PENNSYLVANIA HOUSING RESEARCH CENTER

FROST PROTECTED SHALLOW FOUNDATIONS IN PENNSYLVANIA

June 2016 | Emma Dickson, Christopher Hine, and Brian Wolfgang

WHAT IS A FOUNDATION? WHAT IS A FROST PROTECTED

SHALLOW FOUNDATION?
The foundation in residential construction is a crucial
structural component that is responsible for distrib- In an effort to reduce the required depth to which foun-
uting dead and live loads from above to the ground dations and footings must be installed, builders can
below. The foundation is also a critical assembly in the take advantage of building heat loss and geothermal
overall building enclosure, responsible for controlling heating by designing and installing a frost protected
heat, air, and moisture flow. shallow foundation (FPSF). Figure 1 shows the inter-
actions between FPSF heat loss and surrounding soil
In cold climates, including Pennsylvania, a foundation temperatures. Through specific placement of insulation
must take into account the impact of frost penetration around the perimeter of the foundation, it is possible
in order to function properly. The base of the founda- to raise the soil temperature and frost depth of the
tion must extend below the regionally specific frost surrounding soil. Soil temperature is raised due to the
depth in order to prevent the earth below the founda- contribution from building heat loss in winter and the
tion from heaving. Heaving occurs when moisture pres- accumulation of geothermal heat from below.
ent in soil freezes and expands, thus exerting differen-
tial forces on structural components above the soil. Frost protected shallow foundations are most suitable
for slab-on-grade construction in cold climates. There
Excavating to an appropriate depth to avoid these is- are other specific scenarios when this approach may be
sues has been understood for many years. However, feasible, including the presence of site and excavation
builders and design professionals have alternatives, limitations and walk-out basements.
should excavation to this depth be impractical.

Heat loss through slab

into ground below
foundation insulation
Heat loss through

Grade

depth Geothermal heat

Frost

Figure 1: Impact of frost protected shallow foundations on frost depth

Frost depth is raised as it approaches the foundation due to heat loss from the building and geothermal heat from below.

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ASSUMPTIONS AND LIMITATIONS vertical insulation R-value. The footing depth shown is
the minimum required for meeting the structural intent
This document does not address unheated build- of preventing frost heave and may be exceeded by the
ings or crawlspaces. insulation depth requirements from energy code provi-
sions.
Buildings must maintain minimum average monthly
indoor temperature greater than 64F. Figure 2 shows the depth below grade of a monolithic
slab that is designed to meet the FPSF requirements.
FPSF insulation requirements may not meet current
Again, this depth is a minimum. The insulation shown
energy codes; therefore, consult currently enforce-
in Figure 2 must extend to the top of the foundation,
able energy code requirements.
including above-grade portions. This insulation must be
protected by an appropriate covering.
FPSF DESIGN CRITERIA
Table 1 also shows the minimum vertical insulation R-
The simplified approach to FPSF design found in the value for FPSF systems. This is the minimum insulation
2009 IRC is based on variables of Air Freezing Index required to direct building heat loss to the surrounding
(AFI), insulation R-value, and footing depth. soil in order for FPSF systems to function properly. The
Air Freezing Index is a value which indicates the inten- insulation specified to meet these requirements must
sity of below-freezing temperatures occurring during a be suitable for ground contact. Typically, expanded
given heating season. This value is regionally specific. polystyrene (EPS) or extruded polystyrene (XPS) is used
Table 1 shows varying AFI values for each county in for this purpose.
Pennsylvania. All regions within Pennsylvania have an As mentioned previously, the insulation required per
AFI less than 2,000. Many FPSF designs require hori- Table 1 is the minimum amount to be provided in order
zontal insulation extending away from the structure in to ensure the foundation is protected from frost pen-
addition to vertical insulation. In regions with an AFI less etration and frost heave in heated buildings. In many
than 2,000, however, only vertical insulation is neces- instances, this R-value and depth would be exceeded
sary. by currently enforceable energy code requirements. In
Based on the AFI of a specific county in Pennsylvania, all cases, currently enforceable code requirements and
Table 1 also lists the minimum footing depth and the local amendments must be followed.

Table 1: FPSF insulation R-values and footing depths

Air Freezing Index Minimum Footing Vertical Insulation

(F-days)1 Depth, D (inches) R-Value
1,500 or less 12 4.5
2,000 14 5.6

1
Air Freezing Index by Pennsylvania County

AFI=2000
Berks, Blair, Bradford, Cambria, Cameron, Centre, Clarion,
Clearfield, Clinton, Crawford, Elk, Forest, Huntingdon, Indi- D
ana, Jefferson, Lackawanna, Lycoming, McKean, Pike, Potter,
Susquehanna, Tioga, Venango, Warren, Wayne, Wyoming

AFI=1500 or less
Adams, Allegheny, Armstrong, Beaver, Bedford, Bucks, Butler,
Carbon, Chester, Columbia, Cumberland, Dauphin, Delaware, Figure 2: Frost protected shallow foundation depth and
Erie, Fayette, Franklin, Fulton, Greene, Juniata, Lancaster, insulation placement requirements
Lawrence, Lebanon, Lehigh, Luzerne, Mercer, Mifflin, Mon- Note: Depth below grade = D. Insulation must extend to top
roe, Montgomery, Montour, Northampton, Northumberland, of foundation wall. Depth requirements also apply to stem
Perry, Philadelphia, Schuylkill, Snyder, Somerset, Sullivan, wall construction. Energy code requirements may exceed
Union, Washington, Westmoreland, York insulation depth and R-value requirements shown in Table 1.

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 PENNSYLVANIA HOUSING RESEARCH CENTER

Vertical insulation to
meet energy code and
FPSF requirements

Figure 3: Frost protected shallow foundations vs. energy code requirements

While FPSF requirements provide minimum insulation values required to protect from
frost-related damage, often energy codes govern and require more insulation.

FPSF AND THE ENERGY CODE

In most instances in Pennsylvania, energy code require- However, if shallower depth is desirable (for sites with
ments for foundation insulation will govern the insula- limited excavation or rock, for example), it is possible to
tion in that assembly. For example, in a region with an meet energy code requirements using horizontal insula-
AFI of 1,500 or less, the footing depth is required to be tion, while meeting FPSF requirements with the mini-
12 inches with a vertical insulation R-value of 4.5. How- mum depth and R-value of vertical insulation. Figure 4
ever, it is likely that energy codes require R-10 insula- shows this scenario. It is important to meet all energy
tion for 2 feet. Figure 3 shows this instance. With energy code requirements related to slab edge insulation. Ad-
codes governing, the footing depth would increase to 2 ditionally, cantilevering wall framing over vertical insula-
feet and the R-value to 10. This depth, however, is likely tion would require additional consideration to ensure
to be less than the local frost depth, meaning cost sav- structural stability of the assembly.
ings are still available.

Vertical insula-
tion to meet FPSF
requirements

Horizontal insulation to
meet energy code
requirements

Figure 4: Frost protected shallow foundations with limited excavation

When excavation is the driving factor for assembly design, one could provide FPSF
insulation vertically and horizontal insulation to satisfy energy code requirements.

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 PENNSYLVANIA HOUSING RESEARCH CENTER

FPSF WITH HEATED SLABS there is a practical limit to the amount of insulation that
can be placed under the slab before this heat loss is no
In Figures 3 and 4, common scenarios were outlined longer contributing to this effect. In general, under slab
regarding the comparison of FPSF and energy code re- insulation should be limited to R-10 in order to provide
quirements. Another scenario that is common in Penn- an appropriate FPSF. Figure 5 shows this scenario. In
sylvania would involve the inclusion of heating elements this case, R-10 insulation is required for energy code
in the slab adjacent to the FPSF. Energy codes typically provisions, but this insulation must be placed vertically
require the additional placement of insulation under on the outside of the foundation with R-5 insulation
heated slabs. Since FPSF systems rely on heat loss from placed under the heated slab.
the building to raise the surrounding soil temperature,

Horizontal insulation to
meet heated slab
requirements

Vertical insulation to
meet energy code and
FPSF requirements

Figure 5: Frost protected shallow foundations with heated slabs

The addition of heating elements to FPSF assemblies requires additional insulation under
the slab as well as a limitation on the under-slab R-value (limited to R-10).

SUMMARY REFERENCES
International Code Council (ICC). 2009. 2009 International Residential
Frost protected shallow foundations are a feasible and
Code for One-and-Two Family Dwellings. Washington, DC: Interna-
code-approved alternative to traditional deep founda-
tional Code Council.
tions in Pennsylvania. However, the nuances of this ap-
proach, including the stringency of energy codes, leave American Society of Civil Engineers. 2001. Design and Construction of
this as a niche option for a specific set of scenarios. It is Frost-Protected Shallow Foundations (32-01). Reston, VA: American
important to understand the assumptions and limita- Society of Civil Engineers
tions to this approach in order to provide a durable and NAHB Research Center, Inc. 2004. Revised Builders Guide to Frost
energy-efficient foundation assembly. Protected Shallow Foundations. Upper Marlboro, MD: NAHB Research
Center, Inc.

This publication is available in alternative media on request.

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