the footprint
of the structure. Only and distortion stiffness can be changed in pursuit of an acceptable design.
10. Compute and estimate from Table 10-5, using the curve for square footing or interpolate between the
curves as a function of the shape of structure in plan (length/width 4 can be interpreted as strip).

11. Compute
12. Compute , where the factor a represent percentage of overburden stress acting on the wetted soil under
mats and is obtained as:

0 - 0.1 0.1
0.1 - 0.3 0.3
0.3 - 0.6 0.5

13. Compute
14. Enter the DESIGN CURVE to get and compute .
15. If allowable from above, the design is acceptable. Proceed with structural design.
16.
If allowable from above, increase and/or increase distortion stiffness and recalculate

Note: That portion of the overburden stress assumed to produce strain upon wetting.

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SBC 303-CC-18 79
 CHAPTER 11 DESIGN FOR SABKHA SOILS

CHAPTER 11 DESIGN FOR SABKHA SOILS

11.1 General specifically excluded and not in conflict with the

provisions of CHAPTER 11 shall apply, where
11.1.1 Provisions of this chapter shall apply to
applicable.
building foundation systems in sabkha soil areas.
Soils with high content of soluble or insoluble salts 11.3.2 General requirements. Foundations
and high salinity with occasional relatively hard placed on or within sabkha soils shall be designed
crusty surface can be classified as Sabkha. to prevent structural damage to the supported
Foundation design and construction shall be based structure due to detrimental settlement. Deflection
on geotechnical site investigations as defined in and racking of the supported structure shall be
CHAPTER 2 , unless the building official ascertains limited to that which will not interfere with the
that sufficient data upon which to base the design usability and serviceability of the structure. Design
and construction of the foundation system is shall consider, but need not limited to, the
available. following:
11.1.2 Approval of special systems of design or (1) The decrease in strength of the surface
construction. Sponsors of any system of design or crust of the sabkha as a result of moisture
construction within the scope of CHAPTER 11 , the content increase. This crust shall not be
adequacy of which has been shown by successful used as a foundation layer.
use or by analysis or test, but which does not (2) The variation of compressibility
conform to or is not covered by CHAPTER 11 , shall characteristics of the site resulting from
have the right to present that data on which their differences in layer thickness, degree of
design is based to the building official or to a board cementation, and relative density of
of examiners appointed by the building official. different locations within the site.
This board shall consist of competent geotechnical
and structural engineers and shall have authority to (3) Differential settlements and foundation
investigate the data so submitted, to require tests, instabilities due to volume changes that
and to formulate rules governing design and accompany hydration and dehydration of
construction of such systems to meet the intent of gypsum rich layers under the hot and
CHAPTER 11 . These rules when approved by the humid conditions.
building official and promulgated shall be of the (4) High concentrations of chlorides and
same force as the provisions of CHAPTER 11 . sulfates in the sabkha sediments and
11.2 Loadings brines, and the subsequently highly
corrosive to both concrete and steel.
11.2.1 Foundations shall be designed for the most
unfavorable effects due to the combinations of 11.3.2.1 Soil investigation report shall indicate the
loads specified in SBC 301 Section 2.4. The dead value or range of settlement that might take place
load shall include the weight of foundations and for the subject structure. Potential settlements shall
overlying fill. Reduced live loads, as specified in be estimated by a method of analysis that can be
SBC 301 Section 4.8, are permitted to be used in documented and defended as a good engineering
designing foundations. Strength design of practice and approved by the building official.
reinforced concrete systems and elements shall Allowable settlements shall conform to the
comply with load combinations specified in SBC requirements of Sections 5.4.1.5 and 8.5, where
304. applicable.

11.3 Design 11.3.3 Foundations. For heavy structures, mat or

deep foundations shall be considered, and
11.3.1 Design for sabkha soils shall conform to the provisions of CHAPTER 8 and CHAPTER 14 shall
provisions of Sections 11.3.2 through 11.3.3 . govern, where applicable.
Provisions of CHAPTER 5 and CHAPTER 8 not

SBC 303-CC-18 80
 CHAPTER 11 DESIGN FOR SABKHA SOILS

11.3.3.1 For lightly loaded buildings and structures (1) Domestic and irrigation water shall be
founded on sabkha soil areas, and provided that strictly controlled, especially in low
water table is always kept beneath the foundation density sands cemented with sodium
level, it shall be permitted to design and construct chloride. Protection by drainage around
foundations in accordance with Sections 11.3.3.3 major structures shall be considered to
through 11.3.3.5 , subject to the approval of building reduce the risks associated with
official, and under a direct supervision of a rainstorms or water mains burst.
geotechnical engineer knowledgeable in sabkha
(2) There shall be external protection against
soils.
corrosion for all pipelines, fittings and
11.3.3.2 Alternate foundation designs shall be valves, whether it is made of steel,
permitted subject to the provisions of Section ductile iron, or asbestos-cement. Ductile
11.1.2 . Foundation design need not to comply with iron pipe work shall be factory coated
Section 11.3.2 and 11.3.3 where the soil is removed with a bituminous coating compatible
in accordance with Section 11.6, nor where the with a specified pipe wrapping material.
building official approves stabilization of the soil in Steel pipe work shall be factory coated
accordance with Section 11.7, nor where the with either a thermosetting, fusion
superstructure is designed by a registered design bonded, dry powder epoxy coating not
professional to accommodate the potential less than 300 micrometers thick or a
settlements. catalyst-cured epoxy coating applied in
three coats, to a total cured dry film
11.3.3.3 Water table below 5 meters depth.
thickness of 240 micrometers. Ductile
Where groundwater is 5 meters below the ground
iron, steel and asbestos-cement pipe
surface level, external and internal walls have to be
work shall then be wrapped with durable
supported by a concrete strip foundation. Water
self-adhesive, rubber bitumen compound
infiltration shall be prevented under the floor slabs
with PVC carrier strip. The pipe work
by installing durable polythene sheeting, or other
shall be sleeved with 0.2 mm thick
approved materials, as shown in Figure 11-1(a).
polyethylene sleeving.
Joints in the polythene sheeting shall be lapped and
11.5 Concrete
installation instructions. Strip foundation shall be
supported by lean mix concrete to prevent 11.5.1 Material, construction, and placement of
contamination of the wet concrete when poured. concrete shall be in accordance with the provisions
of Section 5.4.2 and Section 8.3, where applicable.
11.3.3.4 Water table between 2.5 and 5 meters
depth. Where groundwater is between 2.5 meters 11.5.2 Concrete protection. Concrete shall
and 5 meters below the ground surface level, satisfy the durability criteria of SBC 304 Chapter 4.
provisions of Section 11.3.3.3 shall be satisfied. Protection against salt attack on foundation
Slab floors have to be supported by a strip materials, buried pipes, and metal objects shall be
foundation as illustrated in Figure 11-1(b). Coarse, provided by using sulfate resistance cement.
durable gravels shall be placed beneath the floor Concrete used in the construction of foundation on
slab and around the strip foundation. sabkha formations shall be made from Type V
Portland cement, with minimum cement content of
11.3.3.5 Water table between ground level and 370 kg/m3, and maximum water cement ratio of 0.4
2.5 meters depth. Where groundwater is between for corrosion protection and 0.45 for sulfate
ground level and 2.5 meters, the provisions of protection. Reinforcement type shall be epoxy
Section 11.3.3.4 shall be fulfilled. Further, the strip coated and a minimum cover to reinforcement of 75
foundation and the floor slab shall also be underlain mm shall be stringently enforced.
by a rolled coarse gravel capillary cut-off, not less
than 150 mm thick, resting on a compacted fill 11.6 Removal of sabkha soils
blanket as illustrated in Figure 11-1 (c). 11.6.1 Where sabkha soil is removed in lieu of
11.4 Required preventive measures designing foundations in accordance with Section
11.3.3 , the soil shall be removed to a depth
11.4.1 The applicable provisions of Section 9.3.6 sufficient to ensure adequate load-bearing capacity
and CHAPTER 13 shall be expanded to include, but and tolerable settlement for the remaining soil. Fill
need not be limited to, the following: material shall not contain sabkha soils and shall
comply with the provisions of Sections 3.10 or 3.11.

SBC 303-CC-18 81
 CHAPTER 11 DESIGN FOR SABKHA SOILS

11.7 Stabilization means, in order to improve its bearing capacity and

reduce its settlement characteristics, the upper,
11.7.1 Where the sabkha soil is stabilized in lieu loose portion of sabkha shall be densified, or treated
of designing foundations in accordance with without adversely affecting the underlying
Section 11.3.3, the soil shall be stabilized by stone cemented layers. In pre-wetting technique, the
columns, preloading, vibroflotation, or other effect of strength loss shall be evaluated to ensure
techniques designed by a geotechnical engineer that strength criteria are met. Limitations and
knowledgeable in sabkha soil and approved by the implementation procedures of the contemplated
building official. Where attempts to densify the stabilization technique shall receive careful
upper portion of sabkha material by conventional
consideration and thorough evaluation.

SBC 303-CC-18 82
CHAPTER 11 DESIGN FOR SABKHA SOILS

TABLES AND FIGURES OF CHAPTER 11

Figure 11-1 Shallow foundation design strategies: (a) Water table below 5 m depth; (b)
Water table between 2.5 m and 5 m depth; (c) Water table between ground level and 2.5 m
depth.

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SBC 303-CC-18 84
 CHAPTER 12 DESIGN FOR VIBRATORY LOADS

CHAPTER 12 DESIGN FOR VIBRATORY LOADS

12.1 General 12.2.2 Static loads. Static loads shall consist of all
dead and live loads on the foundation, etc., thermal
12.1.1 Where machinery operations or other and fluid forces from process piping, loads due to
vibrations are transmitted through the foundation, temperature differentials, wind loads and any other
the foundations and support structures shall be
sustained loads.
designed according to Sections 12.2 through 12.4.8 .
Foundations and support structures designed for 12.2.3 Transient dynamic loads. If not specified
machinery vibrations must be capable of by the equipment manufacturer, transient forces
withstanding dynamic loading due to machinery consisting of vertical, lateral, and longitudinal
vibrations and all other loadings to which they may forces equal to 25 percent of the total weight of the
be subjected with stresses not exceeding the machine train and acting through the center
allowable-load bearing values specified in machine bearing axis shall be used in design. These
CHAPTER 4 . forces need not be considered to act concurrently.
For purposes of strength design, the forces shall be
Vibrations emanating from machinery
operations and transmitted to the soil through treated as quasi-static loads.
the foundation may cause serious settlement to 12.2.4 For low-tuned systems, dynamic load
occur, particularly to foundations bearing on effects due to transient resonance during machine
granular materials. While granular soils start-up or shut-down shall be considered. For
generally have a considerable volume of voids,
transient response calculations, damping effects
the foundation pressure is usually carried and
distributed by the bearing of grain on grain shall be included to avoid unrealistically high
without detrimental deformations. Granular results as the frequency ratio passes through the 0.7
materials subjected to strong vibrations, to 1.3 range. Unless foundations or structures or
however, may result in the particles readjusting connecting piping are unusual, response due to
and slipping into the void spaces. Essentially, transient dynamic forces need not be evaluated.
the soil mass is consolidated and reduced in
volume, causing vertical settlement. 12.2.5 Steady state dynamic forces. Information
on steady state dynamic forces shall be furnished by
Vibratory loads that cause a disturbance of the the equipment manufacturer(s). For reciprocating
soil will flush water out of the material. In machinery, the supplied information shall include
saturated granular soils, such as sand, the
weights of the machine and all auxiliary equipment
that allows sudden flow beneath the foundation, with exact location of centers of gravity, number of
sometimes resulting in serious structural revolutions per minute (Operating speed or range of
damage. operating speeds), diagrams showing all primary
and secondary forces and moments, and curves of
In soils that are rather impermeable, such as
free forces and moments against crank angle
clays, vibration may also cause water to flush
out, but it will take a very long time. Also,
degrees.
foundation settlement will occur over a 12.2.5.1 For rotating machinery, the equipment
prolonged period. manufacturer(s) shall supply the weights of the
Care should be taken in the design of machine, rotor and auxiliary equipment with exact
foundations to eliminate completely or minimize location of centers of gravity, range of operating
the transmission of vibratory loads to load- speeds, possible unbalanced forces and points of
bearing soils. application (for operating conditions based on
12.2 Loads alarm level). Where there is no manufacturer
information available, the steady state dynamic
12.2.1 All concrete sections shall be proportioned force for rotating machinery can be estimated as
to resist the sum of the static loads and dynamic follows:
loads as described in Sections 12.2.2 through 12.2.5 .

SBC 303-CC-18 85
 CHAPTER 12 DESIGN FOR VIBRATORY LOADS

less than 500 horsepower, in the absence

(12-1) of a detailed dynamic analysis, the
foundation weight shall be at least three
where: times the total machinery weight, unless
specified otherwise by the manufacturer.
= Steady state dynamic force in kN;
(2) For reciprocating machinery less than
= Total mass of the rotating part in kg; and 200 horsepower, in the absence of a
= Machine speed in revolutions per minute. detailed dynamic analysis, the
foundation weight shall be at least five
12.3 Soil bearing pressures, pile times the total machinery weight, unless
capacities and settlements specified otherwise by the manufacturer.
12.3.1 Foundation adequacy for static bearing (3) All coupled elements of the machinery
capacity and settlement considerations shall be train shall be mounted on a common
checked by a registered design professional. In foundation or support structure.
addition, effect of dynamic loading on foundation
(4) Foundations for heavy machinery shall
soil shall be investigated. In-situ or laboratory
be independent of adjacent foundations
testing to establish appropriate dynamic parameters
and buildings. Concrete slabs or paving
of the foundation soils, whether in-situ treated or
adjacent to the foundation shall have a
untreated, or compacted fill, shall be carried out by
minimum 12 mm isolation joint around
an approved agency. If a requirement for piles is
the foundation using an approved elastic
established, appropriate dynamic parameters for the
joint filler with sealant on top. Joint filler
piles shall be determined by an approved agency.
material shall be an expansion joint
12.3.2 The site investigation report shall give material according to ACI 504R Guide
insight to the expected dynamic behavior of the soil for Sealing Joints in Concrete Structures.
or piles. As a minimum the report should give the Preformed expansion joint filler shall be
density, Poiss - of the full thickness and depth of the joint
grade reaction or dynamic pile spring constant and with splicing only on the length.
the shear modulus for soils, or the equivalent fixate
(5) The clear distance in any direction
level of piles.
between adjacent foundations for heavy
12.3.3 Unless foundation settlement calculations machinery shall be large enough to avoid
for dynamic loads show otherwise, the allowable transmission of detrimental vibration
soil bearing pressures shall not exceed 50% of the amplitudes through the surrounding soil
allowable bearing pressure permitted for static or the foundations shall be protected in
loads, as determined from CHAPTER 4 , for high- other ways. Transmissibility of
tuned foundations and 75% for low-tuned amplitudes shall be limited to 20 percent
foundations. The allowable soil bearing pressure between adjacent foundations, unless
shall be reduced for heavy machinery foundations otherwise agreed by the Building
to provide a factor of safety against excessive official.
settlement due to vibrations.
(6) Where practical and economical, the
12.4 Design requirements machine foundation system shall be
proportioned to be low-tuned.
12.4.1 Foundation and support structures designed
for machinery vibrations shall meet the provisions (7) High-tuned machine foundation systems
of Sections 12.4.2 through 12.4.8 . shall be used only when a low-tuned
system is not practical or economical.
12.4.2 General. The provisions of CHAPTER 5
and CHAPTER 8 shall be expanded to include the (8) For elevated machinery, the flexibility of
following: the entire support structure shall be
considered in the dynamic analysis.
(1) Support structures or foundations for
centrifugal rotating machinery greater (9) The foundation design shall be capable
than 500 horsepower shall be designed of resisting all applied dynamic and static
for the expected dynamic forces using loads specified by the machinery
dynamic analysis procedures. For units manufacturer, loads from thermal

SBC 303-CC-18 86
 CHAPTER 12 DESIGN FOR VIBRATORY LOADS

movement, dead and live loads, wind or reinforcement in each direction shall not
seismic forces as specified in SBC 301, be less than 0.0018 times the gross area
any loads that may be associated with perpendicular to the direction of
installation or maintenance of the reinforcement.
equipment, and fatigue. For fatigue, the
Exception: In an event that a foundation size
dynamic loads shall be increased by a
greater than 1200 mm thick is required for stability,
factor of 1.5 and applied as quasi-static
rigidity, or damping, the minimum reinforcing steel
loads.
may be as recommended in ACI 207.2R-07 Effect
The applied loads shall be combined to produce the of Restraint, Volume Change, and Reinforcement
most unfavorable effect on the supporting on Cracking of Massive Concrete with a suggested
foundations. The effect of both wind and seismic minimum reinforcement of Dia 22 mm bars at 300
activity need not be considered to act mm on center.
simultaneously. Design load combinations shall be
(1) Main reinforcement in piers shall not be
as specified in Section 2.4 SBC 301 except that
less than 1 percent and not more than 8
strength design of reinforced concrete systems and
percent of the cross-sectional area of the
elements shall comply with load combinations
piers. Main reinforcement in pedestals
specified in SBC 304.
shall not be less than 1/2 percent.
(1) Design shall be such that buried cables,
(2) Minimum tie size in piers shall be 12
pipes etc., will not be incorporated in the
mm.
foundation, and be protected from the
influence of foundation stresses. If (3) Maximum tie spacing in piers shall be the
incorporation in the foundation cannot be smallest of 8-bar diameters, 24-tie
avoided, cables and pipes shall be diameters or 1/3 the least dimension of
sleeved. the pier.
(2) Where practical, operator platforms shall (4) Slabs with thickness of 500 mm or more
be independent from the main machinery shall be provided with shrinkage and
carrying structure(s). temperature reinforcement in accordance
with applicable provisions of SBC 304.
(3) Quantifying whole-body vibration in
relation to human health and comfort, the (5) When foundation thickness is greater
probability of vibration perception, and than 1200 mm thick, mix and placement
the incidence of motion sickness shall of concrete shall conform to the
conform to International Organization provisions of ACI 207.2R-07 and SBC
for Standardization ISO 2631-1 304.
Mechanical Vibration and Shock 12.4.4 Anchor bolts. Anchor bolts shall be in
Evaluation of Human Exposure to accordance with SAES-Q-005. When specified, the
Whole-Body Vibration-Part 1: General diameter, steel quality, projection and installation
Requirements and Evaluation of Human method shall be as required by the machine
Exposure to Whole-Body Vibration-Part manufacturer. Requirements for anchor bolt coating
2: Continuous and Shock-induced shall be in compliance with Saudi Aramco
Vibration in Buildings (1 to 80 Hz) ISO Materials System Reports 12-SAMSS-007
2631-2. Fabrication of Structural and Miscellaneous Steel
12.4.3 Reinforced concrete. The structural and requirements for double nuts shall be in
design of all reinforced concrete shall be in compliance with Saudi Aramco Engineering
accordance with SBC 304 when not in conflict with Standard SAES-Q-005 Concrete Foundations.
the provisions of CHAPTER 12 . The following 12.4.4.1 The foundation design engineer shall
provisions shall be satisfied: verify the capacity of any vendor furnished or
(1) The minimum compressive strength of detailed anchor bolts. Unless otherwise specified by
concrete at 28 days shall not be less than the equipment manufacturer, equipment shall be
28 MPa. installed on mounting plate(s), and the direct
attachment of equipment feet to the foundation
(2) All faces of concrete shall be reinforced
using the anchor bolts shall not be permitted.
bi-axially. For deformed bars, the
Mounting plates shall be of sufficient strength and

SBC 303-CC-18 87
 CHAPTER 12 DESIGN FOR VIBRATORY LOADS

rigidity to transfer the applied forces to the % of the block thickness embedded in the soil,
foundation. Grouting shall be in accordance with unless otherwise specified by the equipment
Saudi Aramco Engineering Standard SAES-Q-011 manufacturer.
Epoxy Grout for machinery Support and machine
12.4.6 Allowable eccentricities for concrete
foundations with horizontal shaft machinery.
12.4.4.2 The drawing shall clearly indicate the Secondary moments that could significantly
locations and types of the anchor bolts and sleeves, influence the natural frequencies of the foundation
the anchor bolt diameter, the depth of embedment shall be minimized. The horizontal eccentricity,
into the foundation of the anchor bolts, the length of perpendicular to the machine bearing axis, between
the anchor bolts threads, and the length of the the center of gravity of the machine foundation
anchor bolt projections. system and the centroid of the soil contact area (or
in case of piled foundations, the elastic support
12.4.5 Stiffness requirements. The foundation
point of the pile group) shall not exceed 0.05 times
must be of sufficient width to prevent rocking and
the width of foundation in meters.
adequate depth to permit properly embedded anchor
bolts. The width of the foundation shall be at least 12.4.6.1 The horizontal eccentricity, parallel to the
1.5 times the vertical distance from the base to the bearing axis between the center of gravity of the
machine centerline, unless analysis carried out by a machine foundation system and the centroid of the
registered design professional demonstrates that a soil contact area (or in the case of piled foundations,
lesser value will perform adequately. For concrete the elastic support point of the pile group) shall not
foundations, the weight of the foundation for exceed 0.05 times length of foundation in meters.
reciprocating equipment shall not be less than 5 The machine bearing axis and the centroid of the
times and, for rotary equipment, shall not be less support (soil contact area, or pile group) shall lie in
than 3 times the weight of the machinery, including a common vertical plane.
its base plate and the piping supported from the
12.4.6.2 Piers and columns shall be proportioned in
foundation, unless analysis carried out by a
such a manner that the centroid of their vertical
registered design professional demonstrates that a
stiffness lies in the same vertical plane as the
lesser value will perform adequately.
bearing axis and center of gravity of the machinery.
12.4.5.1 For foundations and piers constructed with
12.4.7 Permissible frequency ratios. The ratio
normal weight concrete, the dynamic modulus of
between the operating frequency of the machinery,
elasticity shall be taken as:
f, and each natural frequency of the machine
foundation system, fn shall not lie in the range of 0.7
(12-2) to 1.3. Accordingly, for high-tuned systems, f/fn,
shall be less than 0.7 and for low-tuned systems f/fn
where: shall be greater than 1.3. A need for exceptions shall
be approved by a registered design professional.
= Dynamic modulus of elasticity of concrete in
MPa; and 12.4.8 Permissible vibration. Where

= Compressive strength of concrete at 28 days in the maximum velocity of movement during steady-
MPa. state normal operation shall be limited to 3 mm per
12.4.5.2 The minimum thickness of the concrete second for centrifugal machines and 4 mm per
foundations shall not be less than (0.60+L/30) second for reciprocating machines. For rocking and
where L is the length of foundation in meters torsional mode calculation the vibration velocities
parallel to the machine bearing axis in meters. Piers shall be computed with the dynamic forces of the
shall not be used unless absolutely required by machinery train components assumed in phase and
operation or maintenance or if required by machine 180 degrees out of phase.
vendor specification. Block foundations for
reciprocating machines shall have a minimum of 50

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SBC 303-CC-18 89
CHAPTER 13 DAMPPROOFING AND WATERPROOFING

CHAPTER 13 DAMPPROOFING AND WATERPROOFING

13.1 Scope intrusion of water or moisture. Moisture or water

in a floor below grade can cause damage to
13.1.1 Walls or portions thereof that retain earth structural members, such as columns, posts or
and enclose interior spaces and floors below grade, load-bearing walls, as well as pose a health
and underground water-retention structures shall be hazard by promoting the growth of bacteria or
waterproofed and dampproofed in accordance with fungi and adversely affect any mechanical and
provisions of this Chapter, with the exception of electrical appliances that may be located at that
those spaces containing groups other than level. It can also cause a great deal of damage
residential and institutional where such omission is to goods that may be located or stored in that
lower level. These vertical and horizontal
not detrimental to the building or occupancy.
surfaces include foundation walls, retaining
Ventilation for crawl spaces shall comply with walls, underfloor spaces and floor slabs.
Section 7.3.4 SBC 201. Waterproofing and dampproofing are not
CHAPTER 13 covers the requirements for required in locations where the omission of
waterproofing and dampproofing those parts of moisture barriers would not adversely affect the
substructure construction that need to be use of the spaces. An example of a location
provided with moisture protection. It identifies where waterproofing or dampproofing would
the locations where moisture barriers are not be required is in an open parking structure,
required and specifies the materials to be used as long as the structural components are
and the methods of application. The provisions individually protected against the effects of
also deal with subsurface water conditions, water. Waterproofing and dampproofing are not
drainage systems and other protection permitted to be omitted from residential and
requirements. institutional occupancies where people may be
sleeping or services are provided on the floor
here below grade. A person walking in a flooded
dampproofing is the minimum requirement. basement may be in a very hazardous situation,
Although both terms are intended to apply to particularly if the possibility of an electrical
the installation and use of moisture barriers, charge in the water exists that is caused by
dampproofing does not furnish the same electrical service at that level.
degree of protection against moisture.
Section 13.1.1 addresses the type of problem
Dampproofing generally refers to the faced when a portion of a story is above grade,
application of one or more coatings of a while Section 13.1.2 limits any infiltration of
compound or other materials that are water into crawl spaces so as to protect this
impervious to water, which are used to prevent area from potential water damage and prevent
the passage of water vapor through walls or ponding of water. Both of these sections
other building components, and which restrict reference other applicable sections of the code,
the flow of water under slight hydrostatic as well as the exceptions.
pressure. Waterproofing, on the other hand,
refers to the application of coatings and sealing 13.1.2 Story above grade plane. Where a
materials to walls or other building components basement is considered a story above grade plane
to prevent moisture from penetrating in either a and the finished ground level adjacent to the
vapor or liquid form, even under conditions of basement wall is below the basement floor
significant hydrostatic pressure. Hydrostatic elevation for 25 percent or more of the perimeter,
pressure is created by the presence of water the floor and walls shall be dampproofed in
under pressure. This pressure can occur when
accordance with Section 13.2 and a foundation
the ground-water table rises above the bottom
of the foundation wall, or the soil next to the
drain shall be installed in accordance with Section
foundation wall becomes saturated with water 13.4.3 . The foundation drain shall be installed
caused by uncontrolled storm water runoff. around the portion of the perimeter where the
basement floor is below ground level. The
Section 13.1 is an overall requirement that provisions of Sections 2.2.3.4 , 13.3 and 13.4.2 shall
waterproofing and dampproofing applications
are to be made to horizontal and vertical
not apply in this case.
surfaces of below ground spaces where the The provisions of this section, stated in another
occupancy would normally be affected by the way, require that where a basement is deemed

SBC 303-CC-18 90
 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

to be a story above grade plane (see definition, that are observed very infrequently. Water can
Section 1.3), the section of the basement floor build up in these spaces and remain for an
that occurs below the exterior ground level and extended period of time without being noticed
the walls that bound that part of the floor are to by the building occupants. This type of stagnant
be dampproofed in accordance with the water under a building, which can harbor
requirements of Section 13.2. disease, mold and disease-carrying insects
such as mosquitoes, can result in a serious
The use of dampproofing, rather than
health concern. Water buildup in a crawl space
waterproofing, is permitted here since
can also damage the structural integrity of the
hydrostatic pressure will not tend to develop
building. Concrete and masonry exposed to
against the walls if the basement is a story
water will deteriorate with a loss of strength.
above grade plane and the ground level
adjacent to the basement wall is below the Steel exposed to water or high humidity can
basement floor elevation for no less than 25 eventually rust to the extent that effective
percent of the basement perimeter. structural capability is jeopardized. Water
buildup in a crawl space can also damage any
Any water pressure that may occur against the
mechanical or electrical appliances, which may
walls below ground or under the basement floor
be located in the space, by causing corrosion of
would be relieved by the water drainage system
electrical parts or metal skins and deterioration
required in this section. The drainage system
to insulation used to protect heating elements.
would be installed at the base of the wall
construction in accordance with Section 13.4.3 Where it is known that the water table can rise
for a minimum distance along those portions of to within 150 mm of the outside ground level, or
the wall perimeter where the basement floor is where there is evidence that surface water
below ground level. Because of the relationship cannot readily drain from the site, then the
of grade to the basement floor and the inclusion finished ground surface in underfloor spaces is
of foundation drains, the potential for to be set at an elevation equal to the outside
hydrostatic pressure buildup is not significant; ground level around the perimeter of the
therefore, a ground-water table investigation, building unless an approved drainage system is
waterproofing and the basement floor gravel provided. In order for the drainage system to be
base course are not required. approved, it must be demonstrated to be
adequate to prevent the infiltration of water into
The objective of Section 13.4.2 is to prevent
the underfloor space. This is done by
moisture migration in basement spaces. In
determining the maximum possible flow of
story- above-grade construction that meets the
water near the foundation wall and footing and
requirements of this section, the basement floor
designing the drainage system to remove that
would be only partly below ground level
flow of water as it occurs, without permitting the
(sometimes a small part) and the need for
buildup of water at the foundation wall.
moisture protection as required by Section
13.4.2 would be unnecessary. Dampproofing of To prevent the ponding of water in the
the floor slab would be required, however, in underfloor space from a rise in the ground-
accordance with Section 13.2.2. water table, or from storm water runoff, the
finished ground level of an underfloor space is
13.1.3 Under-floor space. The finished ground not to be located below the bottom of the
level of an under-floor space such as a crawl space foundation footings.
shall not be located below the bottom of the
footings. Where there is evidence that the ground- Dampproofing (see Section 13.2) the
foundation walls, waterproofing (see Section
water table rises to within 150 mm of the ground
13.3) and providing subsoil drainage (see
level at the outside building perimeter, or that the Section 13.4) is not necessary if the ground
surface water does not readily drain from the level of the underfloor space is as high as the
building site, the ground level of the under-floor ground level at the outside of the building
space shall be as high as the outside finished ground perimeter, as the foundation walls do not
level, unless an approved drainage system is enclose an interior space below grade.
provided. The provisions of Sections 2.2.3.4 , 13.2, Compliance with Sections 13.2, 13.3 and 13.4
13.3 and 13.4.2 shall not apply in this case. would still be required where the finished
ground surface of the underfloor space is below
The requirements of this section are designed the outside ground level.
to prevent any ponding of water in underfloor
spaces such as crawl spaces. Crawl spaces are 13.1.3.1 Flood hazard areas. For buildings and
particularly susceptible to ponding of water, structures in flood hazard areas, as established in
since they are usually uninhabitable spaces SBC 301 Section 5.3, the finished ground level of

SBC 303-CC-18 91
 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

an under-floor space such as a crawl space shall be level if there is sufficient land area to
equal to or higher than the outside finished ground accomplish the purpose. When ground-water
level on at least one side. control in accordance with this section is
provided, waterproofing in accordance with
Exception: Under-floor spaces of Group R-3 Section 13.3 is not required.
buildings that meet the requirements of FEMA-TB
There are many types of site drainage systems
11. that can be employed to control ground-water
levels. The most commonly used systems may
involve the installation of drainage ditches or
portion of a building having its floor subgrade trenches filled with pervious materials, sump
pits and discharge pumps, well point systems,
pertains to enclosed areas such as crawl drainage wells with deep-well pumps, sand-
spaces below elevated buildings and drain installations, etc. This section requires
structures, if the interior grade is below the that all such systems be designed and
exterior grade on all sides. Whether there is constructed using accepted engineering
enough clearance for such areas to be principles and practices based upon
occupied is irrelevant. Neither the use of the considerations that include the permeability of
enclosed space nor the clearance height is the the soil, amount and rate at which water enters
controlling factor as to whether an enclosed the system, pump capacity, capacity of the
area below an elevated building is a basement disposal area and other such factors that are
under Section 1612.2 of SBC 201. The necessary for the complete design of an
controlling factor is whether the interior grade is operable drainage system.
below the exterior grade on all sides, even if the
interior grade is established by the footing 13.2 Dampproofing
excavation that was not backfilled. To avoid 13.2.1 Where hydrostatic pressure will not occur
questions of interpretation, interior grade as determined by Section 2.2.3.4 , floors and walls
should be at or above the exterior grade along shall be dampproofed in accordance with this
one entire side.
Section.
13.1.4 Groundwater control. Where the ground-
water table is lowered and maintained at an
commentary to Section 13.1. Where a ground-water
elevation not less than 150 mm below the bottom of
table investigation made in accordance with the
the lowest floor, the floor and walls shall be
requirements of Section 2.2.3.4 (see commentary)
dampproofed in accordance with Section 13.2. The
has established that the high water table will occur
design of the system to lower the ground-water
at such a level that the building substructure will not
table shall be based on accepted principles of
be subjected to hydrostatic pressure, then
engineering that shall consider, but not necessarily
dampproofing in accordance with this section and a
be limited to, permeability of the soil, rate at which
subsoil drain in accordance with Section 13.4 are
water enters the drainage system, rated capacity of
sufficient to control moisture in the floor below
pumps, head against which pumps are to operate
grade. Since the wall will not be subject to water
and the rated capacity of the disposal area of the
under pressure, the more restrictive provisions of
system.
waterproofing, as outlined in Section 13.3, are not
After completion of building construction, it is required.
often necessary to maintain the water table at a
level that is at least 150 mm below the bottom 13.2.2 Floors. Dampproofing materials for floors
of the lowest floor in order to prevent the flow or shall be installed between the floor and the base
seepage of water into the basement. Where the course required by Section 13.4.2, except where a
site consists of well-draining soil and the separate floor is provided above a concrete slab.
highest point of the water table occurs naturally
Floors requiring dampproofing in accordance
at or lower than the required level stated above,
with Section 13.2 are to employ materials as
there is no need to provide a site drainage
specified in Section 13.2.2. The dampproofing
system specifically designated to control the
materials must be placed between the floor
ground-water level. Where the soil
construction and the supporting gravel or stone
characteristics and site topography are such
base as shown in Commentary Figure 13-5.
that the water table can rise to a level that will
Even if a floor base in accordance with Section
produce a hydrostatic pressure against the
13.4.2 is not required, dampproofing is still to
basement structure, then a site drainage
be placed under the slab unless otherwise
system may be installed to reduce the water
specified in Section 13.2.2.

SBC 303-CC-18 92
 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

The installation is intended to provide a recommended. Installation should comply with

moisture barrier against the passage of water
vapor or seepage into below-ground spaces.
Any of the materials specified in Section 13.3.2
13.2.2.1 Where installed beneath the slab, for waterproofing are also allowed to be used
dampproofing shall consist of not less than 0.15 mm for dampproofing. Commentary Figure 13-1
polyethylene with joints lapped not less than 150 provides a list of bituminous materials that can
mm, or other approved methods or materials. be used, including the applicable standards that
may be used as the basis of acceptance of such
Where permitted to be installed on top of the slab,
materials. Included in Commentary Figure
dampproofing shall consist of mopped-on bitumen, 13-1 is ASTM D1668 for glass fabric that is
not less than 0.10 mm polyethylene, or other treated with asphalt (Type I), coal-tar pitch
approved methods or materials. Joints in the (Type II) or organic resin (Type III).
membrane shall be lapped and sealed in accordance
Dampproofing shall consist of a bituminous
with the manufactu
material, 16 N/m2 of acrylic modified cement, 3
The dampproofing material most commonly mm coat of surface-bonding mortar complying
used for under-slab installations consists of a with ASTM C 887, any of the materials
polyethylene film no less than 0.15 mm in permitted for waterproofing by Section 13.3.3
thickness, which is applied over the gravel or or other approved methods or materials.
stone base required in Section 13.4.2. Care
Surface-bonding mortar complying with ASTM
must be used in the installation of the material
C887 may be utilized. This specification covers
over the rough surface of the base and during
the materials, properties and packaging of dry,
the concreting operations so as not to puncture
combined materials for use as surface-bonding
the polyethylene. Joints must be lapped at least
mortar with concrete masonry units that have
150 mm. Other materials used in a similar way
not been prefaced, coated or painted. Since this
are made of neoprene or butyl rubber.
specification does not address design or
Dampproofing materials can also be applied on
top of the base concrete slab if a separate floor
should be followed. This standard covers
is provided above the base slab, since
proportioning, physical requirements, sampling
dampproofing is provided to prevent moisture
and testing. The minimum thickness of the
infiltration of the interior space, not the concrete
coating is 3 mm.
slab.
Acrylic-modified cement coatings may be
Materials commonly used for dampproofing
utilized at the rate of 16 N/m2. These types of
floors are listed in Commentary Figure 13-1.
materials have been used, performing
13.2.3 Walls. Dampproofing materials for walls successfully, as dampproofing materials for
shall be installed on the exterior surface of the wall, foundation walls. Surface-bonding mortar and
and shall extend from the top of the footing to above acrylic-modified cement are limited in use to
ground level. dampproofing. The ability of these two types of
products to bridge non- structural cracks, as
Walls requiring dampproofing in accordance required in Section 13.3.2 for waterproofing
with Section 13.2 are first to be prepared as materials, is not known; therefore, their use is
required in Section 13.2.3.1 and then coated limited to dampproofing and they are not
with a bituminous material, cement or mortar as permitted to be used as waterproofing.
specified in Section 13.2.3 or other approved Dampproofing may also include other materials
materials and methods of application. Approved and methods of installation acceptable to the
materials are those that will prevent moisture building official.
from penetrating the foundation wall when
water is present but not under pressure. 13.2.3.1 Surface preparation of walls. Prior to
application of dampproofing materials on concrete
Coatings are applied to cover prepared exterior walls, holes and recesses resulting from the removal
wall surfaces extending from the top of the wall
of form ties shall be sealed with a bituminous
footings to slightly above ground level so that
the entire wall that contacts the ground is
material or other approved methods or materials.
protected. Surfaces are usually primed to Unit masonry walls shall be parged on the exterior
provide a bond coat and then dampproofed with surface belowground level with not less than 10 mm
a protective coat of asphalt or tar pitch. of Portland cement mortar. The parging shall be
Emulsion-type coatings may be applied directly coved at the footing.

however, because they are water-soluble

materials, their use is not generally

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 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

Exception: Parging of unit masonry walls is not as prescribed in the commentary to Section
required where a material is approved for direct 13.1.4, all floors and walls below ground level
application to the masonry. are to be waterproofed in accordance with
Sections 13.3.2, 13.3.3 and 13.3.4.
Before applying dampproofing materials, the
concrete must be free of any holes or recesses 13.3.2 Floors. Floors required to be waterproofed
that could affect the proper sealing of the wall shall be of concrete, designed and constructed to
surfaces. Air trapped beneath a dampproofing withstand the hydrostatic pressures to which the
coating or membranes can cause blistering, floors will be subjected.
while rocks and other sharp objects can
puncture membranes. Irregular surfaces can Since floors that are required to be
also create uneven layering of coatings, which waterproofed are subjected to hydrostatic uplift
can result in vulnerable areas of dampproofing. pressures, such floors must, for all practical
Surface irregularities commonly associated purposes, be made of concrete and designed
with concrete wall construction can be sealed and constructed to resist the maximum
with bituminous materials or filled with portland hydrostatic pressures possible. It is particularly
cement grout or other approved methods. important that the floor slab be properly
designed, since severe cracking or movement
Unit masonry walls are usually parged of the concrete would allow water seepage into
(plastered) with a 12-mm-thick layer of below-ground spaces because the ability of the
Portland cement and sand mix (1: 2.5 by waterproofing materials to bridge small cracks
volume) or with Type M mortar proportioned in would be exceeded. Concrete floor construction
accordance with the requirements of ASTMC is to comply with the applicable provisions of
270, and applied in two 6-mm-thick layers. In no Chapter 19 SBC 201.
case is parging to result in a final thickness of
less than 10 mm. The parging is to be coved at 13.3.2.1 Waterproofing shall be accomplished by
the joint formed by the base of the wall and the placing a membrane of rubberized asphalt, butyl
top of the wall footing to prevent the rubber, fully adhered/fully bonded HDPE or
accumulation of water at that location. polyolefin composite membrane or not less than
The moisture protection of unit masonry walls 0.15 mm polyvinyl chloride with joints lapped not
provided by the parging method may not be less than 150 mm or other approved materials under
required where approved dampproofing the slab. Joints in the membrane shall be lapped and
materials, such as grout coatings, cement-
based paints or bituminous coatings, can be installation instructions.
applied directly to masonry surfaces.
Below-ground floors subjected to hydrostatic
13.3 Waterproofing uplift pressures are to be waterproofed with
membrane materials placed as underslab or
13.3.1 Where the ground-water investigation split-slab installations, including such materials
required by Section 2.2.3 indicates that a hydrostatic as rubberized asphalt, butyl rubber, fully
pressure condition exists, and the design does not bonded High Density Polyethylene (HDPE),
include a ground-water control system as described fully bonded polyolefin and neoprene, or
in Section 13.1.4, walls and floors shall be polyvinyl chloride (PVC) not less than 0.15 mm
waterproofed in accordance with this Section. in thickness, lapped at least 150 mm. There are
many proprietary membrane products available
in the marketplace that are specifically made for
the distinction between dampproofing and waterproofing floors and walls (i.e.,
waterproofing, see the commentary to Section polyethylene sheets sandwiched between
13.1. The significance of waterproofing layers of asphalt), which may be used for that
installations is that they are intended to provide purpose when approved by the building official.
moisture barriers against water seepage that All membrane joints are to be lapped and
may be forced into below- ground spaces by
hydrostatic pressure. instructions to form a continuous, impermeable
Where a ground-water table investigation made moisture barrier.
in accordance with the requirements of Section 13.3.3 Walls. Walls required to be waterproofed
2.2.3.3 (see commentary) has established that shall be of concrete or masonry and shall be
the high water table will occur at such a level
designed and constructed to withstand the
that the building substructure will be subjected
to hydrostatic pressure, and where the water
hydrostatic pressures and other lateral loads to
table is not lowered by a water control system, which the walls will be subjected.

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 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

Walls that are required to be waterproofed in This section requires that waterproofing must
accordance with Section 13.3 must first be consist of two-ply hot-mopped felts. The
prepared as required in Section 13.3.3.2. The practice of the waterproofing industry is to
walls must be designed to resist the hydrostatic select the number of plies of membrane
pressure anticipated at the site, as well as any material based on the hydrostatic head (height
other lateral loads to which the wall will be of water pressure against the wall). As a
subjected, such as soil pressures or seismic general practice, if the head of water is 300 mm
loads. As with floors required to be and 900 mm, two plies of felt or fabric
waterproofed, it is particularly important that membrane are used; between 1200 mm and
walls required to be waterproofed be properly 3050 mm, three-ply construction is needed; and
designed to resist all loads present, since between 3350 mm and 7600 mm, four-ply
cracking and other damage would allow water construction is necessary.
seepage into below-ground spaces. Water
Waterproofing installations may also use
seepage can lead to deterioration of the
polyvinyl chloride materials of no less than 0.15
foundation as concrete and masonry erode and
mm thick, 1 mm polymer-modified asphalt or
steel rusts. Such deterioration can cause
0.15 mm polyethylene. These materials have
structural failure of the foundation. More
been widely recognized for their effectiveness
importantly, failure of the foundation wall can
in bridging nonstructural cracks. Other
lead to structural failure of the building, since
approved materials and methods may be used
the foundation supports the building structure.
provided that the same performance standards
Masonry or concrete construction must comply
are met. All membrane joints must be lapped
with the applicable provisions of Chapters 19
and sealed in accordance with the
and 21 of SBC 201, respectively. Commentary
Figure 13-1 and Commentary Figure 13-2 list
materials commonly used for the installation of 13.3.3.2 Surface preparation of walls. Prior to the
moisture barriers in wall construction and the application of waterproofing materials on concrete
related standard that may be used as a basis or masonry walls, the walls shall be prepared in
for acceptance of such materials. Asphalt and accordance with Section 13.2.3.1 .
coal-tar products are not compatible and should
not be used together. Before applying waterproofing materials to
concrete or masonry walls, the surfaces must
13.3.3.1 Waterproofing shall be applied from the be prepared in accordance with the
bottom of the wall to not less than 300 mm above requirements of Section 13.2.3.1, which
the maximum elevation of the groundwater table. requires the sealing of all holes and recesses.
The remainder of the wall shall be dampproofed in Surfaces to be waterproofed must also be free
accordance with Section 13.2.3 . Waterproofing of any projections that might puncture or tear
shall consist of two-ply hot-mopped felts, not less membrane materials that are applied over the
than 0.15 mm polyvinyl chloride, 1.0 mm polymer- surfaces.
modified asphalt, 0.150 mm polyethylene or other 13.3.4 Joints and penetrations. Joints in walls
approved methods or materials capable of bridging and floors, joints between the wall and floor and
nonstructural cracks. Joints in the membrane shall penetrations of the wall and floor shall be made
be lapped and sealed in accordance with the water-tight utilizing approved methods and
materials.
Waterproofing installations are to extend from This section requires that all joints occurring in
the bottom of the wall to a height no less than floors and walls and at locations where floors
300 mm above the maximum elevation of the and walls meet, as well as all penetrations in
ground-water table determined in accordance floors and walls, be made water tight by
with the requirements of Section 2.2.3.3 (see approved methods. Sealing joints and
commentary). The remainder of the wall below penetrations is of primary importance to
ground level (if the height is small) may be ensuring the effectiveness of the waterproofing.
waterproofed as a continuation of the If the joints or penetrations are not sealed
installation or must be dampproofed in properly, they can develop leaks, which
accordance with the requirements of Section become a passageway for water to enter the
13.2.3. If the ground-water table investigation building. Since the remainder of the foundation
is not conducted on the basis of the exception is wrapped in waterproofing, moisture can
to Section 2.2.3.3, then waterproofing should actually become trapped in the foundation walls
be provided from a point below the footing to or floor slab, and serious damage to these
above the ground level. structural components can occur. Such
methods may involve the use of construction

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 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

keys (e.g., between the base of the wall and the placed over a floor base course not less than 100
top of the footing) or, if there is hydrostatic mm in thickness that consists of gravel or crushed
pressure, floor and wall joints may require the stone containing not more than 10 percent of
use of manufactured waterstops made of metal, material that passes through a No.4 (4.75 mm)
rubber, plastic or mastic materials.
sieve.
Commentary Figure 13-3 and Commentary
Figure 13-4 illustrate examples of joint Exception: Where a site is located in well-drained
treatment and penetration treatment of gravel or sand/gravel mixture soils, a floor base
waterproofing. Floor edges along walls and course is not required.
floor expansion joints may employ the use of
any number of preformed expansion joint This section requires that basement floors,
materials, such as asphalt, polyurethane, except for story-above-grade construction,
sponge rubber, self-expanding cork, cellular must be placed on a gravel or stone base no
fibers bonded with bituminous materials, etc., less than 100 mm thick. Not more than 10
which all comply with applicable ASTM percent of the material is to pass a No. 4 sieve
International (ASTM) or American Association so as to provide a porous installation. Material
of State Highway and Transportation Officials that passes a No. 4 sieve would be fine silt or
(AASHTO) standards or other federal clay that would not permit the free movement of
specifications. A variety of sealants may be water through the floor base. This requirement
used together with the preformed joint serves three purposes. The first is to provide an
materials. Gaskets made of neoprene and other adjustment to the irregularities of a compacted
materials are also available for use in concrete subgrade so as to produce a level surface upon
and masonry joints. The National Roofing which to cast a concrete slab. The second is to
provide a capillary break so that moisture from
and Waterproofing Manual provides details for the soil below will not rise to the underside of
the reinforcement of membrane terminations, the floor. Finally, where required, the porous
corners, intersections of slabs and walls, base can act as a drainage system to expel
through-wall and slab penetrations and other underslab water by means of gravity or the use
locations. Penetrations in walls and floors may of a sump pump or other approved methods.
be made water-tight with grout or manufactured The exception allows for the omission of the
fill materials and sealants made for that floor base when the natural soils beneath the
purpose. floor slab consist of well-draining granular
13.4 Subsoil drainage system materials, such as sand, stone or mixtures of
these materials. The exception is consistent
13.4.1 Where a hydrostatic pressure condition with the requirements of Section 13.4.4. Some
does not exist, dampproofing shall be provided and caution, however, is justified in the use of this
a base shall be installed under the floor and a drain exception. If the granular soils contain an
installed around the foundation perimeter. A subsoil excessive percentage of fine materials, the
drainage system designed and constructed in porosity and the ability of the soil to provide a
capillary break may be considerably
accordance with Section 13.1.4 shall be deemed
diminished. The exception is only to be applied
adequate for lowering the ground-water table. if the natural base is equivalent to the floor base
This section covers subsoil drainage systems in otherwise required by this section.
conjunction with dampproofing (see Section
13.4.3 Foundation drain. A drain shall be placed
13.2) to protect below-ground spaces from
water seepage. Such systems are not used around the perimeter of a foundation. It shall satisfy
where basements or other below-ground the requirements of Equation (7-4) through
spaces are subject to hydrostatic pressure Equation (7-6) in lieu it shall consist of gravel or
because they would not be effective in crushed stone containing not more than 10-percent
disposing of the amount of water anticipated if material that passes through a No. 4 (4.75 mm)
a hydrostatic pressure condition exists. sieve. The drain shall extend a minimum of 300 mm
Ground-water tables may be reduced to beyond the outside edge of the footing. The
acceptable levels by methods described in the thickness shall be such that the bottom of the drain
commentary to Section 13.1.4. The details of is not higher than the bottom of the base under the
subsoil drainage systems are covered in the
floor, and that the top of the drain is not less than
requirements of Sections 13.4.2 through
13.4.4. 150 mm above the top of the footing. The top of the
drain shall be covered with an approved filter
13.4.2 Floor base course. Floors of basements, membrane material. Where a drain tile or perforated
except as provided for in Section 13.1.2 , shall be pipe is used, the invert of the pipe or tile shall not

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 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

be higher than the floor elevation. The top of joints Where drain tile or perforated drain pipe is
or the top of perforations shall be protected with an utilized, the drain system consists of clay or
approved filter membrane material. The pipe or tile concrete drain tiles or corrugated metal or
shall be placed on not less than 50 mm of gravel or nonmetallic pipes installed in a filter bed with at
least 50 mm of filter material and covered with
crushed stone complying with Section 13.4.2 , and
at least 150 mm of filter material to maintain
shall be covered with not less than 150 mm of the good water flow into the drain tile or pipe. The
same material. foundation drain is set adjacent to the wall
This section describes the materials and footing and extends around the perimeter of the
features of construction required for the building. Drain tiles are placed end to end with
installation of foundation drain systems. open joints to permit water to enter the system.
Perimeter foundation drains provide a means to Metallic and nonmetallic drains are made with
remove free ground water and prevent leakage perforations at the invert (bottom) section of the
into habitable below-grade spaces. The first pipe and are installed with connected ends. The
part of this provision describes a foundation drain pipe invert is not to be set higher than the
drain of gravel or crushed stone. The balance basement floor line such that water conveyed
of the provision describes the installation of by the drain does not seep into the filter material
drain tile or perforated pipe where either of and create a hydrostatic pressure condition
those is provided. The use of drain tiles is against the foundation wall and footing. The
important in areas having moderate to heavy inverts should not be placed below the bottom
rainfall as well as in soils that have low of the adjacent wall footings so as to avoid
percolation rates. The requirements of this carrying away fine soil particles that, in time,
section are illustrated in Commentary Figure could undermine the footing and settlement of
13-5. the foundation walls.

This type of drain system is suitable where the Tile joints or pipe perforations should be
water table occurs at such elevation that there covered with an approved filter membrane
is no hydrostatic pressure exerted against the material to prevent them from becoming
basement floor and walls, and where the clogged and prevent fine particles that may be
amount of seepage from the surrounding soil is contained in the surrounding soil from entering
so small that the water can be readily the system and being carried away by water.
discharged by gravity or mechanical means into The filter material around the drain tiles or pipes
sewers or ditches. The objective is to combine (not to be confused with filter membrane
the protection afforded by dampproofing walls material) is to consist of selected gravel and
and floors (see Section 13.2) and by perimeter crushed stone containing no more than 10
drains so as to maintain below-ground spaces percent of material that passes through a No. 4
in a dry condition. sieve. The filter materials should be selected to
prevent the movement of particles from the
Gravel or crushed stone drain material is to be protected soil surrounding the drain installation
placed in the excavation so that it will extend into the drain.
out from the edge of the wall footing a distance
of at least 300 mm, with the bottom of the fill 13.4.4 Drainage discharge. The floor base and
being no higher than the bottom of the base foundation perimeter drain shall discharge by
under the floor (see Section 13.4.2), and the gravity or mechanical means into an approved
top of the filter material being no less than 150 drainage system that complies with the SBC 701.
mm above the top of the wall footing so that
water will not collect along the top of the footing. Exception: Where a site is located in well-drained
Requiring the bottom of the gravel or crushed gravel or sand/gravel mixture soils, a dedicated
rock drain to be no higher than the bottom of the drainage system is not required.
floor base is necessary so that if the water table
This section references the SBC 701 for the
rises into the floor base, it will also be able to
requirements of installing piping systems for the
rise unobstructed into the foundation drain. The
disposal of water from the floor base (see
foundation drain will then drain the water away
Section 13.4.2) and the foundation drains (see
from the building, as required by Section
Section 13.4.3). Chapter 11 of the SBC 701
13.4.4. The top of the drain must be covered
deals with the piping materials, applicable
with an approved filter membrane to allow water
standards and methods of installation of
to pass through without allowing, or at least
subsurface storm drains to facilitate water
greatly reducing, the possibility of fine soil
discharge either by gravity or mechanical
materials entering the drainage system.
means. Where the soil at the site consists of
well-drained granular materials (i.e., gravel or

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 CHAPTER 13 DAMPPROOFING AND WATERPROOFING

sand-gravel mixtures) to prevent the structures, provisions of SBC 304 and ACI 350
occurrence of hydrostatic pressure against the Environmental Engineering Concrete Structures
foundation walls and under the floor slab, the shall govern, where applicable.
use of a dedicated drainage system as
prescribed in the SBC 701 is not required, since 13.5.4 Waterproofing. All internal faces of an
the site soils would permit natural drainage. underground water-retention structure shall be
waterproofed (using approved material such as
13.5 Underground water-retention epoxy films, concrete admixtures, etc.). All such
structures waterproofing materials in contact with water shall
13.5.1 Underground water-retention structures neither be toxic nor hazardous to human health. All
shall meet the provisions of Sections 13.5.2 through construction joints shall have proper water-stops.
13.5.5 . All construction holes, recesses, plumbing sleeves
etc. shall be sealed properly.
13.5.2 General requirements. All underground
water-retention structures shall meet the following 13.5.4.1 In cases where the floor slab of the water-
requirements: retention structure is less than one meter above the
anticipated groundwater level, it is required to
(1) All internal faces (including the top face) provide a base layer of compacted granular fill,
of the water-retention structure shall be followed by dampproofing layer as described in
waterproofed. Section 13.2.2 .
(2) Shall not be located under drainage or 13.5.4.2 In cases where floor slab is below or close
non-potable water piping. to groundwater level, the floor slab and all exterior
(3) Shall be provided with a waterproof faces of the structure shall be waterproofed in
cover to prevent water and foreign matter accordance with Section 13.3. In cases where cover
from entering the tank. The cover shall slab of the structure is below or close to
be large enough to allow access for groundwater level, all parts of the structure
maintenance. (including the opening of the water-retention
structure) shall be waterproofed in accordance with
(4) Underground tanks in flood hazard areas
Section 13.3.
shall be anchored to prevent flotation,
collapse or lateral movement resulting 13.5.5 Testing. Following complete application of
from hydrostatic loads, including the waterproofing of the structure, and before
effects of buoyancy, during conditions of backfilling is permitted; underground water-
the design flood. retention structures shall be tested against leakage
full of water for a minimum of 48 hours.
13.5.3 Design and construction. For design and
constructions of underground water-retention

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TABLES AND FIGURES OF CHAPTER 13

MATERIAL CONSTRUCTION
Asphalt ASTM D449
Asphalt primer ASTM D41
Coal-tar ASTM D450
Concrete and masonry oil primer
(for coal-tar applications only) ASTM D43
Treated glass fabric ASTM D1668

Commentary Figure 13-1 Materials for waterproofing and damproofing installations.

MATERIAL CONSTRUCTION
Asphalt-saturated asbestos felt ASTM D250
Asphalt-saturated burlap fabric ASTM D1327
Asphalt-saturated cotton fabric ASTM D173
Asphalt-saturated organic felt ASTM D226
Coal-tar-saturated burlap fabric ASTM D1327
Coal-tar-saturated cotton fabric ASTM D173
Coal-tar-saturated organic felt ASTM D227

Commentary Figure 13-2 Materials for waterproofing installations.

Commentary Figure 13-3 Detail: Membrane placement through a key joint.

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CHAPTER 13 DAMPPROOFING AND WATERPROOFING

Commentary Figure 13-4 Pipe detail: Proper placement of waterproofing elements.

Commentary Figure 13-5 Foundation drainage system

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 CHAPTER 14 DEEP FOUNDATIONS

CHAPTER 14 DEEP FOUNDATIONS

14.1 General After the demolition of an existing building, any

deep foundation elements remaining in place
14.1.1 Deep foundations shall be analyzed, cannot be reused to support a new structure
designed, detailed and installed in accordance with unless sufficient and reliable information is
Sections 14.1 through 14.4. provided to the building official showing that the
new loads to be imposed will be adequately
This chapter sets forth the general rules for
supported by the existing deep foundation
analyzing, designing, detailing and installing
elements. This requirement is necessary
deep foundations.
because of the lack of adequate soil data and
14.1.2 Geotechnical investigation. Deep technical information on the material used and
foundations shall be designed and installed on the the unavailability of pile-driving records made
basis of a geotechnical investigation as set forth in during the construction of the existing deep
foundation. The current condition of the deep
CHAPTER 2 .
foundation element is not known, since it may
A foundations investigation is mandatory when have deteriorated over time, possibly reducing
deep foundations are used. Such investigations its load capacity. Deep foundation capacities
are needed to define as accurately as possible may be determined by load tests, or the
the subsurface conditions of soil and rock elements may be retracted and redriven to
materials, establish the soil and rock profiles verify their load capacities.
across the construction site and locate the
ground-water table. Sometimes it may also be 14.1.4 Deep foundation elements classified as
necessary to determine specific soil properties, columns. Deep foundation elements standing
such as shear strength, relative density, unbraced in air, water or fluid soils shall be
compressibility and other such technical data classified as columns and designed as such in
required for analyzing subsurface conditions. accordance with the provisions of this code from
Foundation investigations may also be used to their top down to the point where adequate lateral
render such valuable data as information on support is provided in accordance with Section
existing construction at the site or on 14.2.2 .
neighboring properties (including boring and
test records), the type and condition of the Exception: Where the unsupported height to least
existing structures, their ages, the type of horizontal dimension of a cast-in-place deep
foundations used and performance over the foundation element does not exceed three, it shall
years. Knowledge of existing deleterious be permitted to design and construct such an
substances in the soils that could affect the element as a pedestal in accordance with SBC 304.
durability (as well as the performance) of
foundation elements, data on geologic The section addresses the condition where
conditions at the site as well as a history of deep foundation elements are not laterally
seismic activity are also important. supported by soil and, therefore, must be
designed as columns. This design condition
14.1.3 Use of existing deep foundation applies from the top of the element to a point at
elements. Deep foundation elements left in place which the soil can be assumed to provide lateral
where a structure has been demolished shall not be support as described in Section 14.2.2. The
used for the support of new construction unless exception addresses concrete foundation
satisfactory evidence is submitted to the building elements with a height no greater than three
official, which indicates that the elements are sound times the least horizontal dimension,
and meet the requirements of this code. Such recognizing that these elements can be
elements shall be load tested or redriven to verify designed as pedestals under SBC 304.
their capacities. The design load applied to such 14.1.5 Special types of deep foundations. The
elements shall be the lowest allowable load as use of types of deep foundation elements not
determined by tests or redriving data. specifically mentioned herein is permitted, subject
to the approval of the building official, upon the
submission of acceptable test data, calculations and

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 CHAPTER 14 DEEP FOUNDATIONS

other information relating to the structural laterally supported and, therefore, may be
properties and load capacity of such elements. The susceptible to buckling. Under such conditions,
allowable stresses for materials shall not in any these elements must be designed as columns
case exceed the limitations specified herein. in accordance with the applicable provisions of
the code.
Deep foundations are generally identified
according to the materials used (concrete, steel This section allows the assumption of lateral
or wood) or the methods of construction or support at a prescribed embedment without
installation. While the most commonly used requiring confirmation by a soils investigation.
types of deep foundations are addressed in this The embedment required is the distance into
section, there are many variations of deep either stiff soil or soft soil (not necessarily the
foundation types used in construction, including distance below the ground surface). Note that,
some special or proprietary types that are
beyond the scope of the code. However, while defined, they are generally consistent with the
it is not the intent to preclude the use of such terms used in Section 1613.3.2 of SBC 201 for
special or proprietary types of deep Site Classes D and E. This provision essentially
foundations, it is necessary to substantiate their provides a starting point for analyzing the fixity
structural performance by submitting test data, of the deep foundation element.
calculations, and information on structural 14.2.3 Stability. Deep foundation elements shall
properties, load capacity and installation be braced to provide lateral stability in all directions.
procedures to the building official for approval. Three or more elements connected by a rigid cap
14.2 Analysis shall be considered braced, provided that the
elements are located in radial directions from the
14.2.1 The analysis of deep foundations for design centroid of the group not less than 60 degrees (1
shall be in accordance with Sections 14.2.2 through rad) apart. A two-element group in a rigid cap shall
14.2.6 . be considered to be braced along the axis
This section provides requirements applicable connecting the two elements. Methods used to
to the analysis of deep foundations, such as brace deep foundation elements shall be subject to
lateral support, stability, settlement, lateral the approval of the building official.
loads and group effects.
A group of deep foundation elements designed
14.2.2 Lateral support. Any soil other than fluid to support a common load and, as may be
soil shall be deemed to afford sufficient lateral required, to resist horizontal forces, must be
support to prevent buckling of deep foundation braced or rigidly tied together to act as a single
elements and to permit the design of the elements structural unit that will provide lateral stability in
in accordance with accepted engineering practice all directions. Deep foundation elements that
and the applicable provisions of this code. are connected by a rigid, reinforced concrete
pile cap are deemed to be braced construction
The primary concern addressed in this section that serves the intent of this provision.
is the consideration of slenderness effects in
the design of a compression element. 14.2.3.1 Deep foundation elements supporting
Experience with deep foundation performance walls shall be placed alternately in lines spaced at
under loaded conditions has shown that least 300 mm apart and located symmetrically
elements embedded in earth, including even under the center of gravity of the wall load carried,
relatively soft and compressible clays, exhibit unless effective measures are taken to provide for
lateral restraint that is sufficient to prevent eccentricity and lateral forces, or the foundation
buckling. elements are adequately braced to provide for
14.2.2.1 Where deep foundation elements stand lateral stability.
unbraced in air, water or fluid soils, it shall be Exceptions:
permitted to consider them laterally supported at a
point 1500 mm into stiff soil or 3050 mm into soft (1) Isolated cast-in-place deep foundation
soil unless otherwise approved by the building elements without lateral bracing shall be
official on the basis of a geotechnical investigation permitted where the least horizontal
by a registered design professional. dimension is no less than 600 mm,
adequate lateral support in accordance
Deep foundation elements that are driven into with Section 14.2.2 is provided for the
fluid soils, such as saturated silts, as well as entire height and the height does not
portions of deep foundation elements that
project above the supporting soil are not

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 CHAPTER 14 DEEP FOUNDATIONS

exceed 12 times the least horizontal distortion of, nor instability in, the structure, nor
dimension. cause any element to be loaded beyond its capacity.
(2) A single row of deep foundation A settlement analysis is performed to design a
elements without lateral bracing is deep foundation system that will maintain the
permitted for one- and two-family stability and structural integrity of the supported
dwellings and lightweight construction building or structure. Foundation systems that
suffer serious settlements, particularly
not exceeding two stories above grade
differential settlements, can cause structural
plane or 10,500 mm in building height, damage to the supported structure as well as to
provided the centers of the elements are the foundation itself.
located within the width of the supported
wall. The settlement analysis of an individual
element is a complex procedure. In
Three or more deep foundation elements are comparison, the analysis of a group of elements
generally used to support a building column is even more complex because of the
load or other isolated concentrated load. In a overlapping soil stresses caused by closely
three-pile group, lateral stability is provided by spaced piles. Analytical procedures vary with
requiring that the elements are located such the type of elements and especially with the
that they will not be less than 60 degrees (1.0 type of soil.
rad) apart as measured from the centroid of the
group in a radial direction. For stability of deep Settlements are of two basic types: immediate
foundation elements supporting a wall settlements are those that occur as soon as the
structure, the elements are braced by a load is applied and usually take place within a
continuous rigid footing and are alternately period of less than seven days; consolidation
staggered in two lines that are at least 300 mm settlements are time dependent and take place
apart and symmetrically located on each side of over a long period of time. All cohesionless
the center of gravity of the wall. Other approved soils, such as granular materials consisting of
deep foundation arrangements may be used to sand, gravel or a mixture of both, which have a
support walls, provided that the elements are large coefficient of permeability (rapid draining
adequately braced and the lateral stability of the properties), undergo immediate settlements. All
foundation construction is ensured. fine- grained, saturated, cohesive soils, such as
clays, undergo time-dependent consolidation
Exception 1 addresses the use of isolated settlements. Settlement analysis would
elements without lateral bracing. To qualify, generally include cases involving piers and
elements must have widths (or diameters) of at end-bearing piles on rock or hard soils as well
least 600 mm and be proportioned so that the as friction-type piles in both granular and
height (length) of the element is no more than cohesive soils. Load tests are often performed
12 times the least lateral dimension. This is an to provide data that will aid the settlement
empirical requirement that is intended to offset analysis.
the concerns that typically require consideration
in slenderer elements. For one- and two-family The effects of any settlement, particularly
dwellings as well as light- weight construction differential settlements, should not be harmful
that does not exceed two stories above grade to the structure. Thus, the tolerable settlement
plane or 10,500 mm in height, Exception 2 is largely dependent on the type of structure
permits a single row of elements, rather than being considered. Guidance on tolerable
the minimum 300 mm offset, provided the deep settlements can be found in engineering
foundation elements are located within the textbooks such as Soil Mechanics in
width of the supported wall. In this case, Engineering Practice, Foundation Analysis and
stability of the group is theoretically afforded Design and Foundation Engineering. As a rule,
only in the direction of the line of the deep these references indicate that a total settlement
foundation elements. However, in this limited of 25 mm is acceptable for the majority of
group of relatively lighter buildings, the cross structures, while other structures can tolerate
walls, floor slabs and other structural even greater settlements without distress. On
components are assumed to provide some the other hand, a more restrictive settlement
degree of lateral stability to the deep foundation criterion may be necessary based on the needs
system. of a specific structure. Current engineering
practice is often based on an allowable total
14.2.4 Settlement. The settlement of a single deep settlement of 25 mm with the objective of
foundation element or group thereof shall be controlling the differential settlements to 20 mm
estimated based on approved methods of analysis. or less. The effects of differential settlements
The predicted settlement shall cause neither harmful need to be considered in the structural design

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 CHAPTER 14 DEEP FOUNDATIONS

as a self-straining force, T, when designing for and within seven times the least element
the load combinations of Section 1605 of SBC dimension of the interfaces of strata that
201. are hard or stiff and strata that are
14.2.5 Lateral loads. The moments, shears and liquefiable or are composed of soft- to
lateral deflections used for design of deep medium-stiff clay.
foundation elements shall be established The first paragraph of this section requires
considering the nonlinear interaction of the shaft special consideration of flexural loads on deep
and soil, as determined by a registered design foundation elements due to earthquake
professional. Where the ratio of the depth of motions. The following discussion taken from
embedment of the element to its least horizontal the NEHRP Provisions commentary, Section
dimension is less than or equal to six, it shall be 7.5.4, provides justification for these
permitted to assume the element is rigid. requirements:

This section addresses miscellaneous issues required in the design

unique to the seismic design of deep of concrete piles subject to significant bending
foundations. If the length is less than or equal during earthquake shaking. Bending can
to six times the least horizontal dimension of the become crucial to element design where
element, it can be assumed to be rigid. Then portions of the foundation piles are supported in
moments, shears and lateral deflections can be soils such as loose granular materials and/or
calculated accordingly. Where the length soft soils that are susceptible to large
exceeds six times the least horizontal deformations and/or strength degradation.
dimension, the nonlinear interaction of the Severe pile bending problems can result from
element and soil effects are to be included in various combinations of soil conditions during
the analysis. The effect of abrupt changes in strong ground shaking, for example:
soil deposits, such as changes from soft to firm Soil settlement at the pile-cap interface either
or loose to dense soils, should be included in from consolidation of soft soil prior to the
the analysis. earthquake or from soil compaction during the
earthquake can create a free-standing short
14.2.5.1 Seismic Design Category D through F.
column adjacent to the pile cap.
For structures assigned to Seismic Design Category
D through F, as determined in Section 1613.3.2 of Large deformations and/or reduction in strength
SBC 201, shall be designed and constructed to resulting from liquefaction of loose, granular
withstand maximum imposed curvatures from materials, can cause bending or conditions of
free-standing columns.
earthquake ground motions and structure response.
Curvatures shall include free-field soil strains Large deformations in soft soils can cause
modified for soil-foundation-structure interaction varying degrees of pile bending. The degree of
coupled with foundation element deformations bending will depend upon thickness and
associated with earthquake loads imparted to the strength of the soft soil layer(s) and/or the
properties of the soft/stiff soil interface(s).
foundation by the structure.
Exception: Deep foundation elements that satisfy soil conditions and driven pile lengths in
the following additional detailing requirements providing for pile ductility at potential high
shall be deemed to comply with the curvature curvature interfaces. Interaction between the
capacity requirements of this section. geotechnical and structural engineers is
essential.
(1) Precast prestressed concrete piles
detailed in accordance with Section
14.3.9.3. during and following earthquakes in view of the
fact that it is difficult to repair foundation
(2) Cast-in-place deep foundation elements damage. The desired foundation performance
with a minimum longitudinal can be accomplished by proper selection and
reinforcement ratio of 0.005 extending detailing of the pile foundation system. Such
the full length of the element and design should accommodate bending from both
detailed in accordance with Sections
18.7.5.2, 18.7.5.3 and 18.7.5.4 of SBC those induced by the motions of the soils
304 such that the transverse confinement
reinforcement is within seven times the 14.2.6 Group effects. The analysis shall include
least element dimension of the pile cap group effects on lateral behavior where the center-

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to-center spacing of deep foundation elements in based on the strength design method.
the direction of lateral force is less than eight times However, there is also a long tradition of using
the least horizontal dimension of an element. The simple allowable stress design approaches for
analysis shall include group effects on axial the proportioning of deep foundation elements
(for both soil-foundation behavior and structural
behavior where the center-to-center spacing of
design). This section recognizes allowable
deep foundation elements is less than three times stress design for elements that are
the least horizontal dimension of an element. concentrically loaded and laterally supported.
Group effects shall be evaluated using a generally
accepted method of analysis; the analysis for uplift 14.3.2.2 Composite elements. Where a single
of grouped elements with center-to-center spacing deep foundation element comprises two or more
less than three times the least horizontal dimension sections of different materials or different types
of an element shall be evaluated in accordance with spliced together, each section of the composite
Section 14.3.4.1.6 . assembly shall satisfy the applicable requirements
of this code, and the maximum allowable load in
This section also prescribes conditions under each section shall be limited by the structural
which group effects on the nominal pile
capacity of that section.
strength, lateral as well as vertical, need to be
considered in the analysis. In addition, it Composite elements are made of two or more
clarifies the conditions under which group sections of different materials or different types
effects for uplift must be considered. that are spliced together to form a single deep
foundation element. These elements are
14.3 Design and detailing typically used when significant lengths are
14.3.1 Deep foundations shall be designed and needed. Due to economic considerations and
detailed in accordance with Sections 14.3.2 through problems with splicing, composite elements are
now used less frequently. An illustration of
14.3.14 .
typical composite elements is shown in
This section provides requirements and Commentary Figure 14-1.
guidance for the design and detailing of deep
This section gives the general requirement that
foundation elements. This includes material-
each section of a composite element must
specific criteria, allowable loads, dimensions,
comply with the applicable provisions for that
splices, pile caps, grade beams and seismic
element type as well as the material comprising
ties.
that s
14.3.2 Design conditions. Design of deep load capacity must be based on the most
foundations shall include the design conditions restrictive permitted value for all of the sections.
specified in Sections 14.3.2.1 through 14.3.2.6 , as 14.3.2.3 Mislocation. The foundation or
applicable. superstructure shall be designed to resist the effects
This section covers design methods for of the mislocation of any deep foundation element
concrete elements, guidance for composite by no less than 75 mm. To resist the effects of
elements, effects of mislocation, driven piles, mislocation, compressive overload of deep
helical piles and casings. foundation elements to 110 percent of the
14.3.2.1 Design methods for concrete elements. allowable design load shall be permitted.
Where concrete deep foundations are laterally Because of subsurface obstructions or other
supported in accordance with Section 14.2.2 for the reasons, it is sometimes necessary to offset
entire height and applied forces cause bending deep foundation elements a small distance
moments no greater than those resulting from from their intended locations or they may be
accidental eccentricities, structural design of the driven out of position. In such cases, the load
element using the load combinations of Section distribution in a group of elements may be
changed from the design requirements and
1605.3 of SBC 201 and the allowable stresses cause some of the elements to be overloaded.
specified in this chapter shall be permitted. This section requires that the maximum
Otherwise, the structural design of concrete deep compressive load on any deep foundation
foundation elements shall use the load combinations element caused by mislocation should not
of Section 1605.2 of SBC 201 and approved strength exceed 110 percent of the allowable design
design methods. load. Elements exceeding this limitation must
be extracted and installed in the proper location
This provision states what is typical in current
or other approved remedies must be applied,
practice for foundation design. For decades,
structural concrete design has primarily been

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 CHAPTER 14 DEEP FOUNDATIONS

such as installing additional elements to This section specifies minimum requirements

balance the group. for concrete, prestressing steel, structural steel
timber, etc., for use in deep foundations.
14.3.2.4 Driven piles. Driven piles shall be
designed and manufactured in accordance with 14.3.3.1 Concrete. Where concrete is cast in a
accepted engineering practice to resist all stresses steel pipe or where an enlarged base is formed by
induced by handling, driving and service loads. compacting concrete, the maximum size for
coarse aggregate shall be 19 mm. Concrete to be
Precast elements must be properly designed to
resist the stresses induced both by handling
compacted shall have a zero slump.
and driving operations, and later imposed by This section limits the aggregate size in cased
service loads. Care must be given during elements and enlarged base elements (see
handling and installation to minimize or avoid Section 14.4.8). Concrete materials generally
possible damage to these elements, such as are to comply with the applicable requirements
cracking, crushing or spalling. of Chapter 19 of SBC 201. Coarse aggregate
materials used in the concrete mix are not to
14.3.2.5 Helical piles. Helical piles shall be
exceed 19 mm in size. Concrete that will be
designed and manufactured in accordance with compacted must have a zero slump in order to
accepted engineering practice to resist all stresses provide a stiff mix capable of being compacted
induced by installation into the ground and service by a heavy drop weight.
loads.
14.3.3.1.1 Concrete or grout strength and mix
This section gives only general guidance to proportioning. Concrete or grout in foundations
design in accordance with accepted shall have a specified compressive strength ( ) not
engineering practice. Helical pile systems
less than the largest applicable value indicated in
having ICC Evaluation Service reports can be
viewed at www.icc-es.org (also see ICC Table 14-1.
Evaluation Service Acceptance Criteria 358). 14.3.3.1.1.1 Where concrete is placed through a
14.3.2.6 Casings. Temporary and permanent funnel hopper at the top of a deep foundation
casings shall be of steel and shall be sufficiently element, the concrete mix shall be designed and
strong to resist collapse and sufficiently water tight proportioned so as to produce a cohesive workable
to exclude any foreign materials during the placing mix having a slump of not less than 100 mm and not
of concrete. Where a permanent casing is more than 200 mm. Where concrete or grout is to
considered reinforcing steel, the steel shall be be pumped, the mix design including slump shall be
protected under the conditions specified in Section adjusted to produce a pumpable mixture.
14.3.3.5. Horizontal joints in the casing shall be 14.3.3.1.2 Seismic hooks. For structures assigned
spliced in accordance with Section 14.3.7 . to Seismic Design Category C or D the ends of
Because a casing is exposed to earth and water hoops, spirals and ties used in concrete deep
pressures, this section requires that casings are foundation elements shall be terminated with
of adequate strength to resist serious damage seismic hooks, as defined in SBC 304, and shall be
or collapse and to maintain sufficient water turned into the confined concrete core.
tightness so as to prevent any foreign materials
from entering during concrete placement (see Moderate or high seismic risk, transverse
Commentary Figure 14-2 for an illustration of reinforcement confines the concrete core of
steel casings). Steel pipe casings driven with a deep foundation elements and provides lateral
mandrel can be torn or otherwise damaged supports for longitudinal bars. The requirement
because of underground obstructions, such as to terminate hoops, spirals and ties with seismic
rock crevices. If this happens, the water hooks parallels requirements in Chapter 18 of
tightness and structural integrity of the deep SBC 304.
foundation element may be affected. 14.3.3.1.3 SBC 304 Equation (25.7.3.3). Where
Sometimes the buildup of ground pressures this chapter requires detailing of concrete deep
during driving may cause pile casings to foundation elements in accordance with Section
squeeze or even collapse after the mandrel has
been withdrawn.
18.7.5.4 of SBC 304, compliance with Equation
(25.7.3.3) of SBC 304 shall not be required.
14.3.3 Materials. The materials used in deep
In deep foundation elements, the axial
foundation elements shall satisfy the requirements compression is limited by the capacity of the
of Sections 14.3.3.1 through 14.3.3.8 , as applicable. soil-foundation interface. This is also reflected
by the allowable stresses for these elements,

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 CHAPTER 14 DEEP FOUNDATIONS

which are limited to a smaller percentage of the so as not to be rendered ineffective by installation.
concrete compressive strength. The purpose of The effectiveness of such protective measures for
SBC 304 Equation (25.7.3.3) is to provide the particular purpose shall have been thoroughly
significant residual compressive strength for established by satisfactory service records or other
concentrically loaded spiral columns subjected
evidence.
to very large axial compression. The amount of
spiral reinforcement required by Equation Deep foundation elements are often exposed to
(25.7.3.3) is intended to provide additional load- the deteriorating effects of biological, chemical
carrying strength for concentrically loaded and physical actions caused by a hostile
columns equal to or slightly greater than the underground environment that may exist at the
strength lost when the shell spalls off. The time of their installation or later develop at the
concrete cover required for uncased deep site. Under such conditions, deep foundation
foundation elements is much greater than that element materials must be properly protected to
for columns. As a result, application of Equation ensure their expected durability.
(25.7.3.3) to deep foundation elements results
The problems associated with element
in amounts of transverse reinforcement that are
durability relate directly to the type of pile
unwarranted and often unplaceable. The
materials used. For example, concrete
primary concern in providing transverse
elements that are entirely embedded in
confinement reinforcement for deep
undisturbed soil are deemed to be permanent
foundations is flexural ductility. Because proper
installations. The level of the ground-water
design for deep foundation elements differs
table is generally not a factor affecting the
from that for columns in several respects, this
durability of concrete elements. Ground water
provision relaxes an overly restrictive code
that contains deleterious substances and
requirement.
readily flows through disturbed or granular
14.3.3.2 Prestressing steel. Prestressing steel shall soils, such as sand and gravel (regardless of
conform to ASTM A 416. the level of the water table), can have a
deteriorating effect on concrete piles. Concrete
Rods, strands or wires conforming to the elements embedded in fine-grained,
requirements of ASTM A416 are used as impervious soils, such as clay, generally are not
prestressing steel in the manufacture of adversely affected by ground water containing
precast, prestressed concrete elements of both harmful substances. Concrete can also be
the pretensioned and the post-tensioned type. affected by exposure to soils having a high
The most commonly used prestressing steel is sulfate content, unless Type II or V portland
the seven wire, uncoated, stress-relieved cement is used in making the concrete mixture.
strand.
Concrete piles installed in saltwater, such as for
14.3.3.3 Steel. Structural steel H-piles and buildings or other structures in waterfront
structural steel sheet piling shall conform to the construction, are subject to chemical action
material requirements in ASTM A 6. Steel pipe from polluted waters, spalling and rusting of
piles shall conform to the material requirements in steel reinforcement. Spalling action may
ASTM A 252. Fully welded steel piles shall be become particularly critical under tidal
fabricated from plates that conform to the material conditions where alternate wetting and drying of
requirements in ASTM A 36, ASTM A 283, ASTM the concrete occurs. Generally, concrete can
be protected from damage by such adverse
A 572, ASTM A 588 or ASTM A 690.
conditions with the use of special cements,
The materials used in the manufacture of dense concrete mixtures rich in cement
various types of steel piles must comply with content, adequate concrete cover over the
the requirements of the listed ASTM standards. reinforcement, air entrainment, suitable
concrete admixtures or special surface
14.3.3.4 Timber. coatings.
(Empty) Elements made of steel materials and
14.3.3.5 Protection of materials. Where boring embedded entirely in undisturbed soil
(regardless of its type) are not significantly
records or site conditions indicate possible
affected by corrosion due to oxidation, mainly
deleterious action on the materials used in deep because undisturbed soil is so deficient in
foundation elements because of soil constituents, oxygen that progressive corrosion is repressed.
changing water levels or other factors, the elements However, steel may be subject to serious
shall be adequately protected by materials, methods corrosion and structural deterioration where
or processes approved by the building official. ground water contains deleterious substances
Protective materials shall be applied to the elements from coal piles, alkali soils, active cinder fills,

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 CHAPTER 14 DEEP FOUNDATIONS

chemical waste from manufacturing operations, (5) The ratio of steel yield strength ( ) to
etc. Under such conditions, steel piles may be specified compressive strength ( ) shall
protected by encasement in concrete or by
not be less than six.
applying protective coatings, such as coal-tar or
other suitable materials. Steel piles installed in (6) The nominal diameter of the element
saltwater or exposed to a saltwater shall not be greater than 400 mm.
environment can corrode severely and should
be protected by encasement in concrete or by For cased cast-in-place concrete elements
the application of approved coatings. Elements formed by driving permanent steel casings, the
that extend above ground level and are allowable design compressive stress in Table
exposed to air should be painted in the same 14-2 is generally not to exceed 0.33 . When
way as any type of structural steel construction the permanent casing complies with the
to prevent rusting. Corrosion of load-bearing requirements of this section, the allowable
steel can also occur because of electrolytic concrete compressive stress may be increased
action, and in such cases, cathodic protection to 0.40 . The basis for this increase in
may be required. allowable concrete stress is the added strength
Generally, at any site where piles are to be given to the concrete by the confining action of
installed and where the soil is suspect or there the steel casing. The general formula for
is sufficient evidence of an adverse increased allowable stress caused by
underground environment, a soils investigation confinement is:
should be conducted to determine the need and
method to protect the piles against possible
deterioration.
14.3.3.6 Allowable stresses. The allowable stress
for materials used in deep foundation elements shall = Allowable concrete stress.
not exceed those specified in Table 14-2. = Specified concrete strength.
This section refers the code user to the table of t = Thickness of steel shell.
allowable stresses in order to identify the
correct values that apply to various types of
deep foundations. Note that Section 14.1.5 = Yield strength of steel.
D = Diameter of steel shell.
allowable stresses for materials that are
specified herein. This formula is from the Portland Cement
Report on Allowable
14.3.3.7 Increased allowable compressive stress
Stresses in Concrete Piles.
for cased cast-in-place elements. The allowable
compressive stress in the concrete shall be When values for the various terms required by
permitted to be increased as specified in Table 14-2 Items 3 through 6 are inserted in the given
for those portions of permanently cased cast-in- formula, the resulting allowable stress is 0.40
. Higher allowable stresses would result if,
place elements that satisfy all of the following
conditions: for example, the shell thickness was increased
or the shell diameter was decreased. This
(1) The design shall not use the casing to increased allowable stress caused by
resist any portion of the axial load confinement applies only to nonaxial load-
imposed. bearing steel where the stress in the steel is
taken in hoop tension instead of axial
(2) The casing shall have a sealed tip and be compression.
mandrel driven.
Steel pile shells are to be No. 14 gage (U.S.
(3) The thickness of the casing shall not be standard) or thicker, but are not to be
less than manufacturer's standard gage considered in the design of the pile to carry a
No. 14 (1.75 mm). portion of the pile load. The equivalent
thickness for No. 14 gage material is
(4) The casing shall be seamless or provided approximately 1.7 mm.
with seams of strength equal to the basic
material and be of a configuration that The shell for this type of pile must be seamless
or have spirally welded seams and be of the
will provide confinement to the cast-in-
strength and configuration required to provide
place concrete. structural confinement of the concrete fill.

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 CHAPTER 14 DEEP FOUNDATIONS

permits the use of increased allowable example, allowable design stresses for deep
compressive stresses. Simply stated, the pile foundation elements made of steel are stated
casing restrains the concrete in directions as a percentage of the yield strengths of the
perpendicular to the applied stresses. several grades of steel typically used for pile
construction. For concrete, the allowable
Item 5 requires that the ratio of the yield
design stress is prescribed as a percentage of
strength ( ) of the steel used in pile casings to
the specified compression strength. The
the design compressive strength of concrete allowable design stresses permitted for timber
( ) is not to be less than six. The yield strength elements are based on the natural strengths of
of the steel used for pile casings of the type the different species of wood used for deep
specified in this section is normally 200 MPa or foundations. The values have been developed
greater. For example, in selecting a casing with and tabulated by AWC and include reductions
a yield strength ( ) of 200 MPa and a concrete in element strengths because of preservative
compressive strength of 21 MPa, the resulting treatment.
ratio ( ) would be 9.5, which is greater than
the minimum required ratio of six. Therefore, The allowable design stresses stipulated in the
the strengths of the pile materials are code for the different types of elements provide
acceptable. For comparison, use the same an adequate factor of safety against the
steel casing and a specified concrete dynamic forces of pile driving that may cause
compressive strength ( ) of 33 MPa. The damage to the elements and prevent
resulting ratio would be 6. It can readily be seen overstresses because of loading and subsoil
that for concrete strengths greater than 33 conditions.
MPa, the type of steel used for the casing 14.3.3.8.1 The design and installation of the deep
material would need to yield strengths greater foundation elements shall be under the direct
than 200 MPa. For example, in order to meet supervision of a registered design professional
the minimum ratio of six as required by this
knowledgeable in the field of soil mechanics and
section, if the concrete compressive strength
( ) was specified at 41 MPa, the material to be deep foundations who shall submit a report to the
used for the casing would require a steel yield building official stating that the elements as
strength of at least 248 MPa conforming to installed satisfy the design criteria.
ASTM A36. This section allows the use of higher allowable
Item 6 limits the nominal diameter of the stresses when evidence supporting the values
element to 400 mm in order to qualify for an is submitted and approved by the building
increase in the allowable design compressive official. The data submitted to the building
stress. official should include analytical evaluations
and findings from a foundation investigation as
Item 1 is consistent with current practice as well specified in Section 2.2.3.5, and the results of
as the requirements of ACI 543R. Item 2 load tests performed in accordance with the
requires a sealed tip that produces a requirements of Section 14.3.4.1.2. The
displacement pile with increased capacity. technical data and the recommendation for the
14.3.3.8 Justification of higher allowable use of higher stress values must come from a
stresses. Use of allowable stresses greater than registered engineer who is knowledgeable in
soil mechanics and experienced in the design
those specified in Section 14.3.3.6 shall be
of pile foundations. This engineer is to
permitted where supporting data justifying such supervise the deep foundation design work and
higher stresses is filed with the building official. witness the installation of the deep foundation
Such substantiating data shall include the so as to certify to the building official that the
following: construction satisfies the design criteria. In any
case, the use of greater design stresses is not
(1) A geotechnical investigation in to result in permitting design loads that are
accordance with CHAPTER 2 . larger than one-half of the test loads (see
(2) Load tests in accordance with Section Section 14.3.4.1.2).
14.3.4.1.2 , regardless of the load 14.3.4 Determination of allowable loads. The
supported by the element. allowable axial and lateral loads on deep
In other parts of this code, limitations are foundation elements shall be determined by an
specified for the stress values used for design approved formula, load tests or method of analysis.
purposes. These allowable stresses are stated
as a percentage of some limiting strength

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 CHAPTER 14 DEEP FOUNDATIONS

There are two general considerations for grained materials, such as sand and gravel,
determining capacity as required for the design than for soils consisting of silt, clay or fine,
and installation of deep foundations. The first dense sand.
consideration involves the determination of the
The use of pile-driving formulas to determine
underlying soil or rock characteristics. The
pile capacities should generally be avoided,
second is the application of approved driving
except on small jobs where the piles are to be
formulas, load tests or accepted methods of
driven in well- drained granular soils, and the
analysis to determine the element capacities
cost of load testing cannot be justified.
required to resist the axial and lateral loads they
will be subjected to, as well as to provide the 14.3.4.1.2 Load tests. Where design compressive
basis for the proper selection of driving loads are greater than those determined using the
equipment. allowable stresses specified in Section 14.3.3.6 ,
14.3.4.1 Allowable axial load. The allowable where the design load for any deep foundation
axial load on a deep foundation element shall be element is in doubt, or where cast-in-place deep
determined in accordance with Sections 14.3.4.1 foundation elements have an enlarged base formed
through 14.3.4.1.9 . either by compacting concrete or by driving a
precast base, control test elements shall be tested in
This section states the criteria for determining
accordance with ASTM D 1143 or ASTM D 4945.
the capacity of deep foundation elements.
At least one element shall be load tested in each
14.3.4.1.1 Driving criteria. The allowable area of uniform subsoil conditions. Where required
compressive load on any driven deep foundation by the building official, additional elements shall
element where determined by the application of an be load tested where necessary to establish the safe
approved driving formula shall not exceed 360 kN. design capacity. The resulting allowable loads shall
For allowable loads above 360 kN, the wave not be more than one-half of the ultimate axial load
equation method of analysis shall be used to capacity of the test element as assessed by one of
estimate driveability for both driving stresses and the published methods listed in Section 14.3.4.1.3
net displacement per blow at the ultimate load. with consideration for the test type, duration and
Allowable loads shall be verified by load tests in subsoil. The ultimate axial load capacity shall be
accordance with Section 14.3.4.1.2 . The formula or determined by a registered design professional with
wave equation load shall be determined for gravity- consideration given to tolerable total and
drop or power-actuated hammers and the hammer differential settlements at design load in accordance
energy used shall be the maximum consistent with with Section 14.2.4 . In subsequent installation of
the size, strength and weight of the driven elements. the balance of deep foundation elements, all
The use of a follower is permitted only with the elements shall be deemed to have a supporting
approval of the building official. The introduction capacity equal to that of the control element where
of fresh hammer cushion or pile cushion material such elements are of the same type, size and
just prior to final penetration is not permitted. relative length as the test element; are installed
It has been accepted practice for many using the same or comparable methods and
decades to predict the load capacity of an equipment as the test element; are installed in
element by its resistance to driving as similar subsoil conditions as the test element; and,
determined by a pile-driving formula. The for driven elements, where the rate of penetration
simple premise upon which a pile-driving (e.g., net displacement per blow) of such elements is
formula is founded is that as the resistance of a equal to or less than that of the test element driven
with the same hammer through a comparable
support loads also increases. While several pile driving distance.
formulas have been developed over the years,
none have been completely dependable. The most reliable method for determining pile
capacity is by a load test. A load test should be
The Engineering News formula is the simplest conducted wherever feasible and used where
and probably the most widely used. This the pile capacity is intended to exceed 356 kN
calculation method, as well as other formulas in per pile (see Section 14.3.4.1.1). Test piles are
common use today, have generally shown poor to be of the same type and size intended for use
correlations with load test results. However, the in the permanent foundation and installed with
comparative differences between pile the same equipment, by the same procedure
capacities as determined by driving formulas and in the same soils intended or specified for
and the results of load tests are much smaller the work. Load tests are to be conducted in
for soils consisting of free- draining, coarse- accordance with the requirements of ASTM

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D1143 or D4945, which covers procedures for efficiencies. Production piles should also be
testing vertical or batter foundation piles, installed in soils similar to those for the test pile.
individually or in groups, to determine the
ultimate pile load (pile capacity) and whether 14.3.4.1.3 Load test evaluation methods. It shall
the pile or pile group is capable of supporting be permitted to evaluate load tests of deep
the load(s) without excessive or continuous foundation elements using any of the following
settlement. Recognition, however, must be methods:
given to the fact that load-settlement
characteristics and pile capacity determinations
(1) Davisson Offset Limit.
are based on data derived at the time and under (2) Brinch-Hansen 90-percent Criterion.
conditions of the test. The long-term
performance of a pile or group of piles (3) Butler-Hoy Criterion.
supporting actual loads may produce behaviors (4) Other methods approved by the building
that are different than those indicated by load
official.
test results. Judgement based on experience
must be used to predict pile capacity and This section lists generally accepted methods
expected behavior. that can be used to determine the ultimate axial
load capacity of test elements. Since no single
The load-bearing capacity of all piles, except
method applies to all situations that are
those seated on rock, does not reach the
encountered, this list provides the necessary
ultimate load until after a period of rest. The
latitude to select a method of load test
results of load tests cannot be deemed
evaluation that is appropriate for the type of
accurate or reliable unless there is an
element being tested, the test procedure and
allowance for a period of adjustment. For piles
the subsurface conditions. The Davisson Offset
driven in permeable soils, such as coarse-
Limit is perhaps the most widely used method
grained sand and gravel, the waiting period
of test load evaluation. It has proven to provide
may be as little as two or three days. For test
capacities that are conservative, yet
piles driven in silt, clay or fine sand, the waiting
reasonable. The Brinch-Hansen 90-percent
period may be 30 days or longer. The waiting
Criterion and Butler-Hoy Criterion are
period may be determined by testing (i.e., by
considered a little less conservative than
redriving piles) or from previous experience.
Davisson, but are viable methods of evaluating
This section requires that at least one pile be test elements.
tested in each area of uniform subsoil
conditions. The statement should not be 14.3.4.1.4 Allowable frictional resistance. The
misconstrued to mean that the tested area is to assumed frictional resistance developed by any
have only one uniform stratum of subsurface uncased cast-in-place deep foundation element
material, but rather that the soil profile, which shall not exceed one-sixth of the bearing value of
may consist of several layers (strata) of the soil material at minimum depth as set forth in
different materials, must represent a Table 4-1 , up to a maximum of 24 kPa, unless a
substantially unchanging cross section in each greater value is allowed by the building official on
area to be tested. the basis of a geotechnical investigation as
The allowable pile load to be used for design specified in CHAPTER 2 or a greater value is
purposes is not to be more than one-half of the substantiated by a load test in accordance with
Section 14.3.4.1.2 . Frictional resistance and bearing
determined in Section 14.3.4.1.3. In resistance shall not be assumed to act
establishing the pile capacity, the registered simultaneously unless determined by a
design professional must consider the tolerable geotechnical investigation in accordance with
settlement that can be structure dependent
Section CHAPTER 2 .
(see Section 14.2.4).
Under certain circumstances, such as when a
The rate of penetration of production piles must
deep foundation element extends through
be equal to or less than that of the test pile(s).
cohesive soils, like clays, to a bearing stratum
All production piles should be of the same type,
of compact sand and gravels, skin friction and
size and approximate length as the prototype
end bearing act together to support the pile.
test pile, as well as installed with comparable
However, the nature of load sharing between
equipment and methods. Driven pile capacities
the two and whether both act simultaneously
are only valid when the same hammer is used,
can be determined only by a soils investigation.
because different hammers of the same model,
Thus, the code requires that, in order to allow
though comparable, can actually have different
the design to be based on both skin friction and
end bearing acting simultaneously, the

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 CHAPTER 14 DEEP FOUNDATIONS

assumption must be justified by a geotechnical consideration in the design of the element itself
investigation. to take the tensile stresses imposed by uplift
conditions. For example, a cast-in-place or
14.3.4.1.5 Uplift capacity of a single deep precast concrete element must be designed so
foundation element. Where required by the that the tensile reinforcement will extend the full
design, the uplift capacity of a single deep length of the element. Special consideration
foundation element shall be determined by an should also be given to the design of splices
approved method of analysis based on a minimum that must resist tension.
factor of safety of three or by load tests conducted The exception reduces the required factor of
in accordance with ASTM D 3689. The maximum safety for uplift due to wind or seismic loading.
allowable uplift load shall not exceed the ultimate This is analogous to the long-standing practice
load capacity as determined in Section 14.3.4.1.2, of allowing stress increases for earthquake and
using the results of load tests conducted in wind loads.
accordance with ASTM D 3689, divided by a factor
14.3.4.1.6 Uplift capacity of grouped deep
of safety of two.
foundation elements. For grouped deep
Exception: Where uplift is due to wind or seismic foundation elements subjected to uplift, the
loading, the minimum factor of safety shall be two allowable working uplift load for the group shall be
where capacity is determined by an analysis and one calculated by a generally accepted method of
and one-half where capacity is determined by load analysis. Where the deep foundation elements in the
tests. group are placed at a center-to-center spacing less
Deep foundation elements subjected to uplift
than three times the least horizontal dimension of
forces act in tension and are actually friction the largest single element, the allowable working
piles. The amount of tension that can be uplift load for the group is permitted to be
sustained by an element depends on the calculated as the lesser of:
strength of the element material and the
(1) The proposed individual allowable
frictional or cohesive properties of the soil.
Tensile resistance is not necessarily correlated working uplift load times the number of
with the bearing capacity of a deep foundation elements in the group.
element under compressive load. For example, (2) Two-thirds of the effective weight of the
the tensile resistance of a friction pile in clay will group and the soil contained within a
usually be about the same value as its bearing
block defined by the perimeter of the
capacity because the skin friction developed in
cohesive soils is very large. In comparison, a group and the length of the element, plus
friction pile installed in granular materials two-thirds of the ultimate shear
(noncohesive), such as sand, will develop a resistance along the soil block.
tensile resistance that is considerably less than The general requirement for grouped deep
its bearing capacity. foundation elements is to determine the
Analytical methods can be used to determine allowable uplift load by an approved method of
the ultimate uplift resistance of a deep analysis. However, if the spacing criteria for the
foundation element, provided that the deep foundation elements is satisfied, the code
properties of the soil are well known. When the provides two options for determining the
ultimate uplift resistance is established by capacity of grouped deep foundation elements.
analysis, a safety factor of three must be The lesser of the two can be used as the
applied to determine the allowable uplift load of allowable uplift. The first limitation is the single-
the element. element capacity as determined in the previous
section multiplied by the number of elements in
The response of a vertical or battered element the group. The second is limited by the weight
to an axially applied uplift force is best of the group plus the weight of the soil within the
determined by an extraction test performed in
accordance with the requirements of ASTM resistance that will be developed during an
D3689 and the provisions of this section. uplift loading event.
Deep foundation elements must be well 14.3.4.1.7 Load-bearing capacity. Deep
anchored into the pile cap by adequate
foundation elements shall develop ultimate load
connection devices in order to be effective in
resisting uplift forces. In turn, the pile cap must capacities of at least twice the design working loads
also be designed to resist uplift stresses. in the designated load-bearing layers. Analysis shall
Sometimes, it is necessary to give special show that no soil layer underlying the designated

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load-bearing layers causes the load-bearing (1) Sum of the areas of the helical bearing
capacity safety factor to be less than two. plates times the ultimate bearing capacity
The bearing capacity of a deep foundation
of the soil or rock comprising the bearing
element, whether it is a single acting element or stratum.
part of a group, is determined as a deep (2) Ultimate capacity determined from well-
foundation soil system. In this respect, element documented correlations with
bearing capacity is a function of either the
installation torque.
strength properties of the deep foundation
element or the supporting strength of the soil. (3) Ultimate capacity determined from load
Obviously, the bearing capacity is controlled by tests.
the smaller value obtained in the two
considerations. (4) Ultimate axial capacity of pile shaft.
In most cases, the supporting strength of the (5) Ultimate axial capacity of pile shaft
soil governs the bearing capacity of a deep couplings.
foundation element. This section requires that
the bearing capacity of an individual element or (6) Sum of the ultimate axial capacity of
group of elements must not be more than one- helical bearing plates affixed to pile.
half of the ultimate load capacities of the The allowable load on a helical pile is limited to
elements as a function of the bearing capacity one-half of the ultimate load. The ultimate load
of the soil. is taken as the least of the six criteria that are
Sometimes, soils investigations show that listed. Helical pile systems having ICC
weaker layers of soil underlie the intended Evaluation Service reports can be viewed at
bearing strata. To avoid damaging settlements, www.icc-es.org (also see ICC Evaluation
the weaker soils must have a safety factor of 2 Service Acceptance Criteria 358).
or more as determined by analytical methods. 14.3.4.2 Allowable lateral load. Where required
Where the safety factor is less than 2, elements
by the design, the lateral load capacity of a single
must either be driven to deeper bearing soils to
obtain adequate and safe support or the design
deep foundation element or a group thereof shall be
capacity of the elements must be reduced, thus determined by an approved method of analysis or
increasing the total number of elements in the by lateral load tests to at least twice the proposed
foundation system. design working load. The resulting allowable load
shall not be more than one-half of the load that
14.3.4.1.8 Bent deep foundation elements. The produces a gross lateral movement of 25 mm at the
load-bearing capacity of deep foundation elements lower of the top of foundation element and the
discovered to have a sharp or sweeping bend shall ground surface, unless it can be shown that the
be determined by an approved method of analysis predicted lateral movement shall cause neither
or by load testing a representative element. harmful distortion of, nor instability in, the
This section requires that deep foundation structure, nor cause any element to be loaded
elements discovered to have sharp or sweeping beyond its capacity.
bends, usually occurring because of
obstructions encountered during driving Because of wind loads, unbalanced building
operations, must be analyzed by an approved loads, earth pressures and the like, it is
method or load tested by a representative inevitable that piers, individual elements or
element to determine their load-carrying groups of elements supporting buildings or
capacity. Where acceptable, such deep other structures will be subjected to lateral
foundation elements may be used at a reduced forces. The distribution of these lateral forces to
capacity. Otherwise, they should be abandoned deep foundation elements largely depends on
and replaced. how the loads are carried down through the
structural framing system and transferred
14.3.4.1.9 Helical piles. The allowable axial through the supporting foundation to the deep
design load, , of helical piles shall be determined foundation elements. The amount of lateral load
as follows: that can be taken by the deep foundation is a
function of the type of element used; the soil
characteristics, particularly in the upper 3050
(14-1) mm of the elements; the embedment of the
element head (fixity); the magnitude of the axial
where is the least value of: compressive load on the deep foundation
element; the nature of the lateral forces and the

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amount of horizontal element movement case is the allowable deep foundation element
deemed acceptable. load to exceed one-half of the test load, which
produces a gross lateral deep foundation
The degree of fixity of the deep foundation
element movement of 25 mm as measured at
element head is an important design
the ground surface.
consideration under very high lateral loading
unless some other method, such as the use of 14.3.5 Special soil conditions. Deep foundations
batter piles, is employed to resist lateral loads. to be installed through subsiding or calcareous soils
The fixing of the deep foundation element head shall b e designed in accordance with Sections
against rotation reduces the lateral deflection. 14.3.5.1 through 14.3.5.2 , as applicable.
In general, pile butts are embedded 75 mm to
100 mm into the pile cap (see Section 14.3.12) 14.3.5.1 Subsiding soils. Where deep foundation
with no ties to the cap. These pile heads are elements are installed through subsiding fills or
neither fixed nor free, but somewhere in the other subsiding strata and derive support from
middle. Such construction is satisfactory for underlying firmer materials, consideration shall be
most loading conditions. given to the downward frictional forces that may
The magnitude of friction developed between be imposed on the elements by subsiding upper
the surfaces of two structural elements in strata.
contact with each other is a function of the
weight of loads applied. The larger the weight, Where compacted fill or other surcharge loads
the greater the frictional resistance developed. are placed over compressible soils, the
In the design of pile foundations, frictional underlying material will consolidate because of
resistance between the soil and the bottom of the added load. The depth to suitable bearing
the pile caps (footings) should not be relied on material will, over a period of time, be shifted
to provide lateral restraint, since the vertical downward by the forces of the subsiding soil.
loads are transmitted through the elements to Such forces caused by the weight of the fill are
the supporting soil below and not to the ground transmitted to the elements by skin friction and,
immediately under the pile caps. Only the in effect, serve as added loads on the elements.
weights of the pile caps can supply some The magnitude of such loads must be
frictional resistance because such footings are determined by accepted analytical methods
constructed by placing fresh concrete on the and be taken into account in the design of
soil, thus providing a positive contact. The foundations.
weights of the pile caps in comparison to the 14.3.5.1.1 Where the influence of subsiding fills is
magnitude of loads and lateral forces considered as imposing loads on the element, the
transmitted to the piles is nominal, however, allowable stresses specified in this chapter shall be
and not too significant from a structural design
standpoint. Also, in rare occurrences, soil has
permitted to be increased where satisfactory
been known to settle under pile caps, leaving substantiating data are submitted.
open spaces and thus eliminating the 14.3.5.2 Piles in calcareous soils. Where piles are
development of any frictional restraint. driven through calcareous soils and derive support
Generally, about 6 mm horizontal movement of from frictional forces developed between the pile
a deep foundation element is considered and the surrounding soil, consideration shall be
acceptable without tests. Deep foundation given to loss of frictional forces due to driving. For
elements with their upper sections embedded in bored cast in-situ piles within calcareous soils
deep strata of very soft or soft clays and silts where support is derived from both friction and tip
should not be relied on to resist lateral forces of resistance, consideration shall be given to the
more than 4.45 kN per element.
possibility of presence of voids/cavities below the
Where vertical elements are subjected to lateral tip of the bored pile.
forces exceeding acceptable limitations, the
use of batter piles may be required. Lateral 14.3.6 Dimensions of deep foundation
forces on many structures are also resisted by elements. The dimensions of deep foundation
the embedded foundation walls and the sides of elements shall be in accordance with Sections
the pile caps. 14.3.6.1 through 14.3.6.3 , as applicable.
The allowable lateral load capacity of a pier, This section groups together any dimensional
single element or group of elements is to be limitations that apply to various types of
determined either by approved analytical elements.
methods or load tests. Load tests are to be
conducted to produce lateral forces that are 14.3.6.1 Precast. The minimum lateral dimension
twice the proposed design load. However, in no of precast concrete deep foundation elements shall

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be 200 mm. Corners of square elements shall be column that could be susceptible to buckling.
chamfered. On the other hand, it has also been established
through technological advancements, research
This section prescribes the minimum dimension and experience that deep foundation elements
for precast concrete elements based on embedded in soils, even in soft materials, do
the size required to withstand the driving not behave as free-standing columns and the
operation. Chamfered corners consist of risk of buckling is extremely low.
rounding off or smoothing the corners of a Notwithstanding this kind of evidence, the code
square pile. The triangular portions of the limitations placed on dimensional requirements
corners are typically weak spots and based on diameter-to-length ratios have
chamfering them reduces the risk of concrete become accepted practices.
spalling, cracking or breakage during driving.
14.3.6.2.3 Micropiles. Micropiles shall have an
14.3.6.2 Cast-in-place or grouted-in-place. Cast- outside diameter of 300 mm or less. The minimum
in-place and grouted-in-place deep foundation diameter set forth elsewhere in Section 14.3.6
elements shall satisfy the requirements of this shall not apply to micropiles.
section.
The micropile does not have a minimum
Dimensional limitations applicable to deep required size. Only the maximum diameter is
foundation elements that are cast-in-place are specified.
dependent on whether the element is cased or
uncased. 14.3.6.3 Steel. Steel deep foundation elements
shall satisfy the requirements of this section.
14.3.6.2.1 Cased. Cast-in-place deep foundation
elements with a permanent casing shall have a These dimensional limits are established for
nominal outside diameter of not less than 200 mm. steel H- piles, pipes and tubes.

Steel-cased piles are the most widely used type 14.3.6.3.1 Structural steel H-piles. Sections of
of cast-in-place concrete deep foundation structural steel H-piles shall comply with the
element. Essentially, they consist of mandrel- requirements for HP shapes in ASTM A 6, or the
driven, light-gage steel shells or thin-walled following:
pipes that are left permanently in place,
reinforced as required by the design and filled (1) The flange projections shall not exceed
with concrete. The shell is either a constant 14 times the minimum thickness of metal
section for the full length of the element or a in either the flange or the web and the
steptapered shape. The presence of the casing flange widths shall not be less than 80
permits a higher allowable stress in the percent of the depth of the section.
concrete than for an uncased pile (see Table
14-2). (2) The nominal depth in the direction of the
web shall not be less than 200 mm.
14.3.6.2.2 Uncased. Cast-in-place deep foundation
elements without a permanent casing shall have a (3) Flanges and web shall have a minimum
diameter of not less than 300 mm. The element nominal thickness of 9.5 mm.
length shall not exceed 30 times the average Structural steel H-piles that conform to the
diameter. ASTM A6 requirements for HP shapes meet the
stated dimensional criteria in this section and
Exception: The length of the element is permitted for that reason do not need further verification.
to exceed 30 times the diameter, provided the Otherwise, the dimensional requirements for
design and installation of the deep foundations manufacturing structural steel H-piles stated in
are under the direct supervision of a registered this section must be satisfied. H-piles are
design professional knowledgeable in the field of proportioned to withstand the large impact
soil mechanics and deep foundations. The stresses imposed on piles during hard driving.
registered design professional shall submit a report The thicknesses of the flanges and the web of
to the building official stating that the elements a rolled- steel H-pile section are made equal in
were installed in compliance with the approved order to avoid damage that could occur during
hard driving if the piles were proportioned with
construction documents.
a mixture of thick and thinner parts. Flange
The dimensional relationship between the widths are proportioned in relation to the depth
diameter and length of a deep foundation of the pile section to provide rigidity in the weak
element has been utilized for many decades axis.
and is based on the premise that an element
under axial load behaves somewhat as a

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It would seem unnecessary to repeat the squared so that their flange widths are about
dimensioning requirements for H-piles in the equal to their depth.
code, since they were originally created by the
Flange and web thickness is not to be less than
steel industry and have for decades been the
9.5 mm. In H-piles, the flange thicknesses are
industry standard used in the manufacture of
equal to the web thickness.
hot-rolled steel shapes. The main purpose is to
provide the dimensional basis for the fabrication 14.3.6.3.2 Fully welded steel piles fabricated
of similar pile products made principally of from plates. Sections of fully welded steel piles
welded steel plates and other necessary steel fabricated from plates shall comply with the
parts. following:
While it is the general preference and practice
to use rolled-steel piles, occasionally it
(1) The flange projections shall not exceed
becomes necessary to fabricate special pile 14 times the minimum thickness of metal
sections because of time problems imposed by in either the flange or the web and the
mill scheduling and delivery; a special need for flange widths shall not be less than 80
heavier H-pile sections than are customarily percent of the depth of the section.
available; an immediate need for replacement
piles; or for any other reason. The dimensional
(2) The nominal depth in the direction of the
requirements contained in this section regulate web shall not be less than 200 mm.
the fabrication of such special piles and provide (3) Flanges and web shall have a minimum
the building official with a basis for approval. nominal thickness of 9.5 mm.
Fabricated pile materials are to comply with the
requirements of Section 14.3.3.3. The three dimensional limitations for H piles in
Section 14.3.6.3.1 are also applicable to fully
This section requires that the flange projection welded steel piles that are fabricated from
not exceed 14 times the minimum thickness of plates.
metal in either the flange or the web. The
measurement of the flange projection is shown 14.3.6.3.3 Structural steel sheet piling. Individual
in Commentary Figure 14-3 and can be sections of structural steel sheet piling shall
calculated by the indicated formula: conform to the profile indicated by the
manufacturer, and shall conform to the general
or
requirements specified by ASTM A 6.
where is the flange width, is the web Structural steel sheet piles must conform to
thickness, tf is the flange thickness and P is the ASTM A6 general requirements. Manufacturers
flange projection. provide the necessary profile data for such
For example, the dimensions of an elements.
pile section are as follows: 14.3.6.3.4 Steel pipes and tubes. Steel pipes and
The width of flange, = 371 mm. tubes used as deep foundation elements shall have
a nominal outside diameter of not less than 200 mm.
The thickness of the flange, = 12.8 mm. Where steel pipes or tubes are driven open ended,
The thickness of the web, = 12.8 mm. they shall have a minimum of 220 mm 2 of steel in
cross section to resist each 1350 N-m of pile
Therefore, the actual flange projection is:
hammer energy, or shall have the equivalent
strength for steels having a yield strength greater
than 240 MPa or the wave equation analysis shall
The maximum allowable flange projection is 14 be permitted to be used to assess compression
× or 14 × (whichever is smaller). Allowable stresses induced by driving to evaluate if the pile
flange projection: 14 × 12.8 = 179.2 mm, which section is appropriate for the selected hammer.
is greater than the actual flange projection of
Where a pipe or tube with wall thickness less than
179 mm; therefore, an pile is
acceptable.
4.6 mm is driven open ended, a suitable cutting shoe
shall be provided. Concrete-filled steel pipes or
This section also specifies that flange widths tubes in structures assigned to Seismic Design
are not to be less than 80 percent of the depth Category C or D shall have a wall thickness of not
of the pile section. In actuality, practically all H-
less than 4.75 mm. The pipe or tube casing for
piles are manufactured so that their flanges are
slightly greater in width (by fractions of a mm)
socketed drilled shafts shall have a nominal outside
than the depths of the sections. In fact, piles are diameter of not less than 460 mm, a wall thickness
of not less than 9.5 mm and a suitable steel driving

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shoe welded to the bottom; the diameter of the rock splice during driving and for design load
socket shall be approximately equal to the inside combinations. Where deep foundation elements
diameter of the casing. of the same type are being spliced, splices shall
develop not less than 50 percent of the bending
Exceptions:
strength of the weaker section. Where deep
(1) There is no minimum diameter for steel foundation elements of different materials or
pipes or tubes used in micropiles. different types are being spliced, splices shall
(2) For mandrel-driven pipes or tubes, the develop the full compressive strength and not less
minimum wall thickness shall be 2.5 than 50 percent of the tension and bending strength
mm. of the weaker section. Where structural steel cores
are to be spliced, the ends shall be milled or ground
Because of their uniform cross section from butt to provide full contact and shall be full-depth welded.
to tip, steel pipe elements provide unvarying
resistance to bending and lateral forces applied While it is physically and economically better to
in any direction. This section requires that drive deep foundation elements in one piece,
seamless or welded-steel pipe and tube site conditions sometimes necessitate that
elements have a nominal outside diameter of elements be driven in spliced sections. For
no less than 200 mm. The 200 mm minimum example, when the soil- or rock-bearing stratum
diameter is necessary in order to inspect the is located so deep below the ground that the
inside of the pile to observe any damage that leads on the driving equipment will not receive
may have occurred during the driving process. full-length elements, it becomes necessary to
Smaller diameter pipes could allow soil to install the elements sectionally or, where
bridge the sides and cause plugging at their possible, to take up the extra length by setting
tips. The minimum diameter also provides the tip in a preexcavated hole (see
stiffness for driving purposes. commentary, Section 14.4.5). When elements
are installed in areas such as existing buildings
A pipe to be driven open ended must be a with restricted headroom, they are also required
minimum cross-sectional area which can be to be placed in spliced sections. There are a
determined by one of two methods. The first is number of other reasons for field-splicing
a long-standing rule of thumb that relates pile elements, such as restrictions on shipping
area to the hammer energy. The second lengths, the use of composite elements, etc.
approach recognizes the more up-to-date wave
equation. The latter approach is commonly This provision requires that splices be
used to evaluate the induced driving stresses in constructed so as to provide and maintain true
piles. alignment and position of the element sections
during installation. Furthermore, splices must
Exception 1 clarifies that the minimum diameter be of sufficient strength to transmit safely the
is not applicable to micropiles. Exception 2 vertical and lateral loads on the elements, as
permits a thinner pipe thickness when it is well as to resist the bending stresses that may
mandrel-driven. occur at splice locations during the driving
14.3.6.3.5 Helical piles. Dimensions of the central operations and under long-term service loads.
Where the sections being spliced are the same
shaft and the number, size and thickness of helical
type of element, splices are to develop at least
bearing plates shall be sufficient to support the 50 percent of the bending strength of the
design loads. weaker section.
The dimensions of the helical pile component There are different methods employed in
are not explicitly limited. The code merely splicing elements based on the different
requires that the dimensions are established by materials used in pile construction. Splicing of
the required capacity. Helical pile systems precast concrete piles usually occurs at the
having ICC Evaluation Service reports can be head portions of the piles where, after the piles
viewed at www.icc-es.org (also see ICC are driven to their required depth, pile heads
Evaluation Service Acceptance Criteria 358). are cut off or spliced to the desired elevation for
14.3.7 Splices. Splices shall be constructed so as proper embedment in the concrete pile caps.
to provide and maintain true alignment and position Any portion of the pile that is cracked or
shattered by the driving operations or cutting off
of the component parts of the deep foundation
of pile heads should be removed and spliced
element during installation and subsequent thereto with fresh concrete. To cut off a precast
and shall be designed to resist the axial and shear concrete pile section, a deep groove is chiseled
forces and moments occurring at the location of the around the pile exposing the reinforcing bars,

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which are then cut off (by torch) to desired very difficult to determine its true direction,
heights or extensions. The pile section above particularly if the pile has drifted off line
the groove is snapped off (by crane) and a new because of soil pressures, subsurface
pile section is freshly cast to tie in with the obstructions, improper driving or for any other
precast pile. reason. When a pile section is connected to a
section already driven in the ground, the upper
Steel H-piles are spliced in the same manner as
section should be installed in the same direction
steel columns, normally by welding the sections
as the longitudinal axis of the lower section,
together. Welded splices may be welded-plate,
even though the direction may not be vertical. It
welded-bar, or butt-welded splices, special
is better to maintain a misdirection rather than
welded splice fittings or a combination of these.
to try to correct a situation and create a bend at
Spliced materials should be kept on the inner
the pile joint.
faces of the H- pile sections to avoid forcing a
hole in the ground larger than the pile, causing The selection of the splicing method to be used
at least a temporary loss in frictional value and for assembling a composite pile should be
lateral support that might result in excessive based on the driving and service load stresses
bending stresses. that must be resisted by the pile. Splices should
be designed to prevent separation of the pile
Steel pipe piles may be spliced by butt welding,
sections during construction and thereafter.
sometimes using straps to guide the sections
Special consideration must be given to the
and provide more strength to the welded joint.
design of splices to resist uplift forces, whether
Another method is to use inside sleeves having
the piles are subject to heaving or specifically
a driving fit, with a flange extending between
designed as tension piles. Designing the splice
the pipe sections. By applying bituminous
strong enough to develop about one and one-
cement or compound on the outside of the ring
half to two times the design uplift force is proper
before driving, a water-tight joint is obtained.
engineering practice. Pile splices must also be
The strength of a composite pile is governed designed to resist compressive, bending and
not only by the weaker section, but also by the shear stresses imposed by construction and
strength and details of the splice that joins and service loads.
holds the pile sections together.
14.3.7.1 Splices occurring in the upper 3000 mm of
Guidance is also provided for splicing sections the embedded portion of an element shall be
of different element types i.e., a composite designed to resist at allowable stresses the moment
element. There are several problems and shear that would result from an assumed
associated with the splicing of sections
eccentricity of the axial load of 75 mm, or the
comprising a composite pile. For example, if the
length of a composite pile is of such dimension
element shall be braced in accordance with Section
that it will fit in the leaders of the driving 14.2.3 to other deep foundation elements that do not
equipment, then the full length of the spliced have splices in the upper 3000 mm of embedment.
pile can be driven as a continuous operation. Splices that occur in the upper 3000 mm of
However, if the pile is too long to fit in the element embedment are to be designed to
leaders as a single unit, the pile must be resist the bending moments and shears at the
installed in sections, and the driving would have allowable stress levels of the element material,
to be interrupted in order to make the splice in based on an assumed element load eccentricity
the leaders. of 75 mm, unless the element is properly
It is most important that splicing devices be braced. Proper bracing of a spliced element is
made in such a way that their installation will be deemed to exist if stability of the element group
simple and quick. is present in accordance with Section 14.2.3,
provided that the other elements in the group
Sometimes when the predetermined length of a do not have splices in the upper 3050 mm of
composite pile is too long to fit in the leaders, their embedded length.
but not overly long, the difference in length
between the pile and the leaders may be made 14.3.7.2 Seismic Design Categories C and D.
up by inserting the lower end of the spliced unit For structures assigned to Seismic Design Category
in a preexcavated hole, thus allowing for C and D splices of deep foundation elements shall
continuous driving of the pile (see Section develop the lesser of the following:
14.4.5).
(1) The nominal strength of the deep
Another problem related to splicing occurs in foundation element.
trying to accurately align the pile sections.
When the lower section of a composite pile is
driven nearly full length into the ground, it is

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(2) The axial and shear forces and moments 14.3.9.1 Reinforcement. Longitudinal steel shall
from the seismic load effects including be arranged in a symmetrical pattern and be
overstrength factor in accordance with laterally tied with steel ties or wire spiral spaced
Section 12.4.3 or 12.14.3.2 of SBC 301. center to center as follows:
More stringent minimum strength requirements (1) At not more than 25 mm for the first five
are stated in this section and apply to structures ties or spirals at each end; then
with moderate to high seismic risk.
(2) At not more than 100 mm, for the
14.3.8 Top of element detailing at cutoffs. remainder of the first 600 mm from each
Where a minimum length for reinforcement or the end; and then
extent of closely spaced confinement reinforcement
is specified at the top of a deep foundation element, (3) At not more than 150 mm elsewhere.
provisions shall be made so that those specified For precast piles, the longitudinal steel must be
lengths or extents are maintained after cutoff. set in a symmetrical arrangement in the pile. To
resist high-impact stresses, lateral steel ties
This section accounts for the condition where
used for confining the longitudinal
an element encounters refusal at a shallower
reinforcement are to be provided at each end of
depth than intended and an unanticipated
the pile for a distance of 600 mm or more and
portion of the element is cut off. It is imperative
be closely spaced at 100 mm on center, except
that the required reinforcement be provided at
that the first five ties from each end are to be
the top of the element even when excess length
spaced at 25 mm centers. Between these two
is cut off.
closely tied ends, the longitudinal steel must be
14.3.9 Precast concrete piles. Precast concrete similarly tied at spacings not to exceed 150 mm
piles shall be designed and detailed in accordance o.c. so as to provide a reinforcing cage that will
with Sections 14.3.9.1 through 14.3.9.3 . keep the pile from buckling or cracking during
handling.
Precast concrete piles are manufactured as
nonprestressed (conventionally reinforced) or 14.3.9.1.1 The size of ties and spirals shall be as
prestressed. Both types can be formed by follows:
bedcasting, spinning (centrifugal casting),
(1) For piles having a least horizontal
vertical casting, slip forming or extrusion
methods. They are usually made in square, dimension of 400 mm or less, wire shall
octagonal or round shapes (see Commentary not be smaller than 5.6 mm (No. 5 gage).
Figure 14-4). Precast piles are manufactured (2) For piles having a least horizontal
as solid units or may be made with a hollow dimension of more than 400 mm and less
core. They can also be made with internal jet
than 500 mm, wire shall not be smaller
pipes or inspection ducts.
than 6 mm (No. 4 gage).
Precast piles are generally ordered in
predetermined lengths based on the findings (3) For piles having a least horizontal
and analysis of soil exploratory work conducted dimension of 500 mm and larger, wire
at the project site. shall not be smaller than 6.5 mm round
or 6.6 mm (No. 3 gage).
This type of element is a displacement pile that
is normally installed with pile-driving equipment. 14.3.9.2 Precast nonprestressed piles. Precast
Precast concrete piles are to be designed in non-prestressed concrete piles shall comply with
accordance with SBC 304. Nonprestressed the requirements of Sections 14.3.9.2.1 through
concrete piles are usually considered for 14.3.9.2.3 .
lengths of 12,200 to 15,250 mm, while
prestressed concrete piles are usually Precast nonprestressed (conventionally
considered for lengths of 18,300 to 30,500 mm. reinforced) concrete piles are manufactured
The general loading range for precast concrete from concrete and have reinforcement
piles is 355 to 3560 kN. consisting of a steel reinforcing cage made up
of several longitudinal bars or tie steel in the
Advantages of using precast concrete piles
form of individual hoops or spirals.
include their high load capacities and corrosion
resistance. Disadvantages include their 14.3.9.2.1 Minimum reinforcement. Longitudinal
vulnerability to damage associated with reinforcement shall consist of at least four bars
handling, high breakage rates (particularly with a minimum longitudinal reinforcement ratio of
when spliced), and the considerable 0.008.
displacement of soil.

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This section specifies the minimum amount of tend to hinge or sustain damage immediately
longitudinal reinforcement where seismic below the pile cap; therefore, tie spacing is
effects are minimal or low. See Sections reduced in this area to better confine the
14.3.9.2.2 and 14.3.9.2.3 for reinforcement concrete.
requirements for moderate and high seismic
regions. 14.3.9.3 Precast prestressed piles. Precast
prestressed concrete piles shall comply with the
14.3.9.2.2 Seismic reinforcement in Seismic requirements of Sections 14.3.9.3.1 through
Design Categories C through F. For structures 14.3.9.3.3 .
assigned to Seismic Design Category C or D,
Precast prestressed concrete piles are either of
precast nonprestressed piles shall be reinforced as
the pretensioned or post-tensioned type.
specified in this section. The minimum Pretensioned piles are normally cast in a plant
longitudinal reinforcement ratio shall be 0.01 in their full lengths, as predetermined by soils
throughout the length. Transverse reinforcement investigations and engineering analyses. The
shall consist of closed ties or spirals with a minimum reinforcement in the concrete pile consists of
9.5 mm diameter. Spacing of transverse tendons (stressing steel) that are tensioned
reinforcement shall not exceed the smaller of eight before the concrete is placed. After casting and
times the diameter of the smallest longitudinal bar or when the concrete has attained sufficient
150 mm within a distance of three times the least pile strength, the stretched tendons are released
dimension from the bottom of the pile cap. Spacing from their anchorage, thus placing the pile in
continuous compression. In comparison, post-
of transverse reinforcement shall not exceed 150 mm
tensioned piles are made in a plant or on the job
throughout the remainder of the pile. site, and the tendons are released after the
This section includes moderately ductile concrete has hardened. In addition to the
detailing requirements for precast tendons, this type of pile also contains mild
nonprestressed piles in buildings assigned to reinforcing steel to resist the handling stresses
Seismic Design Categories C and higher. The before the stressing steel is tensioned.
minimum longitudinal and transverse One of the primary advantages of prestressed
reinforcement requirements are so that piles over nonprestressed concrete piles is durability.
will be able to accommodate seismically Since the concrete is under continuous
induced ground deformations. The 1-percent compression, hairline cracks are kept tightly
minimum longitudinal reinforcement is a closed and, thus, are more durable. Another
standard requirement for reinforced concrete advantage is that the tensile stresses that can
columns. A 6-bar-diameter or 150 mm spacing develop in the concrete under certain driving
of transverse reinforcement is a fairly common conditions are less critical. Prestressed
requirement to prevent buckling of longitudinal concrete piles are best suited for friction piles in
compression reinforcement. The transverse sand, gravel and clays.
reinforcement spacing requirement of this
section for the confinement region of the The purpose for prestressing concrete piles is
element adjacent to the pile cap is somewhat to place the concrete under continuous
less stringent than that, allowing an 8-bar- compression so that any hairline cracks that
diameter or 150 mm spacing. Out- side of this may develop will be kept tightly closed and to
region, only the 150 mm spacing applies as prevent possible injury to the pile from tensile
already required by Section 14.3.9.1. stresses that may occur during installation
operations. The handling and driving of pre-
14.3.9.2.3 Additional seismic reinforcement in stressed piles do not require the same degree
Seismic Design Category D through F. For of care as needed to install conventionally
structures assigned to Seismic Design Categories reinforced concrete piles. As a general rule,
D, E or F, transverse reinforcement shall be in prestressed piles are more durable than
accordance with Section 14.3.10.4.2 . precast reinforced piles.
The confinement region of the element requires 14.3.9.3.1 Effective prestress. The effective
the more stringent and demanding detailing prestress in the pile shall not be less than 2.80 MPa
provided in the referenced sections of SBC 304, for piles up to 9200 mm in length, 3.80 MPa, for
which are the requirements for special moment piles up to 15,500 mm in length and 4.80 MPa
frames. These increased transverse for piles greater than 15,500 mm in length.
reinforcement requirements are intended to
provide a high degree of ductility in the upper For prestressed concrete piles, the effective
portion (confinement region) of the element. prestress (the stress remaining in the pile after
Experience has shown that concrete elements all losses have occurred excluding the effect

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 CHAPTER 14 DEEP FOUNDATIONS

of superimposed loads and the weight of the ductility. In the lower portion of the element, the
pile) is not to be less than the specified values required reinforcing is reduced by one-half.
for the various lengths. Experience has shown
that an effective prestress less than the 14.3.9.3.3 Seismic reinforcement in Seismic
minimum value prescribed herein is sometimes Design Category D through F. For structures
inadequate in preventing or controlling cracking assigned to Seismic Design Categories D, E or F
of the concrete during the handling and precast prestressed piles shall have transverse
installation operations. reinforcement in accordance with the following:
14.3.9.3.1.1 Effective prestress shall be based on an (1) Requirements in SBC 304, Chapter 18,
assumed loss of (210 MPa) in the prestressing steel. need not apply, unless specifically
The tensile stress in the prestressing steel shall not referenced.
exceed the values specified in SBC 304.
(2) Where the total pile length in the soil is
This section also requires the effective 11,000 mm or less, the lateral transverse
prestress to be based on an assumed loss of reinforcement in the ductile region shall
210 MPa in the prestressing steel and the occur through the length of the pile.
tensile stresses in the steel not to exceed the Where the pile length exceeds 11,000
values set forth in SBC 304.
mm, the ductile pile region shall be taken
14.3.9.3.2 Seismic reinforcement in Seismic as the greater of 11,000 mm or the
Design Category C. For structures assigned to distance from the underside of the pile
Seismic Design Category C, precast prestressed cap to the point of zero curvature plus
piles shall have transverse reinforcement in three times the least pile dimension.
accordance with this section. The volumetric ratio
(3) In the ductile region, the center-to-center
of spiral reinforcement shall not be less than 0.007
spacing of the spirals or hoop
or the amount required by the following formula for
reinforcement shall not exceed one-fifth
the upper 6000 mm of the pile.
of the least pile dimension, six times the
diameter of the longitudinal strand or 200
(14-2) mm, whichever is smallest.
(4) Circular spiral reinforcement shall be
where: spliced by lapping one full turn and
= Specified compressive strength of concrete bending the end of each spiral to a 90-
(MPa); degree hook or by use of a mechanical or
welded splice complying with Section
= Yield strength of spiral reinforcement < 590 25.5.7 of SBC 304.
MPa; and
(5) Where the transverse reinforcement
= Spiral reinforcement index (vol. of spiral/vol. consists of circular spirals, the
core). volumetric ratio of spiral transverse
reinforcement in the ductile region shall
At least one-half the volumetric ratio required by
comply with the following:
Equation (14-2) shall be provided below the upper
6000 mm of the pile.
This section gives requirements for precast
(14-3)
prestressed piles supporting structures
assigned to Seismic Design Category C. The
minimum spiral reinforcement requirement that
results in ductile prestressed concrete piles is but not less than
based on Precast/Prestressed Concrete

Design, Manufacture and Installation of

Prestressed Concrete Piling. (14-4)
These piles exhibit larger curvatures in the top
6000 mm. This section requires spiral
confinement reinforcement as determined by and need not exceed:
Equation (14-2). Based on SBC 304, this
formula is deemed to provide for moderate

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 CHAPTER 14 DEEP FOUNDATIONS

was never intended for deep foundation

(14-5) elements.
The provisions found in this section are based
where:
Manufacture and Installation of Prestressed
= Pile cross-sectional area, (mm2); Concrete Piling. The maximum volumetric ratio
set forth in Equation (14-5) is based on testing
= Core area defined by spiral outside diameter, that has shown the 0.021 maximum is sufficient
2
(mm ); for the smaller square precast prestressed
= Specified compressive strength of concrete, concrete elements to perform in a ductile
manner.
(MPa);
14.3.9.3.3.1 The hoops and cross ties shall be
= Yield strength of spiral reinforcement < 590
equivalent to deformed bars not less than 9.5 mm in
MPa; size. Rectangular hoop ends shall terminate at a
= Axial load on pile, (kN), as determined from corner with seismic hooks.
Equations 16-5 and 16-7 of SBC 201; and 14.3.9.3.3.2 Outside of the length of the pile
= Volumetric ratio (vol. of spiral/vol. core). requiring transverse confinement reinforcing, the
spiral or hoop reinforcing with a volumetric ratio
This required amount of spiral reinforcement is
not less than one-half of that required for transverse
permitted to be obtained by providing an inner and
confinement reinforcing shall be provided.
outer spiral.
14.3.10 Cast-in-place deep foundations. Cast-in-
(1) Where transverse reinforcement consists
place deep foundation elements shall be designed
of rectangular hoops and cross ties, the
and detailed in accordance with Sections 14.3.10.1
total cross-sectional area of lateral
through 14.3.10.6 .
transverse reinforcement in the ductile
region with spacing, s, and perpendicular This section sets forth the design and detailing
dimension, hc, shall conform to: requirements for cast-in-place concrete deep
foundation elements.

(14-6) 14.3.10.1 Design cracking moment. The design

cracking moment ( Mn) for a cast-in-place deep
but not less than: foundation element not enclosed by a structural
steel pipe or tube shall be determined using the
following equation:
(14-7)
(14-8)
where:
= Yield strength of transverse reinforcement < where:
480 MPa;
= Specified compressive strength of concrete or
= Cross-sectional dimension of pile core grout, (MPa); and
measured center to center of hoop reinforcement,
(mm); = Elastic section modulus, neglecting
reinforcement and casing, (mm3).
= Spacing of transverse reinforcement measured
For both uncased and cased cast-in-place deep
along length of pile, (mm);
foundation elements (but not concrete-filled
= Cross-sectional area of transverse pipes and tubes), reinforcement must be
reinforcement, (mm2); and provided where moments exceed a reasonable
lower boundary for the capacity of the plain
= Specified compressive strength of concrete, concrete section. This criterion is consistent
(MPa). with SBC 304.
This section clarifies that Chapter 18 of SBC 14.3.10.2 Required reinforcement. Where
304 does not generally apply to precast subject to uplift or where the required moment
prestressed concrete elements unless it is strength determined using the load combinations of
explicitly referenced. That SBC 304 chapter
Section 1605.2 of SBC 201 exceeds the design

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 CHAPTER 14 DEEP FOUNDATIONS

cracking moment determined in accordance with concrete pile to obtain an embedment of about
Section 14.3.10.1 , cast-in-place deep foundations 1500 mm.
not enclosed by a structural steel pipe or tube shall Exception 2 recognizes this restriction is not
be reinforced. applicable to auger-injected concrete piles.
This section lists two conditions under which Unlike drilled cast-in-place concrete piles,
reinforcing must be provided in cast-in-place caged reinforcement for auger-placed piles
elements. Note the cracking moment is cannot be installed prior to filling the pile hole
checked using the strength level load effects. with concrete because the hollow-stem auger
must be positioned in the hole at all times during
14.3.10.3 Placement of reinforcement. drilling and concreting operations. To facilitate
Reinforcement where required shall be assembled this, the cage must be pushed through the
and tied together and shall be placed in the deep concrete in fluid form after the auger has been
foundation element as a unit before the reinforced withdrawn. The problem associated with the
portion of the element is filled with concrete. placement of caged reinforcement in this way,
particularly where it involves long cages, is that
Exceptions: it cannot be determined if the assembly has
been positioned appropriately within the filled
(1) Steel dowels embedded 1550 mm or less hole such that the reinforcement will have the
shall be permitted to be placed after required minimum cover at all places.
concreting, while the concrete is still in a
semi- fluid state. Exception 3 exempts up to two stories of light-
frame construction in Group R-3 and U
(2) For deep foundation elements installed occupancies.
with a hollow-stem auger, tied 14.3.10.4 Seismic reinforcement. Where a
reinforcement shall be placed after structure is assigned to Seismic Design Category C,
elements are concreted, while the reinforcement shall be provided in accordance with
concrete is still in a semifluid state. Section 14.3.10.4.1 . Where a structure is assigned
Longitudinal reinforcement without to Seismic Design Category D, E, or F,
lateral ties shall be placed either through reinforcement shall be provided in accordance with
the hollow stem of the auger prior to Section 14.3.10.4.2 .
concreting or after concreting, while the
concrete is still in a semifluid state. Exceptions:
(3) For Group R-3 and U occupancies not (1) Isolated deep foundation elements
exceeding two stories of light-frame supporting posts of Group R-3 and U
construction, reinforcement is permitted occupancies not exceeding two stories of
to be placed after concreting, while the light-frame construction shall be
concrete is still in a semifluid state, and permitted to be reinforced as required by
the concrete cover requirement is rational analysis but with not less than
permitted to be reduced to 50 mm, one 12 mm bar, without ties or spirals,
provided the construction method can be where detailed so the element is not
demonstrated to the satisfaction of the subject to lateral loads and the soil
building official. provides adequate lateral support in
accordance with Section 14.2.2.
Main reinforcement consisting of a cage of
longitudinal deformed reinforcing bars tied (2) Isolated deep foundation elements
together with individual steel hoops or a spiral supporting posts and bracing from decks
must be placed and securely held in position in and patios appurtenant to Group R-3 and
the pile opening (cased or uncased) prior to the U occupancies not exceeding two stories
placement of concrete. Reinforcement
of light-frame construction shall be
required for resisting tensile stresses
imposed by uplift forces may consist of a single
permitted to be reinforced as required by
bar or other structural steel unit or a cluster of rational analysis but with not less than
bars placed at the center for the full length of one 12 mm bar, without ties or spirals,
the element. where the lateral load, E, to the top of the
element does not exceed 890 N and the
Exception 1 recognizes the typical procedure
for constructing cast-in-place concrete
soil provides adequate lateral support in
elements is to tie the head of the pile with the accordance with Section 14.2.2.
pile cap, inserting dowels in the freshly placed

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 CHAPTER 14 DEEP FOUNDATIONS

(3) Deep foundation elements supporting the the foundation such that bending or shear
concrete foundation wall of Group R-3 failure is precluded.
and U occupancies not exceeding two 14.3.10.4.1.1 A minimum of four longitudinal
stories of light-frame construction shall bars, with a minimum longitudinal reinforcement
be permitted to be reinforced as required ratio of 0.0025, shall be provided throughout the
by rational analysis but with not less than minimum reinforced length of the element as
two 12 mm bars, without ties or spirals, defined below starting at the top of the element.
where the design cracking moment The longitudinal reinforcement shall extend beyond
determined in accordance with Section the minimum reinforced length of the pile by the
14.3.10.1 exceeds the required moment tension development length. The minimum
strength determined using the load reinforced length of the element shall be taken as the
combinations with overstrength factor in greatest of the following:
Section 12.4.3.2 or 12.14.3.2 of SBC 301
and the soil provides adequate lateral (1) One-third of the element length.
support in accordance with Section (2) A distance of 3000 mm.
14.2.2 .
(3) Three times the least element dimension.
(4) Closed ties or spirals where required by
Section 14.3.10.4.2 shall be permitted to (4) The distance from the top of the element
be limited to the top 900 mm of deep to the point where the design cracking
foundation elements 3000 mm or less in moment determined in accordance with
depth supporting Group R-3 and U Section 14.3.10.1 exceeds the required
occupancies of Seismic Design Category moment strength determined using the
D, not exceeding two stories of light- load combinations of Section 1605.2 of
frame construction. SBC 201.
This section prescribes the necessary seismic 14.3.10.4.1.2 Transverse reinforcement shall
reinforcement for cast-in-place deep foundation consist of closed ties or spirals with a minimum 9.5
elements. Exception 1 exempts isolated deep mm diameter. Spacing of transverse reinforcement
foundation elements from the transverse shall not exceed the smaller of 150 mm or 8-
reinforcement requirements of this section. longitudinal-bar diameters, within a distance of
Exceptions 2 through 4 allow lesser three times the least element dimension from the
reinforcement than what is required by this bottom of the pile cap. Spacing of transverse
section for residential structures, given certain
reinforcement shall not exceed 16 longitudinal bar
conditions.
diameters throughout the remainder of the
14.3.10.4.1 Seismic reinforcement in Seismic reinforced length.
Design Category C. For structures assigned to
Exceptions:
Seismic Design Category C, cast-in-place deep
foundation elements shall be reinforced as specified (1) The requirements of this section shall not
in this section. Reinforcement shall be provided apply to concrete cast in structural steel
where required by analysis. pipes or tubes.
Longitudinal and transverse reinforcement (2) A spiral-welded metal casing of a
requirements prescribed by this section result in thickness not less than the manufacturer's
moderate ductility in buildings assigned to standard No. 14 gage (1.72 mm) is
Seismic Design Category C to withstand permitted to provide concrete
seismically induced ground deformations that
confinement in lieu of the closed ties or
they can encounter. Separate transverse
reinforcement is specified for the portions of the spirals. Where used as such, the metal
element within and outside of the potential casing shall be protected against possible
plastic hinge zone. deleterious action due to soil
constituents, changing water levels or
The purpose of this section is to include
other factors indicated by boring records
element bending, which is a result of ground
horizontal movement during an earthquake, in of site conditions.
the structural design. The reinforcement in the 14.3.10.4.2 Seismic reinforcement in Seismic
element, required to resist the tension caused Design Category D through F. For structures
by element bending, increases the ductility of assigned to Seismic Design Category D, E or F, cast-

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 CHAPTER 14 DEEP FOUNDATIONS

in-place deep foundation elements shall be (2) One-half the least dimension of the
reinforced as specified in this section. element; and
Reinforcement shall be provided where required by
(3) 300 mm.
analysis.
Exceptions:
This section is similar in intent to Section
14.3.9.3.2, with increased minimum (1) The requirements of this section shall not
reinforcement requirements for ductility during apply to concrete cast in structural steel
earthquake ground motion that may be pipes or tubes.
experienced by buildings assigned to Seismic
Design Category D or higher. Separate (2) A spiral-welded metal casing of a
transverse reinforcement requirements are thickness not less than manufacturer's
given for portions of an element within and standard No. 14 gage (1.72 mm) is
beyond the potential plastic hinge zone. permitted to provide concrete
The purpose of this section is to include pile confinement in lieu of the closed ties or
bending, which is a result of ground horizontal spirals. Where used as such, the metal
movement during an earthquake, in the casing shall be protected against possible
structural design. The reinforcement in the pile, deleterious action due to soil
required to resist tension caused by pile constituents, changing water levels or
bending, increases the ductility of the other factors indicated by boring records
foundation such that bending or shear failure is of site conditions.
precluded. The shear strength and confining
ability of spiral-welded metal casing eliminates 14.3.10.4.2.3 Site Classes A through D. For
the need for special pile ties, a circumstance Site Class A, B, C or D sites, transverse
recognized in Exception 2. confinement reinforcement shall be provided in the
14.3.10.4.2.1 A minimum of four longitudinal element in accordance with Sections 18.7.5.2,
bars, with a minimum longitudinal reinforcement 18.7.5.3 and 18.7.5.4 of SBC 304 within three
ratio of 0.005, shall be provided throughout the times the least element dimension of the bottom of
minimum reinforced length of the element as the pile cap. A transverse spiral reinforcement ratio
defined below starting at the top of the element. of not less than one-half of that required in Section
The minimum reinforced length of the element shall 18.7.5.4(a) of SBC 304 shall be permitted.
be taken as the greatest of the following: The specified confinement reinforcing similar to
(1) One-half of the element length. SBC 304 requirements for special moment
frames is reduced in competent soils in
(2) A distance of 3000 mm. recognition of the confinement attributed to
those soils.
(3) Three times the least element dimension.
14.3.10.4.2.4 Site Classes E and F. For Site Class
(4) The distance from the top of the element E or F sites, transverse confinement reinforcement
to the point where the design cracking shall be provided in the element in accordance with
moment determined in accordance with Sections 18.7.5.2, 18.7.5.3 and 18.7.5.4 of SBC 304
Section 14.3.10.1 exceeds the required within seven times the least element dimension of
moment strength determined using the the pile cap and within seven times the least element
load combinations of Section 1605.2 of dimension of the interfaces of strata that are hard or
SBC 201. stiff and strata that are liquefiable or are composed
14.3.10.4.2.2 Transverse reinforcement shall of soft- to medium-stiff clay.
consist of closed ties or spirals no smaller than 9.5 The specified confinement reinforcing is similar
mm bars for elements with a least dimension up to to SBC 304 requirements for special moment
500 mm, and 12 mm bars for larger elements. frames.
Throughout the remainder of the reinforced length
outside the regions with transverse confinement 14.3.10.5 Belled drilled shafts. Where drilled
reinforcement, as specified in Section 14.3.10.4.2.3 shafts are belled at the bottom, the edge thickness
or 14.3.10.4.2.4, the spacing of transverse of the bell shall not be less than that required for the
reinforcement shall not exceed the least of the edge of footings. Where the sides of the bell slope
following: at an angle less than 60 degrees (1 rad) from the
horizontal, the effects of vertical shear shall be
(1) 12 longitudinal bar diameters; considered.

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 CHAPTER 14 DEEP FOUNDATIONS

Deep foundation elements are sometimes casing, as determined by analysis.

belled out at their bottoms to increase bearing Commentary Figure 14-6 depicts a socketed
areas. Belled bottoms can be made by either drilled shaft with a full-length structural core.
hand excavation or a mechanical method
involving underreaming with a belling bucket, 14.3.10.6.1 The depth of the rock socket shall be
as is commonly used in the construction of sufficient to develop the full load-bearing capacity
drilled elements. of the element with a minimum safety factor of
two, but the depth shall not be less than the outside
The soil should be sufficiently cohesive so the
diameter of the pipe or tube casing. The design of
roof of the bell will not collapse during
excavation, cleanout operations and the the rock socket is permitted to be predicated on the
placement of fresh concrete. Where the sum of the allowable load-bearing pressure on the
character of the soil is such that attempts at bottom of the socket plus bond along the sides of
belling out the shaft at the bottom might not the socket.
produce acceptable results, it would be The principal structural feature of the socketed
preferable to continue the shaft into soil strata drilled shaft is the rock socket, which is filled
with better load- bearing values, allowing the with concrete and designed to take the full load
loads to be carried by the smaller belled of the element by end bearing and the frictional
bottoms or to such depths that would permit the resistance offered by the rough walls of the
soils to carry the loads by side friction. The socket.
building official should ascertain the suitability
of the soil for bell construction through The relationship between the depth of the
geotechnical investigations and reports and by socket and the bearing capacity of the rock
the recommendations of the design cannot be determined with any great accuracy
professional. because of the natural joints, bedding planes
and fissures generally found in rock formations.
Bells must have vertical edges at their bottoms Experience has shown, however, that the
that are equal to the thickness requirements for frictional resistance in hard rock is often
concrete footings. The purpose of this sufficient to carry the load. In the case of soft
specification is to prevent shear breaks in rock, the shear strength of the socket walls
angled edges caused by soil pressures. Bell should be determined by testing rock samples.
slopes (sides) are not to be less than 60 The purpose of the steel core is to bond with the
degrees (1 rad) from the horizontal, unless the concrete fill to act as a composite section and
effects of vertical shear are considered in the
provide additional load-bearing capacity.
design. Commentary Figure 14-5 illustrates
these requirements. 14.3.10.6.2 Where a structural steel core is used,
14.3.10.6 Socketed drilled shafts. Socketed the gross cross-sectional area of the core shall not
drilled shafts shall have a permanent pipe or tube exceed 25 percent of the gross area of the drilled
casing that extends down to bedrock and an uncased shaft.
socket drilled into the bedrock, both filled with 14.3.11 Micropiles. Micropiles shall be designed
concrete. Socketed drilled shafts shall have and detailed in accordance with Sections 14.3.11.1
reinforcement or a structural steel core for the through 14.3.11.4 .
length as indicated by an approved method of
This section provides minimum requirements
analysis. for the design and installation of micropiles.
The socketed drilled shaft is a high-load This type of pile has been a popular alternative
capacity, end-bearing type of deep foundation to more conventional pile types where
element. Essentially, it is constructed as a headroom or equipment access is otherwise
cased, cast-in-place concrete element formed limited.
by driving a thick-walled, open-ended steel pipe
14.3.11.1 Construction. Micropiles shall develop
down to suitable rock material, cleaning out the
soil materials within the pipe, drilling a socket
their load-carrying capacity by means of a bond
into the rock, inserting a structural steel core or zone in soil, bedrock or a combination of soil and
reinforcement into the pipe and then filling the bedrock. Micropiles shall be grouted and have
pipe and drilled socket with concrete. The core either a steel pipe or tube or steel reinforcement at
material used in the pipe casing is a structural every section along the length. It shall be permitted
steel shape such as a wide flange section. Steel to transition from deformed reinforcing bars to steel
rails are also used. Core material is installed to pipe or tube reinforcement by extending the bars
extend from the bottom of the rock socket up to into the pipe or tube section by at least their
the head of the pile or part of the way up the

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 CHAPTER 14 DEEP FOUNDATIONS

development length in tension in accordance with compression load is carried by the reinforcing
SBC 304. steel.
This section provides a description of micropile 14.3.11.4 Seismic reinforcement. For structures
construction. It requires incorporating, over the assigned to Seismic Design Category C, a
full length of the pile, either steel pipe casing or permanent steel casing shall be provided from the
steel reinforcement. Note the further top of the micropile down to the point of zero
requirement in Section 14.3.10.4 for a curvature. For structures assigned to Seismic
permanent steel casing in structures that are Design Category D, E or F, the micropile shall be
classified as Seismic Design Category C. Steel
considered as an alternative system in accordance
pipe casings are typically manufactured in
segments with threaded ends. with Section 104.11 of SBC 201. The alternative
system design, supporting documentation and test
This section clarifies the intent to permit the data shall be submitted to the building official for
pipe or tube casing to terminate above the bond review and approval.
zone, with deformed bar reinforcement
continuing below. It also specifies a splice In structures that are classified as Seismic
condition for that transition. Design Category A or B, there are no additional
micropile requirements. In structures that are
14.3.11.2 Materials. Reinforcement shall consist classified as Seismic Design Category C,
of deformed reinforcing bars in accordance with permanent steel pipe casing must be provided
ASTM A 615 Grade 60 or 75 or ASTM A 722 for the length of the micropile noted. In
Grade 150. structures that are classified as Seismic Design
Category D, or higher, these micropile
This section provides the minimum
provisions are not applicable; approval of
specifications for the component materials of
micropiles can only be as an alternative method
the micropile, such as reinforcing steel and
of design and construction.
steel pipe casing. It also establishes a minimum
wall thickness for the steel pipe that is virtually 14.3.12 Pile caps. Pile caps shall be of reinforced
identical to the limits for other steel pipe piles. concrete, and shall include all elements to which
14.3.11.2.1 The steel pipe or tube shall have a vertical deep foundation elements are connected,
minimum wall thickness of 4.8 mm. Splices shall including grade beams and mats. The soil
comply with Section 14.3.7. The steel pipe or tube immediately below the pile cap shall not be
shall have a minimum yield strength of 310 MPa considered as carrying any vertical load. The tops
and a minimum elongation of 15 percent as shown of vertical deep foundation elements shall be
by mill certifications or two coupon test samples per embedded not less than 75 mm into pile caps and
18200 kg of pipe and tube. the caps shall extend at least 100 mm beyond the
edges of the elements. The tops of elements shall
14.3.11.3 Reinforcement. For micropiles or be cut or chipped back to sound material before
portions thereof grouted inside a temporary or capping.
permanent casing or inside a hole drilled into
bedrock or a hole drilled with grout, the steel pipe Pile caps include all elements to which the piles
are connected and are to be of reinforced
or tube or steel reinforcement shall be designed to
concrete and designed in accordance with the
carry at least 40 percent of the design compression requirements of SBC 304. For footings (pile
load. Micropiles or portions thereof grouted in an caps) on piles, computations for moments and
open hole in soil without temporary or permanent shears may be based on the assumption that
casing and without suitable means of verifying the the load reaction from any pile is concentrated
hole diameter during grouting shall be designed to at the pile center (see SBC 304 for loads and
carry the entire compression load in the reinforcing reactions of footings on piles).
steel. Where a steel pipe or tube is used for The soil immediately under the pile cap is not
reinforcement, the portion of the grout enclosed considered to provide any support for vertical
within the pipe is permitted to be included in the loads. The heads of all piles are to be
determination of the allowable stress in the grout. embedded no less than 75 mm into pile caps
and the edges of the pile caps are to extend at
Micropiles with steel pile casing in place at the
least 100 mm beyond the closest sides of all
time grout is placed are designed with 40
piles. The degree of fixity between a pile head
percent of the compression load carried by the
and the concrete cap depends on the method
steel casing or steel reinforcing. Micropiles with
of connection required to satisfy design
grout that is placed without a casing must be
considerations.
designed so that 100 percent of the

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 CHAPTER 14 DEEP FOUNDATIONS

14.3.12.1 Seismic Design Categories C and D. cap embedment, but not less than the development
For structures assigned to Seismic Design Category length in tension of the reinforcement.
C or D concrete deep foundation elements shall be
14.3.12.2 Seismic Design Category D through F.
connected to the pile cap by embedding the
For structures assigned to Seismic Design Category
element reinforcement or field-placed dowels
D, E or F. deep foundation element resistance to
anchored in the element into the pile cap for a
uplift forces or rotational restraint shall be provided
distance equal to their development length in
by anchorage into the pile cap, designed
accordance with SBC 304. It shall be permitted to
considering the combined effect of axial forces due
connect precast prestressed piles to the pile cap by
to uplift and bending moments due to fixity to the
developing the element prestressing strands into the
pile cap. Anchorage shall develop a minimum of 25
pile cap provided the connection is ductile. For
percent of the strength of the element in tension.
deformed bars, the development length is the full
Anchorage into the pile cap shall comply with the
development length for compression, or tension in
following:
the case of uplift, without reduction for excess
reinforcement in accordance with Section 25.4.10 (1) In the case of uplift, the anchorage shall
of SBC 304. Alternative measures for laterally be capable of developing the least of the
confining concrete and maintaining toughness and following:
ductile-like behavior at the top of the element (i) The nominal tensile strength of
shall be permitted provided the design is such that the longitudinal reinforcement in
any hinging occurs in the confined region. a concrete element.
This section prescribes special detailing (ii) The nominal tensile strength of
requirements between the deep foundation a steel element.
element and pile cap, including required (iii) The frictional force developed
development of the longitudinal pile between the element and the soil
reinforcement in the cap and associated multiplied by 1.3.
transverse reinforcement. This reinforcement is
required to extend into the pile cap to tie the Exception: The anchorage is permitted to be
elements together and to assist in load transfer designed to resist the axial tension force resulting
at the top of the element to the pile cap. The from the seismic load effects including
connection must consist of embedment of the overstrength factor in accordance with Section
element reinforcement in the pile cap for a
12.4.3 or 12.14.3.2 of SBC 301.
distance equal to the development length, as
specified in SBC 304. Field-placed dowels (1) In the case of rotational restraint, the
anchored in the plastic concrete elements are anchorage shall be designed to resist the
acceptable. The development length to be axial and shear forces, and moments
provided is that for compression or, where uplift resulting from the seismic load effects
is indicated by analysis, tension without
including overstrength factor in
reduction in length for excess area. Where
seismic confinement reinforcement at the top of
accordance with Section 12.4.3 or
the pile is required, alternative measures for 12.14.3.2 of SBC 301 or the anchorage
laterally confining concrete and maintaining shall be capable of developing the full
toughness and ductile-like behavior at the top axial, bending and shear nominal
of the pile are permitted, provided the design strength of the element.
would force the hinge to occur in the confined
The requirements of this section address the
region.
need for conservatism in the design of
14.3.12.1.1 The minimum transverse steel ratio for connections between deep foundation
confinement shall not be less than one-half of that elements and pile caps. They are intended to
required for columns. allow energy dissipating mechanisms, such as
rocking, to occur in the soil without failure of the
14.3.12.1.2 For resistance to uplift forces, element.
anchorage of steel pipes, tubes or H-piles to the pile
This section requires that the pile cap flexural
cap shall be made by means other than concrete strength exceed that of the supported column
bond to the bare steel section. Concrete-filled steel flexural strength if the column is a part of the
pipes or tubes shall have reinforcement of not less lateral-force- resisting system.
than 0.01 times the cross-sectional area of the
Additional requirements are specified in this
concrete fill developed into the cap and extending
section for batter piles in order to limit
into the fill a length equal to two times the required

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earthquake damage to these systems. By their or exterior decks and patios are not subject to
nature, batter pile systems have limited ductility interconnection where the soils are of adequate
and have performed poorly under strong stiffness, subject to the approval of the building
ground motions. They are required to be official.
designed using the overstrength load
combinations, which consider the maximum The purpose of this section is to preclude
force expected to be developed in these excessive movement of one group of deep
elements during a seismic event. foundation elements with respect to another.
The section is similar to Section 5.4.2.2. One of
14.3.12.2.1 Where the vertical lateral force- the prerequisites of adequate structural
resisting elements are columns, the pile cap flexural performance during an earthquake is that the
strengths shall exceed the column flexural strength. foundation of the structure must act as a unit.
The connection between batter piles and pile caps This is typically accomplished by tying together
shall be designed to resist the nominal strength of the pile caps of deep foundation elements with
the pile acting as a short column. Batter piles and ties capable of carrying, both in tension and
their connection shall be designed to resist forces compression, a force equal to the lesser of 10
and moments that result from the application of percent of the larger pile cap or column load
multiplied by SDS, or 25 percent of the smaller
seismic load effects including overstrength factor in
pile cap or column load. This can be
accordance with Section 12.4.3 or 12.14.3.2 of accomplished through the use of equivalent
SBC 301. types of restraint, such as a concrete floor slab,
14.3.13 Grade beams. For structures assigned to where restraint can be substantiated. Reliance
upon passive soil pressure is limited to
Seismic Design Category D, E or F, grade beams
competent rock, dense granular soil or hard
shall comply with the provisions in Section 18.3.3 cohesive soil.
of SBC 304 for grade beams, except where they are
designed to resist the seismic load effects including If soils are shown to be of adequate stiffness,
overstrength factor in accordance with Section the building official may allow the use of the
exception for the following elements in Group
12.4.3 or 12.14.3.2 of SBC 301.
R-3 and U occupancies not exceeding two
This section references Chapter 18 of ACI 304 stories of light-frame construction:
for designing the grade beams. It also allows
Elements supporting foundation walls.
grade beams to be designed to have the
strength required by the overstrength load Elements supporting isolated interior posts
combinations instead of designing the grade detailed so the pier is not subject to lateral
beams as beams in accordance with Chapter loads.
18 of SBC 304. The overstrength load
Elements supporting lightly loaded exterior
combinations estimate the maximum forces
decks and patios.
that can realistically develop in the grade beam
in an earthquake situation. 14.4 Installation
14.3.14 Seismic ties. For structures assigned to 14.4.1 Deep foundations shall be installed in
Seismic Design Category C, D, E, or F, individual accordance with Section 14.4. Where a single deep
deep foundations shall be interconnected by ties. foundation element comprises two or more sections
Unless it can be demonstrated that equivalent of different materials or different types spliced
restraint is provided by reinforced concrete beams together, each section shall satisfy the applicable
within slabs on grade or reinforced concrete slabs conditions of installation.
on grade or confinement by competent rock, hard
cohesive soils or very dense granular soils, ties shall These provisions establish minimum
requirements for the installation of deep
be capable of carrying, in tension or compression,
foundation elements.
a force equal to the lesser of the product of the
larger pile cap or column design gravity load times 14.4.2 Structural integrity. Deep foundation
the seismic coefficient, SDS, divided by 10, and 25 elements shall be installed in such a manner and
percent of the smaller pile or column design sequence as to prevent distortion or damage that
gravity load. may adversely affect the structural integrity of
adjacent structures or of foundation elements being
Exception: In Group R-3 and U occupancies of installed or already in place and as to avoid
light-frame construction, deep foundation elements compacting the surrounding soil to the extent that
supporting foundation walls, isolated interior posts
detailed so the element is not subject to lateral loads

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 CHAPTER 14 DEEP FOUNDATIONS

other foundation elements cannot be installed soil pressure. Driven casings shall be mandrel
properly. driven their full length in contact with the
The placement of deep foundation elements is
surrounding soil.
often by driving, vibrating, jacking, jetting, direct This section requires a casing where a cast-in-
weight or a combination of these methods. place deep foundation element is formed
Because of the generally harsh nature of deep through unstable soil.
foundation installation operations, elements
can experience some degree of damage during 14.4.2.3 Driving near uncased concrete. Deep
placement. However, damage can be foundation elements shall not be driven within six
prevented or minimized by selecting the proper element diameters center-to-center in granular soils
type of deep foundation placement methods or within one-half the element length in cohesive
and techniques, as well as the right equipment soils of an uncased element filled with concrete less
to accomplish the work, all based on adequate than 48 hours old unless approved by the building
knowledge of the soil conditions obtained from official. If the concrete surface in any completed
a foundation investigation (see Section element rises or drops, the element shall be
2.2.3.5).
replaced. Driven uncased deep foundation elements
Piles must be placed in a manner that maintains shall not be installed in soils that could cause heave.
their structural integrity and installed to such
depths as determined by foundation Casings driven in granular soils are to be
investigation and engineering analysis to safely spaced at least six times the diameter of the
resist the design loads that are to be imposed element. Casings driven in cohesive soils are
upon them. Care must be exercised during not to be spaced less than one-half of the
deep foundation placement operations to element length when the concrete (in adjacent
provide for the safety of adjacent piles or other elements) is less than 48 hours old. This latter
structures leaving their strength and load requirement reflects the fact that deep
capacity unimpaired. Any pile damaged during foundation elements driven in cohesive
installation to the extent that its structural materials can cause significant soil
integrity is affected must be satisfactorily displacement that can induce high lateral
repaired or rejected. pressures on adjacent elements. Unless the
concrete in these adjacent elements has had
14.4.2.1 Compressive strength of precast sufficient time to set (48 hours or more) and
concrete piles. A precast concrete pile shall not be acquire some of its ultimate strength,
driven before the concrete has attained a compressive considerable damage can be caused by the
strength of at least 75 percent of the specified earth pressures. Because of the voids between
compressive strength ( ), but not less than the the particles in granular soils, the effects of soil
displacement are not as serious as for cohesive
strength sufficient to withstand handling and driving
soils, such as clay.
forces.
The 48-hour concrete elapsed time requirement
This section requires that precast reinforced stated in this section should not be confused
concrete piles must not be driven until the with the 12-hour requirement referred to in
concrete has acquired at least three-quarters of Section 14.4.9 for drilled or augered elements.
its specified compressive strength. For While both types are cast-in-place concrete
example, if a pile is manufactured at the elements, unlike the driven uncased elements,
minimum compressive strength of 28 MPa, it drilled or augered elements are not of the
must not be driven until it has obtained a displacement type, which essentially compacts
strength of at least 21 MPa (3/4 x 28). In all the soil and may cause great lateral pressures
cases, however, concrete strength must have and earth movement. The soil in the drilled
developed to the point that it is sufficient to method of installation is removed rather than
sustain the stresses imposed on the pile by displaced, and the subsurface influence on
handling and driving operations. adjacent deep foundation elements is far less
14.4.2.2 Casing. Where cast-in-place deep than on the driven element, particularly in
foundation elements are formed through unstable cohesive soils.
soils and concrete is placed in an open-drilled hole, Driven uncased elements are exposed to
a casing shall be inserted in the hole prior to placing various types of potential damage. Besides the
the concrete. Where the casing is withdrawn during possibility of concrete contamination by the
concreting, the level of concrete shall be surrounding soil and surface water at the top of
maintained above the bottom of the casing at a the element, its cross section may be subjected
sufficient height to offset any hydrostatic or lateral to squeezing or necking from lateral soil

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pressures and intrusions of displaced soils or condition is such that it can cause heave. This
other obstructions. Also, the concrete may be condition is particularly critical in cohesive soils,
damaged by loss of support caused by removal such as clay. Heaved elements must be
of adjacent element casings from the soil redriven before filling with concrete. If a
surrounding the element. Driven uncased deep concreted element has heaved; however, it can
foundation elements are not recommended be safely redriven if proper techniques and a
under conditions where significant ground suit- ably designed cushion are used.
heave could occur or where highly unstable
For a general description of steel-cased cast-in-
soils exist.
place concrete piles, refer to the commentary to
Subsurface investigations and load testing may Section 14.3.2.6
be required to establish capacity of deep
foundation elements, since there can be no 14.4.3 Identification. Deep foundation materials
correlation between the driving resistance of shall be identified for conformity to the specified
the element casing and element capacity. This grade with this identity maintained continuously
is because the casing is eventually removed. from the point of manufacture to the point of
installation or shall be tested by an approved
14.4.2.4 Driving near cased concrete. Deep
agency to determine conformity to the specified
foundation elements shall not be driven within four
grade. The approved agency shall furnish an
and one-half average diameters of a cased element
affidavit of compliance to the building official.
filled with concrete less than 24 hours old unless
approved by the building official. Concrete shall All deep foundation element materials must be
not be placed in casings within heave range of identified for conformity to construction
driving. specifications, providing information such as
strength and dimensions, and other pertinent
One advantage to this type of pile is that after information as may be required. Such
the driving and removal of the mandrel before identification must be provided for all piers and
the concrete is placed, the steel casing can be piles, whether they are taken from the
inspected internally along its full length. ticular
Therefore, any damage that has resulted from project. Identification is to be maintained from
the pile-driving operation can be readily the place of manufacture to the shipment, on-
discovered and corrected. site handling, storage and installation of the
Steel casings are not to be driven closer than deep foundation elements. Manufacturers,
four and one-half pile diameters of any adjacent upon request, usually furnish certificates of
piles filled with concrete until the concrete in the compliance with construction specifications. In
shells has cured for at least 24 hours and the absence of adequate data, piers and piles
achieved an early strength. The basic reason are to be tested to prove conformity to the
for requiring four and one- half pile diameters specified grade.
between driving and concreting is a general In addition to mill certificates (steel piles),
reluctance to expose fresh concrete to identification is made through plant
vibrations as it sets. Several independent tests manufacturing or inspection reports (precast
have shown, however, that there is no concrete deep foundation elements and timber
detrimental effect caused by vibrations on piles) and delivery tickets (concrete).
setting concrete. In some cases, there was a
strength gain. The code requirement of four and Identification is essential when high-yield
one-half diameters is considered reasonable. It strength steel is specified. Frequently, pile
is often impractical to place concrete in element cutoff lengths are reused and pile material may
shells right next to deep foundation elements come from a jobber, a c
being driven. Casings can be driven earlier than material supplier. In such cases, mill certificates
the minimum 24-hour period when approved by are not available and the steel should be tested
the building official. to see if it complies with the specifications.

Driven light-gage steel shells that are left open 14.4.4 Location plan. A plan showing the
can also be damaged by earth pressures when location and designation of deep foundation
driving other piles in the close vicinity. Under elements by an identification system shall be filed
such circumstances, the shells are sometimes with the building official prior to installation of
protected by inserting dummy mandrels. such elements. Detailed records for elements shall
Shells that are in place, adjacent to and within bear an identification corresponding to that shown
heave range of a deep foundation element on the plan.
being driven are normally left open if the soil

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This section requires that a deep foundation (5) To reduce the possibility of damaging
element location plan clearly showing the vibrations;
designation of all piers or piles in the foundation
system be submitted to the building official prior (6) To reduce the amount of noise associated
to installation of piles. Preferably, such plans with pile-driving operations; and
should be submitted before delivery of the piers
or piles to the construction site and prior to
(7) To accommodate the placement of
staking the deep foundation element locations. elements that are longer than the leads of
the driving equipment.
The deep foundation element location plan is
not only an important tool for the installation of Methods commonly used for preexcavation are
piers or piles, but also serves to communicate jetting and predrilling. The jetting method has
information between the owner, engineer, been found to be more effective in granular
contractor, manufacturer, special inspector, soils, such as sand and fine gravel, than in
building official and other interested persons. cohesive materials, such as clay. However,
The special inspector (see commentary, jetting should not be done in granular soils
Section 14.4.13) must keep piling logs, records containing very coarse gravel, cobbles and
and reports based on this identification system. small boulders because such material cannot
The use of the deep foundation element plan is be removed by the jet stream and will result in
particularly important at sites where the a collection of stones at the bottom of the hole,
variations in soil profiles are so extensive that it making it very difficult, if not impossible, to drive
becomes necessary to manufacture piers or a pile through the mass of stone material. The
piles of different lengths to reach proper bearing jetting operations must be controlled to avoid
levels. The building official should receive excessive losses of soil that could affect the
revised copies of the deep foundation element stability of adjacent structures or the required
location plan whenever field changes are made bearing capacity of previously installed piles.
that add, delete or relocate piles. Deep foundation elements should be driven
below the depth of the jetted hole until the
14.4.5 Preexcavation. The use of jetting, required resistance or penetration is obtained.
augering or other methods of preexcavation shall Before this preexcavation method is used,
be subject to the approval of the building official. consideration should be given to the possibility
Where permitted, preexcavation shall be carried out that jetting, unless strictly controlled, can
in the same manner as used for deep foundation adversely affect load transfer, particularly as it
elements subject to load tests and in such a manner involves the placement of nontapered piles.
that will not impair the carrying capacity of the In comparison to the jetting method described,
elements already in place or damage adjacent a more controllable form of preexcavation is by
structures. Element tips shall be driven below the predrilling or coring. This method greatly
preexcavated depth until the required resistance or reduces the possibility of detrimental effects on
penetration is obtained. adjacent piles or structures and can be
performed as a dry operation or a wet rotary
The use of preexcavation methods to facilitate process. Dry drilling can be done by the use of
the installation of deep foundation elements is a continuous-flight auger or a short-flight auger
often necessary for a number of reasons, attached to the end of a drill stem or kelly bar.
including: Wet drilling requires a hollow-stem, continuous-
To drive elements through upper layers of hard flight auger or a hollow drill stem employing the
soil; use of spade bits. When the wet rotary process
of predrilling is used, bentonite slurry or plain
(1) To penetrate through subsurface water is circulated to keep the hole open. As in
obstructions; the case of jetting, deep foundation elements
should be driven with tips below the predrilled
(2) To eliminate or reduce the possibility of hole. This is necessary to prevent any voids or
ground heave that could result in lifting very loose or soft soils from occurring below the
adjacent elements already driven; element tip.
(3) To reduce ground pressures that could There are other methods used for
result in the lateral movement of adjacent preexcavation purposes, such as the dry tube
piles or structures; method and spudding, but such procedures are
seldom used. The methods to be employed for
(4) To reduce the amount of driving preexcavation are subject to the approval of the
necessary to seat the elements in the building official.
required bearing stratum;

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14.4.6 Vibratory driving. Vibratory drivers shall It should be noted that not all types of elements
only be used to install deep foundation elements can be redriven. For example, heaved uncased
where the element load capacity is verified by load cast-in- place concrete elements, or sectional
tests in accordance with Section 14.3.4.1.2 . The elements whose splices cannot take tension,
should be abandoned and replaced.
installation of production elements shall be
controlled according to power consumption, rate of In redriving heaved elements, the same or
penetration or other approved means that ensure comparable driving equipment should be
element capacities equal or exceed those of the test employed as used in the original installation;
elements. however, there are exceptions to this rule. For
example, during the installation of concrete-
The use of vibratory drivers for the installation filled pipe elements, only the empty pipes were
of piles is not applicable to all types of soil first driven. In redriving this type of element, the
conditions. They are most effective in granular pipes may now be filled with concrete resulting
soils with the use of nondisplacement piles, in much stiffer and heavier sections than were
such as steel H-piles and pipe piles driven open driven initially. In such cases, the driving
ended. Vibratory drivers are also used for technique must be adjusted to accommodate a
extracting piles or temporary casings employed considerably lesser driving resistance.
in the construction of cast-in-place concrete
piles. One method commonly used to prevent or
reduce objectionable displacements caused by
Vibratory drivers, either low or high frequency, deep foundation installations in soils subject to
cause the pile to penetrate the soil by heaving is to preexcavate element holes in
longitudinal vibrations. While this type of pile accordance with the requirements of Section
driver can produce remarkable results in the 14.4.5.
installation of nondisplacement piles under
favorable soil conditions, the greatest difficulty 14.4.8 Enlarged base cast-in-place elements.
is the lack of a reliable method of estimating the Enlarged bases for cast-in-place deep foundation
load- bearing capacity. After the pile has been elements formed by compacting concrete or by
installed with a vibratory driver, pile capacity driving a precast base shall be formed in or driven
can best be determined by using an impact- into granular soils. Such elements shall be
type hammer to set the pile in its final position. constructed in the same manner as successful
An acceptable means of controlling pile prototype test elements driven for the project.
capacity is by determining the power Shafts extending through peat or other organic soil
consumption in relation to the rate of shall be encased in a permanent steel casing. Where
penetration. Nonetheless, the use of a vibratory a cased shaft is used, the shaft shall be adequately
driver is only permitted where the pile load reinforced to resist column action or the annular
capacity is established by load tests in space around the shaft shall be filled sufficiently to
accordance with the requirements of Section reestablish lateral support by the soil. Where heave
14.3.4.1.2.
occurs, the element shall be replaced unless it is
14.4.7 Heaved elements. Deep foundation demonstrated that the element is undamaged and
elements that have heaved during the driving of capable of carrying twice its design load.
adjacent elements shall be redriven as necessary to An enlarged base cast-in-place deep
develop the required capacity and penetration, or foundation element is often installed by first
the capacity of the element shall be verified by load driving a steel casing into the ground. The
tests in accordance with Section 14.3.4.1.2 . casing can either be temporary or permanent.
When deep foundation elements are driven into After the required depth has been reached, the
cohesive soils, particularly saturated plastic enlarged base is formed in the granular bearing
clay materials, they often displace a volume of soil by progressively adding and driving out
soil equal to that of the elements themselves. small batches of zero-slump concrete using a
Such soil displacement usually occurs as drop weight.
ground heaves and may cause adjacent Another method of installing an enlarged base
elements already driven to lift up and become element is by use of an enlarged precast
unseated, causing a loss of load capacity. concrete base at the end of a mandrel-driven
When this happens, heaved piles must be steel casing. A major problem associated with
redriven to firm bearing in order to regain their this type of installation is that, in driving the
required capacity. If heaved elements are not permanent casing into the ground, the precast
redriven, their capacities must be verified by base creates a hole that is larger than the
means of load tests. diameter of the shaft, leaving an open space

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around the element and thus losing the lateral organic soils, very soft silts or clays and water-
support usually provided by the surrounding bearing subsurface materials, a temporary steel
soil. In such cases, the annular space around liner is to be placed in the hole to prevent the
the shaft must be filled to provide the necessary collapse of the earth walls or sloughing off of
lateral support. The customary practice is to fill the soil during concrete placement.
the annular space by pumping grout or washing
In placing concrete in temporarily lined holes,
in granular material. An illustration of these
the top of the concrete should be kept well
enlarged base elements is provided in
above the bottom edge of the steel liner as it is
Commentary Figure 14-7.
withdrawn in order to offset any hydrostatic or
The spacings of enlarged base piles are lateral soil pressures. Stiff (low slump) concrete
normally greater than most other types of should not be used, so as to avoid the potential
conventional piles in order to avoid base problem of concrete arching in the liner tube
interferences and the close overlapping of soil- and causing discontinuities or voids in the pile
bearing areas that would serve to reduce pile shaft as the liner is withdrawn. For a discussion
capacity. on concrete consistency (slump values), see
the commentary to Section 5.4.2.1.
14.4.9 Hollow-stem augured, cast-in-place
elements. Where concrete or grout is placed by While many of the problems associated with
pumping through a hollow-stem auger, the auger auger-placed concrete piles are similar to those
shall be permitted to rotate in a clockwise direction described above for drilled-hole piles, other
problems may also be introduced because of
during withdrawal. As the auger is withdrawn at a
the particular installation technique. The pile
steady rate or in increments not to exceed 300 mm, installation procedure using a hollow stem
concreting or grouting pumping pressures shall be continuous-flight auger, both for drilling and
measured and maintained high enough at all times concrete placement purposes, does not permit
to offset hydrostatic and lateral earth pressures. the use of temporary steel liners. Damage to
Concrete or grout volumes shall be measured to this type of pile, because of improper
ensure that the volume of concrete or grout placed installation procedures, can result in the
in each element is equal to or greater than the incomplete filling of the pile hole, concrete
theoretical volume of the hole created by the auger. discontinuities along the pile shaft, reductions in
Where the installation process of any element is the cross-sectional area of the shaft (necking)
and soil inclusions. Also, the loss of side
interrupted or a loss of concreting or grouting
support of the drilled hole or vertical
pressure occurs, the element shall be redrilled to displacement caused by ground pressures or
1550 mm below the elevation of the tip of the auger soil movement may cause serious damage to
when the installation was interrupted or concrete or the pile shaft.
grout pressure was lost and reformed. Augured cast-
In drilling the pile hole, the hollow-stem auger
in-place elements shall not be installed within six
should be rotated and advanced continuously
diameters center to center of an element filled with until the required tip elevation is reached. At
concrete or grout less than 12 hours old, unless that point in the drilling operation, rotation of the
approved by the building official. If the concrete or auger should be stopped to avoid removing
grout level in any completed element drops due to excess soils that could result in damaging
installation of an adjacent element, the element adjacent piles and to keep the auger flights full
shall be replaced. of soil as a means of retaining the hole walls.
Concrete is then pumped through the hollow
There are many potential problems associated stem, filling the hole from the bottom up as the
with drilled-hole piles. Most of these problems auger is withdrawn.
are related to soil conditions, including soil or
rock debris accumulating at the base of the pile The volume of placed concrete must be
or occurring in the pile shaft; reductions in the monitored and it should equal or exceed the
shaft cross section caused by the necking of theoretical volume of the augered hole. An
soil walls because of soft materials or earth excess concrete volume of 10 percent is not
pressures; discontinuities in the pile shaft; uncommon, but even larger excesses can be
hollows on the surface of the shaft and other expected where the soils are more porous. If
problems linked to drilling operations. Such the amount of the concrete pumped into the
problems are usually addressed by the use of hole is considerably more than the anticipated
proper installation techniques. volume, then the cause should be investigated.
It could mean, for instance, that concrete
Whenever unstable soils are encountered in (grout) is being pumped into soft soil strata,
drilling operations, such as loose granular soils,

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solution cavities, under-ground pipelines or the end of the pipe casing because of
other underground structures. incomplete seating of the pipe into the rock
material. If the water in the hole cannot be
Concrete should be pumped under continuous
controlled by ejection or other methods
pressure and the rate of withdrawal of the auger
rendering the placement of concrete under
should be carefully controlled for a continuous
reasonably dry conditions, the concrete may be
and full-sized shaft. Discontinuities in the
placed by a tremie or other methods when
concrete shaft can develop if the auger is
approved by the building official.
improperly withdrawn. A smooth, continuous
auger withdrawal should help to prevent the 14.4.11 Micropiles. Micropile deep foundation
surrounding soil from squeezing into the hole elements shall be permitted to be formed in holes
(necking) and possibly contaminating the advanced by rotary or percussive drilling methods,
concrete. with or without casing. The elements shall be
Concrete pumping pressures at the auger outlet grouted with a fluid cement grout. The grout shall
should be greater than any hydrostatic or lateral be pumped through a tremie pipe extending to the
pressures occurring in the hole. Excessively bottom of the element until grout of suitable quality
high pumping pressures, however, should be returns at the top of the element. The following
avoided while placing concrete surrounded by requirements apply to specific installation methods:
soft soils because it could cause upward or
lateral movement of adjacent piles. (1) For micropiles grouted inside a
If the pile-concreting operation is interrupted, a
temporary casing, the reinforcing bars
pressure drop occurs while pumping the shall be inserted prior to withdrawal of
concrete, the auger is improperly handled and the casing. The casing shall be
is raised too fast or anything else happens that withdrawn in a controlled manner with
could damage the pile or cause a reduction in the grout level maintained at the top of
the required size of the pile section, then the the element to ensure that the grout
hollow-stem auger must be redrilled to the completely fills the drill hole. During
required tip elevation and the pile reformed withdrawal of the casing, the grout level
from the bottom up. inside the casing shall be monitored to
Unless approved by the building official, no new verify that the flow of grout inside the
pile holes are to be drilled or injected with casing is not obstructed.
concrete if they are located within a center-to-
center distance of six pile diameters from other (2) For a micropile or portion thereof
adjacent piles containing fresh concrete that grouted in an open drill hole in soil
has not been allowed to set for a period of 12 without temporary casing, the minimum
hours or more. This is to reduce the possibility design diameter of the drill hole shall be
of damage to adjacent piles. If the concrete verified by a suitable device during
surface of a completed pile is observed to drop grouting.
below its cast elevation as a result of the drilling
of adjacent piles, then the completed pile (3) For micropiles designed for end bearing,
should be rejected and replaced. Such an a suitable means shall be employed to
occurrence could indicate some deformation verify that the bearing surface is properly
along the pile shaft that could affect its cleaned prior to grouting.
structural integrity.
(4) Subsequent micropiles shall not be
14.4.10 Socketed drilled shafts. The rock socket drilled near elements that have been
and pipe or tube casing of socketed drilled shafts grouted until the grout has had sufficient
shall be thoroughly cleaned of foreign materials time to harden.
before filling with concrete. Steel cores shall be
bedded in cement grout at the base of the rock (5) Micropiles shall be grouted as soon as
socket. possible after drilling is completed.
A brief description of the installation sequence (6) For micropiles designed with a full-
of caisson piles is given in the commentary to length casing, the casing shall be pulled
Section 14.3.10.6. One of the problems in the back to the top of the bond zone and
construction of caisson piles is that some water reinserted or some other suitable means
will seep into the bottom of the pile opening employed to assure grout coverage
through the rock joints or fissures in the socket. outside the casing.
Sometimes water may seep into the opening at

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This section provides the basic micropile preexcavation holes (see Section 14.4.5).
installation requirements. Micropile boreholes Finally, there should also be a record of any pile
are typically advanced by either of the listed damage and repair work; pile extractions and
methods, rotary drilling or rotary percussive replacements; observations on pile heaving
drilling. Installation requirements differ based and depth of redriving; and information on pile
on whether a steel casing is permanent or alignment.
temporary or not provided (Item 6, 1 or 2,
respectively).
14.4.12 Helical piles. Helical piles shall be
installed to specified embedment depth and
torsional resistance criteria as determined by a
registered design professional. The torque applied
during installation shall not exceed the maximum
allowable installation torque of the helical pile.
Helical pile shafts are screwed into the ground
by application of torsion (also see ICC
Evaluation Service AC 358).
14.4.13 Special inspection. Special inspections in
accordance with Sections 1705.7 SBC 201 and
1705.8 SBC 201 shall be provided for driven and
cast-in-place deep foundation elements,
respectively. Special inspections in accordance
with Section 1705.9 SBC 201 shall be provided for
helical piles.
This section requires special inspections (see
definition, Section 1.3) in accordance with
Sections 1705.7 and 1705.8 of SBC 201 to
verify proper and safe installations. To be
approved by the building official, an inspector
should be experienced in deep foundation
element installation work. An inspector must be
able to read and understand foundation plans
and specifications, maintain accurate records,
have a thorough understanding of the scope of
the pile work to be performed, give concise and
timely reports to the owner or engineer and
submit in writing to the building official whatever
field information is required.
The duties of the deep foundation element
inspector include the inspection and approval of
pile-driving equipment; the inspection and
acceptance of piles furnished for the work; the
verification of all pile location stakes and
spacings; the observation and recording of
required information relating to the installation
of the deep foundation element foundation, as
well as keeping a log for each pile showing
either the number of hammer blows for each
300 mm of penetration and the final penetration
in blows per cm or the driving record for only the
last few meters of penetration. The driving log
should also include information on the duration
and cause of any delays, such as splicing time,
equipment breakdown, changing cushions, etc.
The record should also show the final tip and
butt (cutoff) elevations, as well as the depths of

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TABLES AND FIGURES OF CHAPTER 14

Table 14-1 Minimum specified compressive strength of concrete or grout

DEEP FOUNDATION ELEMENT OR CONDITION SPECIFIED

1. Precast nonprestressed driven piles 28 MPa
2. Socketed drilled shafts 28 MPa
3. Micropiles 28 MPa
4. Precast prestressed driven piles 35 MPa

Table 14-2 Allowable streses for materials used in deep foundations elements
a
MATERIAL TYPE AND CONDITION MAXIMUM ALLOWABLE STRESS
b
1. Concrete or grout in compression
Cast-in-place with a permanent casing in accordance with
0.4
Section 14.3.2.7
Cast-in-place in a pipe, tube, other permanent casing or rock 0.33
Cast-in-place without a permanent casing 0.3
Precast nonprestressed 0.33
Precast prestressed 0.33 - 0.27 fpc
2. Nonprestressed reinforcement in compression 0.4 fy < 220 MPa
3. Steel in compression
Cores within concrete-filled pipes or tubes 0.5 Fy < 220 MPa
Pipes, tubes or H-piles, where justified in accordance with
0.5 Fy < 220 MPa
Section 14.3.3.8.
Pipes or tubes for micropiles 0.4 Fy < 220 MPa
Other pipes, tubes or H-piles 0.35 Fy < 110 MPa
Helical piles 0.6 Fy < 0.5 Fu
4. Nonprestressed reinforcement in tension
Within micropiles 0.6 fy

Other conditions 0.5 fy < 165 MPa

5. Steel in tension
Pipes, tubes or H-piles, where justified in accordance with
0.5 Fy < 220 MPa
Section 14.3.3.8.
Other pipes, tubes or H-piles 0.35 Fy < 110 MPa
Helical piles 0.6 Fy < 0.5 Fu
a
is the specified compressive strength of the concrete or grout; fpc is the compressive stress on the gross concrete
section due to effective prestress forces only; fy is the specified yield strength of reinforcement; Fy is the specified
minimum yield stress of steel; Fu is the specified minimum tensile stress of structural steel.
b
The stresses specified apply to the gross cross-sectional area within the concrete surface. Where a temporary or
permanent casing is used, the inside face of the casing shall be considered the concrete surface.

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Commentary Figure 14-1 Composite elements.

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Commentary Figure 14-2 Steel casings.

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Commentary Figure 14-3 Steel H-pile sections.

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Commentary Figure 14-4 Precast nonprestressed and prestressed concrete piles.

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Commentary Figure 14-5 Belled drilled shafts.

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Commentary Figure 14-6 Socketed drilled shafts.

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Commentary Figure 14-7 Enlarged base piles: Uncased or cased shafts.

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