2018

‫دليل كود السعودي للتربة و االساست‬

GUIDE TO THE SAUDI
SOILS AND
FOUNDATIONS CODE
Soils and Foundations 303
GUIDE TO THE SAUDI Project Manager: Ali Al-Zaid, Al-Zaid Engineering Consultants
BUILDING CODE: Project Coordinator: Mark A. Johnson
Based on the 2018 Saudi Building
Code for Soils and Foundations Publications Manager: Anne F. Kerr
(SBC 303) Series Editor: Rory Cleveland
Production Technician: Beverly Ledbetter
Cover Design: Ricky Razo

COPYRIGHT © 2021
by SAUDI ARABIA MINISTRY OF MUNICIPAL RURAL AFFAIRS & HOUSING and
INTERNATIONAL CODE COUNCIL, INC.
ALL RIGHTS RESERVED.

This publication is a copyrighted work owned by the Saudi Arabia Ministry of Municipal
Rural Affairs & Housing (MOMRA) and the International Code Council, Inc. (“ICC”).
Without advance written permission from MOMRA and ICC, no part of this publication
may be reproduced, distributed or transmitted in any form or by any means, including,
without limitation, electronic, optical or mechanical means (by way of example, and not
limitation, photocopying or recording by or in an information storage retrieval system).
For information on use rights and permissions, please contact: ICC Publications, 4051
Flossmoor Road, Country Club Hills, IL 60478. Phone: Washington D.C. 202-370-1800;
Dubai +9714 5163035.
The information contained in this document is believed to be accurate; however, it is
being provided for informational purposes only and is intended for use only as a guide.
Publication of this document by MOMRA and the ICC should not be construed as
MOMRA or the ICC engaging in or rendering engineering, legal or other professional
services. Use of the information contained in this guide should not be considered by the
user to be a substitute for the advice of a registered professional engineer, attorney or
other professional. If such advice is required, it should be sought through the services of
a registered professional engineer, licensed attorney or other professional.
Trademarks: “International Code Council,” the “International Code Council” logo, “ICC,”
the “ICC” logo, and other names and trademarks appearing in this guide are registered
trademarks of the International Code Council, Inc., and/or its licensors (as applicable),
and may not be used without permission.
Errata on various ICC publications may be available at www.iccsafe.org/errata.
First Publication: June 2021
CONTENTS Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
About the Saudi Building Code for Soils and Foundations ������ x
About Saudi Arabia Ministry of Municipal Rural Affairs &
Housing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x
About the Saudi Building Code National
Committee (SBCNC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
About Al-Zaid Engineering Consultants (ZEC) . . . . . . . . . . . . xii
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xii
About the Authors ���������������������������������������������������������������������� xii
About the International Code Council�������������������������������������xiii

PART I: CODE ADMINISTRATION AND

ENFORCEMENT
Chapter 1: Introduction to Building Codes . . . . . . . . . . . . . . . . . 2
Chapter 2: Legal Aspects, Permits and Inspections . . . . . . . . . . 13

PART II: SOILS AND ROCK

Chapter 3: Soils and Foundations . . . . . . . . . . . . . . . . . . . . . . . . 26
Purpose of a foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Types of foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .27
Foundation walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Retaining walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Mats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Deep foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Design basis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Chapter 4: Types of Earth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Rock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Soil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Soil classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Grain size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Plasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Chapter 5: Problematic Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Expansive soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Collapsible soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Sabkha soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Chapter 6: Geotechnical Investigations . . . . . . . . . . . . . . . . . . . 43
When is a geotechnical investigation required? . . . . . . . . . . . 44
When is a geotechnical investigation not required? . . . . . . . 44

iii
iv  C o n t e n t s

Planning the geotechnical investigation . . . . . . . . . . . . . . . . . 44

Scope of geotechnical investigation . . . . . . . . . . . . . . . . . . . . . 45
Site investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Soil borings and drill rigs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Soil sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Site investigation report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Chapter 7: Excavation, Grading and Fill . . . . . . . . . . . . . . . . . . . 53
What are excavations? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Impacts of excavations near foundations . . . . . . . . . . . . . . . . . . . . 54
What is grading? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
What are slopes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Slopes around foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .55
What is fill? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Engineered fill (compacted fill) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Fill compaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Controlled low-strength material (CLSM) . . . . . . . . . . . . . . . . . . . . 59
Forming fill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Uncontrolled fill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Fill surcharge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Chapter 8: Load-bearing Values of Soils . . . . . . . . . . . . . . . . . . . 61
Presumptive design versus computed design . . . . . . . . . . . . . 61
Load combinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Presumptive load-bearing values . . . . . . . . . . . . . . . . . . . . . . . 63
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

PART III: FOUNDATIONS

Chapter 9: Spread Footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Minimum requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Depth and width . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Impact of adjacent footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Impact of shifting or moving soils . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Impact of slopes on footings . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Factor of safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .71
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
 C o n t e n t s   v

Chapter 10: Foundation Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Lateral loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Unbalanced loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Chapter 11: Retaining Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Types of retaining walls (cantilever, restrained,
segmental) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Movement of walls (translation and rotation) . . . . . . . . . . . . 81
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Lateral loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Effect of surcharge, ground water and compaction on
lateral loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Seismic loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Factors of safety (sliding, overturning, bearing capacity) . . . . . . . 85
Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Chapter 12: Combined Footings and Mats . . . . . . . . . . . . . . . . . 87
Methods of design (ACI 336.2R) . . . . . . . . . . . . . . . . . . . . . . . . 87
Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Contact pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Beams on elastic foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Modulus of subgrade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Rectangular-shaped footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Trapezoidal or irregularly shaped footings . . . . . . . . . . . . . . . . . . . 91
Strap footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Continuous footings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Grid foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Mat foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Excavation heave (rebound) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
Circular mats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Ring foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Chapter 13: Deep Foundations . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Types and benefits of deep foundations . . . . . . . . . . . . . . . . . 97
Drilled piers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Driven piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Helical piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Micropiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Sheet piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
vi  C o n t e n t s

Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Design and detailing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Axial loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Uplift forces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Lateral support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Group effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Design for mislocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Seismic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

PART IV: DESIGN FOR PROBLEMATIC SOILS

Chapter 14: Expansive Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Shallow foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Slab-on-ground foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Pier and beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Required preventive measures . . . . . . . . . . . . . . . . . . . . . . . . 117
Mitigation and stabilization . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Chapter 15: Collapsible Soils . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Design procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Spread and continuous footings . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Stiffened mat foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Mitigation and stabilization . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Chapter 16: Sabkha Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Types of foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Mitigation and stabilization . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

PART V: MISCELLANEOUS TOPICS

Chapter 17: Vibratory Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
Types of vibratory loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Design for vibratory loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Chapter 18: Damproofing and Waterproofing . . . . . . . . . . . . . 137
What is the difference between dampproofing and
waterproofing? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Dampproofing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
 C o n t e n t s   vii

Waterproofing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Underground water-retention structures . . . . . . . . . . . . . . . 141
Mitigation and stabilization . . . . . . . . . . . . . . . . . . . . . . . . . . 141
Quiz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
Quiz Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Annex . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
viii  C o n t e n t s
Preface C
onstruction of buildings has progressed over the centuries
from stone buildings to steel and concrete monuments to the
industrial revolution and technology today. People have an
expectation that when they enter a building, it has been constructed
in such a manner that if an emergency occurs in the building, they
will be protected. As new building practices improve and new build-
ing technologies are developed, the complexity of the buildings has
increased. As these complexities increase, building regulations must
keep up with the technology. The codes adopted by the government
should not prohibit or limit the use of new materials or technolo-
gies. However, buildings must be constructed for occupant safety.
Therefore, the building code has had to keep up with the complex
building practices and has become a complex document in itself. The
codes and standards used to regulate the construction of buildings
can overwhelm the casual user of the code. Navigating the complex
and detailed provisions of the code can be daunting. Not all of the
provisions apply to every building.
This text, Guide to the Saudi Soils and Foundation Code, has been
written to provide an easy-to-read overview of the Saudi Soils and
Foundations Code (SBC 303). It is an illustrated look at the most com-
mon code provisions. This text provides an overall understanding of
the provisions of SBC 303. It is presented in a user-friendly manner
with emphasis on technical accuracy and clear noncode language.
This book targets readers who have a basic understanding of engi-
neering, architecture and construction but a limited knowledge of
the code requirements.
Anyone who is involved in the design, construction or regulatory
aspects of building construction can gain from this book. People with
all levels of experience can profit from the information provided. The
user will be able to use this document for learning the fundamental
provisions and intents of the building code. The most common and
most used provisions of the Soils and Foundations Code have been
addressed.
The information in this Guide has been organized by the differ-
ent purposes of the code. The structural provisions of the code have
been put into easy-to-understand language.
This book is not intended to cover all of the provisions of the
building code or all of the acceptable materials and methods of con-
struction. This is not to say that the information not included in this
book is not important. This book should be used with the 2018 SBC
303, which should be referenced for more details and information.
This book only provides a basic understanding of a very complex
document and referenced standards.
This Guide includes full-color and black and white photos and
illustrations to help the reader understand the provisions and appli-
cation of the building code requirements. It provides examples and
ix
x    P r e f a c e

simplified tables, and highlights the fundamental requirements of SBC

303 to gain compliance with its regulations. References to the applicable
sections or standards have been provided to assist the reader in locating
more detailed and complete information in the code. A glossary of code
and construction terms clarifies the meaning of the technical provisions.
This Guide also includes an added benefit in the form of an annex
chapter that was developed to briefly address, where necessary, some
subjects that needed further elaboration or certain subjects that were
not covered in the body of the Guide. Where specific sections of the
related Saudi Building Code are included in the annex chapter, the code
section number has also been included for easy reference back to the
original code text.

ABOUT THE SAUDI BUILDING CODE FOR

SOILS AND FOUNDATIONS (SBC 303-18)
SBC 303 covers all buildings except detached one- and two-family dwell-
ings and townhouses not more than three stories in height. This com-
prehensive code features time-tested structural provisions, covering
innovative construction technology and the latest industry standards in
material design. It is founded on broad-based principles that make pos-
sible the use of new materials and new building designs.
SBC 303 is one of the codes in the set of Saudi Codes published by
the Saudi Building Code National Committee (SBCNC). All of these codes
are maintained and updated by the SBCNC to provide a consistent set of
enforceable regulations for the built environment.
The current 2018 edition of the Code is substantially updated from
its 2007 edition. Several new chapters are added, and old chapters are
updated. The writing process of SBC 303-18 followed the methodology
approved by the SBCNC. Many changes and modifications were made in
its base code (IBC 2015) to meet the local weather, materials, construc-
tion and regulatory requirements.

ABOUT SAUDI ARABIA MINISTRY OF

MUNICIPAL RURAL AFFAIRS & HOUSING
The Ministry of Municipal Rural Affairs & Housing was established in
1395 AH / 1975 AD by Royal Decree No. (A / 266) dated 8/10/1395 AH
and was assigned the responsibility of urban planning for the cities of
the Kingdom, and the implication of this in terms of providing roads and
basic equipment, improving and beautifying cities, developing municipal
and rural areas in addition to managing the services needed to maintain
the cleanliness and health of the environment in the Kingdom.
Our vision
Excellence in providing municipal services and achieving urban sus-
tainability in all regions of the Kingdom
 P r e f a c e    x i

Our message
Improving the quality of life and prosperity in Saudi cities to respond
to the aspirations and needs of current and future generations and
achieve the happiness of residents
+966114569999
https://www.momra.gov.sa/

ABOUT THE SAUDI BUILDING CODE

NATIONAL COMMITTEE (SBCNC)
The National Committee was formed as per the fifth Article of the Saudi
Building Code National Committee (SBCNC), which was issued by the
Council of Ministers #174 dated 15/06/1422 Hijri, amended by the
Council of Ministers #459 dated 02/11/1436 Hijri, and issued by the
Cabinet decision #372 dated 12/07/1439 Hijri that added a representa-
tive from the Ministry of Energy, Industry and Mineral Resources to the
membership of the SBCNC. The Committee,s strategic objectives were:
• Continuation in update of Saudi Building Code periodically for all
specialties.
• Continuation in implementing the general plan of the National Com-
mittee and preparing a plan to study assessment and improvement of
earthquake efficiency for existing buildings at the active earthquake
places.
• Suggesting laws that commit public and private entities to apply the
principles and standards of buildings and facilities resistant to earth-
quakes in the kingdom.
The Committee has members from the following entities:
• A representative from the Ministry of Interior.
• A representative from the Ministry of Municipality and Rural Affairs.
• A representative from the Ministry of Housing.
• A representative from the Ministry of Transport.
• A representative from the Ministry of Environment, Water and Agri-
culture.
• A representative from the Ministry of Energy, Industry and Mineral
Resources.
• A representative from King Abdulaziz City for Science and Technol-
ogy.
• A representative from the Saudi Standards, Metrology and Quality
Organization.
• A representative from the Royal Commission for Jubayl and Yanbu.
• A representative from the Saudi Council of Engineers.
• A representative from the Saudi Geological Survey.
• A representative from Saudi Aramco.
• Four specialists from Saudi universities.
• A member from the private sector who is elected by the Council of
Saudi Chambers.
x i i    P r e f a c e

ABOUT AL-ZAID ENGINEERING

CONSULTANTS (ZEC)
Al-Zaid Engineering Consultants (ZEC) is a Saudi consultancy group.
The company provides a wide range of services in the fields of water and
irrigation, engineering, and energy, as well as planning and community
development and project management. In addition, the company has
completed demand forecasting and economic feasibility studies, as well
as funding options and implementation strategies for sites, neighbor-
hoods, cities and regions, especially in Saudi Arabia and the Gulf coun-
tries. In addition, the company has established an industrial engineer-
ing group to provide engineering and business planning services to the
petroleum and petrochemicals industries, as well as professional design
and supervisory services covering all branches of electrical and environ-
mental engineering.

Prince Muhammed bin Abdulaziz St. (Tahlia) Building No. 290

Second floor
P.O. Box 20179, Riyadh 11455, KSA
T +966(0)11 4633330

ACKNOWLEDGMENTS
Guide to the Saudi Soils and Foundations Code is the result of many hours
of research and collaborative effort. The authors would like to thank
those people who provided valuable assistance and contribution to
developing this book. The knowledge and experience of the ICC staff
were instrumental in its development.
The author would also like to thank the employees of MLAW
Forensics for their help contributing to the accuracy and quality of this
document.
The author would like to dedicate this book to all building safety
professionals, architects and engineers in the Kingdom of Saudi Arabia
and the United States for their tireless efforts to design and construct
safe and usable buildings for their citizens in their respective countries.

ABOUT THE AUTHORS

Dean R. Read, PE
Dean R. Read is a professional engineer licensed in Texas, Louisiana,
Alabama, Mississippi, Florida, Arkansas, Oklahoma, New Mexico,
Colorado and the Commonwealth of the Northern Mariana Islands
who has a bachelor’s degree in architectural engineering and a master’s
degree in civil engineering from The University of Texas at Austin. He
has over 25 years of experience in the subject of this book and is a Fellow
of the Post-Tensioning Institute.
 P r e f a c e    x i i i

Richard J. Bowman, PE (coauthor)

Richard J. Bowman is a professional engineer licensed in Texas. He
holds a bachelor’s degree in civil engineering from the University of
Texas at Austin and has been engaged in civil and geotechnical engineer-
ing and geostructural evaluation for 25 years.

ABOUT THE INTERNATIONAL CODE

COUNCIL®
The International Code Council is a nonprofit association that provides
a wide range of building safety solutions including product evaluation,
accreditation, certification, codification and training. It develops model
codes and standards used worldwide to construct safe, sustainable,
affordable and resilient structures. ICC Evaluation Service (ICC-ES) is the
industry leader in performing technical evaluations for code compliance
fostering safe and sustainable design and construction.

Washington DC Headquarters:
500 New Jersey Avenue, NW, 6th Floor, Washington, DC 20001

Regional Offices:
Eastern Regional Office (BIR)
Central Regional Office (CH)
Western Regional Office (LA)

Distribution Center (Lenexa, KS)

Washington D.C. 202-370-1800; Dubai +9714 5163035

www.iccsafe.org

Family of Solutions:
x i v    P r e f a c e
PART
Code
I Administration
and Enforcement
Chapter 1: Introduction to Building Codes
Chapter 2: Legal Aspects, Permits
and Inspections

1
 CHAPTER
Introduction to
1 Building Codes

B
uilding codes are regulations adopted by governments to promote
safety in the built environment. People expect that when they
enter a building, they will be safe from inherent dangers caused
by natural or man-made disasters. We expect if a storm passes through our
area, the building will keep us dry and withstand the wind and heavy rain
forces created by the storm. When the earth shakes during an earthquake,
we expect the building to resist the forces and remain standing until we can
escape. When a fire occurs in a building, the occupants need a protected
and expedient way out. Building codes provide these safeguards by limit-
ing a building’s potential hazards and requiring certain features to provide
the occupants with a safe environment in which to live and work. The
18-volume Saudi Building Code (SBC) provides design guidelines to provide
occupant safety.

2
2
 C o n s t r u c t i o n C o d e s : S c o p e a n d L i m i t a t i o n s    3

CONSTRUCTION CODES: SCOPE AND

LIMITATIONS
All Saudi building codes begin with scope and intent statements for
each specific code. The scope outlines the code limits, explaining the
specific subject it covers. It also provides a foundation for the code
requirements in the specific volume. For example, one would not ex-
pect structural seismic resistance rules in SBC 401 Electrical Require-
ments because structural engineering is not within the scope of the
building’s electrical service and safety rules.
The code’s intent section outlines the code’s overall intent relat-
ed to buildings. It summarizes what the code is trying to achieve
through its regulations. The SBC 801 fire code intent, for example,
is to “establish the minimum requirements consistent with nation-
ally recognized good practice for providing a reasonable level of life
safety and property protection from the hazards of fire, explosion or
dangerous conditions in new and existing buildings, structures and
premises, and to provide a reasonable level of safety to fire fighters
and emergency responders during emergency operations.”
It is important to read and become familiar with the code scope
and intent as well as the specific technical requirements. The goal of
construction codes is to protect the health, safety and welfare of the
people who occupy and use buildings. Each code provides this protec-
tion in different ways, but they work together seamlessly. To provide
a full set of codes, the Saudi Building Code National Committee pub-
lishes several different volumes to address other aspects of building
construction (Figure 1-1).

FIGURE 1-1 The Saudi Building Code

4    C h a p t e r 1 I n t r o d u c t i o n t o B u i l d i n g C o d e s

SAUDI BUILDING CODE INTRODUCTION

Generally, all facilities and structures require building code compli-
ance that establishes safety, comfort and security through a build-
ing’s effective life span. These factors are significant in the Kingdom
of Saudi Arabia due to its geography and regional climate differences.
The interior desert climate is hot and dry, while areas near the sea
have high humidity that deteriorates some building materials. Coast-
al soil contains high percentages of detrimental salts that corrode
many metals. Some coastal areas are susceptible to earthquakes that
threaten a building’s structural integrity.
These natural hazards combined with man-made or technological
threats such as fires, explosions or terrorist attacks emphasize the
importance of building construction and maintenance codes to pro-
tect Saudi citizens and visitors while maintaining the Saudi economy.
The Saudi Building Code started with the issuance of the Royal
Decree No. 7/B/3230 dated 11 June 2000 to form a national com-
mittee composed of representatives from Saudi universities, gov-
ernment and private sector. In September 2001, the Council of
Ministers approved the general plan of the National Committee to
prepare a unified Kingdom of Saudi Arabia building code.
The SBC is a set of legal, administrative and technical require-
ments that regulate Kingdom-wide building construction using
scientific and engineering principles to set minimum public safety
and health requirements in the built environment. Other aims are to
improve building efficiency, strength and sustainability, and increase
building life span. The code set includes regulations for building con-
struction and many facilities’ subsystems, such as structural protec-
tion, electrical, plumbing and gas utilities, fire safety, sanitation and
energy conservation. Each topic is included in one or more of the 18
documents that constitute the entire SBC.
Rather than writing an entirely new set of rules and regulations,
the National Committee studied construction safety codes from a
variety of other sources. It reviewed historical Arab and interna-
tional disastrous events, building standards, regulations, and plans
of the various governmental departments and authorities. The
National Committee reviewed the results of national research and
other international codes, such as the regulations of the USA-based
International Code Council (ICC), European Code (EC), Arab Codes
and the Canadian National Building Code. It obtained opinions from
specialists at relevant Saudi universities, government and private
sectors through a questionnaire, symposium and specialized work-
shops. As a result, the ICC’s group of codes was chosen to provide
the SBC’s foundation. The National Committee also endorsed the use
of the International Electrotechnical Commission (IEC) regarding
electrotechnical regulations and requirements, American Concrete
Institute (ACI) codes for concrete and masonry structures, American
 S a u d i B u i l d i n g C o d e I n t r o d u c t i o n    5

Society of Civil Engineers (ASCE) codes for loading and forces, and
American Institute of Steel Construction (AISC) codes for steel struc-
tures.
The SBC code requirements have been developed with the per-
mission of the ICC, ACI, ASCE and IEC. These organizations are not
responsible for any changes that the SBC has made to accommodate
local conditions or Saudi law. The Saudi National Building Code
Committee is responsible for Kingdom-wide modifications.
The technical committees and subcommittees started their work
to adapt the documents to Saudi needs in April 2003. They elected to
prepare the general framework for the SBC that aligns the base docu-
ments with the social and cultural environment, natural and climatic
conditions, soil types, and construction material properties common
in the Kingdom. The framework was approved by the Council of
Ministers Decree No. 279 dated 19 December 2004. Following that
approval, the technical committees and the subcommittees started
preparing the technical requirements for each of the specific 18 SBC
volumes.
The first version of the SBC was issued in 2007 and employed a
framework of two basic categories. First is “terms,” which are repre-
sented by the letters (‫)ك ب س‬. These include the minimum limits of
engineering standards required in design, construction, operation
and maintenance. The second part of the framework is “require-
ments,” which are represented by the letters SBC and include details
of design and methods of construction.
The original 2007 SBC scope can be summarized as follows:
• Administrative and legal terms that prescribe codes’ scope and
intent while classifying buildings and facilities according to their
use and occupancy. The administrative section identifies respon-
sible parties concerned in building planning and code applica-
tion, including design professionals and code officials. Other
administrative features include code-related definitions, code
official duties and responsibilities, and how to resolve disputes.
• Architectural terms and requirements that relate to architec-
tural works, type and use of building construction methods and
materials. These include special detailed requirements based on
use and occupancy (such as high-rise or underground buildings),
maximum building areas and heights, egress systems to help oc-
cupants escape, interior wall and ceiling finishes, fire resistance
for interior and exterior walls and ceilings, requirements for
people with special needs, and design against rodents and other
environmental hazards.
• Structural terms and requirements pertaining to structural de-
sign for wind, seismic and load restrictions, testing and struc-
tural investigation for soils, foundations and supporting walls,
concrete facilities, building using bricks and blocks, and steel
facilities.
6    C h a p t e r 1 I n t r o d u c t i o n t o B u i l d i n g C o d e s

• Electrical terms and requirements for design, installation, com-

missioning, maintenance and safety of systems, devices and elec-
tric service to and within buildings and including electric service
delivery to a site, internal and external lighting, control panels,
grounding and bonding systems, fire alarm devices, lightning
protection systems, and standby and emergency power.
• Mechanical terms and requirements for design, construction,
installation, commissioning, maintenance and safety of systems
and equipment for ventilation and exhaust, cooling and heating,
water heaters and boilers, solar energy systems, lifts, ladders,
moving belts and cranes.
• Energy conservation terms and requirements that relate to de-
sign consideration regarding water and power rationing.
• Sanitary terms and requirements for design, construction, in-
stallation, commissioning, maintenance and safety of plumbing
and sanitary systems for potable water, sewage systems, rainwa-
ter collection systems, and sewage and wastewater disposal.
• Fire protection terms and requirements for design, construc-
tion, installation and maintenance of fire protection features
such as fire-resistant construction, fire protection and detection
systems, egress, and the storage and handling of materials that
might cause or contribute to fires and explosions or create acute
health hazards.
The second SBC version was issued in 2018 and is an improved,
revised and updated edition of SBC 2007. It has employed the same
framework of categories: terms and requirements. The 2018 SBC ver-
sion is summarized as follows.
• Saudi Building Code—General (SBC 201). This volume con-
tains general requirements on the following topics: the use and
classification of buildings and facilities; building maximum ar-
eas and heights; construction methods; egress paths; interior
and exterior walls; ceiling and floor construction methods and
materials; roofs and rooftop structures; building interior envi-
ronment, including light, cooling and sanitation; construction
materials, such as wood, steel, masonry, plaster, gypsum board,
glass and plastic; infringements on public and private property;
protection during construction; signals and signs; and animal
and other vector controls.
• Saudi Loading Code (SBC 301). This volume addresses structural
loading and strength, joint forces, static forces, live or active forces,
FIGURE 1-2 The Saudi Building
Code (SBC 201) strong soil and water static and flood loads, strong winds, design
and building site rating steps in terms of seismic design, quality
control and associated work. SBC 302 through 306 include addi-
tional details pertaining to structural requirements. They are:
 S a u d i B u i l d i n g C o d e I n t r o d u c t i o n    7

FIGURE 1-3 The second version of the SBC

• Saudi Construction Code (SBC 302). This volume contains re-

quirements for tests and structural inspections of those features
designed to maintain structural integrity during disasters such
as windstorms, flooding, earthquakes, fires or explosion. Tests
and inspections are standardized to ensure critical elements are
evaluated by qualified persons.
• Saudi Soils and Foundations Code (SBC 303). This volume ad-
dresses site investigation and evaluation, excavation, soil settle-
ment, ability to extend foundations, bearing walls, retaining
walls, footing and foundations, seismic force designs, moisture
protection, and structural column, beam and pedestal construc-
tion.
• Saudi Concrete Structures Code (SBC 304). This volume pre-
scribes materials, construction systems and design loads, load
and resistance and service paths, sustainability and constructa- FIGURE 1-4 The Saudi Soils and
bility, analytical considerations, tensile force requirements, de- Foundations Code (SBC 303)
sign placement and pivot loads.
8    C h a p t e r 1 I n t r o d u c t i o n t o B u i l d i n g C o d e s

• Saudi Masonry Code (SBC 305). This volume addresses con-

struction materials, construction, quality assurance and seismic
design.
• Saudi Steel Structures Code (SBC 306). This volume includes
design and material requirements, tensile members, columns
and other compression members, other members correspond-
ing to bending, bridges, beams and slabs, double twisting forc-
es, ligaments, joints, and concentrated forces, connectivity and
stresses.
• Saudi Electrical Code (SBC 401). This volume contains the fol-
lowing requirements: electrical wiring, internal and external
lighting, bonding and grounding methods, fire and security
alarms, lightning protection systems, solar photovoltaic sys-
tems, power and controls for elevators, escalators and moving
FIGURE 1-5 The Saudi Electrical belts, and standby and emergency energy power systems.
Code (SBC 401) • Saudi Mechanical Code (SBC 501). This volume addresses ex-
haust and ventilation, steam disposal methods, combustion air,
chimneys and ventilation, ducts and air-handling equipment,
boilers, heaters and pressure vessels, refrigeration, plumbing,
fuel oil pipelines and storage, solar systems, lifts and lift sys-
tems, and mechanical maintenance requirements.
• Saudi Energy Conservation Code for Buildings Except Low-
Rise Residential Buildings (SBC 601). This volume provides
nonresidential and commercial building energy conservation de-
sign through analysis of building systems and renewable energy
sources.
• Saudi Energy Conservation Code—Low-Rise (Residential)
Buildings (SBC 602). This Code is like SBC 601 but focuses on
low-rise apartment buildings. Contents include energy conserva-
tion requirements for all aspects of energy used in residential con-
FIGURE 1-6 The Saudi struction, including heating and ventilation, lighting, water heat-
Mechanical Code (SBC 501)
ing, and power usage for appliances and building systems. It sets
forth minimum requirements for exterior envelope insulation,
window and door U-factors and SHGC ratings, duct insulation,
lighting and power efficiency, and water distribution insulation.
• Saudi Sanitary Code—Plumbing (SBC 701). This volume in-
cludes internal water and sewage distribution systems, faucet
and other fixture installation, drainage and ventilation systems
for sanitation, safe drinking water systems, water storage sys-
tems, special drainage gutters, and other wastewater and sub-
surface irrigation systems.

FIGURE 1-7 The Saudi Energy

Conservation Code (SBC 601)
 S a u d i B u i l d i n g C o d e I n t r o d u c t i o n    9

• Saudi Sanitary Code—Private Sewage Disposal (SBC 702).

This Code provides minimum requirements for the installation
of new or the alteration of existing private sewage disposal sys-
tems. It addresses site evaluations, materials, various soil ab-
sorption systems, holding tanks, cesspools and on-site wastewa-
ter treatment systems.
• Saudi Fire Code (SBC 801). This volume aligns closely with SBC
201 and contains requirements for use and occupancy classifica-
tion, building construction and fire and life safety features, fire-
resistive construction maintenance, general precautions against
fire, planning and emergency equipment, fire services land-
marks, interior, decor and furnishing, fire protection systems,
means of escape, and hazardous operations and materials.
• Saudi Existing Building Code (SBC 901). This volume contains FIGURE 1-8 The Saudi Plumbing
information related to work in existing buildings such as repairs, Code (SBC 701)
alterations and additions. Other topics included are change of
use or occupancy, historic buildings and relocatable or portable
buildings. The 2015 International Existing Building Code (IEBC)
is the basis for this volume of the Saudi Building Code.
• Saudi Green Construction Code (SBC 1001). This volume is in-
tended to safeguard the environment, public health, safety and
welfare by establishing provisions to reduce the negative impact
and increase the positive impact of the built environment on the
natural environment and building occupants. This volume of the
building code is an overlay document to be used in conjunction
with the other Saudi Codes, and not as an independent construc-
tion code, as such permits are not to be issued under this code.
This code is not intended to abridge or supersede safety, health
or environmental requirements under other applicable codes or
ordinances. The 2015 International Green Construction Code
(IgCC) is the basis for this volume of the Saudi Building Code. FIGURE 1-9 The Saudi Fire Code
• Saudi Residential Building Code (SBC 1101). This volume of (SBC 801)
the Saudi Building Code addresses construction of single-family
villas and other similar buildings. This volume of the Saudi Build-
ing Code is currently under development.
• Saudi Fuel Gas Code (SBC 1201). This volume of the Saudi
Building Code establishes minimum requirements for fuel-gas
systems and gas-fired appliances using prescriptive and per-
formance-related provisions. This volume of the Saudi Building
Code is currently under development.
1 0    C h a p t e r 1 I n t r o d u c t i o n t o B u i l d i n g C o d e s

FIGURE 1-10 The 2018 Saudi Requirement Set

TABLE 1-1 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-RC 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* SBC 1101-CR SBC 1101-CC SBC 1101-AR
Fuel Gas Code* SBC 1201-CR SBC 1201-CC SBC 1201-AR

1. CR: Code Requirements without Commentary; 2. CC: Code Requirements with Commentary; 3. AR: Arabic Code Provisions
* Under Development
 S B C 3 0 3 A r r a n g e m e n t a n d F o r m a t    11

SBC 303 ARRANGEMENT AND FORMAT

Before applying the SBC 303 requirements, it is beneficial to under-
stand their arrangement, format and correlation. SBC 303, like other
codes published by Saudi Building Code National Committee, is ar-
ranged to follow sequential steps that generally occur during a plan
review or inspection. Table 1-2 illustrates how SBC 303 is arranged.
TABLE 1-2 SBC 303 Arrangement

Chapters Subjects
1 General
2 Geotechnical investigations
3 Excavation, grading and fill
4 Presumptive load-bearing values of soils
5 Spread footings
6 Foundation walls
7 Retaining walls
8 Combined footings and mats
9 Design for expansive soils
10 Design for collapsible soils
11 Design for sabkha soils
12 Design for vibratory loads
13 Dampproofing and waterproofing
14 Deep foundations

TABLE 1-3 Reserved. See SBC 201 and 801 Guides for some examples of correlation between SBC volumes.

TABLE 1-4 Reserved. See SBC 201, 501 and 801 Guides for some examples of correlation between SBC volumes.
1 2    C h a p t e r 1 I n t r o d u c t i o n t o B u i l d i n g C o d e s
CHAPTER
Legal Aspects,
2 Permits and
Inspections

T
he Saudi Building Code for Soils and Foundations (SBC 303) is
effective across the country and enforced by local government.
This chapter describes the process of how the code is enforced
through the review of construction plans and the inspection of the work.
The building department’s authority and code administration responsi-
bilities are discussed.

13
1 4    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

CODE DEVELOPMENT
Codes versus standards
SBC 303 is generally a performance-oriented code. In some cases, the
code references specific documents that regulate materials and meth-
ods of construction to enhance the requirements. These documents
are called referenced standards. Referenced standards are typically
developed by standard development organizations other than the
International Code Council (ICC). However, the ICC does publish sev-
eral standards, such as Accessible and Usable Buildings and Facilities.
When the standards are referenced in the code, they are considered to
be a part of the code. Therefore, all the standards listed in the general
Saudi Building Code (SBC 201), of which SBC 303 is a component, are
also considered to be adopted and enforceable. However, only those
portions of the standard that are applicable to the specific code provi-
sion apply.

Building Codes for all of Saudi Arabia

While in some countries the building code is developed at a
national level, but local municipalities will have to adopt it into their
local law for the code to be effective, this process is not needed in
the Kingdom of Saudi Arabia. The Saudi Building Code National
Committee (SBCNC) and its various subcommittees have developed,
adopted and published the Saudi Building Codes for the entire coun-
try.

FIGURE 2-1 SBC applicable to the entire country.

 C o d e D e v e l o p m e n t    1 5

Many types of standards are referenced in SBC 201. They include

structural engineering standards, material standards, installation
standards and testing standards. The standards are referenced in
different sections of the code. For example, Section 903.3.1.1 states
when a building is required to be provided with an automatic sprin-
kler system in accordance with that section, the system must be
installed in accordance with NFPA 13. The National Fire Protection
Association (NFPA) publishes different types of fire protection stan-
dards that are referenced throughout SBC 201. Basically, SBC 201
regulates when an automatic sprinkler system is required and NFPA
13 provides the installation requirements of the system.
Standards used in the Saudi Building Code
Chapter 35 of SBC 201 lists all of the referenced standards. They are
organized by the promulgating agency and initials. Each standard
is listed with the document’s publication designation, edition year,
title and the section of the code where the document is referenced
(Figure 2-2). It is important that the correct edition of the standard
is used because the revision dates of the standards do not always
coincide with the revision of SBC 201. The referenced codes and stan-
dards are considered part of the requirements of SBC 201. Where
there are conflicts between the code provisions and the referenced
document, the provisions of the code will apply.

FIGURE 2-2 Referenced standard example

1 6    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

AUTHORITY
[Ref. SBC 201 - 103]
To provide for enforcement of SBC 303, the local jurisdiction’s De-
partment of Building and Safety is managed by the building official
under the authority of the Ministry of Municipal and Rural Affairs
(MoMRA). This person is appointed by the appointing authority of You Should
the jurisdiction. The building official has the authority to enforce the Know
code. This person also appoints deputies—building inspectors, plans Prescriptive versus
examiners and permit technicians—to assist in the enforcement of Performance
the code. Building departments can range from a one-person office to Prescriptive code example:
dozens of employees in an agency. [Ref. SBC 201 - 103] • “Handrail height, mea-
Because the building code is adopted as a law in Saudi Arabia, it sured above stair tread
must be enforced just like any law. A department enforces the code nosings, or finish sur-
by reviewing building plans prior to construction and issuing build- face of ramp slope shall
ing permits authorizing the work. The project is then inspected by be uniform, not less
building inspectors trained and certified in their area of expertise. than 850 mm and not
Inspections are also conducted by experts in specialized subjects. more than 950 mm.”
The inspection process is discussed further in this chapter. After Performance code example:
the inspections are complete and the building complies with the • “Fire walls shall have suf-
applicable codes, a Certificate of Occupancy is issued, permitting the ficient structural stabil-
building to be occupied by the public. ity under fire conditions
Even though the code is enforced as a law, there are many provi- to allow collapse of
sions that are not designed to be specific. The building official must construction on either
understand the underlying intent and purpose of the code provisions side without collapse
to reasonably enforce the code and carry out the interpretations of of the wall for the dura-
the Saudi Building Code National Committee (SBCNC). tion of time indicated
As technology improves and new products are developed, the by the required fire-re-
building code falls behind because it is only updated when neces- sistance rating.” l
sary. Therefore, the code gives the building official the authority to
approve alternative materials, designs and methods of construction.
Although many parts of the code are prescriptive in nature, it allows
a performance-based process in complying with its requirements.
A prescriptive code is a requirement that must be specifically met. A
performance code requirement describes the intent of a section and
allows the design professional to come up with a design to comply
with the code.
Alternative materials and methods of
construction [Ref. SBC 201 - 104]
The building official reviews alternative designs and products to de-
termine if they comply with the purpose and intent of the code. The
official must determine if the alternative is at least the equivalent to
the code in quality, strength, effectiveness, fire resistance, durability
and safety. This is accomplished by reviewing testing information
and research reports provided by the manufacturer of the product.
To assist the building official in this process, the ICC Evaluation
Service (ICC-ES) was created. This organization develops acceptance
 A u t h o r i t y    1 7

criteria for different types of construction products. It then evaluates

the products against the standard acceptance criteria to determine if
the product complies with the intent of the particular code (Figure
2-3).
An evaluation report includes specific information about the
product being reviewed (Figure 2-4). It provides manufacturer infor-
mation, installation requirements and details, and specific condi-
tions for the approval. The report is issued for a specific time period
and renewed as required. It is also approved based on specific edi-
tions of the code. Because the code is revised at times, it is important
for the current report to be used in evaluating the product for use in
a project. [Ref. SBC 201 - 104.11]
Occasionally there are instances when there is a practical dif-
ficulty with complying with the building code. Therefore, SBC 201
allows a modification to be approved for individual cases by the
building official. The owners or their authorized agent must apply
for the modification and explain why there is a practical difficulty in
complying with the strict letter of the code. They must also provide
documentation that their proposed fix or modification is compliant
with the intent and purpose of the code. Structural requirements
must be met, the fix or modification must not lessen accessibility to
the structure, must not present a fire hazard, and does not jeopar-
dize the life, health or safety of the occupants. The building official
reviews this information and then determines whether the modifica-
tion should be granted. The official then records the decision in the
building department files. [Ref. SBC 201 - 104.10]

FIGURE 2-3 A building built using shipping containers is considered an alternative

design.
1 8    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

FIGURE 2-4 ICC Evaluation Report

 P e r m i t s    1 9

PERMITS
[Ref. SBC 201 - 105]
Building permits are issued after the building department reviews
the building plans for compliance with the applicable codes. When a
property owner wants to build a new building, remodel a building or
build an addition onto an existing building, he or she must obtain a
building permit from the building department. A set of plans drawn
by an architect or engineer is submitted to the building department,
showing the type of work that will be done on the project.
The building department then reviews the drawings to deter-
mine whether or not the plans comply with the SBC. If the plans are
not in compliance with the codes, a plan review report is created by
the plans examiner and returned to the applicant. The drawings are
required to be revised to correct the areas noted in the plan review
report. Once it is determined that the drawings comply with the
minimum codes, a building permit is issued to the owner or contrac-
tor. The contractor is then authorized to start the work outlined in
the plans. The contractor is required to keep the permit on the job
site for the inspectors as the job progresses.
It is important that owners of a building, as well as the architect
or contractor, obtain a building permit from their local building
department. The building permit ensures that the work is completed
properly, and the building is constructed to the minimum standards
of the code. Occupants of a building expect a building to be safe when
they enter. Working on a building without a permit and assistance
from the building department may create an unsafe condition for
the occupants of the building. If someone does construction with-
out the proper permits, that individual may be subject to criminal
prosecution and the work may need to
be removed. The individual also risks the
chance of additional liability if someone
is injured in the building and it is deter-
mined that a building permit and the
required inspections were not obtained.
[Ref. SBC 201 - 105]
Not every little bit of work in a build-
ing requires a building permit. The code
exempts small projects such as storage
sheds less than 11 m2, fences under
2.10 m, retaining walls less than 1.2 m,
painting, wallpaper installations, play-
ground equipment accessory to one- and
two-family dwellings (Figure 2-5) and
other minor construction. It also allows
owners of buildings to do minor mainte-
FIGURE 2-5 Playground equipment accessory to a single-family nance without needing a building permit.
dwelling does not require a permit. Although a permit may not be required,
2 0    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

the work that is done must comply with the code. No inspections
are required on this work, but the owner is obligated to do the work
properly and in accordance with the code. [Ref. SBC 201 - 105.2]
Submittal requirements [Ref. SBC 201 - 107]
To obtain a permit, an applicant must submit a building permit ap-
plication, a set of drawings and specifications showing what type of
work will be done. These documents must also show how the project
will comply with the applicable provisions of the code. A typical set
of drawings includes floor plans, elevations, sections, details and
specifications on materials and installation of equipment. The draw-
ings should give enough information that anyone could take the
plans and build the structure without knowing anything about the
project. The code requires that a minimum of two sets of documents
be submitted. Once a permit is issued, one set is kept on the job site
and the other is kept on file in the building department. [Ref. SBC
201 - 107.2, 107.3.1]
The code provides specific information that is required to be
submitted on the construction documents. The plans must show the
location, construction, size and character of the means of egress. This
includes the number of occupants that will be in the building. The
design of the exterior wall envelope must also be shown on the draw-
ings. Details of the flashing, water-resistive membrane and means of
drainage must be included. Manufacturer’s installation instructions
are needed to ensure that penetrations and opening details are done
correctly. A site plan showing the location of the building on a lot, as
well as the dimensions between the building and the lot lines, must be
provided (Figure 2-6). It shall be drawn in accordance with an accurate
boundary line survey. In the case of demolition, the site plan shall
show the construction to be demolished, and the location and size of
existing structures and construction to remain on the site or plot. The
most common way of showing this information on the drawings is
with a Code Data Sheet. This sheet provides an overview of the code
requirements for the building. Figure 2-7 is a sample of a Code Data
Sheet.
In most cases, construction documents are required to be prepared
by a licensed architect and/or engineer. SBC 201 requires an owner to
engage and designate a registered design professional to be in charge
of the project. If the owner changes the design professional, he or she
must notify the building official in writing. The registered design pro-
fessional is responsible for reviewing and coordinating any documents
submitted by other people involved in the project and must ensure
that the information is compatible with the design of the building.
[Ref. SBC 201 - 107.3.4]
 P e r m i t s    2 1

FIGURE 2-6 Site plan example

FIGURE 2-7 Sample Code Data Sheet

2 2    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

Plan review process [Ref. SBC 201 - 107]

When construction documents are submitted to the building depart-
ment, the code requires that the plans be reviewed for compliance. It
also requires that the review include other applicable laws or ordinances.
[Ref. SBC 201 - 107.3] If the plans are found compliant with the ap-
plicable codes, a permit can be issued for the work. If the plans have
discrepancies and do not comply with the codes, a plan review report
is generated and provided to the applicant. The applicant then makes
corrections to the plans and resubmits them to the building department
for review and a permit. After the permit is issued, any changes that are
made to the plans must be submitted for review. This includes changes
that are made in the field. In some cases, information is not available
when the original construction documents are submitted. Therefore,
the code allows this information to be provided as deferred submittals.
The use of deferred submittals must be approved by the building official
at the time of the original submittal. The registered design professional
must review the deferred submittals prior to submitting them to the
building official. [Ref. SBC 201 - 107.3.4.1]

INSPECTIONS
[Ref. SBC 201 - 110]
As work progresses on a project that has been issued a building permit,
the building department conducts inspections to confirm compliance
with the plans and SBC 303. The owner or contractor is responsible
for contacting the building department and requesting the appropriate
inspection. Work is not permitted to be covered until an inspection has
been completed. The code requires the following specific inspections be
done to ensure the building complies with the applicable provisions of
the code. [Ref. SBC 201 - 110.3]
Footing and foundation
inspection
The footings and foundation comprise
the supporting structure that bears on
the ground. The footing inspection is
done after the forms and reinforcing
steel are in place. The inspector checks
the forms to confirm that they are the
correct size as shown on the plans, and
also confirms that the reinforcing steel
is the correct size and placed in the
proper location. Foundation walls can be
constructed with many different types
of materials. A concrete foundation is
inspected after the forms have been con-
structed and the reinforcement steel is
FIGURE 2-8 Concrete foundation
installed (Figure 2-8). The inspector once
 I n s p e c t i o n s    2 3

again confirms that the installation complies with the code and plans.
Masonry foundations are checked for the correct masonry, mortar
and grout as well as the reinforcing steel. [Ref. SBC 201 - 110.3.1]
Concrete slab and under-floor inspection
Many concrete slabs contain reinforcement steel, conduits, piping
and other components installed under and within the concrete. After
the concrete is placed, it is impossible to confirm that the materials
were installed properly. Therefore, the inspector must check before
the concrete is placed to verify they are installed properly. This in-
spection is typically done after the plumbing inspector checks the
plumbing installation and the electrical inspector checks the under-
ground electrical equipment (Figure 2-9). [Ref. SBC 201 - 110.3.2]

FIGURE 2-9 Underground plumbing must be inspected prior to the placement of

concrete.

Third-party inspections [Ref. SBC 201 - 1704]

Many parts of a building are complex in nature and design. The
typical building department may not have the necessary resources
or knowledge to inspect these complex issues. Therefore, SBC 201
requires that certain portions of a building be inspected by a third-
party inspection company that has the expertise in these types of
materials and designs. The code prescribes the type and frequency
of the inspections based on the type of material being installed and
the method used to construct the building. The third-party inspector
is hired by the building owner and is responsible for reporting his or
2 4    C h a p t e r 2 L e g a l A s p e c t s , P e r m i t s a n d I n s p e c t i o n s

her findings to the building department. Third-party inspections are

required on materials like structural concrete, steel and masonry. For
example, it is important to confirm that the concrete in a founda-
tion provides the required strength to support a building. Samples
of the concrete are taken during the placement of the concrete and
test cylinders are created and broken to determine the strength of
the concrete. Other tests are done on the concrete to determine its
consistency and compliance with the project specifications. [Ref.
SBC 201 - 1704]

BOARD OF APPEALS
[Ref. SBC 201 - 113]
The SBCNC is responsible for the interpretation of the regulations in
SBC 201. Occasionally, an architect or contractor may disagree with
the decisions or determinations made by the building official rela-
tive to the application and interpretation of this code. In this case,
the architect or contractor can request a hearing before the Board of
Appeals.
The Board of Appeals shall be appointed by the Minister as
defined by government regulation and shall hold office at his plea-
sure. The board shall adopt rules of procedure for conducting its
business. The members appointed to the board are familiar with
construction and understand the building process, and they shall not
be members of the jurisdiction. [Ref. SBC 201 - 113]
An application for appeal shall be based on a claim that the true
intent of the code or the rules legally adopted thereunder have been
incorrectly interpreted, the provisions of the code do not fully apply,
or an equally good or better form of construction is proposed. The
board shall not have authority to waive requirements of the code.

DEFINITIONS
[Ref. SBC 303 - 1.3.1]
Many terms in SBC 303 are specific to the code. Therefore, the code
includes definitions for different terms in the regulations. When a
term is not specified in the code, the normal use of the term can be
used as it applies to the code. The definitions listed in SBC 303 are
very important to the use of the code. Defined terms are italicized in
the code language. When a user sees these terms, they should refer-
ence Chapter 1 of SBC 303 to determine the specific use of the term
in the code. It provides important clarification on the other sections
of the code. All of the definitions are contained in Chapter 1 of SBC
303. Cross references in specific chapters are provided in the first
part of many chapters. Some of the SBC-specific definitions have
been provided in the glossary of this book.
PART
Soils and Rock
II
Chapter 3: Soils and Foundations
Chapter 4: Types of Earth
Chapter 5: Problematic Soils
Chapter 6: Geotechnical Investigations
Chapter 7: Excavation, Grading and Fill
Chapter 8: Load-bearing Values of
Soils

25
 CHAPTER
Soils and
3 Foundations

S
audi Building Code for Soils and Foundations (SBC 303) provides
the minimum requirements for foundation systems. The require-
ments presented in SBC 303 apply to the design, construction and
materials for foundations. [Ref. SBC 303 - 1.1]

PURPOSE OF A FOUNDATION
A foundation’s primary purpose is to transfer and distribute loads
from the structure to the supporting earth, without failure or damaging
movements. For soil-supported slabs, a secondary purpose is to provide
a habitable surface.
Knowing the type of soil or rock that is present at a structure’s site is
important, as it greatly affects the foundation design and construction.
Proper design and construction of foundations cannot be rationally per-
formed without some knowledge of the profile and properties of the soil
or rock that is to support the foundation.

26
26
 D e s i g n B a s i s    2 7

TYPES OF FOUNDATIONS You Should

[Ref. SBC 303 - 1.1]
Know
SBC 303 includes provisions for the design of the following founda-
tion elements: A registered design profes-
sional is an individual who
Footings is registered or licensed
A type of shallow foundation that spreads and transmits loads to practice the respec-
through bearing directly to the underlying soil or rock. Spread foot- tive design profession as
ings are rectangular, square or circular foundation elements that defined by the statutory
typically support columns. Strip footings (also referred to as wall requirements of the profes-
footings) are linear shaped and are typically located under walls or a sional registration laws of
series of columns. Figure 3-1 illustrates isolated footings supporting the state or jurisdiction in
a wood-framed structure. which the project is to be
constructed.
Foundation walls The building official is an
An enclosure for a basement or crawl space that sustains lateral officer or other designated
earth pressures exerted against the walls. These types of walls also authority charged with the
can serve as below-grade load-bearing elements (similar to a strip administration and enforce-
footing). ment of this code, or his
duly authorized representa-
Retaining walls tives. l
A type of shallow foundation that laterally supports and provides
stability for natural or artificial slopes.
Mats
A shallow foundation system consisting of a continuous foot-
ing or slab which spreads and transmits loads over a larger
area than the spread or strip footings. Mat foundations are
also known as rafts, slab-on-ground or ribbed slabs. Heavy
structures might be supported on a thick mat of uniform
thickness. Lightly loaded structures might be supported on
either a ribbed mat or a mat of uniform thickness.
Deep foundations
A foundation that transmits loads below near-surface soils.
Types of deep foundations include drilled shafts (also re-
ferred to as piers), micropiles, driven piles and helical piles.

DESIGN BASIS
[Ref. SBC 301 - 2.4]
The design methodologies provided in SBC 303 shall be
based on allowable stress design using the load combina-
tions provided in Section 2.4 of the Saudi Building Code for
Loading and Forces (SBC 301). Materials used for structural
purposes shall comply with the requirements of SBC 301 FIGURE 3-1 Isolated footings supporting
loads from roof and balconies
(Loading and Forces), SBC 304 (Concrete Structures) and
2 8    C h a p t e r 3 S o i l s a n d F o u n d a t i o n s

SBC 305 (Masonry Structures) as well as ACI 360. [Ref. SBC

303 - 1.2.1]

QUIZ
1. What is a foundation’s primary purpose?

2. Name three of the five types of foundations discussed in

the chapter.

3. What is a building official?

CHAPTER
Types of Earth
4

ROCK
[Ref. SBC 303 - 1.3.1]

R
ocks are defined as a natural aggregate of minerals or miner-
aloids that are connected together by strong bonds or attractive
forces and have some degree of chemical and mineralogical con-
stancy. [Ref. SBC 201 - 1.3.1] The types and composition of minerals in
a rock are a function of how it was formed. Rocks are grouped as sedi-
mentary rocks, igneous rocks and metamorphic rocks.
While rock formations are generally thought to be strong and uni-
form, they can be highly variable. Some of the more difficult rock for-
mations to evaluate for foundation construction purposes can be those
with layers of limestone or sandstone intermingled with layers of clay
or silt. Even where no clay and silt layers exist, rock formations may be
fractured or jointed, resulting in lower strengths. Because of the uncer-
tain effects of fractures and joints in rock, a higher factor of safety is
commonly used for rock than soils.
29
3 0    C h a p t e r 4 Ty p e s o f E a r t h

Karst is type of topography formed from the dissolution of

soluble rocks (such as limestone, dolomite, marble, anhydrite
and halite). An example of a karst limestone is shown in Figure
4-1. Caverns can be formed by a chemical solution of these rocks
by percolating waters that commonly follow the preexisting
joint patterns. This chemical solution can enlarge into caverns.
Sinkholes and solution cavities at or near the ground surface are
characteristic features of karst. These features pose a hazard in
the Eastern and Central regions of Saudi Arabia.

SOIL
[Ref. SBC 303 - 1.3.1]
In general, soils are defined as uncemented or weakly cemented
accumulation of solid particles that have resulted from the FIGURE 4-1 Core sample of karst
disintegration of rocks. [Ref. SBC 201 - 1.3.1] This disintegra- limestone
tion is the result of natural weathering processes, which include
chemical attack, physical breakup due to freezing and thawing, You Should
abrasion, impact or grinding. Larger pieces of soil are then fur-
ther broken down by the same processes, and oxidation can take
Know
place from contact with oxygen in air or water. Weak acids may Sedimentary rocks are
form in rain, which will decompose limestone. Once decomposi- formed when mineral
tion from all sources is sufficiently advanced, a near-surface soil precipitates, or shells
is produced that is able to support organic life, which hastens of marine organisms are
the decomposition by further breaking down the weathered deposited in water and
particles and supplying more organic material. The speed and are hardened by pressure
depths of such weathering processes depends a great deal on the or cementation over long
climate and the original rock type. Limestone and granite rocks time periods. Limestone,
will both follow the above process but produce different soils sandstone and shale are
with different mineral compositions. Most soil will eventually examples of sedimentary
weather out to form clays or silts. rocks.
Soils can be moved from one place to another by the action Igneous rocks are formed
of water, wind, glaciers and volcanic eruptions. This movement through the cooling and
commonly results in further weathering due to grinding and solidification of molten
degradation. lava or magma. Granite
When moved by water, soils tend to be sorted by grain size. and basalt are examples of
Larger grain-sized soil (such as gravel) is typically deposited first igneous rocks.
as the water velocity slows. Fine-grained soils (such as silt and Metamorphic rock is
clay) will stay in suspension at slower water velocities, resulting formed from igneous or
in these materials being carried longer distances. At some point sedimentary rocks being
the velocity of water slows enough, such as in river deltas, to transformed by heat and
allow even the silts and clays to be deposited. pressure. Examples of met-
Wind can also move soil (a dust storm, for example) result- amorphic rocks are slate
ing in deposits called a loess or dune. Loess deposits can be and marble. l
tricky from a geotechnical point of view, since they often appear
as stable vertical cliffs. They have adequate strength until they
are saturated, at which point they can dramatically collapse.
 S o i l C l a s s i f i c a t i o n    3 1

Wind can move sand dunes long dis-

tances, sometimes covering structures
or even entire settlements. Dust storms
can cover many thousands of square kilo-
meters, leaving deposits of finer grained
soils. An example of a windblown soil
deposit can be seen in Figure 4-2.
Volcanic eruptions can throw dust-
sized particles into the air, which can be
carried hundreds or even thousands of
kilometers before settling to the earth,
often forming a significant thickness of
soil.

SOIL CLASSIFICATION FIGURE 4-2 Windblown soil deposits

[Ref. SBC 303 - 2.2.3.1]
For identification and analysis purposes,
soils can be classified in accordance with ASTM D2487. This
American Society for Testing Materials (ASTM) standard pro-
vides a system of classifying soils for engineering purposes
based on the grain size. Table 4-1 reproduces Table 1 from ASTM
D2487. Fine-grained soils are further classified based on the re-
sults of the Atterberg Limits laboratory tests. The classification
system used in the ASTM standard is also referred to as the Uni-
fied Soil Classification System (USCS).
This classification system does not depend on the condition
of the soil (such as how wet or compact it is) but is a basic clas-
sification of raw material properties. It systematically classifies
soils as coarse-grained, fine-grained or highly organic soils.
Coarse-grained soils have at least 50 percent of the material
by weight retained by the No. 200 sieve. The No. 200 sieve has
openings of 75 µm. Individual particles smaller than this size are
typically not visible to the naked eye. Coarse-grained soils are
designated with uppercase G for gravel or an uppercase S for sand
in front of the classification symbol.
Coarse-grained soils are further classified as to whether or
not they are well graded or poorly graded; the classification is
FIGURE 4-3 Sample of a poorly graded,
indicated by the symbol of W or P, respectively. Either of these coarse-grained soil classifying as SP
symbols indicate that the soil is relatively clean and does not have (Note 0.5 mm pencil lead added for scale)
more than 50 percent passing the No. 200 sieve. A well graded
(W) gravel or sand mixture will have approximately the same
percentage of the various sieve sizes available to make a complete
distribution. Poorly graded (P) materials have some sizes missing
 3 2    C h a p t e r 4 Ty p e s o f E a r t h

FIGURE 4-4 Soil Classification Chart reproduced from Table 1 of ASTM D2487
 G r a i n S i z e    3 3

or have a predominance of only a few sizes. Such materials are also

sometimes called “gap graded.” An example of a poorly graded sand You Should
is illustrated in Figure 4-3. Know
Fine-grained soils have more than 50 percent of the material Coarse-grained soils are
by weight passing the No. 200 (75 µm) sieve. Further classification defined as follows:
of fine-grained soils into silts and clays is determined from the
Plasticity Chart. Figure 4-5 reproduces the Plasticity Chart from the • Boulders – Particles of rock
ASTM standard. The classification system uses an uppercase M for that will not pass a sieve
silts and C for clays. with 300 mm × 300 mm
opening.
• Cobbles – Particles of rock
that will pass a sieve with
300 mm × 300 mm and be
retained on a 75 mm sieve.
• Gravel – Particles of rock
that will pass a 75 mm
sieve but be retained on a
No. 4 (4.75 mm) sieve.
• Sand – Particles of rock that
will pass a No.4 (4.75 mm)
sieve but be retained on a
No. 200 (75 µm) sieve. l

FIGURE 4-5 Plasticity Chart reproduced from Table 4 of ASTM D2487-11

You Should
Organic soils (also referred to as peat) consist of partially decom- Know
posed vegetable matter. These soils will have a dark brown to black Fine-grained soils are
color and commonly an organic odor. The classification system uses defined as follows:
an uppercase O for organic soils.
• Silt – Particles passing the
No. 200 (75 µm) sieve that
GRAIN SIZE exhibits little to no strength
[Ref. SBC 303 - 2.2.3.1 and ASTM D2487] when air dry.
Grain sizes are typically determined through a sieve analysis. The sieve • Clay – Particles passing the
analysis is done by determining the dry weight of a sample, either by No. 200 (75 µm) sieve that
oven drying in advance, or by subtracting the moisture content from exhibits considerable
the total weight, the preferred procedure for fine-grained soils. Sieve strength when air dry. l
analysis is typically done by wet sieving; that is, the known amount
of soil is washed through a nest of sieves, which become progressively
smaller down to the No. 200 size at the bottom. After considerable
washing and agitation, the sieves are separated, and the portions re-
tained on each size are determined after drying. The relative weights
retained on each sieve size are divided by the total dry weight of the
sample to provide a percentage passing each sieve or retained on
3 4    C h a p t e r 4 Ty p e s o f E a r t h

each sieve, depending on local practice.

Figure 4-6 shows various sieve sizes and
Figure 4-7 shows a sieve stack ready for
use.
The wet sieving procedure typically
stops at the No. 200 sieve size; however,
the grain sizes less than the No. 200
sieve can be determined using hydrom-
eter tests. In a hydrometer test, the finer
materials are mixed with water, stirred
vigorously, and the mixture is permitted
to settle in a cylinder under undisturbed
conditions. Periodically a hydrometer is
inserted into the liquid, and the depth
to which it settles into the water is read
FIGURE 4-6 Various-sized sieves
at timed intervals. The more soil that
remains in suspension, the denser the
liquid, and the hydrometer will float higher. As time goes
on the soil particles settle and the hydrometer will float
lower. Figure 4-8 illustrates the hydrometer test.

PLASTICITY
[Ref. SBC 303 - 2.2.3.1 and ASTM D2487]
Plasticity refers to the property of soil remaining in a
plastic state over a range of water contents. “Plastic”
means that it will hold together while being deformed, as
opposed to crumbling and breaking apart. The plasticity
of a soil is determined from the Atterberg Limits. The At-
terberg Limits consist of the Liquid Limit (LL), the Plastic
Limit (PL) and the Plasticity Index (PI).
The Liquid Limit is the water content of a soil at
which it changes from a plastic state to a liquid state. The
Liquid Limit test consists of mixing the soil at different
moisture contents and placing the material in a brass
cup. A groove of a defined dimension is cut into the soil
in that cup. The cup is then dropped one centimeter onto
a specified impact block. The Liquid Limit is defined as
the water content at which the groove just flows together
after 25 drops. Figure 4-9 illustrates the Liquid Limit test.
The Plastic Limit is the water content at which
it transitions from a plastic state to a nearly solid
state. Soil at the Plastic Limit will begin to behave
like a brittle material. The Plastic Limit test consists
of mixing the soil at different moisture contents and FIGURE 4-7 Sieve stack ready for use in shaker
 P l a s t i c i t y    3 5

rolling a thread of the soil on a glass plate. The Plastic Limit is

defined as the water content at which the thread is 3.2 mm in You Should
diameter and begins to break up in segments about 3.2 mm to Know
9.5 mm intervals long. Figure 4-10 illustrates the Plastic Limit test. The Atterberg Limits consist
of the:
• Liquid Limit (LL)
• Plastic Limit (PL)
• Plasticity Index (PI). l

FIGURE 4-8 Technician performing a reading during a hydrometer test

FIGURE 4-9 Liquid Limit Test

3 6    C h a p t e r 4 Ty p e s o f E a r t h

FIGURE 4-10 Plastic Limit Test

The Plasticity Index is the size of the water content range where
the soil exhibits plastic properties. The PI is determined by subtract-
ing the Plastic Limit from the Liquid Limit (PI = LL - PL).

QUIZ
1. What are the three types of rock?

2. For identification and analysis purposes, soils can be classified

in accordance with ASTM D2487 based on the ________.

3. The Atterberg Limits consist of what three items?

CHAPTER
Problematic Soils
5

S
BC 303 classifies problematic soils as being expansive, collapsible
or sabkha. [Ref. SBC 303 - 2.2.3.3] Problematic soils require
special attention by a registered design professional.

37
3 8    C h a p t e r 5 P r o b l e m a t i c S o i l s

EXPANSIVE SOILS You Should

[Ref. SBC 303 - 2.3.3, Chapter 9]
Know
Problematic soils include:
• Expansive soils.
• Collapsible soils.
• Sabkha soils. l

FIGURE 5-1 Example of expansive soil shrinkage

Expansive soils are defined as soil or rock material that has a poten-
tial for shrinking and swelling under changing moisture conditions.
[Ref. SBC 303 - 1.3] Figure 5-1 illustrates shrinkage of an expan-
sive soil. When the moisture in an expansive soil increases, the soil
will increase in volume (swell). Conversely, when the moisture in an
expansive soil decreases, the soil will decrease in volume (shrink).
Expansive soils can experience cyclical shrinking and swelling. As a
result, an expansive soil’s volume change is considered recoverable
and is not permanent.
As defined by Unsaturated Soil Mechanics (USM) theories, the
volume change of an expansive soil is a function of the soil’s mineral-
ogy and the magnitude of its moisture change.
Since the volume change occurs in the internal microscopic struc-
ture of the soil, the soil’s mineralogy influences the magnitude of
the volume change that could occur. Certain minerals, such as mont-
morillonite, have a higher potential for volume change than other
minerals, such as kaolinite.
The moisture change in USM theories is defined by a change in
the soil suction. In simple terms, suction is a soil’s affinity for water.
Dry soils have a higher suction and will tend to increase moisture.
Wet soils have a lower suction and will tend to decrease moisture.
The larger the suction change, the larger the volume change. This
suction change can be the result of environmental influences (such
as rainfall and evaporation) and nonenvironmental influences (such
as poor drainage and large vegetation). Suction changes due to
 E x p a n s i v e S o i l s    3 9

non-environmental influences or extreme environmental influences

(such as droughts or extended rainy periods) tend to result in larger
soil volume changes than would occur as a result of normal environ-
mental influences alone. Figure 5-2 illustrates the range of soil suc-
tion.

FIGURE 5-2 Range of soil suction

The moisture content at the time of the foundation construction

also affects the magnitude and mode of volume change. If a founda- You Should
tion is constructed on wetter soils, only a small magnitude of swelling Know
may occur (the soils can only get a little wetter) but a large magnitude To be considered expan-
of shrinking may occur (the soils can get a lot drier). Conversely, if sive, soils shall: [Ref. SBC
the foundation is constructed on dry soils, only a small magnitude 303 - 2.3.3]
of shrinking may occur (the soils can only get a little drier) but a
large magnitude of swelling may occur (the soils can get a lot wetter). • (1) Have a Plasticity Index
Foundations constructed at a more “average” moisture condition, (PI) of 15 or greater.
could shrink or swell similar magnitudes. • (2) Have more than
The Plasticity Index (PI) and Expansion Index (EI) have been cor- 10 percent of the soil
related to the shrink or swell potential of an expansive soil. In gener- particles pass a No. 200
al, the higher the PI and EI, the greater the shrink or swell potential. sieve (75 µm).
Tables 5-1 and 5-2 depict common correlations between these indices • (3) Have more than
and the swell classification. 10 percent of the soil
particles be less than 5 µm
TABLE 5-1 Correlation between Plasticity Index and Shrink/Swell Potential
in size.
Plasticity Index Shrink/Swell Potential
0-15 Very Low
• (4) Have an Expansion
Index (EI) greater than 20.
15-20 Low
Compliance with Items 1, 2
20-30 Moderate
and 3 shall not be required
30-40 High
if Expansion Index is
Over 40 Very High
greater than 20. l
4 0    C h a p t e r 5 P r o b l e m a t i c S o i l s

TABLE 5-2 Correlation between Expansion Index and Shrink/Swell Potential

[Ref. SBC 303 - Table 9-1]
Expansion Index Shrink/Swell Potential
0-20 Very Low
21-50 Low
51-90 Medium
91-130 High
Above 130 Very High

While SBC 303 provides a method for determining if a soil is

expansive or not, it does not provide a method for determining if
a non-homogeneous soil profile will be expansive. For example: Is a
soil profile consisting of 2 meters of sand (which is not expansive)
underlain by 6 meters of clay with moderate expansive potential
considered expansive? Both the Post-Tensioning Institute’s (PTI’s)
“Standard Requirements for Design and Analysis of Shallow Post-
Tensioned Concrete Foundations on Expansive and Stable Soils”
(DC10.5-19) and the Wire Reinforcement Institute’s (WRI’s) “Design
of Slab-On-Ground Foundations” (TF 700-R-07) provide similar
rational methods for determining if a soil profile is considered expan-
sive or not. These methods are based on a weighting procedure that
assumes that the upper portion of the soil profile is most active (due
to lower confining pressures and more exposure to environmental
influences). Due to confining pressures and less exposure to environ-
mental influences, this activity decreases with depth. Figures 5-3 and
5-4 illustrate the weighting method.

FIGURE 5-3 PI Weighting Example 1

 C o l l a p s i b l e S o i l s    4 1

FIGURE 5-4 PI Weighting Example 2

COLLAPSIBLE SOILS You Should

[Ref. SBC 303 - 2.3.4, Chapter 10]
Know
Collapsible soils are defined as soil deposits that are characterized
To be considered collaps-
by sudden and large volume decrease upon wetting. [Ref. SBC 303 -
ible, soils shall: [Ref. SBC
1.3.1] This volume change is permanent. Once the volume decrease
303 - 2.3.4]
happens, the volume will not increase.
Collapsible soils are typically composed of silt or fine sand • (1) Be desiccated Alluvial
particles with small amounts of clay. Gravel may also be present. (Wadi) soils.
Collapsible soils have low density (unit weights) but are typically stiff • (2) Have a dry field density
and strong in their dry state. less than 17 kN/m³.
Wadi soils are generally located on gently sloping to nearly flat
• (3) Have a clay content of
parts of deserts in the Kingdom of Saudi Arabia.
10 to 30 percent.
The Collapse Index (Ie) is defined as the percentage of vertical
relative magnitude of soil collapse determined at 200 kPa as per • (4) Have a collapse index
ASTM D5333. [Ref. SBC 303 - 1.3.1] This index has been correlated greater than 1 percent.
to the collapse potential of a soil. In general, the higher the Ie, the Compliance with items 1, 2
greater the collapse potential. Table 5-3 depicts a common correla- and 3 shall not be required
tion between this index and the collapse potential. if collapse index is greater
than 1 percent. l

TABLE 5-3 Correlation between Collapse Index and Collapse Potential [Ref.
SBC 303 - Table 10-1]
Collapse Index (le)% Collapse Potential
0 None
0.1-2.0 Slight
2.1-6.0 Moderate
6.1-10.0 Moderately severe
> 10 Severe
4 2    C h a p t e r 5 P r o b l e m a t i c S o i l s

You Should SABKHA SOILS

[Ref. SBC 303 - 2.3.4, Chapter 11]
Know
Sabkha soils are defined as salt-bearing arid climate sediments cover-
To be considered sab-
ing vast areas of the coasts of Saudi Arabia. These soils either border
kha, soils shall: [Ref.
partially land-locked seas or cover a number of continental depres-
SBC 303 - 2.3.5]
sions. The development of this material is due to low wave energy
• (1) Be very soft having SPT allowing the settlement of silt and clay particles to take place and
N values in the range of 0 then be loosely cemented by soluble material. Varying quantities
to 8. of calcium carbonate, magnesium carbonate, calcium sulphate and
• (2) Have sediments that calcium, magnesium and sodium chlorides are found. [Ref. SBC 303
contain precipitated salts - 1.3.1]
of different sizes, shape Sabkha soils are highly variable in lateral and vertical extent.
and composition. These sediments are primarily composed of clays, silts, fine sands
and organic matter interlayered at random.
• (3) Have a high soluble
In general, sabkha soils are characterized by high void ratios
salt content.
and low dry densities. Upon wetting, sabkha soils are well known
• (4) Exhibit significant for being highly compressible material with low bearing resistance.
variations in its chemical These sediments are considered among the weakest of foundation
composition. materials.
• (5) Exhibit a high degree
of variability in its
sediments of both vertical QUIZ
and lateral extent within a 1. How are expansive soils defined?
considerably short
distance. 2. Is the volume change of a collapsible soil permanent or recover-
• (6) Become impassable able?
upon wetting. l
3. What type of soil is developed by low wave energy allowing the
settlement of silt and clay particles to take place and then is
loosely cemented by soluble material?
CHAPTER
Geotechnical
6 Investigations

A
geotechnical investigation is the prelude to the rational design
of a foundation for all structures which transfer loads to the
earth or resist earth loads. The geotechnical investigation should
determine the type of soil or rock present at the site and its engineering
properties. A site investigation report (also referred to as a “geotechni-
cal report” or a “soils report”) conveys information about the underlying
soils and recommendations regarding foundation design and construc-
tion.

43
4 4    C h a p t e r 6 G e o t e c h n i c a l I n v e s t i g a t i o n s

WHEN IS A GEOTECHNICAL
INVESTIGATION REQUIRED?
[Ref. SBC 303 - Chapter 2]
Geotechnical investigations are required for all sites unless waived by
the building official or where buildings meet specific criteria. When
required, the geotechnical investigation should be conducted by a
registered design professional. [Ref. SBC 303 - 2.1]

WHEN IS A GEOTECHNICAL
INVESTIGATION NOT REQUIRED?
[Ref. SBC 303 - 2.1, 2.2]
The building official may waive the requirement for a geotechnical
investigation where satisfactory data from adjacent areas demon-
strate: [Ref. SBC 303 - 2.1.2]
• The soil classification is known. [Ref. SBC 303 - 2.2.3.1]
• That no questionable soils (with respect to strength or compress-
ibility) are present. [Ref. SBC 303 - 2.2.3.2]
• That no problematic soils are present. [Ref. SBC 303 - 2.2.3.3]
• That no existing ground water table is present. [Ref. SBC 303 -
2.2.3.4]
• That a deep foundation is not required. [Ref. SBC 303 - 2.2.3.5]
• That no variations (such as rock cavities) in rock strata are present.
[Ref. SBC 303 - 2.2.3.6]
The building official may also waive the requirement for a geo-
technical investigation for structures assigned to Seismic Design
Category A or B. [Ref. SBC 303 - 2.2.3.11 and 2.2.3.12]
A geotechnical investigation is also not required for buildings
that meet all of the following criteria. [Ref. SBC 303 - 2.1.2.1]:
• The net applied pressure is less than 50 kPa.
• The building is subject to no dynamic or vibratory loads.
• Questionable soils and problematic soils are not suspected be-
neath the building.
• Cavities in the rock strata are not suspected beneath the building.

PLANNING THE GEOTECHNICAL

INVESTIGATION
[Ref. SBC 303 - 2.2.3]
To develop the scope of the geotechnical investigation, the registered
design professional should determine the type and size of structure,
the magnitude and type of applied loads and the soils likely to be en-
countered at the site. This information determines the number and
depth of borings, the method of sampling and the required labora-
tory tests.
 S c o p e o f G e o t e c h n i c a l I n v e s t i g a t i o n    4 5

The soils likely to be encountered at the site can be determined

based on experience, a study of landforms and topography, the type
of vegetation present or a review of published information and aerial
photographs.
You Should
Know
SCOPE OF GEOTECHNICAL
INVESTIGATION • A tall building with high
wind and gravity loads will
[Ref. SBC 303 - 2.4]
require more and deeper
The scope of the geotechnical investigation should be determined borings than a short
by the registered design professional. The scope of the geotechnical building with minimal wind
investigation should include: [Ref. SBC 303 - 2.4.2] and gravity loads.
• The number and depth of borings or test pits. The minimum num-
• A structure supported on
ber and depth of borings is presented in Table 6-1. [Ref. SBC 303
highly variable soils will
Table 2-1]
require more borings than a
• Method of drilling and sampling.
structure supported on
• In-situ testing.
uniform soils.
• Laboratory testing.
• If clays are likely present,
TABLE 6-1 Minimum number and minimum depths of boreholes for buildings [Ref. SBC sampling with thin wall
303 - 2.4.2] push tubes is possible.
Minimum Minimum Push tubes cannot be used
Depth of Two Depth of One
Built Area No. of Thirds of the Third of the with sand or rock. Sand
No. of Stories (m2) Boreholes Boreholes (m) Boreholes (m) and rock require different
2 or less < 600 3 4 6 types of sampling. l
600-5000 3-10 g
5 8
> 5000 Special investigation
3-4 < 600 3 6-8 9-12
600-5000 3-10g
> 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 comtaining 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 depthof
boreholes that are differem 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.
4 6    C h a p t e r 6 G e o t e c h n i c a l I n v e s t i g a t i o n s

SITE INVESTIGATION
[Ref. SBC 303 - 2.5]
Based on the proposed scope, a crew under the direction of the
registered design professional performs the site investigation. The
borings and test pits are located in the field using taping, surveying
methods or GPS.
Soil borings permit deeper soil profiles to be investigated. Only
small samples can be typically obtained from soils borings. Where
only shallow soil information is required, test pits can be used
instead of borings. Test pits have the advantage of permitting a
larger section of the soil profile to be physically observed.
If during the site investigation unexpected subsurface conditions
are discovered, the registered design professional should be consult-
ed. The registered design professional should also be consulted if the
borings or test pits cannot be placed as proposed due to obstructions
or other site conditions.

SOIL BORINGS AND DRILL RIGS

[Ref. SBC 303 - 2.5]
The large majority of site investigations are done with a truck-
mounted drill rig, also referred to as a core rig (Figure 6-1). These
rigs can use different methods to advance the boring into the earth.
The methods include:
• Continuous flight augers (Figure 6-2) - These au-
gers are turned into the ground and advanced us-
ing resistance from the drill rig. The auger can be
fitted with different bits for different materials.
Figures 6-3 and 6-4 illustrate different auger bits.
This resistance can be from the weight of the drill
rig or from anchoring the drill rig to the ground.
Where cohesive soils (such as clays) are present,
and the hole can stand stand open on its own, the
augers can be removed to permit insertion and
withdrawal of samplers to obtain undisturbed
samples or other downhole testing equipment.
• Hollow-stem augers (Figure 6-2) – Similar to
continuous flight augers, these augers are turned
into the ground using the drill rig. Producing
disturbed samples, the hollow-stem augers also
provide a cased hole ranging from 10 to 20 cm
in diameter. Samplers and testing equipment can
be inserted and withdrawn from the cased hole
as the boring is advanced to obtain undisturbed
samples or perform downhole testing.
• Drill pipe with rotary bits (Figure 6-5) – Borings FIGURE 6-1 Truck-mounted drill rig
 S o i l B o r i n g s a n d D r i l l R i g s    4 7

FIGURE 6-2 Solid and hollow-stem continuous flight augers FIGURE 6-3 Tungsten carbide rock bit

FIGURE 6-5 Rotary wash bit

FIGURE 6-4 Clay bit

can also be advanced into rock using drill pipe with a rotary bit.
The rotary bit breaks up the rock while circulating wash water or
compressed air that discharges from the bit and moves the cut-
tings to the ground surface. The cuttings are severely disturbed
and effectively not useful in determining index or material prop-
erties. This technique is almost universally used if hard materials
must be penetrated or rock must be cored.
Where access is limited, small track-mounted or wheeled drill
rigs can be used. Figures 6-6 and 6-7 are examples of small drilling
rigs. Due to the limited torque of these small rigs, the depth of the
investigation is limited especially in hard soils. Furthermore, the
type of sampling can also be limited with these small rigs. Excavators
4 8    C h a p t e r 6 G e o t e c h n i c a l I n v e s t i g a t i o n s

FIGURE 6-7 Small track drill rig

FIGURE 6-6 Small wheeled drill rig

and test pits can be used instead of drill

rigs when only shallow information is
required. Figure 6-8 illustrates a test pit
being performed by an excavator.

SOIL SAMPLING
[Ref. SBC 303 - 2.5]
As the borings are advanced, soil samples
are obtained for onsite and laboratory FIGURE 6-8 Excavator performing test pit
testing. The type and method of sam-
pling is dependent on the soil encountered and how the borings are
advanced.
When the borings are advanced using augers, disturbed samples
(referred to as “cuttings” or “grab samples”) can be obtained. Grab
samples can be used for clays, sands and gravel. Figures 6-9 and 6-10
illustrate the method of sampling and the type of disturbed sample
obtained.
Samples of clays, sands and gravels can also be obtained with a
thick-walled split spoon sampler. The sampler is driven into the earth
by a drop hammer. While a sample is caught inside the sampler, it is
considered significantly disturbed. This type of sampler is used to
perform the Standard Penetration Test (SPT). The SPT determines
the number of blows required to advance the sampler three sets of
 S o i l S a m p l i n g    4 9

FIGURE 6-9 Auger being used

FIGURE 6-11 Split spoon sampler

FIGURE 6-10 Grab sample from augers

FIGURE 6-12 Disturbed samples from split

spoon
FIGURE 6-13 Thin wall sampler
5 0    C h a p t e r 6 G e o t e c h n i c a l I n v e s t i g a t i o n s

15 cm. The sum of the last two sets

is referred to as the “N value.” The N
value has been correlated to different
types of material properties (such as
strength) and can be a useful indicator
of strength and settlement potential.
Footnote a of Table 2-1 in SBC 303 rec-
ommends that SPT be performed at all
sites. Figures 6-11 and 6-12 illustrate
the split spoon sampler and types of
disturbed sample obtained.
While disturbed samples can be
useful in determining Index Properties FIGURE 6-14 Sample from thin wall sampler
and moisture contents, they cannot typically be
used to determine material properties. To main-
tain the in-situ moisture content, the samples are
typically preserved in sealed bags. When used to
determine the moisture content of the soil, the
registered design professional should consider
possible drying of the samples that could result
during the augering process.
Undisturbed samples of clays can be obtained
with thin wall tube samplers (also known as
Shelby tubes). The tubes are pressed into the
ground using the resistance of the drill rig. Upon
removal from the boring, the samples are extrud-
ed from the tube and wrapped in plastic to main-
tain the in-situ moisture content. Where the in-
situ moisture content is critical to know (such as
for expansive soils), wax can be brushed onto the
tube sample before wrapping. Figures 6-13 and
6-14 illustrate the Shelby tube sampler and the
type of undisturbed sample obtained. FIGURE 6-15 Core barrel suspended by a cable in a hollow-
Undisturbed samples, or clay and rock, can stem auger
also be obtained from coring. Coring is commonly
done with a double-tube core barrel with tung-
sten carbide or diamond inserts in the annular
drill bit. The double-tube arrangement permits
the outer tube to rotate while the inner tube
remains stationary, protecting the sample from
being disturbed by rotation, return wash water
or air. The core barrel is lowered down the middle
of a hollow-stem auger and advanced to obtain a
core. Figure 6-15 depicts a core barrel assembly
being lowered down a hollow-stem auger by a
cable. The recovered rock cores are measured and
the Standard Recovery Rate (SCR) is calculated
as the ratio of the length of rock core recovered
 S i t e I n v e s t i g a t i o n R e p o r t    5 1

divided by the length of the core run, typi-

cally 200 cm. The Rock Quality Designation
is then computed as the sum of the length of
rock core pieces recovered that are each longer
than 10 cm divided by the total length of a
single core run. SCR and RQD are expressed
as a percentage. For expansive soils, air drill-
ing to maintain the natural moisture content
is recommended. [Ref. SBC 303 - 2.5.3(1)]
Furthermore, the use of lubricant that might
react with the soil and change its properties
shall be avoided. [Ref. SBC 303 - 2.5.2(2)]
Figures 6-16 and 6-17 illustrate the double-
tube core barrel and the type of undisturbed
sample obtained.

FIGURE 6-16 Double-tube core barrel disassembled SITE INVESTIGATION

REPORT
[Ref. SBC 303 - 2.6]
When a geotechnical investigation is required,
a written report shall be submitted to the
building official. This geotechnical report
should include the following:
• Location map depicting adjacent buildings,
existing roads and utility lines.
• Climatic conditions if relevant effect is
suspected on the soil of rock formations.
The climatic conditions can be rain rate or
storm water discharge.
• The site topography and relevant geologic
information.
FIGURE 6-17 Rock cores • A plan showing the locations of borings or
excavation pits.
• A record of the soil samples.
• A record of the soil boring with SPT values for soil samples and SCR and RQD values for rock samples.
• A record of the soil profile.
• The elevation of the water table if encountered. If necessary, the report should include procedures
for dewatering.
• Description of laboratory and field tests and a summary of results.
• Recommendations for foundation type and design criteria. The design criteria should include:
ű Bearing capacity of natural or compacted soil.
ű Provisions to mitigate the effects of expansive, collapsible and sabkha soils.
ű Provisions to mitigate the effects of liquefaction, differential settlement and varying soil
strengths.
ű Effects of adjacent loads.
5 2    C h a p t e r 6 G e o t e c h n i c a l I n v e s t i g a t i o n s

• Expected total and differential settlements.

You Should • Deep foundation information in accordance with SBC 303, Section
Know 14.2.
The following shall be • Combined foundations and mats information in accordance with
shown on the construction SBC 303, Section 8.1.
documents: [Ref. SBC • Special design and construction provisions for foundations found-
303 - 2.6.1] ed on problematic soils in accordance with SBC 303, Chapters 9, 10
• Soil classification and 11, as necessary.
• Compacted fill material properties and testing in accordance with
• Design load-bearing
capacity l
SBC 303, Section 2.2.3.9.
• Recommended sites for waste material disposal.
• Suitability of excavated material for reuse as fill material at site.

You Should
Know QUIZ
The recommendations for 1. When is a geotechnical investigation required?
foundation design must:
• Be based on the facts in 2. If only shallow soil information is needed, what can be used
the geotechnical report instead of borings?
• Not be based on
3. What are thin wall tube samplers (Shelby tubes) used for?
conjecture. l
CHAPTER
Excavation, Grading
7 and Fill

WHAT ARE EXCAVATIONS?

[Ref. SBC 303 - 3.1]
Excavations involve the removal of soil or rock by human operations.
Examples of excavations performed during construction include utility
installation and foundation construction. Excavations can be performed
with mechanical equipment or manually. Safety precautions shall be
implemented during all stages of an excavation. Special care shall be fol-
lowed for excavations extending below the ground water table.
Excavations shall not be performed without a permit obtained from
the building official. [Ref. SBC 303 - 3.2.1] A permit is not required
when the excavation:
• Is exploratory in nature and performed under the direction of a geo-
technical engineer.
• Is less than 600 mm in depth.
• Does not create a cut slope greater than 1500 mm in height and steep-
er than 2 units vertical in 3 units horizontal slope.

53
5 4    C h a p t e r 7 E x c a v a t i o n , G r a d i n g a n d F i l l

Impacts of excavations near foundations [Ref.

SBC 303 - 3.3]
You Should
Know
When excavations are made adjacent to foundations, a loss of sup-
Underpinning should be
port can occur. This loss of support can result in lateral or vertical
designed and installed
movements resulting in damage to the structure.
in accordance with the
Prior to performing excavations near adjacent foundations, the
provisions of SBC 202 and
adjacent foundation must be protected against detrimental lateral
Chapter 33 of SBC 201. l
and vertical movements. [Ref. SBC 303 - 3.3.1] Figure 7-1 illus-
trates an excavation adjacent to a foundation. Vertical movement
protection can be provided by underpinning with piers or piles.
Lateral movement protection can be provided with bracing or shor-
ing.

FIGURE 7-1 Excavation near existing foundation; note foundation beam and pier on right
You Should
WHAT IS GRADING? Know
[Ref. SBC 303 - 3.7, 3.8, 3.9] Cutting consists of the
Grading involves moving earth to shape or slope the ground surface to removal of existing soils or
conform to the requirements of the site plan (such as for drainage or rock by artificial means.
foundation elevation). Grading is generally separated into rough grad- Filling consists of the addi-
ing and fine grading. Rough grading is typically done by earthmoving tion of material over exist-
equipment (such as bulldozers, wheeled scrapers, or motor graders) ing soils or rock by artificial
and generally shape the site. Fine grading, also called finished grading, means. l
 W h a t I s G r a d i n g ?    5 5

is reserved until near the end of the project and is closely associated
with landscaping. Grading typically consists of a combination of cut- You Should
ting and filling. Know
Grading shall not be performed without a permit obtained from “Engineering grading” con-
the building official [Ref. SBC 303 - 3.2.1] unless the grading is in sists of all grading in excess
an isolated, self-contained area and there is no apparent danger to of 3500 m 3 and shall be
public or private property. performed in accordance
What are slopes? [Ref. SBC 303 - 3.4] with the approved grading
plan prepared by a regis-
A slope is a generic term for a ground surface, either natural or man-
tered design professional.
made, that is not level. Sites are commonly made to slope for drain-
“Regular grading” consists
age purposes or to obtain foundation elevations.
of all grading less than
SBC 303, Section 3.4.1 limits permanent slopes (cut or filled)
3500 m 3. Where the build-
to be no steeper than 1:2 or 50 percent. Steeper permanently cut
ing official has cause to
slopes can be permitted if a geotechnical investigation indicates that
believe that geologic fac-
a steeper slope will be stable and not create a hazard to public or pri-
tors may be involved, regu-
vate property. [Ref. SBC 303 - 3.4.1] Figure 7-2 illustrates a slope
lar grading operations shall
failure.
conform to the engineering
grading requirements. l

You Should
Know
Slope is defined by the
change in surface elevation
divided by the horizontal
distance. For example, a
slope of 1 m of elevation
change in 20 m of hori-
zontal distance would be
defined as 1:20 or 5 per-
FIGURE 7-2 Photograph of a slope failure cent. l

Slopes around foundations [Ref. SBC 303 - 3.7]

To reduce standing water and convey water away from foundations,
the ground surface is required to slope away from foundations. SBC
303, Section 3.7.1 requires the ground surface immediately adjacent
to the foundation to slope away at not less than 5 percent for at least
3000 mm measured perpendicular to the foundation. This slope
away from the foundation is commonly referred to as “backslope.” If
lot lines, retaining walls, vegetation or other physical obstructions
prohibit the 3000 mm backslope, a 5 percent slope shall be provided
to swales or drainage systems (such as an underground storm water
5 6    C h a p t e r 7 E x c a v a t i o n , G r a d i n g a n d F i l l

drain system). Swales within 3000 mm of the foundation shall slope at a minimum of 2 percent.
Figure 7-3 illustrates backslope and swale requirements. Sidewalks, driveways and other impervious
surfaces within 3000 mm of the foundation shall be sloped at a minimum of 2 percent away from the
building. Figure 7-4 illustrates the effects of not designing the drainage properly.

High point of
swale

Protective

Slope
backslope at 5%

Slope Slope
Lot drainage
swale slope at 2%

Section
View
Slope

Slope

Plan view

Protective backslope
of 5% minimum Lot drainage or
swale slope at 2%
Reveal

3000 mm or less
if prohibited by
lot lines or site
conditions
Section view

FIGURE 7-3 Drainage requirements of SBC 303, Section 3.7.1

 W h a t I s F i l l ?    5 7

FIGURE 7-4 Very poor drainage near a foundation

WHAT IS FILL?
[Ref. SBC 303 - 3.6, 3.9, 3.10]
Fill is any soil material that has not been placed by nature. It can
generally be divided into three types: engineered fill, forming fill and
uncontrolled fill.
Engineered fill (compacted fill) [Ref. SBC 303 - 3.10]
Engineered fill (also referred to as “compacted fill”) is designed by an
engineer to act as a structural element of a constructed work and is
placed under engineering inspection, usually with density testing. En-
gineered fill may be of at least two types: “embankment fill” and “select
fill.”
“Embankment fill” is composed of the material found on the site,
or imported to no particular specification, other than that it be free of
debris and trash. Embankment fill can be used for a number of situa-
tions if properly placed and compacted.
“Select fill” is composed of material that meets a specified criterion
such as gradation and expansive potential.
Engineered fill should meet specifications prepared by a registered
design professional for a specific project, which include requirements
for material properties, placement, compaction, and quality control
5 8    C h a p t e r 7 E x c a v a t i o n , G r a d i n g a n d F i l l

and testing. Engineered fill should be considered a structural component of the site work and founda-
tion and be treated with the same inspection and quality control as reinforced concrete or any other
structural element.
Fill compaction [Ref. SBC 303 - 3.10]
During construction, engineered fill should be placed and compacted to the required density. Compac-
tion of fill forces air out from between the soil grains causing the soil mass to be denser. The compac-
tion does not change the specific gravity of the soil grains. Figure 7-5 shows a motorized compactor
used to compact engineered fill.
Typically, the required density for engineered fills are specified as a percentage of the maximum
laboratory density. The maximum laboratory density is obtained by “pounding” a soil specimen at
various moisture contents into a mold with a known compaction energy. The obtained densities are
plotted relative to their mois-
ture content resulting in what
is commonly referred to as the
moisture density relationship
(or Proctor Curve). Figure 7-6
illustrates a typical moisture
density relationship.
The compaction energy
used to determine the maxi-
mum laboratory density must
be specified. The two most
commonly used compaction
standards are ASTM D698
(commonly referred to as
“Standard Proctor” and ASTM
D1557 (commonly referred
to “Modified Proctor”). The FIGURE 7-5 Motorized compactor rolling fill in a controlled setting to produce
engineered fill
Modified Proctor uses a
compaction energy about
four times greater than the
Standard Proctor. As a result, Proctor curve
Max dry weight
the Modified Proctor will result 130 2098 kg/m3 Zero air voids
in a higher maximum labora- (saturation) curve
tory density than the Standard 120
Dry unit weight

Proctor. Figure 7-7 illustrates a

Optimum water content

proctor test being performed. 110

During construction, the
- kg/m3

density of the compacted engi- 100

16.1%

neered fill is determined and

compared to the specified den- 90
sity (typically specified as a per-
centage of the maximum labo- 80
ratory density). If the density
is less than required, additional
field compaction is performed. FIGURE 7-6 00 05 10 15
Example of a proctor curve
20 25 30
Molding water content - %
 W h a t I s F i l l ?    5 9

FIGURE 7-8 Field density test using nuclear density meter

The density of the compacted engineered fill is most com-

monly determined with a nuclear density meter. Figure 7-8
illustrates the use of a nuclear density meter to determine
the field density of fill.
FIGURE 7-7 Technician performing the
proctor test to obtain maximum laboratory Controlled low-strength material (CLSM)
density of a soil material [Ref. SBC 303 - 3.11]
Controlled low strength material (CLSM) is a type of en-
gineered fill that does not require compaction. It is a self-
consolidating cementitious material with a compressive
strength of 8.3 MPa or less. Where shallow foundations will
You Should bear on CLSM, the specifications and required testing for the
Know CLSM should be provided in the geotechnical report. [Ref.
SBC 303 - 2.2.3.9]
Where shallow foundations
will bear on compacted fill Forming fill
material, the fill shall com- Forming fill is typically uncompacted fill that is used to form
ply with the provisions in a concrete. Once the concrete hardens, the fill is not intended
geotechnical report. to carry any load from the structure. The registered design
Compacted fill 300 mm professional should not rely on the forming fill for support.
or less in depth need not Forming fill is typically nonexpansive, clean and will stand
comply with the provisions when cut. Material that cannot stand when cut can still be
of a geotechnical report, used as forming fill if it is bagged or otherwise supported.
provided the fill is com-
pacted to at least Uncontrolled fill
90 percent of the maximum Uncontrolled fill (nonengineered fill) is fill that has been de-
dry density at optimum termined to be unsuitable (or has not been proven suitable)
moisture content deter- to support a foundation or other engineering work. Any fill
mined in accordance with that has not been approved for its purpose by a registered
ASTM D1557. l design professional should be considered uncontrolled fill.
Uncontrolled fill may contain undesirable materials, or it has
not been placed under compaction control. Some problems
6 0    C h a p t e r 7 E x c a v a t i o n , G r a d i n g a n d F i l l

resulting from uncontrolled fill include gradual settlement or sudden

You Should collapse.
Know
In flood hazard areas as
established in SBC 201,
FILL SURCHARGE
[Ref. SBC 303 - 3.5]
Section 1612.3, grading and
fill can have detrimental No fill (or other surcharge forces) shall be placed adjacent to any
effects on buildings and buildings or structures unless it has been determined that the build-
structures unless properly ing or structure is capable of withstanding the additional loads from
designed. SBC 303, Section the fill (or other surcharge forces). [Ref. SBC 303 - 3.5.1]
3.9.1 indicated grading and
filling shall not be approved
in flood hazard areas unless:
QUIZ
(1) Such fill is placed, 1. What type of grading consists of all grading in excess of
compacted and sloped 3500 m3?
to minimize shifting,
slumping and erosion 2. What is defined by the change in surface elevation divided by
during rise and fall of the horizontal distance?
flood waters and wave
actions. 3. True or False: Forming fill is intended to carry load from the
(2) It has been demonstrat- structure after the concrete hardens.
ed through analysis per-
formed by a registered
design professional that
the proposed grad-
ing and filling will not
increase flood levels.
(3) Such fill is placed to
avoid diversion of
water and waves
toward buildings and
structures in coastal
high hazard areas.
(4) It has been demonstrated
that the cumulative effect
of the proposed (and all
other) flood hazard area
encroachments will not
increase the design flood
elevation more than 3 m
at any point. l
CHAPTER
Load-bearing Values
8 of Soils

L
oad-carrying capacity of soils, the load-bearing value, is not the
same for all soil types. Through experience it has been discovered
that obtaining these values through correlations with soil classi-
fication (SC, SP, CL) is sufficient for many projects. SBC 303, Chapter 4
provides guidance on the use of such presumptive approaches and lists
accepted methods for direct computation of load-bearing values.

PRESUMPTIVE DESIGN VERSUS COMPUTED

DESIGN
[Ref. SBC 303 - Chapter 4]
Presumptive design describes the scenario where assumed (presumed)
values for soil load bearing are used to size foundation elements placed
in or on the ground. In this case, the site-specific engineering properties

61
6 2    C h a p t e r 8 L o a d - b e a r i n g Va l u e s o f S o i l s

of soil and rock are not known, but the type of rock and the soil clas-
sification can be determined through visual methods.
Since engineers through experience and practice have found that
the load-bearing capacity of soil generally correlates with the soil
type, bearing values can be assigned to visually classify rock and soil.
[Ref. SBC 303 - Table 4-1] There are a few conditions. The foun-
dation soils should have similar characteristics. If the soil profile is
layered, layer thicknesses should not be highly variable across the
site. Presumptive load-bearing values may not be used for soils such
as muds, organic clays and silts, or nonengineered fill, unless load-
bearing values can be substantiated. In such case, soil bearing values
must either be provided by the building official or developed by a
geotechnical engineer. Presumptive design is often appropriate for
small projects with relatively light loads (or lightly loaded temporary

FIGURE 8-1 Generator equipment pad on foundation designed using presumptive soil bearing
values
structures) where a detailed geotechnical exploration is not required,
such as shown in Figure 8-1.
Computed design, by contrast, involves sizing foundations ele-
ments based on site-specific soil bearing values calculated by a geo-
technical engineer. These values are determined through certain field
tests performed during geotechnical drilling and from laboratory tests
run on collected samples. Field tests include the standard penetration
tests (SPT) for coarse-grained soils (ASTM D1586) and the plate load
test (ASTM D1194). The plate load test is performed at the proposed
footing elevation and usually requires a test pit be excavated to that
depth.
 P r e s u m p t i v e L o a d - b e a r i n g Va l u e s    6 3

Laboratory tests may be run on samples collected during drilling

to determine the soil properties needed to compute soil load-bearing You Should
values. The tests such as ASTM D2166 – Standard Test Method for Know
Unconfined Compressive Strength of Cohesive Soil is an example. The Presumptive load-bearing
results of this test can be used to compute allowable bearing values values may not be used
for soils. It is permitted to use routine formulas and correlations in for soils such as muds,
geotechnical practice to compute the bearing value of soil. Ground organic clays and silts or
water will often act to lower bearing values. The engineer should nonengineered fill, unless
consider the submerged unit weight of soil in their analysis. load-bearing values can be
substantiated. l
LOAD COMBINATIONS
[Ref. SBC 201 - 1605.3.1 and SBC 301 - 2.4]
Load combinations for bearing values should be used with the allow-
able stress design load combinations as per SBC 201, Section 1605.3.
Additional allowances are provided in SBC 303, Section 4.1.1. Sec-
tions 4.2 and 4.3 of SBC 303 pertain to application of presumptive
bearing values.

PRESUMPTIVE LOAD-BEARING VALUES

[Ref. SBC 303 - 4.2]
SBC 303, Table 4-1 gives maximum allowable load-bearing values for
two types of rock and various soil types. The load-carrying capacity
of soils is expressed in units of pressure, or in units of pressure (kPa).
Sliding resistance does not have units due to the way it is calculated
and applied. Soil and rock can carry loads vertically, horizontally
(Lateral Bearing Pressure) and can offer sliding resistance. In general,
fine-grained soils have a lower load-carrying capacity. The tabular
values are often used for projects where a full-scale geotechnical eval-
uation is not needed as described in Chapter 6 of this book. Please
note, SBC 303, Table 4-1 does not provide soil bearing values for up-
ward loads such as pull-out resistance of drilled piers or driven piles.
Foundations often require soils to provide bearing strength in
more than one direction. In addition to vertical bearing strength,
resistance to sliding is often needed. For example, concrete gravity
retaining walls require the soil to provide both vertical bearing capac-
ity and resistance to sliding. A pole foundation, such as for the sign
illustrated in Figure 8-2, requires the soil to provide both vertical and
lateral bearing capacity.
For coarse-grained soils, sliding resistance is dependent on the
dead load from the foundation and is computed using the laws of
static friction. Higher dead loads result in greater sliding resistance
in the foundations. However, sliding resistance for fine-grained soils
is different in that it does not increase with dead load. Instead a con-
stant cohesion value is used that is multiplied by the footing contact
6 4    C h a p t e r 8 L o a d - b e a r i n g Va l u e s o f S o i l s

FIGURE 8-2 This highway sign/billboard foundation must provide both lateral and vertical soil
bearing resistance.

area to develop sliding resistance. Sliding resistance is limited for

You Should fine-grained soils.
Know The sliding resistance for clays and silts are limited to one-half or
less of the dead load from the structure. This may affect large, lightly
SBC 303, Table 4-1 does
loaded footings. No matter how great the contact area of the footing,
not provide soil bearing
the resistance to sliding is limited to one-half the dead load from the
values for upward loads
footing. Horizontal resistance to an applied load may be computed
such as pull-out resistance
using both vertical bearing pressure and the lateral sliding resistance.
of drilled piers or driven
Lateral bearing resistance increases with depth for a given soil.
piles. l
However, a limit of 15 times the value listed in SBC 303, Table 4-1
has been established. That is, lateral pressures may be incremen-
tally increased with depth until a value of 15 times the table value is
reached. The lateral bearing capacity is constant with depth.

QUIZ
1. Where can a table of presumptive soil bearing values be found in
the Saudi Building Code?

2. What type of design involves sizing structural elements based

on site-specific soil bearing values calculated by a geotechnical
engineer?

3. True or False: Foundations often require soils to provide bearing

strength in more than one direction.
PART
Foundations
III
Chapter 9: Spread Footings
Chapter 10: Foundation Walls
Chapter 11: Retaining Walls
Chapter 12: Combined Footings and Mats
Chapter 13: Deep Foundations

65
 CHAPTER
Spread Footings
9

F
ootings are shallow foundation elements that are used to trans-
fer loads from a structure into the supporting soils. Most foot-
ings are square or rectangular. Square and rectangular footings
are often called spread footings and might be used to carry column loads
from a structure. Rectangular footings that are very narrow in width
relative to their length are called strip footings or continuous footings.
They could be used to carry line loads from a structure or a series of vari-
ably spaced point loads. Other examples of footings are continuous cir-
cular footings and ring footings. Such footings are very often used in
foundations for above-ground storage tanks. Footings must bear on an
approved material such as soil, rock or compacted fill (SBC 303, Section
3.10) and may be sized using presumptive or calculated soil bearing val-
ues (see SBC 303, Chapter 4). The design of spread footings is guided by
Chapter 5 in SBC 303.
66
66
 M i n i m u m R e q u i r e m e n t s    6 7

MINIMUM REQUIREMENTS
[Ref. SBC 303 - 5.2]

Depth and width

There are code constraints to the size and slope of footings in SBC
303, Section 5.2. Lightly loaded structures may not require large
footings, but they cannot be excessively small. The minimum width
for all footings is 300 mm. The minimum required depth of footings
depends on the bearing material. These requirements are summa-
rized in Table 9-1. SBC 303 does not prohibit footings on silt but a
geotechnical engineer should be consulted to evaluate the use of silts
as bearing materials.
TABLE 9-1 Minimum foot depth on various bearing materials
Bearing Material Minimum Footing Depth
Cohesionless soils 1200 mm
Silty and clay soils 1500 mm
Rock 600 mm to 1200 mm

The tops of footings must be level, but footings may be stepped. A

step is where the top elevation of a footing changes. It is common for You Should
strip footings to be stepped to avoid excessively tall or deep footings Know
on sloping sites, or to accommodate architectural changes in a struc- SBC 303 does not prohibit
ture. The bottom of a footing is typically level but is allowed to slope footings on silt, but a geo-
at no more than 10 percent. technical engineer should
Impact of adjacent footings be consulted to evaluate
the use of silts as bearing
The pressure exerted by footings in coarse-grained soils can affect
materials. l
nearby footings. Pressure from footings can be understood to extend
down in the soil and away from the footing in a triangular pattern
(Figure 9-1). If this soil is removed such that the angle between the
bottom of an adjacent footing is greater than 30 degrees, the soil un-
der the adjacent footing must be laterally retained. Chapter 11 of this
book presents various methods for retaining soils.
Impact of shifting or moving soils
Moving and shifting soils under footings may cause damage to the
supported structure if it is not properly designed to accommodate
these movements. Moving soils include those with shrink or swell
properties and sabkha soils. SBC 303, Section 5.2.3 requires footings
on shifting or moving soils be deepened to ensure stability. Deepening
the footings past zone of seasonal moisture change is one approach.
However, in most cases, shifting or moving soils are problematic soils
that require specialized foundation design procedures. Part IV of this
book addresses this case.
6 8    C h a p t e r 9 S p r e a d F o o t i n g s

Footing 1
Lateral support of
soil not required

Boundary of load
bearing zone
Angle less than Footing 2
30 degrees

Lateral support of
Footing 1 soil required

Boundary of load
bearing zone

Angle greater Footing 2

than 30 degrees

FIGURE 9-1 Adjacent footings

IMPACT OF SLOPES ON FOOTINGS

[Ref. SBC 303 - 5.3]
The placement of footings, such as shallow foundations, must con-
sider adjacent slopes. If a foundation is placed too near an ascending
slope the structure may be at risk of flooding from surface water run-
ning off the slope. Erosion from the slope, such as scree or sloughing
debris and slope movements, can jeopardize a foundation at slope
toe and can undermine foundations atop a slope. Slope failure can
cause catastrophic damage to foundations near slopes. For this rea-
son, foundations must be kept a minimum distance from the slope.
Reference SBC 303, Section 5.3 for specific provisions. In all cases,
proper drainage should be maintained away from foundations. Fig-
ure 9-2 illustrates a slope that will require lateral support before a
footing is constructed atop the slope.
While slopes should be evaluated by a registered design profes-
sional, SBC 303 provides guidance on the position of foundations
relative to slopes in Figure 9-3. Foundations should be constructed
away from the slope toe at least half the height of the slope or 5 m,
whichever is smaller. Foundations atop a slope shall be held away
 I m p a c t o f S l o p e s o n F o o t i n g s    6 9

FIGURE 9-2 Example of slope that will require lateral support before footings can be constructed

from the slope edge by at least one-third the slope height or 12 m, whichever is smaller. Special provi-
sion is required for slopes steeper than 1:1 (45 percent). If these code minimums are incompatible with
site constraints, a retaining structure may be necessary. A geotechnical investigation will be needed to
assess global slope stability and to develop design recommendation for a retaining wall. See Chapter
11 of this text.

Face of footing

Top of
slope
Face of structure
Toe of slope H

At least the smaller of

At least the smaller of H/2 and 5 m
H/3 and 12 m
FIGURE 9-3 Code minimum requirements for slope setback based on SBC 303, Figure 5-1
7 0    C h a p t e r 9 S p r e a d F o o t i n g s

DESIGN
[Ref. SBC 303 - 5.4]
Footings must be designed to uphold the loads from the structure
and transmit them into the bearing soils without exceeding the al-
lowable bearing capacity of the soil and without allowing excessive
settlements. A factor of safety is required in the design to account
for unknown conditions that might overstress the soil or produce
excessive settlements.
The design of footings requires calculating various combinations
of loads from the supporting structure (such as dead, live or snow)
and applying them to the footing. The code requirements for that
process are covered in SBC 301, Section 2.4. The condition applying
the greatest load on the footing shall be used for design.
Loads [Ref. SBC 301 - 2.4]
Seismic [Ref. SBC 303 - 5.4.1.1, 5.6]
Where applicable, SBC 303 requires consideration of seismic loads.
Footings assigned Category C, D, E or F shall be designed according
to SBC 301 and SBC 304 while maintaining compliance with the pro-
visions of SBC 303, Chapter 5. Specifically mentioned in SBC 303,
Section 5.4.2.2 are footing seismic ties. These are required unless
equivalent restraint through other means is provided.
Eccentric loads [Ref. SBC 303 - 5.4.1.2]
Loads that do not fall in the middle of a footing (said to be the cen-
troid) are considered eccentric loads. In this case, the load is not
evenly distributed along the bottom of the footing which will result
in greater pressures on the soil. For the purpose of computing soil
bearing for eccentric loads, the actual width of a footing shall be
converted to an effective width. Effective width is the actual width
minus twice the eccentricity. [Ref. SBC 303 - 5.4.1.2] The applied
loads on the soil shall not exceed the maximum bearing values in SBC
303, Table 4-1. Eccentricity must not exceed one-sixth of the footing
width in the direction of the eccentricity.
Inclined loads [Ref. SBC 303 - 5.4.1.3]
Loads that are not perpendicular to the surface of a footing are said
You Should to be inclined. These loads have both a vertical and horizontal com-
Know ponent applied to the footing that must be transmitted into the bear-
The horizontal component ing soils. Refer to SBC 303, Section 5.4.1.3 for a simplified formula
from a footing on the soil for checking the allowable horizontal components of loads. Other
must not exceed one-half methods of analysis may be used with approval.
the allowable lateral bear-
Adjacent loads [Ref. SBC 303 - 5.4.1.4]
ing capacity of the soil.
Where a footing is placed near another, the soil will experience stress
Lateral bearing and sliding
from both footings. In this case, the new footing should be sized to
resistance may be com-
prevent overstress of the foundation soil for either footing. Larger
bined for this analysis. l
footings may be necessary to keep soil stresses low.
 M a t e r i a l s    7 1

Settlement [Ref. SBC 303 - 5.4.1.5]

Many soils will experience a decrease in volume due to applied loads
from footings. Settlement is a permanent change in soil volume due
to a collapse of soil void space. Soil voids are often filled with air and
water. Adding a load to a soil can squeeze the water from the soil
voids, causing collapse of the voids in a process called consolidation.
This can occur over a time frame of days to years after the load is ap-
plied. This is applicable to fine-grained soils such as clays and silts.
The soil volume will decrease under the applied load as water is ex-
pelled, producing settlement. For soils with primarily air in the voids,
the added load will forcibly collapse some of the air voids resulting in
rapid settlements also called immediate settlement. These modes of
settlement are termed total settlement. Differential settlements can
result from total settlement for many reasons, including nonuniform
applied loads from the foundation and foundation stiffness, in ad-
dition to soil variability. Differential settlement is relevant in struc-
tural design because it can inflict significant damage to structures.
Computing estimates of settlements should be performed by a
registered design professional. The maximum allowable total settle-
ment for spread footings and mat foundations is presented in SBC
303, Table 5-1. Since total and differential settlement cannot be
eliminated, the supported structure must be capable of withstanding
some tilt and distortion due these settlements. Tolerance to move-
ment is dependent on the building material’s construction and the
structure’s height. For example, steel-framed structures can with-
stand more differential distortion than multiple-story reinforced
concrete buildings. Limits for overall tilt and distortion across a
foundation are given in SBC 303, Table 5-2.
Factor of safety [Ref. SBC 303 - 5.4.1.6]
It would be unwise to design a structure without accounting for
potential uncertainties in the allowable bearing values of soils.
Therefore, a factor of safety (FS) is required by SBC 303. The FS is
computed as the sum of the resisting forces (bearing values) divided
by the driving forces, and must be greater than 1 for stability. SBC
303 requires a FS in bearing of 3 for permanent structures and 2 for
temporary structures. Because circumstances such as flooding, scour
and unexpected soil removal can reduce the available bearing capac-
ity, these and other potential factors should be considered in design.

MATERIALS
[Ref. SBC 303 - 5.4.2]
The majority of footings are constructed of reinforced concrete. Re-
inforcing may be post-tensioning or deformed steel bars depending
on the type of footing or foundation constructed. All concrete for
footings must develop a 28-day compressive strength of at least 20
7 2    C h a p t e r 9 S p r e a d F o o t i n g s

MPa. The compressive strength of concrete is correlated to

the concrete flexural strength, which is often the most criti-
cal material property in design. Footings in areas with cer-
tain seismic conditions have special design considerations.
Groups of individual footings must be tied together to pre-
vent them from being displaced individually in the event of
a seismic event. This requirement may be waived if it can be
shown that interconnecting beams (or stiffening ribs) will
provide sufficient restraint of the footings. A slab-on-ground
with integrated stiffening ribs does not need seismic ties
because the slab provides the necessary restraint. Seismic
ties are necessary for structures assigned to a Seismic De-
sign Category of D, E or F and the Site Class is E or F. Refer-
ence SBC 301, Chapters 9 through 16 and SBC 303, Section
5.4.2.2 for specific design criteria. Seismic ties must be able
to resist forces in tension and compression.

CONSTRUCTION
[Ref. SBC 303 - 5.4.2]
Construction of footings is subject to the provisions in SBC
303, Sections 5.4.2.3 through 5.4.2.7, which are summarized
in bullet points below. These provisions do not depart sig-
nificantly from best practices in other regions, but some are
specific to the Kingdom of Saudi Arabia (KSA).
• Placement of concrete should prevent contamination from
foreign materials. Segregation must be prevented if con-
crete is placed through water.
• Water must not be allowed to flow through concrete (green
or cured concrete).
• Footings may be formed against earth, but where forming
is required it should be in accordance with SBC 304, Sec-
tion 20.6.
• Reinforcing steel must be protected by a concrete coverage.
A minimum of 75 mm is required between earth. Specific
provisions for steel are found in SBC 304, Section 20.6.
 Q u i z    7 3

QUIZ
1. True or False: SBC 303 prohibits footings on silt.

2. The tops of footings must be level but may be ________ to avoid

excessively tall or deep footings on sloping sites.

3. Loads that do not fall in the middle of a footing are considered

to be ________ loads.
7 4    C h a p t e r 9 S p r e a d F o o t i n g s
CHAPTER
Foundation Walls
10

C
overed by SBC 303, Chapter 6, foundation walls form an enclo-
sure for a basement or crawl space and must resist lateral earth
pressures exerted against the walls. These types of walls can
also serve as below grade load-bearing elements (similar to a strip foot-
ing). They are considered retaining walls when there is a change in
grade across them and must then be designed to resist earth pressures.
Retaining walls and their design are discussed in Chapter 11.

75
7 6    C h a p t e r 1 0 F o u n d a t i o n W a l l s

DESIGN You Should

[Ref. SBC 303 - 6.6 or SBC 304 - Chapter 13]
Know
Foundation walls must be designed to withstand applied loads from
the supporting structure and any loads induced by soil pressure Foundation walls may be
(earth pressures). They can be designed per SBC 304 or a prescriptive designed according to SBC
approach may be followed as per SBC 303, Section 6.6. The prescrip- 304 or by the prescrip-
tive approach is only allowed if the wall is restrained (laterally sup- tive method in SBC 303,
ported) at the top and the bottom. Restraint at the bottom is most Chapter 6. l
often a concrete slab. Examples of top restraint are a floor system
with a series of steel beams or an elevated reinforced concrete slab.
The foundation wall in Figure 10-1 will be restrained by a concrete
slab and can be considered a restrained wall.
The majority of foundation walls are constructed of concrete
reinforced with steel, at least for crack control. For projects where
unreinforced concrete (plain concrete) is desirable, SBC 303 has
made allowances for walls of certain heights and lateral soil pres-
sures.
Lateral loads [Ref. SBC 201 - 1610]
A change in soil height from one side to the other of a foundation
wall will induce soil pressures on the wall. This pressure (which is
often called load) is proportional to the square
of the height of the soil behind the wall. Com-
puting these loads on a site-specific basis may
not be necessary for every project. SBC 201,
Section 1610 provides soil loads for foundation
wall design based on the concept of equivalent
fluid pressure. This concept simplifies the com-
putation of lateral loads on walls to a triangular
distributed load acting on the back of a founda-
tion wall. The equivalent fluid pressure is dif-
ferent for different soil types. A concept that
is discussed further in Chapter 11 is active soil
pressure versus at-rest soil pressure. At-rest soil
pressures are developed when a foundation wall
does not allow the retained soil to move. Since
foundation walls using the prescriptive method
in SBC 303, Section 6.6 are braced at the top
and bottom, the use of at-rest soil pressures is
appropriate.
Unbalanced loads [Ref. SBC 303 -
6.6]
When a foundation wall must support lateral
soil loads, the height of soil is defined as the
distance from the top of the finished grade on
the uphill side to the top of the slab or footing FIGURE 10-1 Foundation wall that will retain soil
 D e s i g n    7 7

on the downhill side. That height is termed the unbalanced backfill

height. Figure 10-2 illustrates these dimensions. Using this value, a
prescriptive method for wall design may be followed per SBC 303,
Section 6.6 and Table 6-1. For wall heights greater than 2400 mm,
design lateral loads may not be taken from SBC 303, Table 6-1, but
must be taken from SBC 201, Section
1610 based on Unified Soil Classifica- Rigid floor

tion System (USCS) soil classification

type.
In Figure 10-2, the Unbalanced
Backfill Height is 1.9 m and the wall
height is 2.2 m. The backfill mate-
rial is clayey sand (SC) so the load
is 9.5 kPa/m per 300 mm depth. To

H = 2.2m
determine the minimum allowable wall

h = 1.9m
Soil (SC)

thickness and whether steel reinforcing

is required, enter SBC 303, Table 6-6
with a wall height of 2400 mm. Select
the row 2100 mm under Unbalanced t = 200mm

Backfill Height since 1.9 m is greater

than 1800 mm. Read across to the 9.5 Slab
Wall footing
kPa/m and 200 mm wall thickness col-
umn to find a required reinforcing of
Diameter 20 steel at 1100 mm. If the
H = Wall height
wall thickness is increased to 250 mm, h = Unbalanced backfill height
reinforcing is not mandatory. t = Wall thickness

Soil pressures on braced foundation

walls will cause tension along the verti- FIGURE 10-2 Unbalanced backfill height requiring a retaining wall
cal inside face of the wall via a bend-
ing moment. While plain concrete has
some flexural strength, reinforcing steel is often necessary to provide
sufficient strength to resist cracking. Minimum amounts of steel You Should
reinforcing are specified in SBC 303, Table 6-1. However, it is good Know
practice to provide at least 0.5 percent steel in foundation walls to
It is critical that the pre-
control concrete cracking due to concrete shrinkage and differential
scriptive method in SBC
thermal movements. Cracks in foundation walls can allow moisture
303, Chapter 6 not be used
to flow through the concrete, which will deteriorate the concrete and
if the foundation wall is not
shorten the lifespan of the structure.
braced at both the top and
The load on top of a foundation wall can affect the required wall
bottom. l
reinforcing and allowable lateral loads. As such, the axial load on
the wall top should be less than 10 percent of the flexural concrete
strength times the wall thickness. [Ref. SBC 303 - 6.6.3(7)]
Walls also experience tension on the inside wall face in the
horizontal direction, depending on how the top of the wall is braced.
Additional reinforcing along the top of the wall may be appropriate,
but SBC 303 does not offer specific guidance for this condition.
7 8    C h a p t e r 1 0 F o u n d a t i o n W a l l s

MATERIALS
[Ref. SBC 303 - 6.6 or SBC 304 - Chapter 13]
Concrete for foundation walls must develop a 28-day compressive
strength of at least 20 MPa to ensure sufficient flexural strength.
The prescriptive method in SBC 303, Chapter 6 assumes reinforcing
steel with a yield strength of 420 MPa but offers allowance for other
grades of steel. Substitution of steel and modification of spacing are
allowed, as long as the equivalent cross-sectional area of steel per
unit length is maintained. That is, smaller-diameter steel reinforcing
is permitted, but the spacing would be decreased. [Ref. SBC 303 -
6.6.3] Concrete cover over steel reinforcing requirements are listed
in that code and are necessary to protect the reinforcing steel from
corrosion. For braced walls, the reinforcing is placed in the tension
side of the wall which is the inside face of the foundation wall.
Concrete masonry unit walls with grouted and reinforced cells are
commonly used as foundation walls. SBC 303, Section 6.7 provides
minimum requirements for applications of these walls. SBC 303
mentions masonry foundation walls but does not offer guidance on
design minimums. Unreinforced, wet-stacked masonry walls have
little capacity to resist flexure and are discouraged.

QUIZ
1. True or False: Foundation walls can serve as below grade load-
bearing elements.

2. SBC 201, Section 1610 provides soil loads for foundation wall
design based on the concept of _________.

3. It is good practice to provide what percentage of steel in founda-

tion walls to control cracking due to concrete shrinkage and dif-
ferential thermal movements?
CHAPTER
Retaining Walls
11

R
etaining walls are structural foundations or systems that are
designed to resist earth pressures. There are many forms of
retaining structures. SBC 303, Chapter 7 discusses the design
requirements of these structures.

79
8 0    C h a p t e r 11 R e t a i n i n g W a l l s

TYPES OF RETAINING WALLS

(CANTILEVER, RESTRAINED, SEGMENTAL)
[Ref. SBC 303 - 7.1]
There are two broad categories of retaining systems: those that in-
volve structures designed to counteract soil forces (cantilever, grav-
ity walls) and those that use the strength properties of the retained
soils to provide slope stability (segmental reinforced earth walls and
soil nailing, among others). Figure 11-1 is an example of a segmental
reinforced earth wall that has failed. The reinforcing grid and block
alignment pins (in white) are visible. Retaining structures also in-
clude deep foundations such as drilled shafts, driven piles and sheet
pile walls. Deep foundations are discussed later in Chapter 13. SBC
303, Chapter 7 covers shallow retaining structures which is the scope
of this chapter.

FIGURE 11-1 Segmental retaining wall failure showing construction

The most common structural retaining walls are gravity walls and
cantilever retaining walls. Variants of these walls can be developed by
adding structural buttresses and are called buttressed walls or coun-
terfort walls depending on the location of the buttress.
A simple gravity wall can consist of large stone blocks, mortared
block or even plain concrete. Figure 11-2 is an example of a gravity
wall constructed of large stone boulders.
Wall stability is developed through sliding friction and pas-
sive earth pressures at the wall toe. Tall gravity walls can consume
substantial amounts of material and require significant site area.
Cantilever retaining walls constructed of reinforced concrete can be
more efficient from a design and cost of materials perspective.
 M o v e m e n t o f W a l l s ( T r a n s l a t i o n a n d R o t a t i o n )    8 1

FIGURE 11-2 Gravity retaining wall constructed of boulders

MOVEMENT OF WALLS (TRANSLATION

AND ROTATION)
[Ref. SBC 303 - 7.2.3]
The pressure of the soils behind a retaining wall will induce sliding
and rotational forces on the wall. A wall might be pushed laterally
if insufficient resistance to translation (sliding) is provided. A more
common mode of movement is rotation where driving soil forces can
induce wall toppling.
Retaining walls must be designed to resist translation and rota-
tion. Resistance to these modes of movement are developed through
the geometry of the wall and the soil properties under the wall.
Frictional forces between the soil and the wall footing are used to
resist sliding. Many walls can develop sufficient sliding capacity from
soil friction alone, but additional capacity can be developed from
resistive lateral earth pressures by deepening the footing or adding
an integral key (shear key) in the footing. Figure 11-3 illustrates two
You Should modes of movement in a cantilever retaining wall.
Know Resistance to rotation of a retaining wall is developed by balanc-
SBC 303 does not allow the
ing the forces acting on the retaining wall and by the bearing capacity
use of passive earth pres-
of the soil. A cantilever retaining wall offers a good example of bal-
sures to resist wall sliding
ancing rotational force by proper sizing of the footing and placement
[Ref. SBC 303 - 7.2.3.1]
of the wall (on the footing). SBC 303 stipulates that rotation at the
(SBC 303, Section 7.4).l
8 2    C h a p t e r 11 R e t a i n i n g W a l l s

Wall tends to
rotate from
lateral force
Total lateral force

Bearing pressures

Lateral force must be

resisted by sliding friction
Toe of wall footing.
Check for adequate
bearing of soil here.

FIGURE 11-3 Two modes of cantilever retaining wall movement

free top of a retaining wall be limited to less than 10 percent of the

wall height. [Ref. SBC 303 - 7.2.3.1]
SBC 303, Section 7.4 lists several minimum requirements as they
pertain to wall movement.
• The base of a retaining wall footing must be at least 1 m deep to
resist sliding. The minimum factor of safety against sliding is 1.5
for cohesionless soils and 2.0 for cohesive soils. Keys may be used
subject to SBC 303, Section 7.4.5.
• Overturning (toppling) shall be prevented with a minimum factor
of safety of 1.5.
• Factors of safety against wall movement are 1.1 for seismic load-
ing.
• Deep-seated sliding, which can effectively be slope movement,
shall be resisted with a factor of safety of at least 2.

DESIGN
[Ref. SBC 303 -7.2]

Lateral loads
The loads exerted on a free-standing retaining wall are primarily
lateral forces. The magnitude of the force depends on whether or not
the retained soil is allowed to move toward the wall. If it were pos-
sible to “wish” an infinitely rigid retaining wall into place, the soils
behind the wall would not move and the soils would be in the at-rest
case. The force they exerted on the wall would be the same as before
the wall was constructed. The at-rest case is said to exist if a retain-
ing wall does not flex or translate. When a wall is restrained (pinned)
at the top and bottom, the soils are considered to be in their at-rest
state; see Chapter 10, Foundation Walls. It should be noted that
 D e s i g n    8 3

many retaining walls are incorporated into the design of a structure

and can have substantial vertical loads that will affect the design of
the retaining wall.
When a retaining wall is allowed to rotate, flex or translate under
the lateral soil forces, the soil is said to be in the “active state.” In this
condition the internal strength of the soil is acting to provide partial
resistance to lateral soil movement. Active lateral soil forces are less
than the at-rest case.
A third state of soil lateral forces is the passive pressure case
where the soil is being acted upon by a horizontal force rather than
the soil “doing the pushing.” Passive soil forces are resistance forces
provided by soil. Figure 11-4 depicts the three earth pressure states.
The passive example shown is not a typical scenario but is shown to
illustrate the concept. Passive soil pressures are typically developed

Wall flexes
slightly
Soil

No wall Soil
movement Soil
Soil in active state

Force
Soil

At-rest earth
pressure case Wall flexes
slightly Soil

Soil

Soil in passive state

FIGURE 11-4 Diagram depicting three earth pressure states
8 4    C h a p t e r 11 R e t a i n i n g W a l l s

on the resisting side of the retaining wall footing, but SBC 303, Section 7.4 does not
permit the use of passive earth pressures to resist wall sliding.

TABLE 11-1 Amount of rotation necessary to develop earth pressure state (SBC 303, Table 7-1)
Rotation (d/Ha)
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. d = Horizontal translation at the top of the wal; H = Height of the wall

Recall that wall movement is required to develop active or passive earth pressure
states. SBC 303, Table 7-1, illustrated in Table 11-1 below, defines the conditions
required for active and passive earth pressures to exist.
Effect of surcharge, ground water and compaction on
lateral loads [Ref. SBC 303 - 7.2.4, 7.2.5, 7.2.6]
Lateral loads from soils can be compounded by other situations such as placing addi-
tional loads on soils above a retaining wall. The vertical forces from the added load will
be converted to horizontal forces in the soil mass which will increase the lateral load on
the retaining wall.
Ground water is not often considered an external force but has a profound effect on
the soil and retaining wall. Ground water will act to decrease the strength of soils behind
and under a retaining wall. It can increase the unit weight of the retained soil which will
increase the lateral load on the retaining wall. The increase is typically substantial which
is why SBC 303 requires retaining walls to be designed for the additional full weight of
hydrostatic pressures on the wall unless a drainage system is installed. A ground water
imbalance across a retaining wall can produce seepage forces in the soil under the wall.
Seepage forces will reduce the soil strength under the footing and can cause failure of the
retaining system. It is critical to provide for adequate drainage behind a retaining wall.
Code provision for drainage systems are discussed in SBC 303, Chapter 13 and in a later
section of this chapter.
Compacting soils behind gravity retaining and cantilever retaining walls is common
and can substantially increase the internal stresses in a retaining wall that can cause rota-
tion of the wall. Reduced effort compaction behind retaining walls is a common practice
since it is difficult to predict the lateral soil forces due to compaction. If reducing com-
paction efforts is not possible, SBC 303 provides a means for estimating the increased
lateral force of compaction on a retaining wall in SBC 303, Section 7.2.6. The retaining
wall design should be evaluated for internal stresses based on the increased loads.
Seismic loads [Ref. SBC 303 - 7.2.7]
Loading due to seismic events is discussed in SBC 303, Section 7.2.7; minimum factors
of safety are stipulated in Section 7.4.
 C o n s t r u c t i o n    8 5

Factors of safety (sliding, overturning, bearing capacity) [Ref. SBC 303 -

7.3, 7.4]
The driving and resisting forces on a retaining wall must balance or the wall will not “stand up.” How-
ever, balancing the forces would create a wall at risk of imminent failure. Additional resistive forces are
needed to create a margin of safety, or factor of safety (FS). An FS is expressed as the ratio of resistive
forces divided by the driving forces. SBC 303 stipulates different factors of safety for various analysis
cases and soil types. Overturning shall have a minimum FS of 1.5; for sliding at least 1.5 for cohesion-
less backfill and 2.0 for cohesive backfill.

CONSTRUCTION
Drainage [Ref. SBC 303 - 7.6.4]
As discussed previously, the stability of a retaining wall can be compromised if water is allowed to col-
lect in the retained soil. This scenario will increase loads on the wall and reduce soil strength. Drain-
age systems are almost unilaterally installed behind retaining walls. SBC 303 requires that retaining
walls provide an adequate factor of safety if the effectiveness of the drainage system is compromised.
[Ref. SBC 303 - 7.6.4] Retaining walls should have, at a minimum, weep holes in the base surrounded
with freely draining material (gravel) and protective surface drainage measures to direct water away

305 MM
305 MM OF TOP SOIL

#5 @ 305 MM O.C. VERT.

GRAVEL BACK FILL

2438 MM MAX.

DRAINAGE BLANKET
#4 @ 305 MM O.C. HORIZ.

#4 @ 305 MM O.C.E.W. GEOTEXTILE FILTER FABRIC

ADD 51 MM DIA. PVC

WEEP PIPE @ 1829 MM
TOP OF GRADE O.C. 203 MM ABOVE
FINAL GRADE
305 MM

(10) #4 CONT.

203 MM

#4 @ 305 O.C.
TOP AND BOTTOM

1371 MM

FIGURE 11-5 Typical cantilever retaining wall with drainage layer and protective cap
8 6    C h a p t e r 11 R e t a i n i n g W a l l s

from the wall. Inadequate drainage behind retaining walls and poor
You Should surface water management practices are the leading causes of retain-
Know ing wall failures that can lead to catastrophic damage to structures,
Inadequate drainage
costly repairs and loss of life. The requirements of SBC 303, Section
behind retaining walls and
7.6.4 should be considered mandatory. Figure 11-5 shows a typical
poor surface water man-
cantilever retaining wall cross section with a drainage layer behind
agement practices are the
the wall and a protective clay cap.
leading causes of retaining Joints [Ref. SBC 303 - 7.6.3]
wall failures. l
Construction of concrete and concrete masonry unit (CMU) retain-
ing walls often must be accomplished in stages which necessitates
the use of joints. Furthermore, provisions for the expansion and con-
traction of concrete must be made. The two types of joints required
in retaining walls are construction joints and expansion joints. While
not all retaining walls are concrete, other rigid wall systems may re-
quire movement joints depending on their configuration. SBC 303,
Section 7.6.3 discusses joints.
• Construction joints are required between concrete pours where
there is a delay in placement. Joints shall be cleaned and rough-
ened prior to placing the next concrete lift. While not mandated
You Should by SBC 303, steel reinforcing dowels or shear keys are sometimes
Know planned and installed at construction joints.
• Horizontal joints shall be minimized as it can reduce wall capacity.
The two types of joints
• Expansion joints are required in long walls every 10 m.
required in retaining walls
• For expansion joints, bonded reinforcing steel must not extend
are construction joints and
through the joint. The use of unbonded dowels or shear keys can
expansion joints. l
be considered with approval of the building official.
• SBC 303 requires expansion joints to be filled with flexible ma-
terial but allows significant latitude in material selection. Many
quality expansion joint filler materials and systems are available
on the market. Watertight fillers may be necessary depending on
the application.

QUIZ
1. What are the two most common types of structural retaining
walls?

2. True or False: The active earth pressure state is said to exist

when a retaining wall is allowed to rotate, flex or translate under
lateral soil forces.

3. It is critical to provide for ________ behind a retaining wall to

reduce the lateral forces on a wall.
CHAPTER
Combined Footings
12 and Mats

METHODS OF DESIGN (ACI 336.2R)

T
he Kingdom of Saudi Arabia has chosen to allow the analysis and
design of combined footings and mats to be per ACI 336.2R.
SBC 303, Chapter 8 outlines modifications and additional re-
quirements. The design of these shallow foundations is by strength de-
sign per SBC 304. A geotechnical investigation is required as a basis of
design for footings and the report should include values for subgrade
reaction and recommendations for the type of footing or mat. Reference
SBC 303, Chapter 2 for provisions and exceptions. SBC 303, Section
8.1.3 outlines requirements for specialized footing or mat foundation
systems (such as proprietary preengineered systems) that do not strictly
conform to Chapter 8.

87
8 8    C h a p t e r 1 2 C o m b i n e d F o o t i n g s a n d M a t s

Loads [Ref. SBC 303 - 8.2]

Loads on combined footings and mats, like individual footings, must
be designed for the most unfavorable load combination condition from
SBC 301, Section 2.4. Do not neglect to include the self-weight of the
foundation and the footings. Since footings may be backfilled below
grade, include the weight of the backfill. The weight of any additional,
overlying soil on the footing must also be included. A structure may be
subject to buoyant uplift forces that lower the soil contact pressures.
This may not produce excessive bearing pressures, but it could reduce
sliding resistance and should be considered when determining the
unfavorable case. Do not neglect to account for applied moments and
horizontal components of forces due to eccentricity.
Use unfactored load combinations to determine the conservative
(most unfavorable) case when computing applied bearing pressures.
Load factoring is not deemed necessary because computation of allow-
able soil contact pressures includes a required factor of safety, typically
ranging from 1.5 to 3.
Concrete for shallow foundations should meet minimum require-
ments in SBC 303, Section 5.4.2. Where construction joints are neces-
sary in mats, they should be placed at areas of low shear. A simplifying
location of midway between columns is allowed. Dowels or thickened
edges may be used where shear transfer is desired, but SBC 303 does not
require dowels or shear keys.
Contact pressure [Ref. SBC 303 - 8.4]
The pressure exerted by the footing or mat will be transferred into the
soil. The maximum contact pressure should be chosen based on the
load combination from SBC 301, Section 2.4 applied on the footing that
develops the highest contact pressure. Since applied stress to soils must
not result in bearing failure or excessive settlements, the maximum
allowable soil contact pressure should not violate the requirements of
Table 4-1, Table 5-1 or Table 8-3 in the respective chapters of SBC 303.
SBC 303, Section 8.4.4 lays out criteria that must be considered in
determining contact pressures and subgrade response:
1. The pressure applied to the soil is dependent on the soil stiffness and
rigidity of the footing and the pressure distribution is different for
sands and for clays. This difference in response must be considered
in design.
2. Footing or mat embedment will affect soil and structure response.
3. Soft soils may undergo consolidation which will alter the stress dis-
tribution under the footing over time. The designer should account
for this in design and construction.
4. The modulus of subgrade reaction has been shown to be dependent
on the footing size.
5. The variation in soil pressure due to eccentric loads must be consid-
ered.
 M e t h o d s o f D e s i g n ( A C I 3 3 6 . 2 R )    8 9

Footings should be sized to maintain contact pressures below

allowable soil-bearing pressures from the most conservative loading
case. Contact pressures should be determined in compliance with
SBC 301, Sections 8.4.5.1 through 8.4.5.3. Linear distribution of soil
contact pressures is permitted for continuous footings and mats sub-
ject to a rigidity check. See Sections 8.7.2 and 8.9.3.3, respectively.
Elastic subgrade response
analysis is required in other
cases.
The calculation of con-
tact pressures from foot-
ings are grouped into foot-
ings where the total base
is in compression or where
only part is in compression.
Figure 12-1 illustrates the
difference.
After selecting the
proper case, computation
Tension
of contact pressures should
be made by SBC 303,
Equation 8-2, or Equations Base fully in Base in compression
compression and tension
8-3 and 8-4. Other meth-
ods are appropriate for
FIGURE 12-1 Footing bases in states of compression and tension
nonrectangular footings.
Beams on elastic foundation [Ref. SBC 303 -
8.4.5.3.1]
For heavily loaded footing systems, the designer may choose to
consider the footing system as flexible and use an elastic analysis to
model foundation deflections and subgrade response. SBC 303 al-
lows the use of discrete element or finite element methods.
Modulus of subgrade [Ref. SBC 303 - 8.4.5.3.2]
The applied stresses to the soil will be distributed into the subsurface
differently for different soil types. However, for shallow foundations,
the engineering property “modulus of subgrade reaction, ks” is used
to quantify the distribution of stress. For important or sensitive
structures, the code recommends a geotechnical investigation be
performed and a registered licensed professional to determine ks.
[Ref. SBC 303 - 8.4.5.3.2.4] SBC 303 allows the modulus to be
determined through one of four methods. The first means of deter-
mination is through presumptive methods with SBC 303, Tables 8-1
and 8-2 as a guide.
The second method is a field plate load test per American Society
for Testing and Materials (ASTM) D1194 to determine the field
modulus that is then converted to ks per Equation 8-5. It should be
noted that this standard has been withdrawn by the ASTM com-
9 0    C h a p t e r 1 2 C o m b i n e d F o o t i n g s a n d M a t s

mittee. The variable “n” in this equation is provided to account for

comprehensive soil layers within four times the footing width. Field
plate load tests may not be used to determine the modulus for mat
foundations. Instead subgrade reaction theory modeling soil layers
with differing subgrade moduli is required. A third method is to
determine ks using elastic parameters derived from laboratory or in-
situ field tests following SBC 303, Section 8.4.5.3.2.3. Finally, for less
important structures or lightly loaded projects where practical foot-
ing size and reinforcing control the design, ks may be taken as 120
times the allowable soil bearing. The designer should be aware that
the subgrade response to footing loading may be time dependent and
should be considered during design.
Settlement [Ref. SBC 303 - 8.5]
Applying load to soils may induce settlement through either im-
mediate deformations or through consolidation of the soft soils.
Applied loads will change over time for some structures. An example
is the construction of a multiple-story building on soft soils that
incrementally loads the soils. Maximum values of total settlement
of combined footings and rafts for various structures are limited to
those given in SBC 303, Table 5-1. Maximum differential settlements
for combined footings are limited to the values in SBC 303, Table 5-2
and mat foundations to three-fourths of the total settlement so long
as the total settlement is no more than 50 mm. Alternatively, dif-
ferential settlements for mats are determined based on the relative
stiffness kr (superstructure to subgrade stiffness) in SBC 303, Equa-
tion 8-9; see SBC 303, Table 8-3.

DESIGN
[Ref. SBC 303 - 8.6]
Footings and mats are to be sized such that the maximum contact
pressure on the soil is less than the allowable pressure under the
most unfavorable load condition. Analysis of contact pressure must
consider applied loads (including applied moments, eccentric and
horizontal loads) as well as expected subgrade deformations that
could increase footing contact pressures. Rigid body mechanics may
be used to compute the resulting forces and moments. For many
applications, code-required and practical minimums control dimen-
sions and reinforcing rather than applied loads. The design of com-
bined footings should meet requirements of SBC 303, Sections 8.6.2
through 8.6.4.
Code-required minimum footing thicknesses are given in SBC
303, Chapter 4. Footing thickness shall be designed to resist shear
based on plain concrete analysis. SBC 303 requires that footings be
designed to resist flexure. It should be cautioned that contact pres-
sures on the subgrade are dependent on footing stiffness. A more
flexible footing may produce higher contact stresses than a footing
 D e s i g n    9 1

FIGURE 12-2 Foundation on spread footings with perimeter retaining walls

that is assumed to be rigid. Figure 12-2 shows a foundation under

construction that includes a retaining wall for the exterior walls and
spread footings for the interior columns. Figure 12-3 illustrates the
use of spread (spot) footings for a lightly loaded residential structure
with the floor suspended clear of grade.
Rectangular-shaped footings
For rectangular footings, the resultant of applied loads should fall in
the middle third of the footing. Where not possible, SBC 303, Section
8.6.2 provides for specific requirements for computing the contact
stresses.
Trapezoidal or irregularly shaped footings
Eccentricity is best avoided if possible, but code allows trapezoidal
and irregularly shaped footings to address eccentricity in SBC 303,
Section 8.6.3. Due to the complex soil structure interaction for flex-
ible footings, computerized analysis methods, under the authority of
a registered design professional, to analyze response and determine
reinforcing are appropriate.
9 2    C h a p t e r 1 2 C o m b i n e d F o o t i n g s a n d M a t s

FIGURE 12-3 Spread footings under a residential structure

Strap footings [Ref. SBC 303 - 8.6.4]

Strap footings consist of two footings structurally connected by a
strip or beam. This type of foundation element is useful for limiting
differential movements between columns, providing lateral restraint
to footings, avoiding the necessity of a very large footing or large
eccentricity or assessing specific structural requirements (such as
providing a moment frame within the foundation).
SBC 303, Section 8.6.4 addresses these footings with five require-
ments:
1. The strap moment of inertia must be not less than four times that
of the attached footing for the strap to be considered a rigid body.
2. The width of the strap shall be equal to the smallest column
width.
3. The strap shall be out of contact with soil.
4. The strap shall be securely fixed to the column and footing by
dowels so that the elements act as a single structural system.
5. The footings shall be proportioned so that the least lateral dimen-
sions are within 300 to 600 mm of each other and the soil pres-
sures are approximately equal.
 D e s i g n    9 3

Continuous footings [Ref. SBC 303 - 8.7]

Continuous or strip footings are very common in foundations for
structures and retaining walls. These footings are sufficiently long
relative to their width. SBC 303, Section 8.7 covers the minimum
design and analysis requirements of these footings. If the structure
itself is rigid such that individual columns along the strip footing are
not allowed to undergo differential settlement, the footing may be
considered rigid. If that does not apply, SBC 303 requires a relative
stiffness of greater than 0.5 for the footing to be considered rigid.
Relative stiffness is to be calculated by Equation 8-9 in SBC 303,
Section 8.7.2.1 which offers guidance on computing stiffness of a
structure. For many lightly loaded structures and support condi-
tions, the strip footing may be considered rigid. Not all footings can
be considered rigid and flexible footing analysis must be performed
in that case. A flexible continuous footing should be analyzed as a
beam supported on an elastic foundation.
Footing thickness and minimum allowable beam width shall be
designed per punching shear of soil using plain concrete analysis,
similar to rectangular footings. Moments and shears in the footing
can be calculated by classical methods, but SBC 303, Section 8.7.3
allows for a simplifying approach for a series of columns supported
on a strip footing. Strip footing dimensions, like all footings, must
not produce excessive contact pressures.
Grid foundations [Ref. SBC 303 - 8.8]
A grid foundation is a system of spread (rectangular) footings con-
nected by grade beams (strip footings) often arranged in a rectangu-
lar grid. This foundation type is desirable for structures with light
to moderate loads where the increased capacity and rigidity of a mat
foundation is not necessary, but the need to limit to differential set-
tlement is required. An example is a multiple-story building with the
column loads transferred onto the footings. The design and analysis
requirements of grid foundations shall be per SBC 303, Section 8.7.
The analysis must consider each strip independent with column
loads sized “in direct ratio” to the stiffness of the strip footings. It
may be necessary to analyze the case of footing-to-footing spans as
well as multiple spans per strip.
Mat foundations [Ref. SBC 303 - 8.9]
Mat foundations are chosen if footings under individual columns
become large or where multiple, irregularly spaced point and line You Should
loads are applied to the foundation. Mats offer increased resistance Know
to differential settlements and have the advantage of providing an Lightly loaded mats on
integrated foundation floor system. These foundations must be de- collapsible and expansive
signed either as rigid bodies or flexible plates supported on an elastic soils are a special case of
subgrade. [Ref. SBC 303 - 8.9.1] mat foundations. l
9 4    C h a p t e r 1 2 C o m b i n e d F o o t i n g s a n d M a t s

Design of mat foundations by strength design shall be per SBC

304. Computerized methods to assist in design are allowed. The
building official may require submittal of computer-generated out-
puts that include a summary of the analysis, design assumptions and
user inputs.
Maximum allowable contact pressures for mats are controlled by
SBC 303, Chapter 4. Where a geotechnical report is provided with
allowable bearing pressures, that value must be factored to an “ulti-
mate value” by multiplying it by the “ratio of the sum of factored
design loads to the sum of the unfactored design loads.” For example,
where no live loads are present, the ratio is 1. A ratio greater than 1
will result for most cases. [Ref. SBC 303 - 8.9.3.1]
The minimum thickness of a mat foundation is controlled by
punching shear at critical locations using plain concrete analysis.
Simple one-way shear analysis is not sufficient for most projects.
Two-way and three-way shear (diagonal) should be considered in
accordance with SBC 304, Chapter 15.
Rigid design of a mat is allowed per SBC 303, Section 8.9.3.3 pro-
vided that sufficient stiffness is present in either the mat or super-
structure to prevent differential settlements.
Flexible mat design shall be per SBC 303, Sections 8.9.3.4.1 and
8.9.3.4.2. For adjacent column loads within 20 percent, the mat can
be analyzed as a continuous footing as previously discussed. Strip
width is to be the span between the adjacent rows of columns (the
adjacent bay). It may be more conservative to consider the width to
be twice the smallest mid-span distance between adjacent bays. This
analysis must consider rows of columns in each orthogonal direc-
tion. Engineering judgement will be required for irregularly spaced
columns. Mats with many irregularly spaced columns or variable
loadings (greater than 20 percent differences) require a more rigor-
ous approach. SBC 303 allows the following approaches:
1. theory of modulus subgrade reaction
2. elastic method
3. plate method
4. finite difference method
5. finite grid method
6. finite element method
7. other methods approved by the building official
Lightly loaded mats on collapsible and expansive soils are a spe-
cial case of mat foundations. The design and analysis of these foun-
dations is controlled by specialized procedures and is discussed in
Chapters 14 and 15 of this book.
Excavation heave (rebound) [Ref. SBC 303 - 8.9.2]
Shallow foundation systems are very often constructed in an exca-
vation sometimes several meters deep. The act of relieving the soil
overburden can result in heave that is often time dependent. Heave
could be elastic or may follow the stress-relief response of a soil
 D e s i g n    9 5

FIGURE 12-4 Storage tank with a ring footing

consolidation analysis. Heave should be considered and should be

determined by a geotechnical engineer. How that heave is considered
in foundation design is guided by SBC 303, Section 8.9.2.
Heave could occur during site excavation and foundation con-
struction, but staged construction of the superstructure would grad-
ually increase the applied load counteracting the heave. This scenario
should be analyzed by the geotechnical engineer to determine time-
dependent heave and to predict potential settlement.
Circular mats [Ref. SBC 303 - 8.9.4]
Structures such as above-ground storage tanks, water tanks or equip-
ment pads might require a circular mat foundation. For structures
that become taller than they are wide, overturning is a design consid-
eration and is of acute concern for imbalanced loads in a tank. Sub-
grade contact pressures should be carefully considered and controlled
to prevent excessive differential settlements, which could cause
catastrophic failure of the foundation. The mat thickness should be
designed for “wide-beam or diagonal-tension shear as appropriate.”
[Ref. SBC 303 - 8.9.4]
Ring foundations [Ref. SBC 303 - 8.9.5]
Ring foundations are a special case of circular mats and are often
used instead of circular mats due to their more efficient use of con-
crete. The design and analysis of ring foundations is complex due to
9 6    C h a p t e r 1 2 C o m b i n e d F o o t i n g s a n d M a t s

soil-structure interactions and lends itself to advanced, computer-

ized analysis by an experienced, registered design processional. SBC
303 recommends that approach. Figure 12-4 depicts a cylindrical
storage tank founded on a ring footing.

QUIZ
1. Loads on combined footings and mats must be designed for
the most ________ load combination condition from SBC 301,
Section 2.4.

2. True or False: For rectangular footings, the resultant of applied

loads should fall outside the middle third of the footing.

3. True or False: Mat foundations offer increased resistance to dif-

ferential settlements and have the advantage of providing an
integrated foundation floor system.
CHAPTER
Deep Foundations
13

D
eep foundations are used to transmit applied loads to soil or
rock stratum at depth. They are desirable when a large footing
is impractical or there is insufficient site “planimetric” area for
footings or when large lateral load capacity is required. Code require-
ments and provisions for deep foundations are given in SBC 303, Chap-
ter 14.

TYPES AND BENEFITS OF DEEP

FOUNDATIONS
[Ref. SBC 303 - 1.3.1]
Many types and variations of deep foundations exist and are deployed in
a wide range of applications. However, what they all have in common is
a generally slender element advanced into the soil profile to take advan-
tage of increased soil strength and stability. Deep foundation elements

97
9 8    C h a p t e r 1 3 D e e p F o u n d a t i o n s

can be broadly grouped into two types: those cast in place and those
advanced into the ground by force.
Drilled piers [Ref. SBC 303 - 14.3.10]
Also called drilled shafts, drilled piers are created by drilling an ex-
cavation into the ground and replacing the soil with reinforced con-
crete or grout. A variant of this foundation type is a stone column
(compacted earth) where the excavation is backfilled with compacted
rock. Drilled piers come in a wide range of sizes and depths. Load-
carrying capacity is achieved through skin friction or end bearing.
Drilled pier excavations can be advanced to the desired depth with
a solid-stemmed auger, with reinforcement lowered into the excava-
tion and then filled with concrete. Figure 13-1 shows, lying on its
side, a reinforcing “cage” for a drilled pier. This construction ap-
proach is reasonably economical where hole stability is good and
ground water is not present. Sometimes drilling fluid (mud) is used
to maintain hole stability. This type of foundation element has many
inherent advantages over driven piles but there are also drawbacks.
Benefits:
• This is less construction noise and vibration than driven piles.
• The mass of the concrete can be used to resist uplift forces.
• Construction mobilization costs may be much lower than driven
piles.
• It can be advanced through difficult or variable material.
• The bearing stratum can be verified in cuttings from the drilling
operations.
Drawbacks:
• Large voids in the soil strata can cause construction problems.
Caving or squeezing soils can have a detrimental effect on pier ca- You Should
pacity if not properly handled. Know
• The occurrence of ground water can present construction difficul- Reinforcing in drilled piers
ties and substantial increase in construction or project delay costs. is most often a fabricated
This can be a major project setback if not considered at the design cage of deformed steel
and planning stage. bar placed vertically and
• Construction of a drilled pier in difficult ground requires a skilled horizontally. However,
pier drilling contractor. some designs incorporate
These drawbacks notwithstanding, there are variants of drilled structural steel shapes for
piers that overcome some of these limiting factors. reinforcing such as pipes,
tubes, or HP shapes. l
 Ty p e s a n d B e n e f i t s o f D e e p F o u n d a t i o n s    9 9

FIGURE 13-1 Reinforcing “cage” for a drilled pier

Casing [Ref. SBC 303 - 14.3.2.6]

Drilled piers can be installed with steel casing around the hole. This
round casing can serve several purposes. It can keep ground water
out of the hole. It will hold the hole open while the auger is raised and
lowered as is necessary to clean the hole and maintain drilling opera-
tions. Squeezing clays (very soft clays) or running sands can collapse
an uncased hole. Installing casing through these poor-quality layers
seals off the hole, allowing the pier to be advanced. Casing is typically
advanced with a vibratory hammer and a mandrel applied at the top
of the casing. Permanent steel casing can also serve as a load-bearing
component of the drilled shaft. A column of drilling fluid (mud) can
be maintained in the cased hole to balance the hydrostatic pressures
at the bottom of the hole.
Reinforcing is lowered down the hole and concrete is placed. Per
SBC 303, temporary casings must be removed properly to prevent
inclusions in the concrete or hole collapse. This requires that a suf-
ficient height of concrete be placed in the hole to offset hydrostatic
and horizontal soil forces that might collapse the hole.
Hollow-stem augered pier [Ref. SBC 303 - 1.3.1]
This type of pier is similar to that discussed previously, but the ben-
efits of the hollow-stem augering technique are employed. A drilled
1 0 0    C h a p t e r 1 3 D e e p F o u n d a t i o n s

bit run through a hollow centered auger is used to ad-

vance a hole. Drilling fluid can be circulated through the
stem if desired to assist with flushing cuttings from the
hole. Once the target depth is achieved, grout is injected
into the hole through the hollow-stem auger. The au-
ger is gradually withdrawn as grout is placed, leaving a
grout-filled hole at completion. Reinforcing steel can be
lowered into the hole after grout injection. Depending
on the grout slump, vibration techniques can be used to
lower the reinforcing cage. Concrete with appropriately
sized coarse aggregate may also be used.
Socketed drilled shafts [Ref. SBC 303 -
14.3.10.6]
This type of deep foundation element is a special case
of a straight-shaft drilled pier. They are used to pen-
etrate unsuitable surface soils to reach competent rock
at depth. SBC 303, Section 14.3.10.6 requires this type
of pier to be cased to the surface of rock. The piers are
drilled into the rock at least 1 pier diameter. End bear-
ing and skin friction may be combined for downward
load capacity. Pier skin friction for pull-out resistance
is allowed only in the rock. A factor of safety of 2 is re- FIGURE 13-2 Belling tool
quired by SBC 303.
Belled drilled shafts [Ref. SBC 303 - 14.3.10.5]
An equivalent to drilled piers belled or under-reamed
drilled piers have a widened base at the bottom (tip)
of the shaft. This conical “footing” (inverted conical
footing) is constructed in the bearing stratum and is
created with a belling tool that is lowered down the hole
and rotated to cut the bell excavation; see Figure 13-2.
Figure 13-3 depicts a completed bell that was excavated
for inspection.
The increased contact area of the bell increases the
downward load capacity of the pier. The pull-out capac-
ity of a drilled pier can be increased with a properly
designed and constructed bell. However, it is often more
economical and reliable to simply extend a straight-
shaft pier deeper and use additional skin friction for
capacity. If bells are used, SBC 303, Section 14.3.10.5
requires the designer to check the vertical shear if the
bell sides are sloped at an angle less than 60 degrees
from horizontal.
Driven piles [Ref. SBC 303 - 14.3.2.4]
The deep foundation element is struck or vibrated at FIGURE 13-3 Bell of excavated pier
the head to advance it into the ground. Piles can be
steel, reinforced concrete, wood or plastic. Steel pipe
 Ty p e s a n d B e n e f i t s o f D e e p F o u n d a t i o n s    1 0 1

or HP-section steel piles are the most common

types of steel pile. Figure 13-4 shows a steel pile
being driven. Prestressed concrete piles are the
most common concrete piles and have replaced
conventionally reinforced concrete piles in most
applications. Wood piles are not applicable in
the Kingdom of Saudi Arabia. Some piles have a
constant diameter, but some applications use a
tapered pile to achieve increased capacity with a
shorter pile. Due to driving variabilities, accom-
modation for splicing and cutting must be pro-
vided. Driven piles have many advantages.
Benefits:
• Downward load capacity in a pile is demon-
strated during driving.
• Driving piles densifies the surrounding soils
increasing their strength.
• Since an excavated hole is not necessary for in-
stallation, ground water and very soft soils are
not a concern.
The vibration produced during driving is a draw-
back which limits their use near sensitive struc-
tures or in collapsing and liquefaction-sensitive
FIGURE 13-4 Steel pipe piles after driving and filling with soils.
concrete
Helical piles [Ref. SBC 303 - 14.3.2.5]
This type of deep element consists of a steel
tube segment with one or more discrete
flights on the first segment, as shown in
Figure 13-5. Figure 13-6 shows the segments
that follow the leading segment. A typical seg-
ment is approximately 1 m long with a flight
less than 40 cm in diameter and is advanced into
the ground by twisting. Additional segments
of unflighted tubes are added as the pile is ad-
vanced. The torque required to advance the pile
is correlated to pile capacity. Manufacturers of
helical piles will provide design and construction
procedures for these pile systems. Helical piles
can be used in tension or compression but have
no practical lateral capacity.
FIGURE 13-5 Helical piles with flights A major benefit of helical piles over drilled shafts
and piles is no downward reaction force is nec-
essary to advance them. They can be used in
limited access situations and are often used in re-
medial work. They do have limitations, though.
They cannot be advanced through very hard or
1 0 2    C h a p t e r 1 3 D e e p F o u n d a t i o n s

cemented layers, although partial pre-drilling can be of some benefit.

They might refuse before achieving the desired depth or the required
refusal torque may never be reached. They cannot be inspected for
straightness.
Micropiles [Ref. SBC 303 - 14.3.6.2.3]
These elements are similar in many ways to drilled shafts but use
smaller diameter holes (8 cm to 30 cm) and have a single reinforc-
ing element along the central axis. Reinforcing may be steel tube or
pipe as depicted in Figure 13-7 or may be a specially threaded steel
bar. The reinforcing is installed after drilling and is held in place us-
ing centralizers. High-strength grout is injected into the hole along
a specific length of the micropile where bonding is desired. The pile
may be sleeved along portions of the length to prevent bonding of
the pile. The end (head) of the micropile often receives a bearing
plate and a bolt over the threaded rod. Micropiles may be cased or
not. Variations to the installation are adapted to suit specific needs.
Post-tensioned variants of micropiles exist.
Micropiles are frequently used in remedial or limited access situ-
ations. They are desired when increased vertical bearing capacity is
needed or where difficult or variable ground conditions exist.
Sheet piles [Ref. SBC 303 - 14.3.6.3.3]
This type of deep foundation element is often classified as a retain-
ing structure. They consist of a series of interlocking segments of
steel or composite plastic that are driven or vibrated into the ground
tangent to each other. Assembled they form a wall or “sheet” used for
retaining earth or controlling ground water movement and not often
used to support habitable structures. Temporary sheet piling can be
used depending on project needs.
A sheet pile wall can also be created by constructing a series of
drilled piers on tangent or near-tangent centers. Such a wall is also
called a secant pile wall and is typically a permanent structure.

MATERIALS
[Ref. SBC 303 - 14.3.3]
Deep foundation elements appropriate in the Kingdom of Saudi
Arabia (KSA) include primarily concrete and steel. SBC 303, Sections
14.3.3.1 through 14.3.3.8 control the minimum requirements for
materials used in deep foundations. The minimum permissible com-
pressive strength of concrete or grout is 28 MPa except for precast
prestressed driven piles where a minimum of 35 MPa is required.
Allowable stresses in deep foundations are controlled by SBC 303,
Table 14-2 with specific exceptions in Section 14.3.3.7 allowing for
drilled piers with permanent casing. Where higher allowable stresses
are required, geotechnical investigation and load tests are necessary
 M a t e r i a l s    1 0 3

to justify higher stresses. Consultation with a

registered design professional will be neces-
sary.
Reinforced concrete requirements listed
in SBC 303, Section 14.3.9.1 with specific
minimum horizontal reinforcement size and
location. Figure 13-8 shows a reinforcing cage
with vertical and horizontal reinforcing; note
the assembly is lying horizontally but will be
installed vertically. Prestressing steel in deep
foundations is generally controlled by SBC
304 but exceptions are allowed per SBC 303,
Section 14.3.3.1.3. Steel is to comply with
ASTM A416. Structural steel HP shape piles
must conform to ASTM A6. The requirements FIGURE 13-6 Helical pile shafts
of pipe and tube piles are set forth in SBC 303,
Section 14.3.6.3.4.
The minimum dimensions of concrete deep foundation elements are:
Precast concrete piles = at least 200 mm smallest width.
Cast in place = 200 mm diameter with permanent casing, 300 mm in
contact with soils.
Micropiles = 300 mm max diameter.

FIGURE 13-7 Micropile sections and top bracket

1 0 4    C h a p t e r 1 3 D e e p F o u n d a t i o n s

DESIGN AND DETAILING

Deep foundation elements must be designed for loads applied by
the structure and the soil. These loads nearly always have an axial
component (compression or tension) and many have a lateral compo-
nent. Such loading will generate moments and shears in the founda-
tion element that should be considered in foundation design.
Axial loads [Ref. SBC 303 - 14.3.4.1]
For cast-in-place drilled piers, downward axial loads can be resisted
by skin friction or end bearing. The benefit of deep foundations is
often achieved by taking advantage of skin friction, but skin and end
bearing should not be combined for element capacity per SBC 303,
Section 14.3.1.1.4 to a maximum of 24 kPa unless provided in a geo-
technical investigation. Allowable skin friction values are limited to
not more than one-sixth of the soil bearing value per SBC 303, Table
4-1 or under the direction of a registered design professional. Allow-
able capacity is typically limited to half of the ultimate capacity. This
limitation is applicable also to helical piles under SBC 303, Section
14.3.4.1.9.
Downward forces on deep
foundation elements can be
generated by soil downdrag
force. In a stratified soil profile
with stable soils at depth, if
an upper layer undergoes set-
tlement, the frictional forces
along the element shaft will act
to pull down on the pile. Where
applicable, deep elements must
be designed for these loads.
Failure to account for down-
drag can produce excessive
settlement of the element.
Deepening the element is a
common approach to increas- FIGURE 13-8 Steel rebar for a drilled shaft lying on its side
ing capacity. In the case of
drilled shafts and micropiles, a
low friction sleeve can be installed in the zone of expected settlement
to reduce soil downdrag forces. Helical pier shafts are less sensitive to
downdrag forces due to their relative low skin frictional area and the
low coefficient of friction between soil and steel.
Uplift forces [Ref. SBC 303 - 14.3.4.1.5, 14.3.4.1.6]
Some projects require deep elements to resist uplift forces; in fact,
this is a common application of deep foundation. Uplift forces may
result from applied load to the element and are resisted by skin fric-
tion. Common methods of analysis take a factor of safety of 3. The
 L a t e r a l S u p p o r t    1 0 5

mass of a drilled pier might be used to resist uplift forces in some

scenarios. Uplift forces due to expansive soils are another design con-
sideration. The frictional forces on the side of an element are induced
by a soil stratum swelling and pulling up on the element. Uplift forces
occur in the soil profile from the ground surface down to a depth
equal to the active soil. For lightly loaded structures, this is often a
significant design consideration.
Load tests [Ref. SBC 303 - 14.3.4.1.2]
Additional axial capacity can be demonstrated by performing a load
test. For large projects where load carrying capacity is critical or for
projects with many piles, a load test may be conducted to determine
site-specific element capacities. In such cases, a single element can
be tested for vertical capacity in either compression or in “pull-out.”
More than one test can be run. [Ref. SBC 303 - 14.3.4.1.2] The use
of load tests is not restricted to driven piles but can be used on drilled
piers and micropiles or helical piers or piles. Load tests can also be
run to assess horizontal load capacity of an element.
Lateral loads [Ref. SBC 303 - 14.3.4.2]
Deep foundations very often must carry lateral loads which require
the element to be of sufficient size to avoid bearing failure of the
horizontal soils, and to be designed to resist internal moments and
shears. The computation of lateral load capacity of a foundation
element must consider the interaction between the soils and the
element under load. Analysis of this design case involves calculat-
ing horizontal soil deformations under lateral load and is nonlinear
in nature. This analysis must be performed by a registered design
professional.

LATERAL SUPPORT
[Ref. SBC 303 - 14.2.2]
Deep foundation elements are essentially very slender columns that
require bracing to resist buckling under axial compressive loads. Ele-
ments can be considered braced in any soil other than fluids. What
is called a “non-working length” is required by SBC 303. Measured
from the ground surface down to a certain depth, this zone cannot
be considered for lateral support. This distance is 1500 mm in stiff
clay and 3050 mm in soft soils. [Ref. SBC 303 - 14.2.2] Alternative
values can be used based on a site-specific geotechnical evaluation by
a registered design professional. Pile groups are commonly braced by
a rigid cap called a “pier cap” or “pile cap.” Code-permitted exceptions
to bracing requirements are described in SBC 303, Section 14.2.3.1.
1 0 6    C h a p t e r 1 3 D e e p F o u n d a t i o n s

STABILITY
[Ref. SBC 303 - 14.2.3]
Deep foundation elements must be braced for stability per SBC 303.
If not achieved through soil lateral support, elements must be braced
by two nearby foundation elements arranged radially with the three
foundation element heads tied with a rigid cap. An example where
such bracing may be necessary is a marine application where the deep
foundation elements are unbraced through the water. SBC 303, Sec-
tion 14.2.3 discusses bracing requirements.

GROUP EFFECTS
[Ref. SBC 303 - 14.2.6]
Piles (or piers) in close proximity will be interdependent. Piers will
have a reduced capacity if they are in close proximity to another pier.
However, it is often desirable to place driven piers in groups to de-
velop increased load capacity and redundancy. Called pier groups or
pile groups, they can often achieve greater capacity than a single large
element. Pier groups are tied at the head with a rigid pier cap. Piers or
piles closer than three times the element diameter will have reduced
capacity and group effects considered. SBC 303, Section 14.2.6 lists
conditions were the group effect of adjacent elements must be con-
sidered. Drilling or driving piers or piles in close proximity to another
can cause damage or displacement of the adjacent element.
Design for mislocation [Ref. SBC 303 - 14.3.2.3]
Errors in the placement and final position of foundation elements is
inherent in all foundation construction, perhaps more so with deep
foundation elements. The foundation or the supported superstruc-
ture must be able to accommodate slight alignment errors. SBC 303,
Section 14.3.2.3 requires the superstructure to withstand misalign-
ment of a deep foundation element by up to 75 mm. Considering the
case of a simply supported beam for example, the beam must meet
all design and performance criteria if a supporting element increases
the span by up to 75 mm. An allowance for increasing the capacity
of the deep foundation element by 10 percent is allowed. [Ref. SBC
303 - 14.3.2.3]
Seismic [Ref. SBC 303 - 14.2.5]
Seismic loads from the earth and the structure will induce curvature
on piers, creating moments and shears that could fail the element
if not properly designed. SBC 303, Section 14.2 requires that curva-
tures induced from soils, the structure, and interaction between the
soil and structure be analyzed and the foundation elements designed
accordingly.
 Q u i z    1 0 7

You Should
QUIZ
Know 1. Reinforcing in drilled piers is most often a ________.
Placing deep foundation
elements closer together
2. True or False: A major benefit of helical piles over drilled shafts
than a distance of 3 diam-
and piles is that no downward reaction force is necessary to
eters of the largest element
advance them.
will reduce the capacity
of both elements. Group
3. The minimum compressive strength of concrete or grout for
effects must be considered
use in deep foundation elements is ________, except for precast
in this case. l
driven piles, which is 35 MPa.
1 0 8    C h a p t e r 1 3 D e e p F o u n d a t i o n s
PART
Design for
IV Problematic Soils

Chapter 14: Expansive Soils

Chapter 15: Collapsible Soils
Chapter 16: Sabkha Soils

109
 CHAPTER
Expansive Soils
14

C
ertain types of soil present unique design challenges for shallow
foundation design. Expansive soils, collapsible soils and sabkha
soils are collectively classified by SBC 303 as problematic soils
that require specialized foundation design approaches by a registered
design professional. The design of foundations on problematic soils is
guided by SBC 303, Chapters 9, 10 and 11.
Expansive soils will change volume with changes in soil moisture
contents. An increase in moisture content will result in an increase in
volume (swell). A decrease in moisture content will result in a decrease in
volume (shrinkage). This shrink and swell behavior continues to a depth
below the ground surface called the active zone, which may range up to
5 m or perhaps much deeper depending on natural or man-made condi-
tions. Structures and foundations constructed in the active zone must be
designed for this expected movement.
11 0
110
 D e s i g n    111

DESIGN
[Ref. SBC 303 - 9.3]
Structures built on expansive soils must either be designed to
accommodate foundation movements induced by the volume change
of expansive soils or be supported on a foundation that reduces soil
movements to controlled and tolerable levels. For a shallow (mat)
foundation, also called a slab-on-ground, this volume change is
greatest along the edges with decreasing effects extending under the
edges. It is also permitted to remove the expansive soil per SBC 303,
Section 9.3.4 and replace it with nonexpansive material. This ap-
proach can reduce the shrink or swell magnitude of the soil profile.
Where movements due to expansive soils are unacceptable, a deep
foundation may be necessary. In such case, the deep foundation ele-
ments suspend the structure clear of the expansive soils. The effects
of uplift forces on deep foundation elements should be considered.
Shallow foundations [Ref. SBC 303 - 9.3.3.1]
SBC 303 does not allow continuous or spread footing foundations
on expansive soils with an Expansion Index (EI) greater than 50 (see
SBC 303, Table 9-1) unless the structure can tolerate the maximum
expected range of soil movement. If a classically designed footing
foundation is mandated, the code offers guidance and minimum
requirements. [Ref. SBC 303 - 9.3.3.1] The design of shallow foun- You Should
dations on these soils is still subject to the provision in SBC 303, Know
Chapters 5 and 8. The design of lightly
Where continuous or spread footings are chosen, expansive soils loaded mat foundations on
can induce uplift forces on the edge of the footing. As such, SBC expansive soils involved
303, Section 9.3.3.1 requires these forces be minimized. This can considering two loading
be approached by decreasing the footing size or width (and thus the conditions: one, where
edge contact area) while maintaining a sufficient factor of safety in the foundation must resist
bearing capacity. SBC 303 allows for the use of a void space under a excessive flexure due
beam supported on footings. The soil space must be provided using to loss of support along
the techniques described in SBC 303, Section 9.3.3.3. While 9.3.3.1 the edges, and the other,
offers provisions for using continuous or spread footings, most shal- where the soils force the
low foundations on expansive soils are slab-on-ground foundations. mat up along the edges. l

Slab-on-ground foundation [Ref. SBC 303 - 9.3.3.2]

Slab-on-ground foundations are a special type of mat foundation.
Mats on expansive soils are designed assuming soil wetting or drying
around the perimeter of the foundation. When the soils under the
mat’s perimeter dry out and shrink, the edges of the mat lose sup-
port and deflect downwards (Figure 14-1). While this type of move-
ment is confusingly referred to as “center lift” in some engineering
literature, a more appropriate description of this type of move-
ment is “edge drop.” The weight of the structure contributes to the
downward movement of the edges of the mat. When the soils along
the mat’s perimeter gain moisture and swell, the edges of the mat
11 2    C h a p t e r 1 4 E x p a n s i v e S o i l s

PERIMETER PERIMETER deflect upward (Figure 14-2).

LOAD LOAD This type of movement is re-
ferred to as “edge lift” in the
INITIAL MOUND SHAPE engineering literature. While
the weight of the structure re-
ym sists the upward movement of
the edges of the mat, most resi-
Edge moisture dential and many commercial
variation distance
em structures are relatively light
SLAB LENGTH and therefore this resistance
may not be significant.
CENTER LIFT
How a mat supported on
an expansive soil responds to
the volume change is a func-
FIGURE 14-1 Center lift slab flexure mode
tion of the mat’s strength and
stiffness. A stronger mat will
respond to soil volume change
P P
with less deflection but expe-
rience higher internal stress-
es, whereas a weaker mat will
respond to the volume change
UNIFORM LOAD ym with more deflection but expe-
rience lower internal stresses.
Figure 14-3 shows a slab that
was structurally damaged by
em soil edge lift forces.
Proper design of a slab-on-
EDGE LIFT
ground requires knowledge of
the amount of deflection the
supporting structure can toler-
FIGURE 14-2 Edge lift slab flexure mode
ate. This is dependent on the
type of structure, and certain
construction detailing. SBC 303, Section 9.3.3.2 requires that the
moments, shears and deflections for designing slab-on-ground foun-
dations be determined in accordance with the Wire Reinforcement
Institute (WRI) and Concrete Reinforcing Steel Institute (CRSI)
Design of Slab-on-Ground Foundations or another approved method.
SBC 303 allows for slab design by other rational methods that
account for soil structure interaction, the deformed shape of the
soil support, the plate or stiffened plate action of the slab for edge
lift and edge drop conditions (center lift). A well-established and
more rigorous design method that conforms to the requirements for
alternative methods is the Post-Tensioning Institute (PTI) Standard
Requirements for Design and Analysis of Shallow Post-Tensioned Concrete
Foundations on Expansive and Stable Soils (DC 10.5-19). The PTI’s
design method may be used for both conventional (rebar) and post-
tension reinforced mats.
 D e s i g n    11 3

FIGURE 14-3 Slab structurally damaged by expansive soils

WRI [Ref. SBC 303 - 9.3.3.2]

The WRI publication “(TF 700-R-07 WRI/CRSI 81): Design of Slab-
on-Ground Foundations” may be used to design slabs on expansive
soils. The design data required of the geotechnical report is the
computation of a design plasticity index (design PI) and certain
site-specific climate parameters. Design of this reinforced concrete
foundation is approached by modeling the foundation with a series
of overlapping rectangles. A series of design charts and equations are
used to determine the maximum developed moments and shears.
The required reinforcing and stiffening rib (grade beam) geometry
are determined accordingly. Figure 14-4 illustrates a WRI (conven-
tionally reinforced slab-on-ground) ready for concrete placement.
The method provides guidance on structural detailing and discussion
of proper site preparation and maintenance. A WRI slab-on-ground
is frequently called a conventionally reinforced slab-on-ground. It is
the authors’ opinion that the WRI procedure can underestimate the
internal stresses resulting from an expansive soil’s volume change.
11 4    C h a p t e r 1 4 E x p a n s i v e S o i l s

FIGURE 14-4 Foundation designed with WRI procedure

Alternative design methods (PTI)

Post-tensioned (PT) slabs-on-ground are commonly used for lightly
loaded structures on expansive soils but are frequently used on
compressible soils and for stable soils. The design of PT slabs on
expansive and stable soils is controlled by the PTI’s “Standard Re-
quirements for Design and Analysis of Shallow Post-Tensioned
Concrete Foundations on Expansive and Stable Soils” (DC10.5-19).
This design method may be used for both conventional (rebar) and
post-tension reinforced mats. Additional information regarding the
theoretical background of this procedure can be found in the PTI’s
“Design of Post-Tensioned Slabs-on-Ground” (DC10.1-08).
For expansive soils, this method models both center lift (shrink)
and edge lift (swell) modes of soil movement as required SBC 303,
Section 9.3.3.1.2. PTI design method is approached by modeling the
foundation with a series of overlapping rectangles. For each rectan-
gle, the applied shears and moments as well as the required stiffness
 D e s i g n    11 5

due to gravity loads and the loads induced by soil movement are com-
pared to those provided by the foundation and reinforcing. While
most commonly reinforced with unbonded post-tension cables,
foundations design with the PTI method may be reinforced with con-
You Should ventional reinforcing (rebar). The design and analysis equations in
Know this method are sufficiently complex that computerized methods are
desirable. A PT slab ready for concrete is shown in Figure 14-5. Note
The presence or absence
that the black poly sheeting that serves two purposes. The first is
of poly sheeting is a struc-
that is lowers the frictional resistance between the subgrade and the
tural consideration in the
slab (and grade beam bottoms). The second is that is offers marginal
design of a post-tensioned
vapor retarding properties in noncritical applications. It is common
slab-on-ground. l
for the poly sheeting to be replaced by a quantifiable vapor retarder.

FIGURE 14-5 Post-tensioned slab with slab tendons visible

Pier and beam [Ref. SBC 303 - 9.3.3.3]

Structures that are sensitive to movement due to expansive soils can
be constructed on deep foundation elements with the super-struc-
ture suspended above ground. These systems most often use drilled
piers to support a grid of beams that then support a floor system
and then the superstructure. One configuration of this foundation is
11 6    C h a p t e r 1 4 E x p a n s i v e S o i l s

with the beams and slab monolithically cast clear of grade with the
required void space formed using special forms. An example of this
type of foundation is shown in Figure 14-6. Another form is where
the beams and floor system are wood and are attached to the drilled
piers. Other variations exist.

FIGURE 14-6 Pier and beam foundation suspended above grade

SBC 303, Section 9.3.3.3.2 requires drilled concrete piers to be

reinforced with steel for their entire length and that reinforcing be
hooked into bells (if used) and into suspected concrete beams. SBC
303 further requires cross-sectional steel reinforcing to be 1 percent,
which is greater than the 0.5 percent required in other applications.
All reinforced concrete piers must be designed for loads in tension.
SBC 303, Section 9.3.3.3.1 lists several general requirements for
the design and construction of structurally suspended slab founda-
tion. These foundations are more complex to design and difficult to
construct. Errors can result in significant financial losses and loss of
use of the structure, particularly on expansive soils.
 R e q u i r e d P r e v e n t i v e M e a s u r e s    11 7

REQUIRED PREVENTIVE MEASURES

[Ref. SBC 303 - 9.3.6]
Regardless of the design method applied, a slab on ground foundation on expansive soils is designed
to perform within a predicted set of soil moisture boundary conditions influenced only by natural
climatic conditions (presumed to be cyclical but consistent). The climatic conditions may cover an ex-
treme range of soil moisture conditions, but human influences can result in soil moisture levels that
exceed the assumed maximums in the design procedures. Furthermore, the design methods discussed
assume certain site conditions will be established and maintained throughout the lifespan of the
foundation and the design manual discusses these requirements in detail. Site misconfigurations that
violate the assumptions in these procedures can result in soil moisture levels that exceed the assumed
maximums. The results of both of these issues can lead to foundation under performance, resulting in
significant damage to the supported structure.
SBC 303, Section 9.3.6 lists a series of stipulations that, in addition to the water and damp-proof-
ing provisions in Chapter 13, must be adapted to each project as applicable. The requirements also
apply to structures on expansive clays that are not slab-on-ground foundations. The requirements of
Section 9.3.6 are listed below with commentary on their significance.
1. All water-supply pipes and wastewater pipes shall be watertight and have flexible connections
and couplings.
Plumbing line leaks are a major contributing factor to foundation under-performance
because they can supply large amounts of water to the expansive clay under the founda-
tion, resulting in excessive heave that exceeds the capacity of the foundation. The heave
is quite often nonuniform in nature, producing excessive distortion or foundation tilt.
2. All rainwater pipes shall be ducted well away from the foundations. It shall be ensured that all
water from downspout is discharged away from the building into storm sewer or suitable ground sur-
face location downhill.
Rainwater from gutter downspouts can deposit excessive amounts of water at the edge of a
foundation in a localized area, rather than uniformly as may happen naturally. Figure 14-7 is
an example of improperly configured gutter downspouts. They discharge in an area of trapped
drainage. This condition may produce excessive soil swell and cause foundation edge lift.
3. The ground surface shall
slope away from the struc-
ture. Bare or paved areas shall
have a slope not less than 2
percent, and if possible, the
ground surface within 3 m of
the structure shall be sloped
at a 10-percent grade, which
is more stringent than SBC
303, Section 3.7.1 provisions
for nonexpansive soil sites.
Positive drainage away
from a foundation is a
fundamental design
assumption of almost all
FIGURE 14-7 Improperly configured gutters and trapped surface drainage
11 8    C h a p t e r 1 4 E x p a n s i v e S o i l s

foundation design pro-

cedures. Failure to estab-
lish proper drainage can
result in excess soil heave
along the foundation
perimeter. Figure 14-8
illustrates both poor
site drainage design and
inadequate protective
backslope. Water runoff
from the backyard col-
lects next to the foun-
dation causing excessive
soil swell. Figure 14-9
shows widespread inad-
equate protective back- FIGURE 14-8 Improper lot grading and inadequate protective backslope
slope and side swales
in a multiple-unit resi-
dential development.
The condition is severe
enough that flooding
on the units may occur.
4. Storage tanks and sep-
tic tanks shall be reinforced
to minimize cracking and have
adequate flexible water-proof-
ing. [Ref. SBC 303 - 13.5]
A leaking septic or
water storage tank near
a foundation can cause
deep seated heave of
the expansive soils well
in excess of that pre- FIGURE 14-9 Poor surface drainage allowing water to pond next to foundation
dicted during design.
These tanks should not be installed near the foundation and their excavations should
be capped to prevent the tank excavation from holding water. The backfill should
be drained if possible, as tanks are often backfilled with highly permeable gravel.
5. Plants and irrigation systems shall not be placed immediately adjacent to the structure and
spray heads shall be directed away from the structure. Large trees and bushes shall be kept away from
the foundations for a distance greater than half of their mature height.
Trees can remove large amounts of soil moisture from the foundation soils and this
ability increases as the tree matures. Keeping that influence away from the foundation
will mitigate the possibility of violating the climatic assumptions of the design proce-
dures. Figure 14-10 shows a large tree too close to a foundation on expansive soils. The
result will be edge drop (center lift) likely in excess of what the slab was designed for.
 M i t i g a t i o n a n d S t a b i l i z a t i o n    11 9

6. If horizontal moisture barri-

ers are installed around the building
to move edge effects away from the
foundation and minimize seasonal
fluctuations of water content direct-
ly below the structure, care shall be
taken to seal joints, seams, rips or
holes in the barrier. Horizontal mois-
ture barriers may take different forms
including, but not necessarily limited
to, membranes, rigid paving (such as
concrete aprons), or flexible paving
(such as asphalt membranes).
7. If vertical moisture barriers
are used around the perimeter of the
FIGURE 14-10 Large tree too close to a slab-on-ground on expansive soils
building, they shall be installed at
least 1 m from the foundation to a
depth equal to or greater than the
depth of seasonal moisture variation
(active zone). These barriers may consist of polyvinyl chloride, polyethylene, polymer-modified
asphalt or any other approved methods or materials.
SBC 303, Section 9.3.6 (7) is stating that a moisture barrier must extend at least 1 m below
the foundation to be considered a moisture barrier capable of reducing seasonal moisture
variations in the expansive clay soils under the foundation. To clarify, a moisture barrier
should extend at least 1 m below the ground surface. Sealing moisture barriers is critical
to maintaining their effectiveness. If the foundation design parameters are based on the
presence of a moisture barrier, the effectiveness of the barrier will be critical to founda-
tion performance. A moisture barrier extended to the bottom of the active zone may
not be practical depending on the depth of the active zone. Moisture barriers are useful
for reducing the magnitude of shrink or swell soil movement but will not eliminate it.
8. If the structure has a basement, the backfill shall consist of nonexpansive soils and it shall com-
ply with Sections 3.6 and 3.10 or 3.11.
Expansive soils are not an appropriate backfill material for basement retain-
ing walls, among other reasons, because when they swell they can exert pres-
sures on the wall in excess of the active earth pressures and because they are not
freely draining and can cause moisture intrusion problems in basements.

MITIGATION AND STABILIZATION

[Ref. SBC 303 - 9.3.4, 9.3.5]
Some sites may have a relatively thin layer of expansive soils where it may be more economical to re-
move these problems soils and SBC 303, Section 9.3.4 presents minimum requirements and conditions
for this alternative. The expansive soil must be removed to a depth that ensures consistent moisture
in any remaining expansive soils. SBC 303 does not require all expansive soils be removed, but does
mandate that the sufficient soils be removed such that the moisture levels in the remaining expansive
1 2 0    C h a p t e r 1 4 E x p a n s i v e S o i l s

soils remain constant. A common approach is to remove some of the

expansive soil to reduce the magnitude of movement. This may not
eliminate all movement due to expansive soil but can reduce it to tol-
erable levels. This is often performed on sites with very high shrink
or swell potential.
Imported fill replacing the excavated material shall be not con-
tain expansive soils and compaction requirements are controlled by
earthwork requirements in SBC 303, Chapter 3. SBC 303, Section
9.3.4 requires that imported fill be sufficiently impermeable as to
prevent infiltration of water into the remaining expansive clays. This
may not be possible. Installing an impermeable clay cap over the
imported fill material to prevent moisture migration into the expan-
sive soils is widely recommended. The design for such a protective
cap may be submitted to the permitting authority for approval.

QUIZ
1. What type of movement occurs when the soils under the mat’s
perimeter get wet and swell, deflecting it upwards?

2. True or False: Failure to establish proper drainage around a

foundation will have no impact on a foundation’s performance.

3. Installing an impermeable ________ over imported fill material

to prevent moisture migration into the expansive soils is widely
recommended.
CHAPTER
Collapsible Soils
15

C
ollapsible soils are commonly found in semi-arid to arid environ-
ments. They have the characteristic of remaining strong in their
dry state but will undergo relatively rapid compression (col-
lapse) when wetted. This behavior is exacerbated by the application of
additional stresses such as from a foundation. Figures 15-1 and 15-2
show a foundation severely damaged by collapsible soils. [Ref. SBC 303
- Chapter 10]

121
1 2 2    C h a p t e r 1 5 C o l l a p s i b l e S o i l s

FIGURE 15-1 Slab-on-ground foundation damaged by collapsible soils

FIGURE 15-2 This residential lot was developed on collapsible soils.

The collapse property of these soils results from the water-soluble

cementation binding the soil grains combined with a relatively high
void ratio. Dissolution of the cementation weakens the soil structure
allowing for collapse under applied stresses.
 D e s i g n    1 2 3

Collapsible soils can be alluvial (transported and deposited

through water), aeolian (windblown) and even residual soils (those
that are formed in place from parent rocks). This soil type will influ-
ence the variability and hydraulic conductivity (permeability) of the
soil profile.
The magnitude of soil collapse is dependent on many factors
related to the type of soil, the soil’s depositional history and the soil’s
stress history. Because it is the driving factor for collapsible soils,
the depth wetting is perhaps the most critical and perhaps the most
uncertain variable in the design of successful foundations on collaps-
ible soils.

DESIGN
[Ref. SBC 303 - 10.3]
The design of foundations on collapsible soils requires the determina-
tion of the collapse potential and magnitude. Methods for determin-
ing this magnitude fall into two categories: laboratory determination
and field plate loading methods. SBC 303 allows application of either
method under Section 10.3.2.1 and they are summarized below:
10.3.2.1.1: Laboratory determination of collapse index
(ASTM D5333). The collapse index, Ic, is computed by
the ASTM standard degree of collapse determined by SBC
303, Table 10-3. This method can be used if soil samples
of sufficient quality can be collected. Laboratory condi-
tions may result in greater degrees of saturation of the
soil than may be experienced under actual field condi-
tions. Potential (expected) design settlement, p, is com-
puted by SBC 303, Equation 10-2 and used for design.
You Should 10.3.2.1.2: Standard plate loader test (SPLT) per
Know ASTM D1194. Where soils samples of sufficient qual-
ity are not obtainable, this field test may be used.
Ie refers to the collapse
This test would be run for a specific loading con-
potential percent at the
ditions. Allowable load bearing pressure from this
specific confining pres-
method is computed from SBC 303, Equation 10-3.
sures of 200 kPa.
I c is the collapse potential 10.3.2.1.3: Building Regulations in Eastern Arriyadh
at any given confining pres- Sensitive soils (BREA) infiltration and plate load test. This
sure. l field test can be excuted to determine the collapse potential
of a soil. SBC 303, Tables 10-2 and 10-3 present procedures.
10.3.2.1.3.1: Design curve construction. The
approach to determining collapse (settlement) poten-
tial will result in a site-specific design curve that
may be used for a range of contact stresses on soils
rather than an estimate at a single contact pressure.
1 2 4    C h a p t e r 1 5 C o l l a p s i b l e S o i l s

Design procedures [Ref. SBC 303 - 10.3.2.2]

The procedures for designing foundations on collapsible soils are
similar to those on other soils but SBC 303, Section 10.3.2.2 has spe-
cific provisions for computing expected settlements and provisions
concerning maximum allowable deflection and concrete reinforcing.
SBC 303 cautions that the design settlements calculated from
field methods are heavily dependent on the depth of the wetting
front of the soil profile. If future wetting is greater than at testing
time, settlement in excess estimates will likely occur.
Spread and continuous footings [Ref. SBC 303 -
10.3.2.2.3]
Spread and continuous footings are permitted on collapsible soils
without special modification for soils with a low collapse potential
determined by Table 10-6. Reference SBC 303, Chapters 5 and 8 for
their design. Continuous (strip) footings are permitted on site with
collapse potentials ranging from low to very high. SBC 303 requires
increased footing depth, more stringent settlement limits and in-
creased concrete reinforcing requirements in Tables 10-6, 10-7 and
10-8.
Stiffened mat foundations [Ref. SBC 303 -
10.3.2.2.3.2]
For large potential settlements or structures sensitive to excessive
foundation distortion, a mat foundation may be a more reliable
foundation. Code design requirements of mats remain per SBC 303,
Chapter 8 with special provisions for collapsible soils given in SBC
303, Table 10-8.

MITIGATION AND STABILIZATION

[Ref. SBC 303 - 10.3.3, 10.3.4]
Removal of collapsible soils to avoid designing for collapse-induced
settlements is allowed by SBC 303. Complete removal of the soils
not mandatory, provided constant moisture levels are maintained in
the remaining soils. The practicality of ensuring this condition will
depend on the type and usage of the structure and the effectiveness
of other preventive measures.
Stabilization of collapsible soils may be required if the expected
settlements are excessive or if the wetting front cannot be predicted
within an acceptable level of certainty. SBC 303 allows for stabili-
zation techniques by compaction (in situ or remove and replace),
pre-wetting, vibro-floating, chemical injection or other techniques.
These techniques are all industry-recognized methods. Stabilization
of collapsible soils should be performed under the authority of an
experienced geotechnical engineer familiar with unsaturated soil
mechanics and the behavior of collapsible soils.
 Q u i z    1 2 5

Pre-wetting technique mitigating collapsible soils comes with inherent uncertainties due to soil
composition and risks to adjacent structures. The code strongly recommends careful consideration of
pre-wetting techniques and the potential risk to adjacent structures before implementing pre-wetting.
[Ref. SBC 303 - 10.3.4]
Preventive measures such as required for expansive soils [Ref. SBC 303 - 9.3.6] shall also be con-
sidered for collapsible soils. Many of these requirements are shaped to reduce the infiltration of water
into the soils under and near the foundation. [Ref. SBC 303 - 9.3.6]

QUIZ
1. Collapsible soils will undergo relatively rapid compression (collapse) when ________.

2. True or False: Continuous strip footings are permitted on sites with collapse potentials ranging
from low to very high.

3. Indicate one of the techniques allowed by SBC 303 for the stabilization of collapsible soils.
1 2 6    C h a p t e r 1 5 C o l l a p s i b l e S o i l s
CHAPTER
Sabkha Soils
16

S
abkha soils are the third class of problem soils for which SBC 303,
Chapter 11 requires special provisions. Sabkha soils are discussed
in some detail in Chapter 5 of this book. These soils have a large
percentage of soil particles that comprise such as a those in the salt flat
shown in Figure 16-1. The salt crystals are more compressible than the
other constituent soil mineral particles such as quartz, feldspar or horn-
blende. Sabkha soils can be highly variable in vertical and lateral extent
and can have a rigid crust that loses strength when wetted and can ex-
hibit collapsible behavior. The ground water and soil moisture in the
capillary zone of sabkha soil is highly saline and corrosive. Structures
and other improvements constructed on or in these soils must be de-
signed to withstand potential settlements and their materials must
withstand the corrosivity of sabkha soils.

127
1 2 8    C h a p t e r 1 6 S a b k h a S o i l s

FIGURE 16-1 The soil in these salt flats has a high concentration of salts.

GENERAL REQUIREMENTS
[Ref. SBC 303 - Chapters 2, 11]
Foundation design and construction shall be based on a geotechnical
investigation. [Ref. SBC 303 - 11.1.1] Shallow and deep foundations
may be constructed on sabkha soils following the provisions of the ap-
plicable chapters of SBC 303.
SBC 303, Section 11.3.2 outlines special requirements for struc-
tures on these soils:
• Since the surface crust is variable and loses strength when wet, this
layer may not be used for structural support.
• The variability in mechanical properties of soil should be considered.
Differential settlements may vary widely across a site and the worst-
case condition may not have been identified in the geotechnical
report.
• Sabkha soil can have substantial proportions of gypsum salts that
can change volume as they are wetted and dried. This volume change
must be considered.
• The corrosivity of sabkha soils and brines can damage steel and con-
crete. Protection measures should be implemented.
 M i t i g a t i o n a n d S t a b i l i z a t i o n    1 2 9

The soil investigation report for a project shall contain estimates

of these volume changes and settlements for the proposed structure.
The foundation should be designed to minimize the effect of these
movements on the structure.

TYPES OF FOUNDATION
[Ref. SBC 303 - 11.3.3]
The code recommends heavy structures be constructed on mat or
deep foundations systems per the applicable sections of SBC 303.
The downdrag forces along the shaft of deep foundations and mats
in sabkha soils must be accounted for in design.
SBC 303 requires progressively more specific protective require-
ments for shallow foundations where ground water may approach the
foundation. These requirements are outlined in SBC 303, Sections
11.3.3.3 through 11.3.3.5 and Figure 11-1. [Ref. SBC 303 - 11.3.3.3
through 11.3.3.5] Minimum requirements are summarized below:
Where water table is greater than 5 m deep:
• All walls of the structure must be supported on strip footings.
• A durable layer of overlapped and sealed polythene sheeting must
be beneath ground floor slabs.
• Strip footing supported on lean concrete mix must prevent con-
tamination of concrete by soils when concrete is placed.
Where ground water is between 5 and 2.5 m below the ground
surface, all previous requirements are necessary, and:
You Should
• Slab floors must be supported on a strip footing. Know
• Coarse, durable gravels shall be placed beneath the floor slab and Buried improvements such
around the strip foundation. as pipelines and tanks as
well as foundations in sab-
For ground water at depths from 2.5 m to the ground surface, all
kha soils must be protected
previous requirements are necessary, and:
from corrosion. Concrete
• The strip footings and floor slab shall be underlain by a rolled,
provisions are listed in
coarse gravel layer at least 150 mm thick over compacted fill. The
SBC 303, Section 11.5.2
gravel layer is intended to function as a capillary break.
and include epoxy-coated
Bear in mind that the floor slab might be in an enclosed space
rebar. l
below grade which, along with other factors, may increase the migra-
tion of soil water toward the structure and increase deposition of
corrosive salts on the foundation. See the requirements of the code.
[Ref. SBC 303 - 13.2, 13.3]

MITIGATION AND STABILIZATION

[Ref. SBC 303 - 11.6.1, 11.7.1]
Sabkha soil may be removed and replaced by higher-quality soils.
[Ref. SBC 303 - 11.6.1] A sufficient depth of soil should be removed
to ensure adequate soil strength and tolerable settlements after
site improvement. While SBC 303 does not allow sabkha soils to be
1 3 0    C h a p t e r 1 6 S a b k h a S o i l s

replaced on the site, unless the project is designed for sabkha soils, reworking the on-site soils can cre-
ate a site with more uniform settlement response.
SBC 303 permits the stabilization of sabkha soils using methods similar to those for collapsible
soils. The code outlines these provisions and includes the use of stone columns. [Ref. SBC 303 -
11.7.1] Many means and methods of stabilizing soils are in use globally. Through consultation with
a geotechnical engineer, a method’s use may be approved by the building official.
SBC 303 requires special protective measures for projects on these problem soils. In addition to the
applicable protective measures for expansive soils in SBC 303, Section 9.3.6 and the damp-proofing
requirements of Chapter 13 sabkha soils require additional protective measures for foundations:
• Domestic and irrigation water must be strictly reduced and controlled. Equally important is
establishing proper protective grading around structures to mitigate the effects of rainfall events
or water line rupture. Large volumes of water deposited in the sabkha soils under foundations can
exacerbate settlement and corrosive water attack.
• Steel, iron and asbestos-cement pipe or other materials subject to deterioration in saline environ-
ments must receive protective coatings. [Ref. SBC 303 - 11.4.1b]

QUIZ
1. Sabkha soils have a large percentage of soil particles that are composed of ________.

2. True or False: SBC 303 has special requirements for the design of shallow foundations in sabkha
soils based on the elevation of the water table.

3. True or False: Buried improvements such as pipelines and tanks, as well as foundations, in sabkha
soil do not need to be protected from corrosion.
PART
Miscellaneous
V Topics

Chapter 17: Vibratory Loads

Chapter 18: Dampproofing and
Waterproofing

131
 CHAPTER
Vibratory Loads
17

V
ibratory loads on foundations present a special design problem
that requires coordination with geotechnical, structural and
mechanical engineers. The type and geometry of a foundation
can affect the amplitude and frequency of vibration. Foundations must
be designed to avoid excessive vibration which could cause undesirable
soil settlement, damage to equipment or harm to human health.
Vibratory loads on foundations can be induced by equipment such as
generators, reciprocating machines or impact hammers, and can even be
caused by dynamic fluid forces in pipes. Such equipment is often installed
in an industrial setting. However, equipment such as commercial wash-
ing machines, HVAC equipment and elevator motors found in nonindus-
trial buildings can create a vibratory design problem for foundation
designers. Chapter 12 of SBC 303 stipulates minimum design require-
ments and provisions for vibratory foundation design.
132
132
 D e s i g n f o r V i b r a t o r y L o a d s    1 3 3

TYPES OF VIBRATORY LOADS

[Ref. SBC 303 - 12.2]
Vibratory (dynamic) loads can be classified as transient or steady-
state. Transient loading can be generated during equipment start-up
or shut down. It can be the product of changes in the processing rate
of a facility. They can also be created by fluid dynamic forces in pipe
systems. Steady-state vibratory loads are produced by equipment op-
erated at nominal levels and will likely have different frequency and
amplitude components at different operating speeds. These loads
can be created by rotatory equipment such as generators or turbines,
impact machines or reciprocating machines.

DESIGN FOR VIBRATORY LOADS

[Ref. SBC 303 - 12.4]
SBC 303 allows foundations subject to vibratory loads to be shal-
low or deep. Shallow foundation design remains per SBC 303,
Chapters 5 and 8. Deep foundations are discouraged by SBC 303, Sec-
tion 12.4.5.2 but are allowed with proper approval and require site-
specific exploration and testing under the authority of a registered
design professional.
The design and analysis of vibratory loading involves determin-
ing a relationship between vibratory amplification and the ratio of a
You Should
machine's operating speed to the foundation’s fundamental frequen- Know
cy. This relationship is characterized by Figure 17-1. Quantification A high-tuned system has
of dynamic and steady state forces created by the equipment and the a frequency ratio less than
unit’s physical properties is needed for design. 1 and a low-tuned system
SBC 303 offers guidance for foundation design where vibratory has a frequency ratio
mechanical data is unavailable. SBC 303, Section 12.2.3 states that greater than 1. l
a force equal to 25 percent of the machine weight may be used in
foundation design. This force should be considered individually
along vertical, lateral and longitudinal axes. For rotating machin- You Should
ery, the steady state vibratory force may be taken per SBC 303,
Equation 12-1. Permissible vibration is limited to 3 mm/s for cen-
Know
trifugal machines and 4 mm/s for reciprocating machines. [Ref. SBC Transient vibratory loads
303 - 12.4.8] Where possible, the vital mechanical properties and can occur during equip-
vibratory response characteristics of equipment should be obtained ment start-up or shutdown.
from the manufacturer and dynamic analyses performed. They can also occur with
SBC 303, Section 12.2.4 requires the transient vibratory load changes in operating rate
during machine start-up or shutdown to be considered for low-tuned of the equipment. l
systems and recommends dampening in the frequency ratio range of
0.7 to 1.3 to avoid excessive vibrations. However, it does not require
evaluation of response due to transient dynamic forces unless the
foundation, structures or connecting piping are “unusual.” SBC 303
does not elaborate, but an unusual condition might be a highly dan-
gerous fluid in the piping network.
1 3 4    C h a p t e r 1 7 V i b r a t o r y L o a d s

SBC 303, Section 12.4.7 prohib- 5.0

its the steady state frequency ratio 4.5

of a foundation and equipment sys-
tem in the amplitude range of 4.0

DYNAMIC RESPONSE
0.7 to 1.3. The building official may

STATIC RESPONSE
3.5
consider exceptions approved by a reg-
istered design professional. The equip- 3.0
ment in Figure 17-2 is an example of
2.5
machinery requiring a foundation be
designed for vibratory loads. 2.0

AMPLIFICATION =
Vibratory loads can produce exces-
sive settlements and affect soil bear- 1.5

ing and support values. SBC 303, 1.0

Chapter 12 requires static bearing
capacity be checked by a registered 0.5
design professional. Allowable bear-
ing pressures stated in SBC 303, 0.7
1.0
1.3
2.0 3.0 4.0 5.0
Chapter 4 are to be limited to
50 percent of the table value and to
MACHINE OPERATING SPEED
75 percent for low-tuned systems. The FREQUENCY RATIO =
FUNDAMENTAL FREQUENCY
judgment of the registered design pro- OF FOUNDATION

fessional may increase or decrease the FIGURE 17-1 Relationship between amplitude and frequency ratio
allowable bearing value. [Ref. SBC 303
- 12.3.3]
The code stipulates several conditions in SBC 303, Section 12.4.2 with
provisions for equipment of varying power ratings. Some key points are sum-
marized:
• Rotary equipment less than 500 horsepower should be placed on a founda-
tion at least three times the weight of the equipment.
• Reciprocating machinery less than 200 horsepower should be placed on a
foundation at least five times the weight of the equipment.
• Heavy equipment foundations must be isolated from adjacent foundations
or pavement by a 12 mm sealed isolation joint. Dowelling the equipment
foundation to the adjacent structures (or pavements) is not permitted.
• Interaction between other vibratory equipment may affect foundation de-
sign. As a minimum, transmissibility of amplitudes is limited to 20 percent
between adjacent foundations.
• High-tuned foundations are strongly encouraged.
• Fatigue analysis is a foundation design contingency. Dynamic loads shall be
increased by a factor of 1.5 and applied as quasi-static loads.
• Buried cable or pipes should not pass through the foundation. Use conduits
where this is not possible.
• The effect of vibration on human occupants and operators must be consid-
ered. Reference International Organization for Standardization (ISO) 2631-1
and 2 and other applicable standards.
SBC 303 stipulates certain minimums in Section 12.4.3 for structural mate-
rials such as concrete, reinforcing and anchorages. Salient requirements are
summarized:
 Q u i z    1 3 5

• Minimum compressive strength of concrete is increased to 28 MPa.

• Minimum reinforcing in concrete is increased to 0.18 percent cross-
sectional area. Greater reinforcing density may be required for design.
An exception for foundations thicker than 1.2 m is offered and the
design should be per American Concrete Institute (ACI) 207.2R. The
suggested minimum reinforcement is Dia 22 (metric) at 300 mm on
center; see SBC 303, Section 12.4.3 for additional allowances and con-
straints.
• Bolting to anchor machinery to foundations must be in accordance
with Saudi Aramco Engineering Standards (SAES-Q-005).
• The foundation designer must
detail the type, location, embed-
ment and method of fixity of all
bolts. Foundation stiffness has
a direct influence on vibratory
response and the code has stipu-
lated certain requirements and
geometric minimums. [Ref. SBC
303 - 12.4.5]
• Generally, the distance between
the center of gravity of the equip-
ment and the foundation should
be kept to a minimum.
• Minimum thickness of footing or
mat foundations is controlled by
0.6 + L/30 where L in the foun-
dation length in meters along
the machine's bearing axis.
• Mat foundations for reciprocat-
ing equipment must have at least
50 percent embedment into the FIGURE 17-2 Power plant equipment requiring a foundation to resist vibratory
supporting soils. loads
• Excessive eccentricity in hori-
zontal machinery can overload foundation soils. The code has stipu-
lated a maximum eccentricity of 0.05 times the width of the founda-
tion (in meters). [Ref. SBC 303 - 12.4.6.1]

QUIZ
1. What are the two types of vibratory loads?

2. A high tuned system has a frequency ratio less than ________.

3. True or False: Vibratory loads can produce excessive settlements

and affect soil bearing and support values.
1 3 6    C h a p t e r 1 7 V i b r a t o r y L o a d s
CHAPTER
Dampproofing and
18 Waterproofing

S
BC 303, Chapter 13 presents minimum requirements and condi-
tions to limit the flow of moisture through foundations and into
structures. Water can flow through foundation elements in vapor
form or in liquid form. Because the consequences of water intrusion into
structures can be severe, preventive measures beyond the code mini-
mums are prudent.

WHAT IS THE DIFFERENCE BETWEEN

DAMPPROOFING AND WATERPROOFING?
SBC 303 requirements for addressing moisture intrusion are categorized
as dampproofing and waterproofing. In the context of foundations,
dampproofing retards the transmission of water vapor from soil mois-
ture but does not necessarily eliminate all transmission. Waterproofing
is intended to block both water vapor and liquid water from infiltrating

137
1 3 8    C h a p t e r 1 8 D a m p p r o o f i n g a n d W a t e r p r o o f i n g

foundations. The majority of foundations requiring protection from

water are constructed of concrete or masonry and SBC 303 gener-
ally presumes this case. Consideration of damp and waterproofing
requirements for foundations constructed of other materials should
be given with the intent of the code in mind.

DAMPPROOFING
[Ref. SBC 303 - 13.2]
Dampproofing is required for walls and floors that are below grade
where a ground water table (or its hydrostatic effect) is not present.
For a structure to include only dampproofing measures, a subsurface
perimeter drain is also required around buildings with below grade
spaces. The provisions for this situation are detailed in SBC 303, Sec-
tion 13.2.1.
Floors requiring dampproofing must first have a layer of granular You Should
base course over the subgrade before the dampproofing treatment is Know
applied. Dampproofing should be applied under the concrete floor Dampproofing refers to
(before the concrete is placed). While SBC 303 may allow exceptions, retarding transmission of
dampproofing should be applied to prevent water from entering water vapor through a wall
concrete. Figure 18-1 shows a dampproofing membrane installed or floor. Dampproofing
under a floor before concrete placement. membranes are typically
Dampproofing for walls shall be applied to the outside face (soil sold in two classes of
face) of the wall and must extend from the top of footing to above membrane: vapor retarders
ground level as depicted in Figure 18-2. and vapor barriers. l

FIGURE 18-1 Yellow dampproofing membrane under a floor before concrete placement
 W a t e r p r o o f i n g    1 3 9

SBC 303 requires that construction

imperfections be filled with bituminous
material (or other approved material)
before application of dampproofing.
Masonry walls require a parge coat below
grade unless the dampproofing mate-
rial is approved for direct application to
masonry. [Ref. SBC 303 - 13.2.3.1]
Dampproofing materials allowed by
SBC 303 include polyethylene sheets
and mop-applied bituminous coatings.
[Ref. SBC 303 - 13.2] Polyethylene
sheets must be at least 0.15 mm thick
with joints lapped by at least 150 mm.
Bituminous material coatings are com-
monly applied with a mop, but can be
troweled, floated or sprayed. SBC 303
does not specify a minimum thickness,
but product manufacturers typically
publish application procedures and min-
imum recommended thicknesses. SBC
303 does not specifically restrict propri-
ety dampproofing coatings and there are
a wide variety of such products on the
market.

WATERPROOFING
[Ref. SBC 303 - 13.3]
Protection against both water vapor and
liquid water requires waterproofing. SBC
303 requires waterproofing when a wall
or floor will be subject to hydrostatic FIGURE 18-2 Dampproofing protecting a below grade wall (note pipe in
pressures where a perimeter drain sys- bottom of trench)
tem does not exist around a foundation.
The presence of a ground water table or the risks of ground water
is determined through a geotechnical investigation. [Ref. SBC 303
- 2.2.3]
SBC 303 requires floors subjected to hydrostatic pressures be
constructed of concrete and designed to withstand the hydrostatic
forces. Waterproofing systems shall be installed beneath the slab. Per You Should
code SBC 303, Section 13.3.2.1 minimums, waterproofing systems Know
may consist of: [Ref. SBC 303 - 13.3.2.1]
While exceptions may exist
1. Rubberized asphalt membrane.
in SBC 303, dampproofing
2. Butyl rubber.
should always be applied
3. Fully adhered HDPE or polyolefin membrane.
to prevent water from
4. 0.15 mm PVC sheeting with joints lapped at least 150 mm.
entering concrete. l
1 4 0    C h a p t e r 1 8 D a m p p r o o f i n g a n d W a t e r p r o o f i n g

Wall waterproofing is a more common project requirement. In cases

where walls will be subject to hydrostatic pressures, SBC 303 mandates
that the walls be structurally designed for those forces and that water-
proofing be installed. Waterproofing must cover from the bottom of
the wall to 300 mm above the maximum water level and dampproofed
upward thereafter. Code-minimum waterproofing material require-
ments are: [Ref. SBC 303 - 13.3.3.1]
1. 2-ply hot-mopped felts.
2. PVC sheeting at least 0.15mm thick.
3. 1 mm polymer-modified asphalt, 0.15 mm polyethylene sheeting.
The intent of SBC 303 for any waterproofing system is that it be
capable of bridging imperfections in the concrete surface such as voids
and nonstructural cracks. Bear in mind that young concrete will crack
during curing which could rupture an inadequate waterproofing system.
The imperfections in concrete surfaces and joints between concrete
pours should be treated before application of waterproofing. [Ref. SBC
303 - 13.3.3.1]
The success of a waterproofing system is heavily dependent on dili-
gent construction practices. Care must be taken to prepare the concrete
(or masonry) surface prior to application. If sheet material is used as
waterproofing, the seams or membrane must overlap and be watertight.
Changes in plane and transitions between materials must be considered.
Waterproofing products are often sold as a system that can involve
several layers of different materials such as the retaining wall shown in
Figure 18-3. Manufacturers provide detailed surface preparation and
installation require-
ments for their sys-
tems. Use of such sys-
tems may be approved
by the building offi-
cial.

FIGURE 18-3 Multiple-layer retaining wall waterproofing system (needing repair)

 Q u i z    1 4 1

UNDERGROUND WATER-RETENTION STRUCTURES

[Ref. SBC 303 - 13.5]
Underground water-retention systems have special code requirements in part because they may hold
water for human or animal consumption. General code requirements are: [Ref. SBC 303 - 13.5.2]
• Internal faces must be waterproofed.
• The system must not be located under drainage features or nonpotable water piping.
• The system shall receive a waterproof cover to prevent liquid and particulate contamination and
must have an opening large enough to allow inspection and maintenance.
• Tanks subject to potential flooding must be designed to resist collapse due to externally applied
hydrostatic pressures and the design must consider buoyancy.
The design and construction of underground water-retention structures shall be per SBC 304 and
ACI 350. SBC 303, Chapter 13 assumes concrete for most applications. The code requirements of
waterproofing for underground water-retention systems are different than those for other structures.
Materials such as epoxies or concrete admixtures are referenced in SBC 303, Section 13.5.4, but the
underlying requirement is that they be nonhazardous to health and that the system be effective at
preventing water from passing through the waterproofing, either from the tank or into the tank.

MITIGATION AND STABILIZATION

[Ref. SBC 303 - 13.4]
The occurrence of ground water is very often intermittent and variable. Typical geotechnical investiga-
tions only report the presence or absence of ground water for a relatively short period of time. Fur-
thermore, rainfall events or changes in land use can create occurrence of ground water not identified
prior to construction of a project. Many commercial and residential structures will have floor cover-
ings that are sensitive to soil moisture vapor emissions passing through the slab.
Good engineering design practices can include:
• Installing a granular subgrade drain (subdrain) adjacent to a structure to move ground water away
from the foundation.
• Installing a cut-off subgrade drain system that incorporates a subsurface waterproofing system for
collecting and transporting water away the foundation. These systems are more effective if they are
placed immediately adjacent to a foundation and terminated on the foundation with appropriate
flashing.
• Passive subdrain systems are preferred by most engineers, but many applications may require the
use of a sump pump.
• Pipes are frequently included in these systems.
These measures may be included in the original project design or could become necessary as a
remedial measure.

QUIZ
1. True or False: Water can flow through foundation elements in both vapor and liquid forms.

2. On which wall face shall dampproofing be applied?

3. True or False: The imperfections in concrete surfaces and joints between concrete pours do not
need to be treated before the application of waterproofing.
1 4 2    C h a p t e r 1 8 D a m p p r o o f i n g a n d W a t e r p r o o f i n g
Quiz
Answers
Chapter 1 Chapter 6
1. b 1. Geotechnical investigations are required for
2. True all sites unless waived by the building official
3. a or where buildings meet specific criteria.
2. test pits
Chapter 2
3. Thin wall tube samplers are used for obtain-
1. False ing undisturbed samples of clay.
2. c
3. b Chapter 7
1. engineering grading
Chapter 3
2. slope
1. A foundation’s primary purpose is to trans- 3. False
fer and distribute loads from the structure
to the supporting earth without failure or Chapter 8
damaging movements. 1. SBC 303, Table 4-1
2. Three of the following are correct: footings, 2. computed design
foundation walls, retaining walls, mats and 3. True
deep foundations.
3. A building official is an officer or other des- Chapter 9
ignated authority charged with the adminis- 1. False
tration and enforcement of this code, or his 2. stepped
duly authorized representatives. 3. eccentric

Chapter 4
Chapter 10
1. sedimentary, igneous and metamorphic 1. True
2. grain size of the soil 2. equivalent fluid pressure
3. Liquid Limit (LL), Plastic Limit (PL) and 3. 0.5 percent
Plasticity Index (PI)

Chapter 11
Chapter 5
1. gravity walls and cantilevered retaining walls
1. Expansive soils are defined as a soil or rock
2. True
that has a potential for shrinking and swell-
3. adequate drainage
ing under changing moisture conditions.
2. permanent
3. sabkha soils Chapter 12
1. unfavorable
2. False
3. True

143
144  Q u i z A n s w e r s

Chapter 13
1. fabricated cage of deformed steel bars in the
vertical and horizontal direction
2. True
3. 28 MPa

Chapter 14
1. edge lift
2. False
3. clay cap

Chapter 15
1. wetted
2. True
3. acceptable answers: compaction, pre-wetting,
vibro-floating or chemical injection

Chapter 16
1. salts
2. True
3. False

Chapter 17
1. transient and steady-state
2. 1
3. True

Chapter 18
1. True
2. outside face (soil face)
3. False
Glossary

A the foundation elements are established. Most often

refers to vertical bearing, but can refer to lateral bearing
ACI – American Concrete Institute as well.
alluvium – soil material of various grain-sizes that was bedrock – is rock that is intact and in the position in
deposited by moving water, typically found overlying which it was originally formed. Loose pieces within a
older geologic formations. slope or fill such as boulders are not bedrock.
architect – a design professional normally responsible bell – the enlarged base of a drilled shaft produced by
for the overall design of a building project. Architects do under-reaming. The bell is used to enlarge the end bear-
not generally design engineering works such as dams, ing area of a drilled pier.
bridges and treatment plants. building official – the person who is legally responsible
ASCE – American Society of Civil Engineers. This orga- for enforcement of the adopted building code in a par-
nization publishes a variety of internationally peer- ticular locality.
reviewed design documents, procedures and practice
guides. C
ASCE 7 – is a book titled Minimum Design Loads for cantilever wall - this refers to a retaining structure
Buildings and Other Structures published by the ASCE. typically constructed of reinforced concrete, which has
at rest – the state of retained earth mass behind a retain- a horizontal footing and a vertical wall that is securely
ing structure where the earthen material is not permit- attached to resist lateral earth forces.
ted to move laterally. The earth pressures produced by casing - in installation of drilled piers is a temporary
the at rest state are higher than the active state because steel cylinder placed in the hole to keep the hole from
when the earthen material is permitted to move laterally, caving in while drilling through unstable ground. It
resistive shear forces internal to the soil are mobilized in permits the placement of concrete and steel necessary
the soil mass. to construct the pier. Casing may be permanently left
Atterberg Limits – are soil index properties determined in place or considered temporary and withdrawn as the
in the laboratory which define many characteristics of concrete is placed.
fine grained soils. They include the Plastic Limit, Liquid center lift - a mode of slab on ground movement where
Limit, Plasticity Index and Shrinkage Limit the center of the slab is higher than the edge, a term
axial load – is a force or pressure that is applied in the most often associated with slabs on expansive (shrink/
direction of the long axis of a structure member. In the swell) soils.
context of foundations, axial loads are often downward CLSM - Controlled Low Strength Material usually com-
loads and are frequently associated with deep founda- posed of a mixture of Portland cement, fly ash, air
tions. entrainment, water and sand. Its purpose is to provide
backfill that does not need to be mechanically com-
B pacted, but will gain strength rapidly. CLSM in not
intended to become so strong that it is inconvenient to
backfill – fill placed behind retaining walls, basements remove it later, such as may be necessary during utility
or within utility trenches. The word backfill implies that maintenance.
a previous excavation was done and that the fill is being
cobbles - soil materials that have individual particle
placed “back.” Backfill may also be a specified, imported
sizes ranging from 63 to 200 mm, according to the
material called “select fill.”
International scale (ISO 14688-1).
bearing – is a term used in foundation construction that
refers to the support capacity of the soil or rock on which

145
1 4 6    G l o s s a r y

coefficient of friction - the value to be multiplied by the

contact or “normal” force pressing to another surface to
E
yield the amount of sliding friction that can be gener- earth pressures - are pressures generated by the earth
ated. against a retaining wall or basement wall as opposed to
cold joint - a joint in concrete at a planned or unplanned pressures imposed on the earth by a footing. Passive
interruption of concrete placement. If not installed earth pressure is a special case of earth pressure where
according to a plan detail, it will be a concrete defect. the earth is resisting a horizontal force being applied by
a retaining wall.
colluvium - soil materials which may be found as a natu-
ral collapse of a bluff or slide which has overrun and cov- earthwork - the process of moving earth either by cut-
ered other materials. ting or filling to prepare a site to receive the intended
construction.
compaction - the increase in density of a soil mate-
rial usually by mechanical means. The earth is packed easement - a land use legal document usually filed with
together tightly to expel the air voids, producing a heavi- the local county which provides a legal right for a utility
er unit weight, higher strength and stability. Compaction or other entities to do certain types of construction or
could also occur in nature as a result of overburden com- installation. Examples would be easements for drainage,
pressing lower soils, expelling water over an extended water, sewer or electrical lines. An easement is different
time period. In natural deposits this is more likely to be from a Right-of-way in that the property owner can still
called consolidation. make limited use of the land, but the public authorities
have the right to construct and maintain public works.
compressible - the property of a soil that can be reduced
in volume by squeezing out air or water from its void eccentricity - the placing of a load onto an item (such as
structure by normal construction loadings. A compress- a footing), off center that will produce a tilting or turning
ible soil may result in unacceptable settlement of struc- action as opposed to a centered load which would not.
tures. edge lift - is a mode of slab on ground movement where
concrete - a mixture of gravel, sand, Portland cement, the edge of the slab is higher than the center, a term most
water and sometimes chemical additives to produce a often associated with slabs on expansive (shrink/swell)
plastic mixture which can be placed in forms and will soils.
harden to a rock-like consistency. It is widely used in engineer - the design professional whose responsibilities
construction. may include directing the site investigation, preparing
continuous flight augers - are auger with flights that structural, mechanical, electrical or plumbing designs
wrap around the auger for the full length of the auger with regard to building or other structures. Engineers are
stem. These augers can be fitted together to form a often qualified in a particular discipline based on special-
continuous flight along the auger stems. The flights can ized education, typically four years of qualifying experi-
draw cuttings from the hole up to the ground surface. ence and passing of rigorous exams.

core - a cylindrical sample typically of rock extracted equivalent fluid - a method used in the design of retaining
from the ground using a core barrel during exploratory structures to represent the earth as a fluid load behind
drilling. the wall with different unit weights depending on the
characteristics of the soil. This method is an approxima-
tion of the complex load distribution behind a retaining
D wall.
expansive - the property of a soil material to expand
deep foundations - are foundation established below the
immediate surface of the ground utilizing procedures such or increase volume when permitted access to water.
as drilled piers or pile driving. Expansive soils also have the property of reducing volume
when drying.
drainage - the process of removing either surface or sub-
surface water and channeling it in a way so as not to be a
problem to the constructed work.
F
drilled piers - also called drilled shafts, are deep foundation factor of safety - this is the amount of over design built
elements placed by cutting a cylindrical hole with an auger in to structures to allow for unknowns in the design
and removing the earth to create a properly proportioned assumptions, calculations or construction.
hole for placing of concrete and steel to create a pier. footings - the structural element which transfers the
load of the super structure to the earth below.
 G l o s s a r y    1 4 7

french drain - also known as a subsurface drain, these maximum dry density – see laboratory dry density.
are used to remove water from below the surface of the
ground and carry it away in a controlled fashion.
N
G
nuclear density meter – an electronic device that mea-
geology - is the science of the origin, formation and sures the degree of soil compaction by measuring the
description of materials of the earth. moisture content of the soil by radiometric methods.
Nuclear density devices often must be licensed by the
grading - is where the shape of ground is modified by
local governing authority and must to be operated by
adding or removing material to form a ground surface qualified individuals because of safety concerns.
with the desired elevation, often a desired slope.
nuclear density testing - the procedure by which testing
H laboratories determine the field dry density and the field
moisture content of soil or asphaltic concrete by means
hollow stem - with regard to site investigations this is a of probes which have radioactive transmitters and sen-
type of continuous flight auger which has an open or hol- sors. The sensors detect the transmission of the radia-
low interior that permits sampling tools to be penetrated tion or the product of radiation.
into the ground after the auger is advanced. This is
typically used in caving hole conditions or when ground O
water is encountered during drilling.
optimum water content - this refers to the water content
HVAC – refers to heating, ventilation and air conditioning
required to achieve the maximum laboratory density in
equipment or systems. any of the Proctor test procedures. From a dry state, a
hydrometer test - a laboratory test used to define the soil will compact to higher and higher densities as more
distribution of grain sizes smaller than the No. 200 sieve. water is mixed with the soil until it reaches the optimum
water content. Addition of more water past this point
will cause the soil to become saturated and lower dry
I densities will be achieved. The optimum water content
in the field will permit maximum compaction efficiency.
index properties - soil properties resulting from lab test-
ing which can be performed rapidly and inexpensively, P
which are related to engineering properties.
performance-based design - is an engineering approach
to design elements of a building based on agreed upon
L performance goals and objectives, engineering analysis
and quantitative assessment of alternatives against the
laboratory dry density - most commonly used as the max- design goals and objectives using accepted engineering
imum laboratory dry density obtained from the Proctor tools, methodologies and performance criteria.
test in the laboratory. This is the maximum dry unit PI - the abbreviation for Plasticity Index, one of the
weight to which a soil can be compacted in the laboratory Atterberg Limits determinations. It is obtained by sub-
under the specified compaction procedure. tracting the Plastic Limit from the Liquid Limit.
loess - is a wind-borne soil deposit which has become pile - a linear member driven vertically into the ground
cemented with an open soil void structure. Loess is to reach areas of higher bearing capacity or to develop
stable, even standing on vertical cuts for an indefinite skin friction along its length to produce adequate sup-
period of time. However, when saturated it may sud- port for the loads for the structure above it. This is a type
denly lose strength and collapse. of deep foundation.
post-tensioning - a method for constructing foundations

M or other parts of a structure in which high strength steel

cables are placed within the concrete in a greased sheath
mat - a foundation type which typically consists of a plate permitting the post-tensioning tendon to be pulled from
of reinforced concrete with sufficient strength and stiff- the anchorages at the outside faces to compress the
ness to distribute the loads of the structure in a uniform concrete.
manner to the soil.
1 4 8    G l o s s a r y

R to move materials against each other in a side to side

direction.
rock - a natural material of practically irreversibly sheet piles – are panels of specially designed, often inter-
cemented minerals and is generally stronger than very locking, steel shapes that are driven, pushed or vibrated
strong soils. into the ground to create a retaining wall. They are com-
rotary bit - used in conjunction with drilling test holes, monly seen along developed shorelines. Non-steel sheet
water wells or oil wells, this is a bit usually with hardened piles are available from speciality manufacturers.
ridges or points, which is rotated by the drill pipe and Shelby Tube - a thin wall cylindrical sampling tube
penetrates into the earth or rock by removing pieces or approximately 76 mm in diameter with a sharpened
chips as it progresses downward. Typically water or air is cutting edge. It is pressed into the earth by a drill rig
used to remove the cuttings to the surface. to obtain nearly undisturbed samples of fine grain soils.
RQD - Rock Quality Designation. All pieces of a recovered Also called thin walled samplers, they are available in
core run less than 100 mm are excluded and the remain- 50mm and 127 mm diameters for special purposes.
ing length of core is measured and then divided by the shoring - installation of temporary construction facilities
length of the core run. It is understood as a percentage used to keep an excavation or trench from caving in. It
but is expressed as a whole number from 0 to 100. may also be used to temporarily support foundations or
other parts of a structure while work is being performed.
S shrinkage - the property of a soil material or other mate-
Sabka soils - are defined as salt bearing arid climate sedi- rials to reduce in volume because of the reduction of
ments covering vast areas of the coasts of Saudi Arabia. moisture content.
Upon wetting, sabkha soils are well known for being sieve - a device used in laboratory testing of soil or
highly compressible with low bearing resistance. aggregates which has specified size of openings that per-
sand - a soil material which can range in size from mit only particles smaller than its size to pass through.
4.75 mm down to that which is retained on the No. 200 A stack of sieves of different sizes will segregate a soil
sieve. Sand is considered a coarse grain soil material. sample into its component sizes. Sieves with small
openings are often referred to by their standard number
scour - is the action where soil around a foundation ele- designation.
ment is removed by flowing water. The depth of scour
must be considered during the design of bridge founda- silt - a fine grain soil material ranging in size from that
tions. passing the No. 200 sieve down to clay sizes. Clay sized
soil particles are smaller than 0.002 mm.
SCR - Standard Core Recovery. The length of a recovered
core divided by the length of the core run. It is under- skin friction - the resistance of a drilled pier or pile to
stood as a percentage but is expressed as a whole number penetration into the earth based on the side friction
from 0 to 100. along the long side of the element. Different soil types
have different amounts of skin friction available.
segmental retaining walls - are retaining structures con-
structed using precast units of concrete often formed split spoon sampler - a sampler used to obtain somewhat
to look much like natural stone. The segmental units disturbed samples of the soil by pounding the sampler
are connected into the embankment behind it by ten- into the ground. The number of blows to pound the sam-
sile plastic reinforcement layers known as geo-grids. pler into the ground using a specified weight and drop
Together the segmented units and the tensile reinforce- height can be used to evaluate the density or compaction
ment form a block and thus is a gravity retaining struc- of a sand or fine gravel deposit.
ture. Steady-state – when referencing applied loads on foun-
seismic - referring to earth shaking due to earthquakes, dations is a load that is consistently present and can be
seismic type vibrations can also be caused by blasting, a cyclical load.
reciprocating machinery or construction activities. structural - this refers to the analysis and design proce-
shale - an earth material formed from clay deposits, dures to provide sufficient strength to a constructed fea-
which becomes hardened through pressure. Shale is typi- ture to resist the loads that will be imposed upon it. Such
cally layered or “fissile.” activities for major construction are usually performed
by structural engineers.
shear - this is a force designation used in structural and
geotechnical engineering to indicate forces that attempt subgrade - the plane that defines the separation of the
original earth from fills, concrete base material, pave-
 G l o s s a r y    1 4 9

ment layer or a drainage material in construction. The ferent spacing and sizes in two directions. The material
material below this plane is typically referred to as the can be obtained in rolls or in sheets.
subgrade soil.
well graded - in soils engineering this refers to the
suction - the property of unsaturated soils and other assemblage of soil particles which have fairly constant
materials to possess a negative energy which indicates percentages of each size within the range present as
the ability to draw moisture into the soil mass from areas opposed to poorly graded or gap graded, which has sizes
of low suction to areas of high suction. It is typically missing or in excessive amounts.
measured in pF.
WRI: Wire Reinforcing Institute
superstructure - that portion of a structure which is
above the foundation elements.

T
transient – when referencing applied loads on founda-
tions is a load that occurs for a short period of time.

U
unsaturated soils - these are soils which do not have all
their void spaces filled or nearly filled with water, leaving
some voids filled with air.
USCS – the Unified Soil Classification System. This sys-
tem is used to classify the properties of soil from gravel
to clay sizes by various methods of separating the per-
centages of grain sizes and the plasticity of the fine grain
portion using Atterberg Limits. The USCS is a classifica-
tion system based only on the raw material property of
the soil and does not depend on its moisture condition
or compaction.

V
vibratory load - is a load that is not constant in mag-
nitude during the time that it is being applied. It is by
nature cyclical.

W
waterproofing - the method of applying membranes or
mastic on the exterior of a below grade wall to prevent
water from entering a below grade area such as a base-
ment. Damp proofing is a variant of this procedure
without as much care for the details of the construction.
Neither waterproofing nor damp proofing can totally
prevent a head (of pressure) of groundwater from pene-
trating into an interior space, and the water head should
be reduced by subsurface drainage.
welded wire fabric (WWF) - a form of reinforcing steel
in which wires (typically smaller than the smallest
deformed steel reinforcing bars) are welded together
to form a grid pattern for use in concrete construction.
Welded wire fabric is designated by the spacing between
the wires and the size of the wires, sometimes with dif-
1 5 0    G l o s s a r y
Checklist

SOILS AND FOUNDATIONS CHECKLIST – SBC 303

GEOTECHNICAL INVESTIGATIONS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Does the building meet the combined criteria for not requiring a 2.1.2.1
geotechnical investigation
Has a geotechnical investigation been performed 2.1.1
Where required, has a geotechnical report been submitted 2.6.1
If required, has a registered design professional developed the scope of 2.2.1
the geotechnical investigation
Where questionable soils are present at the site, has a geotechnical 2.2.3.2
investigation been performed
Where problematic soils (expansive, collapsible or sabkha soils) are present 2.2.3.3
at the site, has a geotechnical investigation been performed
Has a geotechnical investigation been performed to determine whether the 2.2.3.4
existing groundwater table is within the influence zone underneath the
foundation
Where deep foundation elements will be used, has a geotechnical 2.2.3.5
investigation been performed
If required, have a sufficient number of borings been drilled to sufficient 2.2.3.6
depths to assess the competency of rock and its load-bearing capacity
Where karst formations are present at the site, has a geotechnical 2.2.3.6.1
investigation been performed
Where shallow foundations bear on compacted fill material more than 2.2.3.8
300 mm in depth, has a geotechnical investigation been performed
Where shallow foundations bear on controlled low-strength material 2.2.3.9
(CLSM), has a geotechnical investigation been performed
Where footings are on or adjacent to slopes, is a geotechnical investigation 2.2.3.10
required
If the structure has been assigned to Seismic Design Category C, D, E or F, 2.2.3.11
has a geotechnical investigation been performed

151
152  C h e c k l i s t s

SOIL CLASSIFICATIONS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Does soil meet provisions to be considered expansive 2.3.3
Does soil meet provisions to be considered collapsible 2.3.4

EXCAVATION, GRADING AND FILL

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Have proper safety precautions been considered for excavations, especially 3.1.1
those for excavations below the groundwater table
Will excavations reduce support for any foundations 2.2.3.7, 3.3
Are slopes for permanent fill steeper than 50 percent 3.4.1
Will fill or other surcharge loads be placed adjacent to any building or 3.5.1
structure
Does the ground immediately adjacent to the foundation slope away at not 3.7.1
less than 5 percent for a minimum distance of 3000 mm
Is the site located in flood hazard areas 3.9.1

LOAD-BEARING VALUES OF SOILS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Are presumptive load-bearing values being used 4.2
Are computed load-bearing values being used 4.4

SPREAD FOOTINGS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Are footings to be built on undisturbed soil, compacted fill material or 5.1.2
CLSM
Have minimum footing depths been considered 5.2.1
Are adjacent footings adequately spaced 5.2.2
Will footings be placed on or adjacent to slopes 5.3.1
Have footings been designed such that the allowable bearing capacity of 5.4.1
the soil has not been exceeded, and the total and differential settlements
are tolerable
Have footings been designed for the most unfavorable effects due to load 5.4.1.1
combinations specified in SBC 301

FOUNDATION WALLS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Have foundation walls been designed for lateral soil loads set forth in 6.2.1
Section 1610 of SBC 201
Have foundation walls been designed for unbalanced backfill height 6.3.1
 Soils and Foundations Checklist – SBC 303   153

RETAINING WALLS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Have retaining walls been designed to ensure stability against overturning, 7.1.1
sliding, excessive foundation pressure and water uplift
Have lateral earth pressures been determined per SBC 303, Sections 7.2.2 7.2.1
through 7.2.7
Are factors of safety against sliding and overturning greater than required 7.4.2, 7.4.3

COMBINED FOOTINGS AND MATS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Have combined footings and mats been analyzed and designed to 8.1.1
conform to all requirements of ACI 336.2R
Have combined footings and mats been designed for the most unfavorable 8.2.1
effects due to load combinations specified in SBC 301
Have allowable soil pressures been increased where wind or earthquake 8.4.3
forces form a part of the load combination

DESIGN FOR PROBLEMATIC SOILS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Where problematic soils exist, have they been removed 9.3.4, 10.3.3, 11.6.1
For expansive or collapsible soils, are they removed to a depth to ensure 9.3.4, 10.3.3
constant moisture content in the remaining soil
Does fill material meet minimum requirements 3.6, 3.10, 3.11, 9.3.4,
10.3.3, 11.6.1
If some expansive soils left, is fill sufficiently impermeable 9.3.4
Is active zone of problematic soils stabilized 9.3.5, 10.3.4, 11.7.1
If the prewetting technique is used, has the effect of strength loss been 9.3.5, 10.3.4, 11.7.1
evaluated
Where expansive soils will support the foundation, has the foundation been 9.3.2
designed to resist differential volume changes and to prevent damage to
the supported structure
Where collapsible soils are present, has collapse potential been classified 10.3.2.1
and considered in the foundation design
Where sabkha soils are present, has the foundation been designed to 11.3.2
prevent structural damage to the supported structure due to detrimental
settlement

DEEP FOUNDATIONS

YES NO N/A CHECKLIST ITEM SBC 303 Reference

Are existing deep foundation elements to be reused 14.1.3
Do deep foundation elements have adequate lateral support 14.2.2
Have deep foundation elements been designed for lateral loads 14.2.5
Are elements in the position and alignment in the construction plans 14.4.4
Has any damage during installation been repaired 14.4.2, 14.4.7
Are nearby existing foundation elements protected 2.2.3.7
Annex

This annex chapter is intended to provide certain additional summary information related to this SBC
Guide for coverage of sections not specifically addressed in the body of the Guide. It is not intended to
cover subjects in detail, it is to serve only as supplementary information.

APPROVAL OF SPECIAL SYSTEMS OF DESIGN OR

CONSTRUCTION
[Ref. SBC 303 - 9.1.2, 10.1.2, 11.1.2]
Sponsors of a system for improving ex-
pansive, collapsible or sabkha soils must
show by successful use, analysis or test-
ing that the system will remedy the poor
soils at the site. This information will
be submitted to the building official or
a board appointed by the building of-
ficial. The board should contain a group
of geotechnical and structural engineers
familiar with the soil type at the site.
When the building official is convinced
that the system will remedy poor soils
present at the site, either due to proof of
concept submittal or advice of the board,
the building official can approve use of
FIGURE A-1 Special systems require approval by the building official.
the system (Figure A-1).

SOIL BEARING PRESSURE, SETTLEMENT AND PILE CAPACITY

[Ref. SBC 303 - 12.3]
Foundation adequacy must be checked by an engineer for static bearing capacity, dynamic loading and set-
tlement issues by testing at the site or in the laboratory (Figure A-2). Allowable soil bearing pressures may
not exceed limits based on the bearing pressure allowed for static loads. The geotechnical report shall give
assumptions for expected dynamic behavior of the soil or installed piles. The soil report should include:
• Density
• Poisson’s ratio
• Dynamic modulus of subgrade reaction and shear modulus for soils, or
• Dynamic pile spring constant and equivalent fixate level of piles

154
 A n n e x    1 5 5

DAMPPROOFING AND WATERPROOFING

[Ref. SBC 303 - 13.1]
While both waterproofing and
dampproofing are intended
to apply to the installation
and use of moisture barriers,
dampproofing provides less
protection against moisture.
Dampproofing refers to the
application of a coating that
is impervious to water, is used
to prevent the passage of wa-
ter vapor through walls and
slabs, and restricts the flow
of water under slight hydro-
static pressure. Waterproof-
ing refers to the application of
a coating or sealing material
placed on walls or slabs to pre-
vent water vapor or flowing FIGURE A-2 Mat foundation used to solve soil bearing issues and reduce
water from entering a build- settlement.
ing, even under conditions of
significant hydrostatic pres-
sure. This protection is applied to horizontal and vertical surfaces of below-ground spaces, which will
likely be affected by moisture intrusion.

DEEP FOUNDATIONS AND GEOTECHNICAL REPORTS

[Ref. SBC 303 - 14.1]
A foundation investigation is required when a deep foundation is planned. The investigation must lo-
cate the ground water table and determine subsurface conditions and soil and rock profiles across the
site. Detailed information about existing buildings and their foundations on site and in neighboring
properties should be included. Any existing information about potential problematic soils, former haz-
ardous spills or other potential foundation-damaging issues should be described in the report. If soils
will not laterally support piles or piers, the elements must be designed as columns down to a depth
where soil will provide lateral support. If a foundation element not listed in SBC 303 is preferred, the
foundation design must be shown to provide equivalent or better structural performance through
testing.

DEEP FOUNDATIONS
Cased Elements [Ref. SBC 303 - 14.3.3.7]
Cased cast-in-place concrete piles constructed by driving permanent steel casings are allowed an in-
crease in concrete compressive stress when the casing meets the following requirements:
• Diameter is not greater than 400 mm
• Ratio of steel yield strength to specified compressive strength is at least 6
1 5 6    A n n e x

• Casing is at least 1.75 mm thick

• Seamless or a spiral welded seam
• Sealed tip
• Stress in the steel is resisted by hoop tension, not axial compression
Meeting these requirements allows an increase in concrete compressive stress of 21 percent, as the
concrete is confined by the casing in all perpendicular directions to the applied stresses.
The allowable design stresses provide an adequate factor of safety against the dynamic forces of
pile driving that may cause damage to the elements and prevent overstresses due to loading and sub-
soil conditions.
Load Tests [Ref. SBC 303 - 14.3.4.1]
The most reliable method for determining pile capacity is by a load test. A load test should be con-
ducted wherever feasible and used where the pile capacity is intended to exceed 356 kN per pile. Test
piles are to be of the same type and size as piles in the permanent foundation and installed with the
same equipment, by the same procedure and in the same soils. Load tests are to be conducted on piles
individually or in groups to determine ultimate pile load and whether the piles can support the design
service loads without excessive settlement.
Load-bearing capacity of piles in soils does not reach the ultimate capacity until after a period of
rest. The results of load tests cannot be deemed accurate or reliable unless an appropriate waiting
period is used.
Lateral Load [Ref. SBC 303 - 14.3.4.2]
Because of wind or seismic loads, unbalanced building loads and earth pressures, it is inevitable that
piers and piles will be subjected to lateral forces. The distribution of these lateral forces to deep foun-
dation elements largely depends on how the loads are carried down through the structural framing
system and transferred to the elements.
The amount of lateral load resisted by the deep foundation is a function of:
• Type of pile or pier
• Soil characteristics, particularly in the upper 3 m
• Embedment of the element head (fixity)
• Magnitude of the axial compressive load
• Lateral force
• Acceptable amount of horizontal pile or pier movement

Splices [Ref. SBC 303 - 14.3.7]

While a single section pile is less expensive to drive and has higher capacity, site conditions sometimes
necessitate that elements be driven in spliced sections. Spliced sections must maintain alignment,
transmit horizontal and vertical loads, and resist bending at splices.
Pile Caps [Ref. SBC 303 - 14.3.12]
Pile caps include all elements to which the piles are connected, are made of reinforced concrete and are
designed using SBC 304. For pile caps on piles, moments and shears may be determined assuming that
the load reaction from any pile is concentrated at the pile center. The soil immediately under the pile
cap does not provide support for vertical loads.
 A n n e x    1 5 7

Element Installation [Ref. SBC 303 - 14.4]

Placement of deep foundation elements is often by driving, vibrating, jacking, jetting, direct weight
or a combination of these methods. Because of the harsh nature of deep foundation installation op-
erations, elements can experience
some degree of damage during
placement. Piles must be placed so
their structural integrity is main-
tained and piles must be installed
to the design depth. Care must be
exercised during deep foundation
placement operations to provide
for the integrity of adjacent piles
or other structures—leaving their
strength and load capacity unim-
paired (Figure A-3).

FIGURE A-3 Construction of deep foundation elements.

1 5 8    A n n e x