Eurocode 7: Geotechnical Design

Worked examples
Worked examples presented at the Workshop Eurocode 7: Geotechnical Design
Dublin, 13-14 June, 2013
Support to the implementation, harmonization and further development of the Eurocodes

Authors:
Andrew J. Bond, Bernd Schuppener,
Giuseppe Scarpelli, Trevor L.L. Orr
Editors:
Silvia Dimova, Borislava Nikolova, Artur V. Pinto

Report EUR 26227 EN, 2013

European Commission
Joint Research Centre
Institute for the Protection and Security of the Citizen
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JRC 85029
EUR 26227 EN
ISBN 978-92-79-33759-8
ISSN 1831-9424
doi: 10.2788/3398
Luxembourg: Publications Office of the European Union, 2013
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TABLE OF CONTENTS

List of authors and editors.vii

CHAPTER 1.....1
Foreword
CHAPTER 2..5
Basis of design
2.1. Overview .............................................................................................................................................. 7
2.2. Design requirements ............................................................................................................................ 8
2.3. Actions and design situations .............................................................................................................. 9
2.4. Limit states ........................................................................................................................................... 9
2.5. Supervision, monitoring, and maintenance ........................................................................................ 13
2.6. Summary of key points ...................................................................................................................... 13
2.7. Worked example combinations of actions ...................................................................................... 13
CHAPTER 3...15
Shallow foundations
3.1. Scope ................................................................................................................................................. 17
3.2. Design situations and limit states ....................................................................................................... 17
3.2.1. INTRODUCTION ...................................................................................................................... 17
3.2.2. DESIGN INEQUALITIES .......................................................................................................... 19
3.2.3. OVERALL STABILITY OF SPREAD FOUNDATIONS............................................................. 20
3.3. Ultimate Limit State verifications by Direct Method ........................................................................... 21
3.3.1. BEARING RESISTANCE ......................................................................................................... 22
3.3.2. SLIDING RESISTANCE ........................................................................................................... 25
3.4. SLS check the performance of the foundation ................................................................................... 26
3.4.1. SOME USEFUL DEFINITIONS ................................................................................................ 27
3.4.2. METHODS FOR SLS CHECK ................................................................................................. 28
3.4.3. SLS ULS CHECK BY USING INDIRECT METHODS (SEE TABLE 3.4.1) .......................... 29
3.5. Summary of key points ...................................................................................................................... 31
3.6. Worked example Design of a strip foundation ................................................................................ 31

CHAPTER 4...33
Retaining structures I

4.1. Scope ................................................................................................................................................. 35

4.2. Design situations and limit states ....................................................................................................... 35
4.3. Basis of design for gravity walls ......................................................................................................... 38
4.4. Verification of ultimate limit state GEO .............................................................................................. 40
4.4.1. REINFORCED CONCRETE WALLS ....................................................................................... 40
4.4.2. MASS GRAVITY WALLS ......................................................................................................... 42
4.4.3. REINFORCED FILL WALLS .................................................................................................... 43
4.5. Verification of serviceability ................................................................................................................ 43
4.6. Supervision, monitoring, and maintenance ........................................................................................ 44
4.7. Summary of key points ...................................................................................................................... 45
4.8. Worked example T-shaped wall...................................................................................................... 45
CHAPTER 5...47
Ground investigations and testing
5.1. Overview ............................................................................................................................................ 49
5.2. Definitions .......................................................................................................................................... 49
5.3. Planning of ground investigations ...................................................................................................... 50
5.4. Field Tests.......................................................................................................................................... 52
5.5. Laboratory Tests ................................................................................................................................ 53
5.6. Characteristic values of geotechnical data ........................................................................................ 54
5.7. Summary of key points ...................................................................................................................... 54
5.8. Worked example characteristic values of ground parameters ........................................................ 55
CHAPTER 6...57
Slope stability, embankments and hydraulic failure
6.1. Overview ............................................................................................................................................ 59
6.2. Slope stability ..................................................................................................................................... 59
6.2.1. SCOPE AND CONTENTS ....................................................................................................... 59
6.2.2. ULTIMATE LIMIT STATE DESIGN OF SLOPES .................................................................... 60
6.2.3. SLOPE STABILITY ANALYSES .............................................................................................. 61
6.2.3.1. Infinite slope analyses ................................................................................................ 61
6.2.3.2. General stability analyses ........................................................................................... 62
6.2.3.3. Bishops simplified method of slices ........................................................................... 63
6.2.4. SERVICEABILITY LIMIT STATE DESIGN OF SLOPES ......................................................... 63

ii

6.3. Embankments .................................................................................................................................... 64

6.3.1. SCOPE AND CONTENTS ....................................................................................................... 64
6.3.2. LIMIT STATE ANALYSES........................................................................................................ 64
6.3.3. MONITORING AND MAINTENANCE ...................................................................................... 65
6.4. Hydraulic failure ................................................................................................................................. 65
6.4.1. OVERVIEW AND DEFINITIONS ............................................................................................. 65
6.4.2. VERIFICATION OF RESISTANCE TO UPLIFT....................................................................... 66
6.4.3. VERIFICATION OF RESISTANCE TO HEAVE ....................................................................... 66
6.4.4. INTERNAL EROSION .............................................................................................................. 67
6.4.5. FAILURE BY PIPING ............................................................................................................... 67
6.5. Summary of key points ...................................................................................................................... 68
6.5.1. SLOPES AND EMBANKMENTS.............................................................................................. 68
6.5.2. HYDRAULIC FAILURE ............................................................................................................ 68
6.6. Worked examples applying EN1997-1 expressions (2.8) and (2.9) (here Eqn.6.1, Eqn.6.2 and
Eqn.6.3) .............................................................................................................................................. 69
CHAPTER 7...71
Retaining structures II
7.1. Scope ................................................................................................................................................. 73
7.2. Design situations and limit states ....................................................................................................... 73
7.3. Basis of design for embedded walls .................................................................................................. 75
7.4. Verification of ultimate limit state GEO .............................................................................................. 77
7.5. Verification of serviceability ................................................................................................................ 80
7.6. Supervision, monitoring, and maintenance ........................................................................................ 81
7.7. Summary of key points ...................................................................................................................... 81
7.8. Worked example anchored sheet pile wall ..................................................................................... 81
CHAPTER 8...83
Deep foundations
8.1. Scope ................................................................................................................................................. 85
8.2. Design situations and limit states ....................................................................................................... 85
8.3. Approaches to pile design and static load tests ................................................................................. 86
8.4. Ultimate limit state design of piles...................................................................................................... 87
8.4.1. EQUILIBRIUM EQUATION ...................................................................................................... 87
8.4.2. DESIGN AXIAL LOAD .............................................................................................................. 88
8.4.3. CHARACTERISTIC PILE RESISTANCE ................................................................................. 88
8.4.4. DESIGN COMPRESSIVE RESISTANCE ................................................................................ 90
8.4.5. PILE GROUPS ......................................................................................................................... 92

iii

8.5. Serviceability limit state design .......................................................................................................... 92

8.6. Pile design in Ireland .......................................................................................................................... 93
8.6.1. PILE DESIGN IN IRELAND FROM GROUND TEST RESULTS ............................................. 93
8.6.2. PILE DESIGN IN IRELAND USING THE ALTERNATIVE PROCEDURE ............................... 93
8.7. Summary of key points ...................................................................................................................... 94
8.8. Worked examples pile design ......................................................................................................... 95
ANNEX....97
Worked examples
A.1. Introduction ........................................................................................................................................ 99
A.2. Worked example to accompany Chapter 2 ........................................................................................ 99
A.2.1. DESIGN SITUATION ............................................................................................................... 99
A.2.2. COMBINATIONS OF ACTIONS FOR PERSISTENT AND TRANSIENT DESIGN
SITUATIONS - ULS VERIFICATION ..................................................................................... 101
A.2.3. COMBINATIONS OF ACTIONS FOR QUASI-PERMANENT DESIGN SITUATIONS - SLS
VERIFICATIONS .................................................................................................................... 103
A.3. Worked example to accompany Chapter 3 ...................................................................................... 104
A.3.1. DESIGN SITUATION ............................................................................................................. 105
A.3.2. ASSIGNEMENT: THE FOUNDATION WIDTH B TO SATISFY BOTH ULS AND SLS IS
REQUIRED............................................................................................................................. 107
A.3.3. DESIGN OF A STRIP FOUNDATION FOR BEARING RESISTANCE ................................. 112
A.3.4. DESIGN OF A STRIP FOUNDATION: SERVICEABILITY CHECK...................................... 113
A.3.5. CONSOLIDATION SETTLEMENTS IN OEDOMETRIC CONDITIONS: ............................... 115
A.4. Worked example to accompany Chapter 4 ...................................................................................... 119
A.4.1. DESIGN SITUATION ............................................................................................................. 119
A.4.2. T-SHAPED WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT STATE GEO) DESIGN APPROACH 1 ......................................................................................................... 120
A.4.3. VERIFICATIONS .................................................................................................................... 123
A.4.4. T-SHAPED WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT STATE GEO) DESIGN APPROACH 2* ........................................................................................................ 124
A.4.5. VERIFICATIONS .................................................................................................................... 127
A.5. Worked example to accompany Chapter 5 ...................................................................................... 128
A.5.1. APPLICATION OF STATISTICAL METHODS TO DETERMINE CHARACTERISTIC
VALUES OF GROUND PARAMETER ................................................................................... 128
A.5.2. CHARACTERISTIC VALUES FOR BASE AND SHAFT RESISTANCE OF PILE IN SAND . 129
A.5.3. CHARACTERISTIC VALUES FOR BASE AND SHAFT RESISTANCE OF PILE IN STIFF
CLAY 131
A.6. Worked example to accompany Chapter 6 ...................................................................................... 133
A.6.1. VERIFICATION AGAINST OF FAILURE OF UPLIFT ........................................................... 133

iv

A.6.2. VERIFICATION AGAINST FAILURE OF HYDRAULIC HEAVE ............................................ 139

A.7. Worked example to accompany Chapter 7 ...................................................................................... 140
A.7.1. DESIGN SITUATION ............................................................................................................. 140
A.7.2. ANCHORED SHEET PILE WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT
STATE GEO) - DESIGN APPROACH 1 ................................................................................ 141
A.7.3. VERIFICATIONS .................................................................................................................... 143
A.7.4. ANCHORED SHEET PILE WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT
STATE GEO) - DESIGN APPROACH 2* ............................................................................... 144
A.7.5. VERIFICATIONS .................................................................................................................... 146
A.8. Worked examples to accompany Chapter 8 .................................................................................... 147
A.8.1. PILE DESIGNED FROM STATIC LOAD TEST RESULTS ................................................... 147
A.8.1.1. Design Approach 1 ................................................................................................... 149
A.8.1.2. Design Approach 2 ................................................................................................... 149
A.8.1.3. Design Approach 3 ................................................................................................... 150
A.8.1.4. Conclusions from Example 1 .................................................................................... 150
A.1.1. PILE FOUNDATION DESIGNED FROM SOIL TEST PROFILE ........................................... 150
A.8.1.5. Design Approach 1 ................................................................................................... 152
A.8.1.6. Design Approach 2 ................................................................................................... 153
A.8.1.7. Design Approach 3 ................................................................................................... 153
A.8.1.8. Conclusions from Example 2 .................................................................................... 153
A.8.2. PILE FOUNDATION DESIGNED FROM SOIL PARAMETERS ............................................ 154
A.8.2.1. Design Approach 1 ................................................................................................... 156
A.8.2.2. Design Approach 2 ................................................................................................... 156
A.8.2.3. Design Approach 3 ................................................................................................... 157
A.8.2.4. Conclusions from Example 3 .................................................................................... 158

vi

List of authors and editors

Authors
CHAPTER 1 - Forward
Silvia DIMOVA

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Borislava NIKOLOVA

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Artur V. PINTO

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

CHAPTER 2 - Basis of design

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Bernd SCHUPPENER,

BAW Federal Waterways Engineering and Research

Institute, Germany (former Chairman of TC250/SC7)

CHAPTER 3 - Shallow foundations

Giuseppe SCARPELLI,

Technical University of the Marche Region, Ancona, Italy

(former Vice-Chairman of TC250/SC7)

Trevor L.L.ORR

Trinity College,
TC250/SC7/EG3)

Dublin,

Ireland

(Convenor

of

CHAPTER 4 - Retaining structures I

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Bernd SCHUPPENER,

BAW Federal Waterways Engineering and Research

Institute, Germany (former Chairman of TC250/SC7)

CHAPTER 5 - Ground investigation and testing

Bernd SCHUPPENER,

BAW Federal Waterways Engineering and Research

Institute, Germany (former Chairman of TC250/SC7)

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

CHAPTER 6 - Slope stability, embankments, and hydraulic failure

Trevor L.L.ORR

Trinity College,
TC250/SC7/EG3)

Dublin,

Ireland

(Convenor

of

Bernd SCHUPPENER,

BAW Federal Waterways Engineering and Research

Institute, Germany (former Chairman of TC250/SC7)

CHAPTER 7 - Retaining structures II

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

vii

Giuseppe SCARPELLI,

Technical University of the Marche Region, Ancona, Italy

(former Vice-Chairman of TC250/SC7)

CHAPTER 8 - Deep foundations

ANNEX -

Trevor L.L.ORR

Trinity College,
TC250/SC7/EG3)

Dublin,

Ireland

(Convenor

of

Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Worked examples
Andrew J. BOND,

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Bernd SCHUPPENER,

BAW Federal Waterways Engineering and Research

Institute, Germany (former Chairman of TC250/SC7)

Giuseppe SCARPELLI,

Technical University of the Marche Region, Ancona, Italy

(former Vice-Chairman of TC250/SC7)

Trevor L.L.ORR

Trinity College,
TC250/SC7/EG3)

Silvia DIMOVA

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Borislava NIKOLOVA

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Artur V. PINTO

European Laboratory for Structural Assessment (ELSA)

Institute for Protection and Security of the Citizen (IPSC)
Joint Research Center (JRC), European Commission

Dublin,

Ireland

(Convenor

of

Editors

viii

CHAPTER 1

Foreword

S.Dimova1, B.Nikolova1, A.Pinto1, A.J.Bond2

European Laboratory for Structural Assessment (ELSA)

Institute for the Protection and Security of the Citizen (IPSC)

Joint Research Centre (JRC)
2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7

Foreword
S.Dimova, B.Nikolova, A.Pinto, A.J.Bond

Foreword
S.Dimova, B.Nikolova, A.Pinto, A.J.Bond
The construction sector is of strategic importance to the EU as it delivers the buildings and
infrastructure needed by the rest of the economy and society. It represents more than 10% of EU
GDP and more than 50% of fixed capital formation. It is the largest single economic activity and it is
the biggest industrial employer in Europe. The sector employs directly almost 20 million people.
Construction is a key element not only for the implementation of the Single Market, but also for other
construction relevant EU Policies, e.g. Sustainability, Environment and Energy, since 40-45% of
Europes energy consumption stems from buildings with a further 5-10% being used in processing
and transport of construction products and components.
The EN Eurocodes are a set of European standards which provide common rules for the design of
construction works, to check their strength and stability against live extreme loads such as fire and
earthquakes. In line with the EUs strategy for smart, sustainable and inclusive growth (EU2020),
Standardization plays an important part in supporting the industrial policy for the globalization era.
The improvement of the competition in EU markets through the adoption of the Eurocodes is
recognized in the "Strategy for the sustainable competitiveness of the construction sector and its
enterprises" - COM (2012)433, and they are distinguished as a tool for accelerating the process of
convergence of different national and regional regulatory approaches.
With the publication of all the 58 Eurocodes Parts in 2007, the implementation of the Eurocodes is
extending to all European countries and there are firm steps toward their adoption internationally. The
Commission Recommendation of 11 December 2003 stresses the importance of training in the use of
the Eurocodes, especially in engineering schools and as part of continuous professional development
courses for engineers and technicians, which should be promoted both at national and international
level. It is recommended to undertake research to facilitate the integration into the Eurocodes of the
latest developments in scientific and technological knowledge.
In light of the Recommendation, DG JRC is collaborating with DG ENTR and CEN/TC250 Structural
Eurocodes and is publishing the Report Series Support to the implementation, harmonization and
further development of the Eurocodes as JRC Scientific and Policy Reports. This Report Series
includes, at present, the following types of reports:
1.

Policy support documents Resulting from the work of the JRC in cooperation with partners
and stakeholders on Support to the implementation, promotion and further development of
the Eurocodes and other standards for the building sector;

2.

Technical documents Facilitating the implementation and use of the Eurocodes and
containing information and practical examples (Worked Examples) on the use of the
Eurocodes and covering the design of structures or its parts (e.g. the technical reports
containing the practical examples presented in the workshop on the Eurocodes with worked
examples organized by the JRC);

3.

Pre-normative documents Resulting from the works of the CEN/TC250 and containing
background information and/or first draft of proposed normative parts. These documents can
be then converted to CEN technical specifications

4.

Background documents Providing approved background information on current Eurocode

part. The publication of the document is at the request of the relevant CEN/TC250 SubCommittee;

5.

Scientific/Technical information documents Containing additional, non-contradictory

information on current Eurocode part, which may facilitate its implementation and use, or
preliminary results from pre-normative work and other studies, which may be used in future
revisions and further developments of the standards. The authors are various stakeholders
involved in Eurocodes process and the publication of these documents is authorized by
relevant CEN/TC250 Sub-Committee or Working Group.

Editorial work for this Report Series is assured by the JRC together with partners and stakeholders,
when appropriate. The publication of the reports type 3, 4 and 5 is made after approval for publication
from the CEN/TC250 Co-ordination Group.

Foreword
S.Dimova, B.Nikolova, A.Pinto, A.J.Bond
The publication of these reports by the JRC serves the purpose of implementation, further
harmonization and development of the Eurocodes. However, it is noted that neither the Commission
nor CEN are obliged to follow or endorse any recommendation or result included in these reports in
the European legislation or standardization processes.
This report is part of the so-called Technical documents (Type 2 above) and contains a
comprehensive description of the practical examples presented at the workshop Geotechnical design
with the Eurocodes with emphasis on worked examples. The workshop was held on 13-14 June
2013 in Dublin, Ireland and was co-organized with CEN/TC250/Sub-Committee 7, the Ireland's
Department of the Environment, Community and Local Government, with the support of CEN and the
Member States. The workshop addressed representatives of public authorities, national
standardisation bodies, research institutions, academia, industry and technical associations involved
in training on the Eurocodes. The main objective was to facilitate training on Eurocode 7 related to
geotechnical design through the transfer of knowledge and training information from the Eurocode 7
writers (CEN/TC250 Sub-Committee 7) to key trainers at national level and Eurocode users.
The workshop was a unique occasion to compile a state-of-the-art training kit comprising the slide
presentations and technical papers with the worked examples for encompassing the most important
practical cases of geotechnical design. The present JRC Report compiles all the technical papers and
worked examples prepared by the workshop lecturers. The editors and authors have sought to
present useful and consistent information in this report. However, it must be noted that the report
does not present complete design examples and that the reader may identify some discrepancies
between chapters. The chapters presented in the report have been prepared by different authors and
are reflecting the different practices in the EU Member States. Users of information contained in this
report must decide themselves of its suitability for the purpose for which they intend to use it.
We would like to gratefully acknowledge the workshop lecturers and the members of CEN/TC250
Sub-Committee 7 for their contribution in the organization of the workshop and development of the
training material comprising the slide presentations and technical papers with the worked examples.
We would also like to thank the Ireland's Department of the Environment, Community and Local
Government, and especially John Wickham for the help and support in the local organization of the
workshop.
All the material prepared for the workshop (slides presentations and JRC Report) is available to
download from the Eurocodes: Building the future website (http://eurocodes.jrc.ec.europa.eu).

Ispra, October 2013

CHAPTER 2

Basis of design

A. J. Bond1 and B. Schuppener2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

BAW Federal Waterways Engineering and Research Institute, Germany (former

Chairman of TC250/SC7)

Basis of design
A.J.Bond and B.Schuppener

Basis of design
A.J.Bond and B.Schuppener

2.1. Overview
The Eurocode family of design standards is illustrated in Figure 2.1.1 (after Bond & Harris, 2008). It
comprises:
o

EN 1990, Basis of structural design

EN 1991, Actions on structures

EN 1992, Design of concrete structures

EN 1993, Design of steel structures

EN 1994, Design of composite concrete and steel structures

EN 1995, Design of timber structures

EN 1996, Design of masonry structures

EN 1997, Geotechnical design

EN 1998, Design of structures for earthquake resistance

EN 1999, Design of aluminium structures

Fig. 2.1.1 Eurocode family of design standards (after Bond and Harris, 2008)

Basis of design
A.J.Bond and B.Schuppener

2.2. Design requirements

Eurocode design is based on Principles (general statements, analytical models, and requirements)
where no alternative is permitted and Application Rules, which are generally recognised rules that
comply with the Principles and satisfy their requirements.
A design is deemed to meet the requirements of the Construction Product Directive (and its
successors) if the assumptions on which the Eurocodes are based are satisfied. The assumptions are
that the structures are adequately maintained and used in conjunction with the design assumptions;
the construction materials and products are as specified in ENs 1990-9; the choice of structural
system is made by personnel with appropriate qualifications and experience; and the execution is
performed by personnel with appropriate skill and experience and is adequately supervised and
quality controlled.
Eurocode 7 includes several requirements regarding management of complexity:
o

In order to establish minimum requirements for the extent and content of geotechnical
investigations, calculations and construction control checks, the complexity of each
geotechnical design shall be identified together with associated risks EN 1997-1 2.1(8)P

a distinction shall be made between light and simple structures and small earthworks
for which ... the minimum requirements will be satisfied by experience and qualitative
geotechnical investigations, with negligible risk; [and] other geotechnical structures EN
1997-1 2.1(8)P continued

For structures and earthworks of low geotechnical complexity and risk, such as defined
above, simplified design procedures may be applied EN 1997-1 2.1(9)

To assist the application of these Principles, Eurocode 7 introduces Geotechnical Categories:

Table 2.2.1 Geotechnical categories
Includes

Design requirements

Design procedure

Small and relatively

simple structures
with negligible risk

Negligible risk of instability or ground

movements
Ground conditions known to be
straightforward
No excavation below water table (or such
excavation is straightforward)

Routine design &

construction methods

Conventional types of
structure & foundation
with no exceptional
risk or difficult soil or
loading conditions

Quantitative geotechnical data & analysis

to ensure fundamental requirements are
satisfied

Routine field & lab

testing
Routine design &
execution

Structures or parts of
structures not covered
above

Include alternative provisions and rules to those in Eurocode 7

GC

Examples of structures in Geotechnical Category 2 include: spread, raft, and pile foundations; walls
and other structures retaining or supporting soil or water; excavations; bridge piers and abutments;
embankments and earthworks; ground anchors and other tie-back systems; and tunnels in hard, nonfractured rock and not subjected to special water tightness or other requirements.
Examples of structures in Geotechnical Category 3 include: very large or unusual structures;
structures involving abnormal risks, or unusual or exceptionally difficult ground or loading conditions;

Basis of design
A.J.Bond and B.Schuppener
structures in highly seismic areas; and structures in areas of probable site instability or persistent
ground movements that require separate investigation or special measures.

2.3. Actions and design situations

Design situations are sets of physical conditions representing the real conditions occurring during a
certain time interval for which the design will demonstrate that relevant limit states are not exceeded
(EN 1990 1.5.2.2). They are classified as follows:
o

Persistent (conditions of normal use)

Period = same order as design working life (DWL) of structure

Transient (temporary conditions, e.g. execution or repair

Period << DWL and high probability of occurrence

Accidental (exceptional conditions)

e.g. fire, explosion, impact, local failure

Seismic (exceptional conditions during earthquake)Overview

Less severe values of the partial factors recommended in Annex A of EN 1997-1 may be used for
temporary structures or transient design situations when the likely consequences justify it (EN 1997-1
2.4.7.1 (5)).
Table 2.3.1 summarizes the classification of actions according to EN 1990:
Table 2.3.1 Classification of actions
Action
Permanent

Variable

Accidental

Duration

Variation with
time

Examples

Likely to act
throughout
reference
period

Negligible or
monotonic

Self-weight of structures, fixed

equipment and road-surfacing; indirect

actions caused by shrinkage and

uneven settlements

Neither negligible
nor monotonic

Imposed loads on building floors,

beams and roofs; wind*; snow*

Significant
magnitude

Explosions, vehicle impact*, seismic*

(AE, due to earthquake ground
motions)

Usually short

*may be variable or accidental depending on statistical distribution

may be permanent or variable

2.4. Limit states

Eurocode 7 states that For each geotechnical design situation it shall be verified that no relevant limit
state is exceeded (EN 1997-1 2.1(1)P). Limit states (which include ultimate limit states GEO,
STR, EQU, UPL, and HYD and serviceability limit states) should be verified by one or a combination
of:

Basis of design
A.J.Bond and B.Schuppener
o

Use of calculations

Adoption of prescriptive measures

Experimental models and load tests

An observational method

Design by calculation is illustrated in Figure 2.4.1 (after Bond & Harris, 2008).

Fig. 2.4.1 Design by calculation (after Bond and Harris, 2008)

Verification of the ultimate limit state of strength is expressed in Eurocode 7 by:
Ed Rd

where Ed = the design effect of actions and Rd = the corresponding design resistance (see EN 1997-1
exp. 2.5).
This expression applies to the following ultimate limit states:
o

GEO: Failure or excessive deformation of the ground, in which the strength of soil or rock
is significant in providing resistance

STR: Internal failure or excessive deformation of the structure or structural elements in

which the strength of structural materials is significant in providing resistance

Bond and Harris (2008) recommend using the ratio of the design effect of actions to the
corresponding resistance to verify GEO:
GEO

Ed
100%
Rd

where = degree of utilization.

10

Basis of design
A.J.Bond and B.Schuppener
Frank et. al. (2004) define the ratio of the design resistance to the corresponding design effect of
actions:
ODF

Rd
1,0
Ed

where ODF = overdesign factor (= 1 / ).

According to Eurocode 7, The manner in which equations [for GEO/STR] are applied shall be
determined using one of three Design Approaches. Design Approaches apply ONLY to STR and GEO
limit states. Each nation can choose which one (or more) to allow (EN 1997-1 2.4.7.3.4.1(1)P). In
Germany, the Design Approaches only apply to GEO, with STR remaining within the domain of
structural engineers.
In Design Approach 1, factors are applied to actions alone (in Combination 1) and mainly to material
factors (in Combination 2). In Design Approach 2, factors are applied to actions (or effects of actions)
and to resistances simultaneously. In Design Approach 3, factors are applied to structural actions (but
not to geotechnical actions) and to material properties simultaneously. Further information about the
differences between the Design Approaches is given by Bond and Harris (2008) and Frank et al.
(2007).
Figures 2.4.2 and 2.4.3 (after Bond, 2013) summarize the choices of Design Approach that have been
made for the design of shallow foundations and slopes, by different countries in Europe.

Fig. 2.4.2 National choice of Design Approach for shallow foundations (after Bond, 2013)

11

Basis of design
A.J.Bond and B.Schuppener

Fig. 2.4.3 National choice of Design Approach for slopes (after Bond, 2013)
Verification of static equilibrium is expressed in Eurocode 7 by:

Edst ;d Estb;d Td
where Edst;d = the design value of the effect of destabilising actions; Estb;d = the design value of the
effect of stabilizing actions; and Td = the design value of any stabilizing shear resistance of the ground
or of structural elements.
This expression applies to the following ultimate limit state:
o

EQU: Loss of equilibrium of the structure or the ground considered as a rigid body, in which
the strengths of structural materials and the ground are insignificant in providing resistance

Verification of serviceability is expressed in Eurocode 7 by:

Ed Cd

where Ed = design effect of actions (e.g. displacement, distortion) and Cd = design constraint (i.e.
limiting value of design effect). According to EN 1990, partial factors should normally be taken
equal to 1,0.

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Basis of design
A.J.Bond and B.Schuppener

2.5. Supervision, monitoring, and maintenance

To ensure the safety and quality of a structure, the following shall be undertaken, as appropriate: the
construction processes and workmanship shall be supervised; the performance of the structure shall
be monitored during and after construction; the structure shall be adequately maintained (EN 1997-1
4.1(1)P).

2.6. Summary of key points

Design requirements:
o

Complexity of design

Geotechnical Categories (GC1-3)

Geotechnical design by...

o

Prescriptive measures

Calculation

Observation or testing

Limit states
o

Overall stability

Ultimate limit states (GEO, STR, EQU, UPL, and HYD)

Serviceability limit states

2.7. Worked example combinations of actions

A worked example illustrating the way in which actions should be combined according to EN 1990, in
a way that is suitable for geotechnical design of foundations, is included in the Annex to this report.

References
Bond, A. J. (2013). Implementation and evolution of Eurocode 7, Modern Geotechnical Design Codes
of Practice, Arnold et al. (eds), Amsterdam: IOS Press, pp3-14.
Bond, A. J., and Harris, A. J. (2008). Decoding Eurocode 7, London: Taylor & Francis, 598pp.
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.
Frank, R., Bauduin, C., Kavvadas, M., Krebs Ovesen, N., Orr, T., and Schuppener, B. (2004).
Designers guide to EN 1997-1: Eurocode 7: Geotechnical design General rules, London:
Thomas Telford.
Frank, R., Schuppener, B., Vogt, N., Weienbach, A. (2007), Verification of ultimate limit states in
geotechnical design in France and Germany, Revue europenne de gnie civil, vol. 11, n 5, Mai
2007, p. 621-641, France.

13

Basis of design
A.J.Bond and B.Schuppener

14

CHAPTER 3

Shallow foundations

G. Scarpelli1 and T.L.L. Orr2

Technical University of the Marche Region, Ancona, Italy (former Vice-Chairman of

TC250/SC7)
2

Trinity College, Dublin, Ireland (Convenor of TC250/SC7/EG3)

Shallow foundations
G.Scarpelli and T.L.L.Orr

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Shallow foundations
G.Scarpelli and T.L.L.Orr

3.1. Scope
This chapter deals with the geotechnical design of spread foundations according to Eurocode 7.
Section 6 of Eurocode 7 Part 1 presents the different aspects to be considered for designing shallow
foundations of buildings, bridges, walls, isolated columns etc. It applies to pad, strip, and raft
foundations and some provisions may be applied to deep foundations, such as caissons.
Section 6 is organized in the following subsections:
6.1. General
6.2. Limit states
6.3. Actions and design situations
6.4. Design and construction considerations
6.5. Ultimate limit state design
6.6. Serviceability limit state design
6.7. Foundations on rock; additional design considerations
6.8. Structural design of foundations
6.9. Preparation of the subsoil
Moreover, Eurocode 7 has the following five informative annexes that are specifically referred to in
Section 6 in relation to shallow foundation design that give useful information and guidance about
bearing resistance calculation, limiting values of structural deformations for serviceability of
constructions and foundation movements:
D. A sample analytical method for bearing resistance calculation;
E. A sample semi-empirical method for bearing resistance estimation;
F. Sample methods for settlement evaluation;
G. A sample method for deriving presumed bearing resistance for spread foundations on rock;
H. Limiting values of structural deformation and foundation movement.

3.2. Design situations and limit states

3.2.1. INTRODUCTION
In 6.2 EC7 most common limit states for spread foundations are listed (here schematically
represented in Fig.3.2.1):
o

loss of overall stability

bearing resistance failure

failure by sliding

combined failure in the ground and in the structure

structural failure due to foundation movement

excessive settlements

excessive heave due to swelling, frost and other causes

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Shallow foundations
G.Scarpelli and T.L.L.Orr
o

unacceptable vibrations

Fig.3.2.1 Sketches of limit states (from Bond & Harris, 2008)

Some of above are ultimate limit states and some are serviceability limit states. The design
philosophy of Eurocode 7 is that both types of limit states need to be considered as possibly critical in
selecting the dimensions of the foundations.
Actions have to be selected in accordance to the relevant Eurocodes, particularly, EN1990 and
EN1991. Special consideration is given to design situations to be considered: the actions, their
combinations and load cases; overall stability; the disposition and classification of the various soils
and elements of construction; dipping bedding planes; underground structures; interbedded hard and
soft strata; faults, joints and fissures; possible instability of rock blocks; solution cavities; and the
environment within which the design is set that includes earthquakes, subsidence, interference with
existing constructions).
Actions include: weight of soil and water; earth pressures; free water pressure, wave pressure;
seepage forces; dead and imposed loads from structures; surcharges; mooring forces; removal of
load and excavation of ground; and traffic loads.
Based on common experience, the most important design and construction considerations to choose
the foundation depth are given in 6.4 of EN1997-1. These are schematically represented in
Fig.3.2.2.

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Shallow foundations
G.Scarpelli and T.L.L.Orr

Fig.3.2.2 Selection of the depth of a shallow foundation (from Bond & Harris, 2008)
It is clear that most of the foundation problems can be anticipated and avoided if the depth of a
foundation is appropriately selected. One of the design methods given in Error! Reference source
not found. shall be used to analyze the limit states for shallow foundations.
Table 3.2.1 Methods to analyze limit states (after Bond & Harris, 2008)
Method

Description

Constraints

Direct

Carry out separate analyses for each

limit state, both ultimate (ULS) and
serviceability (SLS)

Indirect

Use comparable experience with

results of field & laboratory
measurements & observations

Choose SLS loads to satisfy

requirements of all limit states

Prescriptive

Use conventional & conservative

design rules and specify control of
construction

Use presumed bearing resistance

(ULS) Model envisaged failure

mechanism
(SLS) Use a serviceability
calculation

3.2.2. DESIGN INEQUALITIES

Ultimate limit state designs to Eurocode 7 require the application of partial factors to actions (or effect
of actions) to obtain Ed and to geotechnical parameters or resistances to obtain Rd that are used in
the following general inequality:

Ed Rd
For serviceability limit state designs the inequality to be checked is:

Ed Cd

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G.Scarpelli and T.L.L.Orr
where Ed is the design value of the effect of the actions, for example the settlement, calculated using
partial factors of unity, and Cd is the limiting value of the effect of an action, for example the limiting
value of the structural deformation or foundation movement as values given in Annex H, EN 1997-1.
Representation of the design action:

Ed Gj Gkj Q1Qk 1
j 1

i 1

Qi

0i Qki

where:
Gkj = characteristic permanent loads
Qki = characteristic variable loads

0i = factors for combination value of variable loads

Gj = partial factors for permanent loads
Qi = partial factors for variable loads
Representation of resistance:
Rd R Frep ; X k / M ; ad / R

where:
Frep = representative value of actions
Xk = characteristic value of geotechnical parameters
ad = design value of geometrical data
M = partial factors for geotechnical parameters
R = partial factors for resistances

3.2.3. OVERALL STABILITY OF SPREAD FOUNDATIONS

Overall stability (ULS) check has to be performed for foundations on sloping ground, natural slopes or
embankments and for foundations near excavations, retaining walls or buried structures, canals, etc.
For such situations, it shall be demonstrated using the principles described in the relevant Section 11,
EN1997-1 that a stability failure of the ground mass containing the foundation is sufficiently
improbable.
With DA-1 and DA-3 the stability check is carried out using (almost) the same partial factors. DA-2 is
slightly more conservative if k is not too large.
When checking overall stability using DA2, the partial factors on resistances in Table 3.2.2 (Table
A.14, EC7, Annex A) need to be considered.
Table 3.2.2 Partial resistance factors (R) for slopes and overall stability (Table A.14, EC7,
Annex A)
Resistance
Earth resistance

Symbol

Set

R,e

20

R1

R2

R3

1,0

1,1

1,0

Shallow foundations
G.Scarpelli and T.L.L.Orr

3.3. Ultimate Limit State verifications by Direct Method

ULS verifications are carried out with the three possible Design Approaches:
o

DA1 Combination 1:

A1 + M1 + R1

DA1 Combination 2:

A2 + M2 + R1

DA2:

A1+ M1+R2

DA3:

(A1 or A2)* + M2 + R3

*A1 is for structural actions and A2 is for geotechnical actions

When applicable, drained and undrained conditions are analyzed. The sets of partial factors
summarized in Tables 3.3.1, 3.3.2. and 3.3.3 are given in EC7 for the different Design Approaches:
Table 3.3.1 Partial factors on actions (F) or the effects of actions (E)
Action

Symbol
Unfavourable

Permanent

Favourable
Unfavourable

Variable

Set

Favourable

A1

A2

1,35

1,0

1,0

1,0

1,5

1,3

Table 3.3.2 Partial resistance factors for spread foundations (R)

Resistance

Symbol

Set
R1

R2

R3

Bearing

Rv

1,0

1,4

1,0

Sliding

Rh

1,0

1,1

1,0

Table 3.3.3 Partial factors for soil parameters (M)

Soil parameter

Symbol

Value
M1

M2

1,0

1,25

Effective cohesion

1,0

1,25

Undrained strength

cu

1,0

1,4

Unconfined strength

qu

1,0

1,4

Effective cohesion

1,0

1,4

Weight density

1,0

1,0

Shearing resistance

This factor is applied to tan

Whereas there is a general consensus on how Design Approaches 1 and 3 are applied for ULS
verifications, there are two ways of performing verifications according to Design Approach 2: partial
factors are either applied to the actions at the source, or to the effect of the actions, at the end of the
calculation.

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G.Scarpelli and T.L.L.Orr
In the design approach referred to as DA-2, the partial factors are applied to the characteristic actions
right at the start of the calculation and design values are then used. In the design approach referred to
as DA-2*, the entire calculation is performed with characteristic values and the partial factors are
introduced only at the end when the ultimate limit state condition is checked.
The resulting designs can be very different since for DA-2 the effective foundation breadth B and
length L (that is B = B-2e and L = L-2e) are governed by what is called the design value of
eccentricity, ed whereas for DA-2* the characteristic value of eccentricity, ek is used. The following
Error! Reference source not found..1 clarifies why ed >> ek.

Fig.3.3.1 Characteristic (left) and design (right) values of eccentricity

Design approach DA 2* gives the most economic (or less conservative) design.

3.3.1. BEARING RESISTANCE

The check on the bearing resistance of a spread foundation is a re-statement of the general inequality
Ed Rd. That is:

Vd Rd
where Vd is the design action. Vd should include the self-weight of the foundation and any backfill on
it.
The design action, Vd includes both variable and permanent vertical loads; this latter includes all the
actions shown in Error! Reference source not found.3.2 which are:
a)

Supported permanent load

b)

Weight of foundation

c)

Weight of the backfill

d)

Loads from water pressures

e)

Uplift

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Shallow foundations
G.Scarpelli and T.L.L.Orr

Fig.3.3.2 Actions on a spread foundation

The suggested equations for bearing capacity are given in Annex D, EN 1997-1:
For DRAINED CONDITIONS:
R/A= c'Ncbcscic+q'Nqbqsqiq + 1/2'B'Nbsi
For UNDRAINED CONDITIONS:
R/A= (2+)cuscic+q
Where:

Nq e tan tan2 (45 '/ 2)

Nc

1 cot '

Ng 2 Nq 1 tan '

are dimensionless factors for bearing resistance and

bc, bq, b

the inclination of the foundation base

sc, sq, s

the shape of foundation

ic, iq, i

are the factors for the inclination of the load

A = BL

effective foundation area (reduced area with load acting at its centre)

Eurocode 7 in 6.5.4 requires that special precautions be taken when the eccentricity of the loading
exceeds 1/3 of the width of a rectangular; i.e. when eB exceeds B/3 or eL exceeds L/3. It should be
noted that this is not the middle third rule, which requires the eccentricity not to exceed B/6 or L/6 so
as to avoid a gap forming between the foundation and the soil if the soil behaves as a purely elastic
material. A special precaution to be taken in the case of large load eccentricities is the inclusion of
tolerances of up to 0,10 m in the dimensions of the foundation.

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Shallow foundations
G.Scarpelli and T.L.L.Orr

Fig.3.3.3 Definitions of eccentricities eB and eL and effective area A

The factors in the bearing capacity equations are calculated as follows:
For DRAINED CONDITIONS:
iq= (1 0,70 H / (V + A c cotg))

m=mB= [2+(B/L)]/[1+(B/L)]
m=mL= [2+(L/B)]/[1+(L/B)]
2

m=mq =mL cos q +mB sin q

ic= (iq Nq - 1) / (Nq - 1)
ig= (1 - H / (V + A c cotg))
sq= 1 + (B / L) sin

(rectangular shape)

sq= 1 + sin

(square or circular shape)

sc= (sq Nq - 1) / (Nq - 1)

sg= 1- 0,30 (B / L)

(rectangular shape)

sg= 0,70

(square or circular shape)

bc = bq - (1-bq) / (Nc tan)

bq = b=(1- tan)2
for UNDRAINED CONDITIONS:
bc=12 /(+2)
is the inclination of the foundation base to the horizontal
sc = 1+ 0,2 (B'/L')

(rectangular shape)

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Shallow foundations
G.Scarpelli and T.L.L.Orr
sc = 1,2

(square or circular shape)

ic 0,5 1

1 H / ( Acu )

NOTE: For drained conditions, water pressures must be included as actions. The question then
arises, which partial factors should be applied to the weight of a submerged structure? Since the
water pressure acts to reduce the value of Vd, it may be considered as favourable, while the total
weight is unfavourable. Physically however, the soil has to sustain the submerged weight. For the
design of structural members, water pressure may be unfavourable.
NOTE: As the eccentricity influences the effective base dimensions it may be necessary to analyze
different load combinations, by considering the permanent vertical load as both favourable and
unfavourable and by changing the leading variable load.

Fig.3.3.4 Vertical and horizontal loads

Vunfavorable Hunfavorable
Vd=G Gk+Qv 0 Qvk ;

Hd= Qh Qhk

G=1,35;

Qh=1,5

Qv=1,5;

Vunfavourable Hunfavourable
Vd= G Gk+ Qv Qvk ;

Hd= Qh 0 Qhk

G=1,35;

Qh=1,5

Qv=1,5;

Vfavourable Hunfavourable
Vd= G Gk+Qv Qvk
Hd= Qh Qhk
G=1,00;

Qv=0,0;

Qh=1,5

3.3.2. SLIDING RESISTANCE

Following the scheme of Error! Reference source not found.5, the ULS check for sliding is:
Hd Rd + Rp.d

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Shallow foundations
G.Scarpelli and T.L.L.Orr
where Rp,d is the contribution to resistance due to passive thrust that may develop in front of the
foundation.
For drained conditions the design shear resistance, Rd, shall be calculated either by factoring the
ground properties or the ground resistance as follows:
Rd = V'd tan d or Rd = (Vd tan k) / Rh
Normally it is assumed that the soil at the interface with concrete is remolded. So the design friction
angle d may be assumed equal to the design value of the effective critical state angle of shearing
resistance, 'cv,d, for cast-in-situ concrete foundations and equal to 2/3 'cv,d for smooth precast
foundations.

Fig.3.3.5 Actions to be included for checking against sliding

Any effective cohesion c' should be neglected.
For undrained conditions, the design shearing resistance, Rd, shall be calculated either by factoring
the ground properties or the ground resistance as follows:
Rd = Ac cu,d or Rd = (Ac cu,k)/Rh
NOTE: The maximum available sliding resistance is likely to be mobilized with relatively little
movement (and may reduce as large movements take place) whereas the mobilization of the passive
earth pressure resistance may require significant movement. Hence it could be difficult to mobilize the
maximum value of both Rd and Rp,d simultaneously. Considering also the remolding effects of
excavation, erosion and shrinkage the passive resistance should be neglected.
In undrained conditions. in some circumstances, the vertical load is insufficient to produce full contact
between soil and foundation: the design resistance should be limited to 0,4Vd.

3.4. SLS check the performance of the foundation

When design is carried out by direct methods, settlement calculations are required to check SLS. For
soft clays settlement calculations shall always be carried out. For spread foundations on stiff and firm
clays in Geotechnical Categories 2 and 3, vertical displacement should usually be calculated.

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Shallow foundations
G.Scarpelli and T.L.L.Orr
The following three components of settlement have to be considered:
o

s0: immediate settlement; for fully-saturated soil due to shear deformation at constant volume
and for partially-saturated soil due to both shear deformation and volume reduction;

s1: settlement caused by consolidation;

s2: settlement caused by creep.

In verifications of serviceability limit states, partial factors are normally set to 1.

The combination factors, to be used are those for characteristic, frequent or quasi permanent
combinations, which are the 2 values from EN 1990.

3.4.1. SOME USEFUL DEFINITIONS

Annex H, EN 1997-1, gives definitions of the relevant quantities for checking the serviceability limit
state of spread foundations; settlement, relative settlement and angular distortion are the most
important (Fig.3.3.6 ).

Fig.3.3.6 Definitions for checking SLS from Annex H of EN 1997-1 (after Bond and Harris,
2008)
Spread foundations and superstructures may suffer due to differential settlements and distortions.
The maximum acceptable relative rotations for open framed structures, frames and load bearing or
continuous brick walls are unlikely to be the same but range from about 1/2000 to about 1/300 to
prevent the occurrence of a serviceability limit state in the structure. A maximum relative rotation of
1/500 is acceptable for many structures. The relative rotation likely to cause an ultimate limit state is
about 1/150.

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Shallow foundations
G.Scarpelli and T.L.L.Orr
For normal structures with isolated foundations, total settlements up to 50 mm are often acceptable.
Larger settlements may be acceptable provided the relative rotations remain within acceptable limits
and provided the total settlements do not cause problems with the services entering the structure, or
cause tilting etc. Acceptable limits for structural deformations are given in the following Table 3..
Table 3.4.1 Limiting deformations and damages of constructions
Type of structure

Type of damage/concern

Criterion

Limiting value(s)

Framed buildings and

reinforced load bearing
walls

Structural damage

Angular distortion

1/150-1/250

Cracking in walls and

partitions

Angular distortion

1/500

Visual appearance

Tilt

1/300

Connection to services

Total settlement

50-75mm (sands)

(1/1000-1/1400) for end bays

75-135mm (clays)
Tall buildings

Operation of lifts &

elevators

Tilt after lift installation

1/1200-1/2000

Structures with
unreinforced load
bearing walls

Cracking by sagging

Deflection ratio

1/2500 (L/H=1)
1/1250 (L/H=5)

Cracking by hogging

Deflection ratio

1/5000 (L/H=1)
1/2500 (L/H=5)

Bridges - general

Ride quality

Total settlement

100mm

Structural distress

Total settlement

63mm

Function

Horizontal movement

38mm

Bridges multiple span

Structural damage

Angular distortion

1/250

Bridges single span

Structural damage

Angular distortion

1/200

3.4.2. METHODS FOR SLS CHECK

To perform the SLS check as required by EC7 different methods are used in practice.
o

Deterministic: solve the soil-foundation interaction problem and deduce stresses and
deformations of the foundation (by using numerical methods with FEM or subgrade reaction
models)

Semi-empirical: calculate maximum settlement (wmax)

a) Evaluation of differential settlement and of angular distortion = f(wmax, foundation,
ground) using empirical plots (e.g. in Fig.3.3.7, Bjerrum, 1963)
b) Admissibility check for and = f(structure, type of damage)

28

Shallow foundations
G.Scarpelli and T.L.L.Orr

Fig.3.3.7 Empirical correlation between maximum differential settlement and maximum

1
settlement (from Bjerrum, 1963)
The total settlement of a foundation on cohesive or non-cohesive soil may be evaluated using
elasticity theory through an equation of the form:
w = pbf / Em
where:
Em is the design value of the modulus of elasticity (operative modulus)
f is an influence settlement coefficient
p is the (average) pressure at the base of the foundation
b is the foundation breadth.
To calculate the consolidation settlement, a confined one-dimensional deformation model may be
used.

3.4.3. SLS ULS CHECK BY USING INDIRECT METHODS (SEE TABLE 3.4.1)
Terzaghi & Peck charts (1967) offer an example of using indirect methods for foundation design.
Charts give allowable bearing capacity for granular soils and a shallow foundation as a function of the
embedment ratio (D/B), foundation breadth B and corrected blow count N from SPT tests. The
allowable pressure values imply a settlement less than 25 mm.
The graphs of allowable bearing pressures against foundation width, B in Fig.3., which increase
linearly for small B values and then become constant above a certain B value, show that the
controlling limit state for pad foundations changes from bearing failure (ULS) for small B values to
excessive settlement (SLS) for large B values.

key: strutture flessibili = flexible structures; strutture rigide = rigid structures

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Shallow foundations
G.Scarpelli and T.L.L.Orr

Fig.3.3.8 Allowable bearing pressures from Terzaghi & Peck (1967) for large B

The reason for this is because, when B becomes larger, as shown in Fig.3.3.9 , the allowable bearing
pressure must reduce to keep the settlements below the assumed maximum value of 25 mm.
The Terzaghi & Peck design charts demonstrate how in practice foundation design can be governed
either by ULS or by SLS limit states. A sound foundation design shall always be based on both
checks; the calibration of partial factors in EC7 is such that the ULS and SLS are appropriately
balanced for normal design situations.

Fig.3.3.9 Allowable bearing pressures from Terzaghi & Peck (1967) for large B

vertical axis: applied vertical pressure (t/ft ); horizontal axis: breadth of the foundation, B (ft)

30

Shallow foundations
G.Scarpelli and T.L.L.Orr

3.5. Summary of key points

o

Eurocode 7 does not provide new methods for the designing spread foundations

The design of spread foundations always implies the execution of a sound geotechnical
investigation, the selection of the most appropriate geotechnical model and characteristic
values of geotechnical parameters

The first step in the design of a spread foundation is to fix the required performance of the
construction and to select foundation geometry and embedment

Ultimate and serviceability limit state checks can be carried out using commonly recognized
procedures

Eurocode 7 provides recommended values of partial factors for ULS and SLS verifications.
The particular values to be used in a country are given in that countrys National Annex

Eurocode 7 suggests acceptable limits for Cd in SLS checks

3.6. Worked example Design of a strip foundation

A worked example illustrating how the design of a strip foundation of a building can be carried out is
included in the Annex to this report.

References
Bjerrum, L. (1963), "Allowable Settlement of Structures," Proc., European Conf. on Soil Mech. and
Found. Engr., Weisbaden, Germany, Vol. 3, pp. 135-137.
Bond, A. J., and Harris, A. J. (2008). Decoding Eurocode 7, London: Taylor & Francis, 618pp.
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.
Frank, R., Bauduin, C., Kavvadas, M., Krebs Ovesen, N., Orr, T., and Schuppener, B. (2004).
Designers guide to EN 1997-1: Eurocode 7: Geotechnical design General rules, London:
Thomas Telford.
Terzaghi, K & Peck, R B (1967) Soil mechanics in engineering practice 2nd Ed. Pub. John Wiley&
Sons

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32

CHAPTER 4

Retaining structures I

A. J. Bond1 and B. Schuppener2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

BAW Federal Waterways Engineering and Research Institute, Germany (former

Chairman of TC250/SC7)

Retaining structures I
A.J.Bond and B.Schuppener

34

Retaining structures I
A.J.Bond and B.Schuppener

4.1. Scope
This Chapter concentrates on the design of gravity walls, which are walls of stone or plain or
reinforced concrete having a base with or without a heel, ledge, or buttress. A key feature of these
walls is that the weight of the wall itself plays a significant role in the support of the retained material.
Examples include: concrete gravity walls; spread footing reinforced concrete walls; and buttress walls.
Embedded walls are discussed in Chapter 7.
Composite retaining structures are walls composed of elements of the above two types (gravity and
embedded). Examples include: double sheet pile wall cofferdams; earth structures reinforced by
tendons, geotextiles, or grouting; structures with multiple rows of ground anchorages or soil nails.
Parts of this chapter will be relevant to the design of composite walls.
Section 9 of EN 1997-1 applies to retaining structures supporting ground (i.e. soil, rock or backfill)
and/or water and is sub-divided as follows:
9.1. General (6 paragraphs)
9.2. Limit states (4)
9.3. Actions, geometrical data and design situations (26)
9.4. Design and construction considerations (10)
9.5. Determination of earth pressures (23)
9.6. Water pressures (5)
9.7. Ultimate limit state design (26)
9.8. Serviceability limit state design (14)
Many provisions from EN1997-1, Section 6 Spread foundations (discussed in Chapter 3) also apply
to gravity walls.
Annex C of Eurocode 7, Part 1 Sample procedures to determine earth pressures provides
informative text relevant to retaining structures and is sub-divided as follows:
1. Limit values of earth pressure (3 paragraphs)
2. Analytical procedure for obtaining limiting active and passive earth pressures (14)
3. Movements to mobilise earth pressures (4)

4.2. Design situations and limit states

Figures 4.2.1 and 4.2.2 (reproducing Figures 9.1 and 9.2 of EN 1997-1) illustrate some common limit
modes for overall stability and foundation failure of gravity walls.

Fig.4.2.3 Limit modes for overall stability of retaining structures

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A.J.Bond and B.Schuppener

Fig.4.2.2 Limit modes for foundation failures of gravity walls

For ultimate limit state design of gravity walls, the design geometry shall account for anticipated
excavation or possible scour in front of the retaining structure. Specifically, with normal site control,
the retained height of the wall must be increased as follows:

Hd Hnom H
where Hd = design height of wall; Hnom = nominal height of wall; and H = allowance for unplanned
excavation. Table 4.2.1 below gives the recommended values of H with normal site control in place.
Table 4.2.1 Recommended values of H
Wall type

H for normal site control

Cantilever

10% H (up to a maximum of 0,5 m)

Supported

10% of height below lowest support (up to a maximum of 0,5 m)

Eurocode 7s recommendations regarding water levels behind retaining walls distinguish between
design situations with and without reliable drainage. When the wall retains medium or low permeability
(i.e. mainly fine) soils, the wall should be designed for a water level above formation level.
o

Without reliable drainage, the water level should normally be taken at the surface of the
retained material.

With reliable drainage, the water level may be assumed to be below the top of the wall, but
there is then a maintenance requirement to ensure the drainage remains reliable.

One source of ambiguity in Eurocode 7 concerns whether water pressures should be factored or not.
For ultimate limit states (ULSs), EN 1997-1 states design values [of groundwater pressures] shall
represent the most unfavourable values that could occur during the design lifetime of the structure.
Whereas, for serviceability limit states (SLSs), it states design values shall be the most unfavourable
values which could occur in normal circumstances [EN 1997-1 2.4.6.1(6)P]. Although the first of
these statements is easy to interpret, it is not clear what normal circumstances are.
Furthermore, EN 1997-1 goes on to say design values of ground-water pressures may be derived
either by applying partial factors to characteristic water pressures or by applying a safety margin to
the characteristic water level [EN 1997-1 2.4.6.1(8)].

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A.J.Bond and B.Schuppener
Bond and Harris (2008) discuss the ways in which this Application Rule has been interpreted by
practising engineers Fig.4.4.3 summarizes some of the more common interpretations.

Fig.4.4.3
a)
b)
c)
d)
e)

Possible ways of treating water pressures (after Bond & Harris, 2008)
Design water levels for ULS and SLS design situations
Characteristic water pressures for SLS design situation
Design pressures for ULS with no factor applied (= 1,0)
with the factor on permanent actions (G = 1,35) applied
with the factor on permanent actions (G = 1,35) applied to the
normal water level and the factor on variable actions (Q = 1,5)
applied to any rise in water level
f) with the factor on variable actions (Q = 1,5) applied throughout

Instinctively, many geotechnical engineers consider it wrong to apply partial factors to water
pressures, particularly when the density of groundwater is known to a reasonable accuracy. However,
the failure to apply partial factors because of their unreasonableness can lead to design situations
that are under-designed and may even be unsafe. Because of this, Bond and Harris (2008)
recommend a balanced approach to the issue, summarized as follows:
o

When partial factors G > 1,0 are applied to effective earth pressures, then pore water
pressures should also be multiplied by G > 1,0 but calculated from highest normal (i.e.
serviceability) water levels i.e. no safety margin is applied

When partial factors G = 1,0 are applied to effective earth pressures, then pore water
pressures should be multiplied by G = 1,0 but calculated from highest possible (i.e. ultimate)
water levels after an appropriate safety margin has been applied

Fig.4.2.4 illustrates these two design situations. Further clarification of how water pressures should
be handled is planned to be included in the next version of Eurocode 7, tentatively planned for 20182020.

Fig.4.2.4 Recommended treatment of water pressures for design (after Bond & Harris, 2008)

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A.J.Bond and B.Schuppener

4.3. Basis of design for gravity walls

According to EN 1997-1, ultimate limit states GEO and STR must be verified using one of three
Design Approaches, as summarized in Table 4.3.1 below. The Design Approaches that have been
chosen by different European countries for retaining wall design are shown in Fig.4..
Table 4.3.1 Summary of the Design approaches
Design
Approach

DA1

DA2

DA3

Combination

2*

Partial factors
applied to:

Actions

Material
properties

Actions and
resistance

Effects of
actions and
resistance

Structural
actions and
resistance

Partial factor
Sets*

A1+M1+R1**

A2+M2+R1**

A1+M1+R2**

A1+M1+R2**

A1/A2+M2+R3**

Sets A1-A2 = factors on actions/effects of actions

Sets M1-M2 = factors on material properties
Sets R1-R3 = factors on resistances
** in underlined sets, factors are > 1,0

Fig.4.3.1 National choice of Design Approach for retaining walls (after Bond, 2013)
The values of the partial factors that are recommended by EN 1997-1 for Design Approach 1
Combinations 1 and 2 (DA1-1 and DA1-2) are summarized in Table 4.3.2 below.

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A.J.Bond and B.Schuppener
Table 4.3.2 Partial factors for Design Approach 1
Parameter

Symbol

DA1-1
A1

M1

DA1-2
R1

A2

Unfavourable

1,35

Favourable

(G,fav)

1,0

Unfavourable

1,5

1,3

Favourable

(0)

(0)

Permanent action (G)

Variable action (Q)

Shearing resistance (tan )

Effective cohesion (c)

Undrained shear strength (cu)

cu

Unconfined compressive strength (qu)

qu

Weight density ()

Bearing resistance (Rv)

Rv

Sliding resistance (Rh)

Rh

Earth resistance (Re)

Re

M2

R1

1,0

1,25

1,0
1,4

1,0

1,0

1,0

Factors given for persistent and transient design situations

The values of the partial factors that are recommended by EN 1997-1 for Design Approaches 2 and 3
(DA2 and DA3) are summarized in Table 4.3.3 below.
Table 4.3.3 Partial factors for Design Approaches 2 and 3
Parameter

Symbol

DA2/DA2*
A1

Permanent
action (G)

Variable
(Q)

action

Unfavourable

1,35

Favourable

(G,fav)

1,0

Unfavourable

1,5

Favourable

(0)

Shearing resistance (tan )

Effective cohesion (c)

Undrained shear strength (cu)

cu

Unconfined comp. str. (qu)

qu

Weight density ()

Bearing resistance (Rv)

Rv

M1

DA3
R2

A1

A2*

1,35

1.0

1,5

1.3

M2

R3

(0)

1,25

1,0
1,4

1,0
1,4

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A.J.Bond and B.Schuppener
Parameter

Symbol

DA2/DA2*
A1

Sliding resistance (Rh)

Earth resistance (Re) walls
Earth resistance (Re) slopes

Rh

M1

DA3
R2

A1

A2*

M2

R3

1,1
1,4

Re

1,1

Factors given for persistent and transient design situations

#

Applied to structural actions; *applied to geotechnical actions

4.4. Verification of ultimate limit state GEO

4.4.1. REINFORCED CONCRETE WALLS
Fig.4. illustrates the pressures that act on a reinforced concrete wall.

Fig.4.4.1 Pressures on a reinforced concrete wall (after Bond & Harris, 2008)
Care must be taken in choosing the values of the partial factors that are applied to the various
pressures acting on the wall:
o

The surcharge (q) behind the wall which extends to the wall face should be considered an
unfavourable action for the verification of bearing capacity; but it is a favourable action with
regards to resisting overturning and sliding and hence should be curtailed at the virtual place
in these design situations

The thrust from the active water pressure Ua is an unfavourable action

The uplift from the water pressure beneath the wall base appears, at first glance, to be a
favourable action for verification of bearing pressure. However, since the source of this water

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A.J.Bond and B.Schuppener
pressure is the same as that of the thrust Ua, for compatibility it should be regarded as
unfavourable (this is known as the single source principle)
Annex C of EN 1997-1 (+Corrigendum 1) gives expressions for active and passive earth pressures:

a Ka dz q u 2c Ka (1 a / c ) u
0

p K p dz q u 2c K p (1 a / c ) u
0

where

a, p = active, passive stresses normal to the wall;

Ka, Kp = horizontal active, passive earth pressure coefficients;
= weight density of retained ground;
c = ground cohesion;
q = vertical surface load;
z = distance down face of wall;
a = wall adhesion.
The appropriate earth pressure coefficient for active conditions, assuming a Rankine zone forms
between the back of the wall and the virtual plane, is given by:

cos cos 2 cos 2

cos
K a,
cos cos 2 cos 2

where
Ka, = active earth pressure coefficient for inclined thrust (= / v);

= angle of shearing of soil;

= angle of inclination of ground surface;
= inclined effective stress;
v = vertical effective stress.
When = 0, this reduces to the more familiar:

Ka

1 sin
1 sin

For the design of the wall stem, it may be necessary to assume at-rest conditions prevail behind the
wall, in which case the at-rest earth pressures coefficient K0 should be used instead of Ka:

K0 (1 sin ) OCR (1 sin )

where
OCR = overconsolidation ratio (=v,max / v).

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A.J.Bond and B.Schuppener
For normally consolidated soil, assume at rest conditions if movement of structure is less than 0,05%
of the retained height. This expression is a combination of Meyerhofs equation for K0 and Kezdis
modification for sloping ground.

4.4.2. MASS GRAVITY WALLS

Fig.4.4.2 illustrates the pressures that act on a reinforced concrete wall.

Fig.4.4.2 Pressures on a mass gravity wall (after Bond & Harris, 2008)
The earth pressures that act on the back face of the wall may be determined using the charts given in
Annex C of EN 1997-1, which are were developed by (but are not attributed to) Kerisel and Absi. They
are the same charts as appear in BS 8002. Kerisel and Absi assumed log-spiral failure surfaces and
hence their charts give upper bound values of Ka and Kp. The charts can only be used for walls with
vertical back faces. If the back face is inclined, then the following expressions developed by Brinch
Hansen (also given in Annex C of En 1997-1) may be used:

a Ka dz u Kaq q Kac c; p K p dz u K pq q K pc c
0

Ka
Kaq
Kac

2
K n cos cos ;
K n cos ;
K n 1 cot
K p
K pq
K pc

Kn

1 sin sin(2mw ) 2( mt mw ) tan

e
1 sin sin(2mt )

sin
1 sin
2mt cos1
;2mw cos

sin
sin

Bond and Harris (2008) have published charts (for vertical walls only) that make these expressions
easy to evaluate. Fig.4.4.3 shows one of these charts.

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A.J.Bond and B.Schuppener

Fig.4.4.3 Chart showing Brinch Hansens passive earth pressure coefficient (after Bond &
Harris, 2008)

4.4.3. REINFORCED FILL WALLS

Eurocode 7 does not cover the detailed design of reinforced fill structures. The values of the partial
factors given in EN 1997-1 have not been calibrated for reinforced fill structures. Design of reinforced
fill structures is currently carried out to national standards (such as BS 8006 in the UK). Differences in
working practices, geology, and climate, etc. have delayed the development of a single design
method accepted throughout Europe.
It is hoped that a future European standard will cover design of these walls.

4.5. Verification of serviceability

Verification of serviceability is expressed in Eurocode 7 by:

Ed Cd
where
Ed = design effect of actions (e.g. displacement, distortion);
Cd = design value of the appropriate constraint (i.e. limiting value of the design effect of actions).
For conventional structures founded on clays, Eurocode 7 allows settlement calculations to be
avoided if an ultimate limit state calculation for bearing resistance satisfies:

Ek

Rk
R,SLS

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A.J.Bond and B.Schuppener
where
Ek = characteristic effects of actions;
Rk = characteristic resistance;
R,SLS = a partial resistance factor 3,0. (Note: this expression does not appear in EN 1997-1, but
can be deduced from its text.)
Verification of the serviceability of gravity walls is similar to that of shallow foundations see Chapter
3 for details.

4.6. Supervision, monitoring, and maintenance

Annex J of EN 1997-1 lists items that need to be considered during supervision of construction of
gravity walls, including:
o

Verification of ground conditions and of the location and general lay-out of the structure

Ground-water flow and pore-water pressure regime; effects of dewatering on ground-water

table; effectiveness of measures to control seepage inflow; corrosion potential

Movements, yielding, stability of excavation walls and base; temporary support systems;
effects on nearby buildings and utilities; measurement of soil pressures on retaining
structures and of pore-water pressure variations resulting from excavation or loading

Safety of workmen with due consideration of geotechnical limit state

Annex J also lists items that need to be considered with regards to water flow and pore-water
pressures, including:
o

Adequacy of systems to control pore-water pressures in aquifers where excess pressure

could affect stability of base of excavation, including artesian pressures beneath the
excavation; disposal of water from dewatering systems; depression of ground-water table
throughout entire excavation to prevent boiling or quick conditions, piping and disturbance of
formation by construction equipment; diversion and removal of rainfall or other surface water

Control of dewatering to avoid disturbance of adjoining structures or areas; observations of

piezometric levels; effectiveness, operation and maintenance of water recharge systems

Settlement of adjoining structures or areas

Effectiveness of sub-horizontal borehole drains

Finally, Annex J lists items that need to be considered as part of performance monitoring:
o

Settlement at established time intervals of buildings and other structures including those due
to effects of vibrations on metastable soils

Lateral displacement and distortions, especially those related to fills and stockpiles; soil
supported structures, such as buildings or large tanks; deep trenches

Piezometric levels under buildings or in adjoining areas, especially if deep drainage or

permanent dewatering systems are installed or if deep basements are constructed

Deflection or displacement of retaining structures considering: normal backfill loadings; effects

of stockpiles; fills or other surface loadings; water pressures

Flow measurements from drains

Water tightness

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A.J.Bond and B.Schuppener
No specific guidance is given in EN 1997-1 for maintenance.

4.7. Summary of key points

The design of gravity walls to Eurocode 7 involves checking that the ground beneath the wall has
sufficient:
o

bearing resistance to withstand inclined, eccentric actions

sliding resistance to withstand horizontal and inclined actions

stability to avoid toppling

stiffness to prevent unacceptable settlement or tilt

Verification of ultimate limit states (ULSs) is demonstrated by satisfying the inequalities:

Vd Rd
Hd Rd Rpd

MEd ,dst MEd ,stb

4.8. Worked example T-shaped wall

A worked example illustrating the way in which a T-shaped wall may be designed according to
Eurocode 7 is included in the Annex to this report.

References
Bond, A. J. (2013). Implementation and evolution of Eurocode 7, Modern Geotechnical Design Codes
of Practice, Arnold et al. (eds), Amsterdam: IOS Press, pp3-14.
Bond, A. J., and Harris, A. J. (2008). Decoding Eurocode 7, London: Taylor & Francis, 618pp.
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.

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A.J.Bond and B.Schuppener

46

CHAPTER 5

Ground investigation and testing

B. Schuppener1 and A. J. Bond2

BAW Federal Waterways Engineering and Research Institute, Germany (former

Chairman of TC250/SC7)
2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Ground investigation and testing

B.Schuppener and A.J.Bond

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B.Schuppener and A.J.Bond

5.1. Overview
Ground investigation and testing for geotechnical design is covered by EN 1997-2 (2004). EN 1997-2
is intended to be used in conjunction with EN 1997-1 and provides rules relating to:
o

planning and reporting of ground investigations

general requirements for a number of commonly used laboratory and field tests

interpretation and evaluation of test results

establishment of derived values of geotechnical parameters and coefficients

EN 1997-1 covers the establishment of characteristic values. As they are based on ground
investigations, the provisions for their determination will therefore also be explained in this chapter.
EN 1997-2 is mainly a standard for the geotechnical engineer and experts for soil and rock testing.
Only a small part of the standard is for the designer. This chapter will be restricted to those items
which are important for the designer.
Its importance for the designer is stressed in EN 1997-1 (2004), 2.4.1 (2) It should be considered
that knowledge of the ground conditions depends on the extent and quality of the geotechnical
investigations. Such knowledge and the control of workmanship are usually more significant to
fulfilling the fundamental requirements than is precision in the calculation models and partial factors.
EN 1997-2 has the following contents:
1. General
2. Planning of ground investigations
3. Soil and rock sampling and groundwater measurements
4. Field tests in soil and rock
5. Laboratory tests on soil and rock
6. Ground investigation report
with 23 Annexes.
EN 1997-2 only gives the general requirements for the field and laboratory tests; their execution is
standardized in separate EN ISO standards:
o

EN ISO 22476 with 13 parts for field tests

CEN ISO/TS (specifications) 17892 with 12 parts for standard laboratory tests

EN ISO 14688 and EN ISO 14689 specify the identification of soil and rock, while EN ISO 22475
standardizes sampling and groundwater measurements.

5.2. Definitions
In 1.5.3.1 of EN 1997-2 (2004), the definition of the term derived value is introduced as a value of a
geotechnical parameter obtained from test results by theory, correlation or empiricism. To distinguish
it from a characteristic value of a geotechnical parameter, the derived value is explained by the chart
presented in Fig.5.2.1. The process of evaluation test results starts with the numerical results of
different field and laboratory tests. The basis for the evaluation of all tests is a theory and for some
of them corrections and correlations have to be applied. This process is described in EN 1997-2.
The next step is the selection of characteristic values of geotechnical properties, taking into account:
o

the derived values of the tests performed

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B.Schuppener and A.J.Bond
o

the geotechnical items of the project

information from other sources on the site, the soils and rock

This second step of the process is covered by EN 1997-1.

Fig.5.2.1 General framework for the selection of derived and characteristic values of
geotechnical properties (after EN 1997-2)

5.3. Planning of ground investigations

Ground investigations shall provide a description of ground and groundwater conditions relevant to
the proposed works and establish a basis for the assessment of the geotechnical parameters relevant
for all construction stages. Such investigations are normally performed in stages, the first one
involving desk studies, where (for example) geological maps and descriptions, previous investigations
at the site and in the surroundings, aerial photos and previous photos as well as topographical maps
are evaluated.
Most important for in situ investigations is the establishment of the locations and depths of the
investigation points (for general rules see 2.4.1.3). Annex B.3 (informative) of EN 1997-2 gives
recommendations for the spacing and depth of investigations for different geotechnical structures:
The following spacing of investigation points should be used as guidance:
o

for high-rise and industrial structures, a grid pattern with points at 15 m to 40 m distance

for large-area structures, a grid pattern with points at not more than 60 m distance

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B.Schuppener and A.J.Bond
o

for linear structures (roads, railways, channels, pipelines, dikes, tunnels, retaining walls), a
spacing of 20 m to 200 m

for special structures (e.g. bridges, stacks, machinery foundations), two to six investigation
points per foundation

for dams and weirs, 25 m to 75 m distance, along vertical sections.

In this annex also investigation depths are given for the most common geotechnical structures. For
example for a pile foundation (see Figure 5.2.2) the following three conditions for the investigation
depth za should be met:
o

za 1,0bg

za 5,0 m

za 3DF

where DF is the pile base diameter; and bg is the smaller side of the rectangle circumscribing the
group of piles forming the foundation at the level of the pile base.

Fig.5.2.2 Investigation depth for pile groups (after EN 1997-2)

For sampling, EN 1997-2 states in 2.4.2.4 (2)P that For identification and classification of the ground,
at least one borehole or trial pit with sampling shall be available. Samples shall be obtained from
every separate ground layer influencing the behaviour of the structure. (7) Samples should be
taken at any change of stratum and at a specified spacing, usually not larger than 3 m. In
inhomogeneous soil, or if a detailed definition of the ground conditions is required, continuous
sampling by drilling should be carried out or samples recovered at very short intervals.
Soil samples for laboratory tests are divided in five quality classes with respect to the soil properties
that are assumed to remain unchanged during sampling and handling, transport and storage (see
Table 5.3.1) in combination with the sampling category according to EN ISO 22475-1. Table 5.3.1 is
useful for the specification of sampling for tender purposes.

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Ground investigation and testing

B.Schuppener and A.J.Bond
Table 5.3.1 Quality classes of soil samples (after EN 1997-2)
Soil properties / quality class

particle size

water content

density, density index, permeability

compressibility, shear strength

Unchanged soil properties

Properties that can be determined

sequence of layers

boundaries of strata - broad

boundaries of strata - fine

Atterberg limits, particle density, organic content

water content

density, density index, porosity, permeability

compressibility, shear strength

Sampling category according to EN ISO 22475-1

B
C

5.4. Field Tests

The following field tests are covered in EN 1997-2:
o

Cone penetration and piezocone penetration tests (CPT, CPTU)

Pressuremeter tests (PMT)

Flexible dilatometer test (FDT)

Standard penetration test SPT

Dynamic probing tests (DP)

Weight sounding test (WST)

Field vane test (FVT)

Flat dilatometer test (DMT)

Plate loading test (PLT)

The annexes give valuable information on the evaluation of some field tests, for example see Table
5.3.2 for the cone penetration test.

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B.Schuppener and A.J.Bond
Table 5.3.2 Effective angle of shearing resistance ( ) and drained Youngs modulus of
elasticity (E) from cone penetration resistance (qc)
Density index

Cone resistance (qc)

(from CPT)
MPa

Effective angle of
shearing
resistance, (')

Drained Young's
modulus, (E)
MPa

Very loose
Loose
Medium dense
Dense
Very dense

0,0 2,5
2,5 5,0
5,0 10,0
10,0 20,0
> 20,0

29 32
32 35
35 37
37 40
40 42

< 10
10 20
20 30
30 60
60 90

5.5. Laboratory Tests

The following laboratory tests are covered by EN 1997-2:
o

Tests for classification, identification and description of soil

Chemical testing of soil and groundwater

Strength index testing of soil

Strength testing of soil

Compressibility and deformation testing of soil

Compaction testing of soil

Permeability testing of soil

Tests for classification of rocks

Swelling testing of rock material

Strength testing of rock material

The annexes give valuable information on the evaluation of some laboratory tests, for example see
Table 5.3.3 for the incremental oedometer test.
Table 5.3.3 Incremental oedometer test. Recommended minimum number of tests for one soil
stratum (after EN 1997-2)
Variability in oedometer modulus Eoed

Comparable experience

(in the relevant stress range)

None

Medium

Extensive

Range of values of Eoed 50%

20% < Range of values of Eoed < 50%

Range of values of Eoed 20%

One oedometer test and classification tests to verify compatibility with comparable
knowledge (see Q.1(2), Annex Q, En 1997-2).

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5.6. Characteristic values of geotechnical data

EN 1997-1 prescribes in 2.4.5.2(1)P: The selection of characteristic values for geotechnical
parameters shall be based on results and derived values from laboratory and field tests,
complemented by well-established experience; and the basic principle shall that a characteristic
value of a geotechnical parameter shall be selected as a cautious estimate of the value affecting the
occurrence of the limit state. The section contains some general explanations.
2.4.5.2 also gives an important guideline in paragraph (10) and the subsequent note, how to
evaluate test data quantitatively:
If statistical methods are used, the characteristic value should be derived such that the
calculated probability of a worse value governing the occurrence of the limit state under
consideration is not greater than 5%.
NOTE In this respect, a cautious estimate of the mean value is a selection of the mean value
of the limited set of geotechnical parameter values, with a confidence level of 95%; where
local failure is concerned, a cautious estimate of the low value is a 5% fractile.
Statistics provides formulae to evaluate characteristic values from a set of normally distributed test
results. The characteristic value Xk of a normally distributed sample of test results:

X k X m 1 knVX
where
Xm is the arithmetic mean value of the test results;
Vx is the coefficient of variation;
kn is a statistical coefficient depending on the number n of test results, the selected probability for
the occurrence of Xk and whether the coefficient of variation Vx is known or not.
Values for kn can be found in tables of textbooks on statistics and also in some textbooks on soil
mechanics and ground engineering (see, for example, Bond and Harris, 2008, Bauduin, 2002).
Schneider (1999) proposed a much simpler formula for the derivation of the characteristic mean
value:
cu,m,k cu,m 0,5 scu

where scu is the standard deviation of the sample.

5.7. Summary of key points

Planning of ground investigations:
o

location of investigation point

depth of investigation points

sampling

Field tests:
o

derivation of ground parameter

Laboratory tests:
o

minimum number of tests

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Characteristic values:
o

statistical evaluation

5.8. Worked example characteristic values of ground

parameters
A worked example illustrating the selection of characteristic values for the base and shaft resistance
for a pile foundation is included in the Annex to this report.

References
Bauduin, Ch.: (2002): Determination of characteristic values, in Geotechnical Engineering Handbook,
Volume 1: Fundamentals, Editor: Ulrich Smoltczyk, Ernst & Sohn
Bond, A. J., and Harris, A. J. (2008). Decoding Eurocode 7, London: Taylor & Francis, 598pp.
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.
EN 1997-2: 2004. Eurocode 7: Geotechnical design - Part 2: Ground investigation and testing. CEN.
Schneider, H. R.: (1999): Determination of characteristic soil properties, in Proceedings of the 12th
European Conference on Soil Mechanics and Foundation Engineering, Amsterdam, Balkema,
Rotterdam, 1999, Vol. 1, pp 273 - 281.

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56

CHAPTER 6

Slope stability, embankments and hydraulic failure

T.L.L. Orr1 and B. Schuppener2

Trinity College, Dublin, Ireland (Convenor of TC250/SC7/EG3)

BAW Federal Waterways Engineering and Research Institute, Germany (former

Chairman of TC250/SC7)

Slope stability, embankments, and hydraulic failure

T.L.L.Orr and B.Schuppener

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6.1. Overview
EN 1997-1 has no separate section on slope stability. The provisions for the design of slopes and
embankments are contained in Section 11: Overall stability and Section 12: Embankments. The
provisions in Section 11 apply to the overall stability of and movements in the ground, whether natural
or fill, around foundations, retaining structures, natural slopes, embankments or excavations. The
provisions in Section 12 apply to embankments for small dams and for infrastructure
The provisions for the verification against hydraulic failure are covered in Section 10 of EN 1997-1.
The terms for the failure modes: uplift (UPL), hydraulic heave, internal erosion and piping (all three
abbreviated by HYD) are defined and the verification against these four failures described.

6.2. Slope stability

6.2.1. SCOPE AND CONTENTS
Slope stability is covered by the requirements in Section 11 of EN 1997-1 against loss of overall
stability and where there are excessive movements in the ground causing damage or loss of
serviceability in neighbouring structures, roads or services. Typical structures for which an analysis of
overall stability should be performed (and mentioned in relevant sections of Eurocode 7) are:
o

Retaining structures

Excavations, slopes and embankments

Foundations on sloping ground, natural slopes, or embankments

Foundations near an excavation, cut or buried structure, or shore

Some examples of limit modes for overall stability of retaining structures, which are presented in
Section 9 of EN 1997-1, are shown in Fig.6.2.5.

Fig.6.2.5 Examples of limit modes for overall stability of retaining structures

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Section 11 of EN 1997-1 has the following sub-sections:
11.1 General (2 paragraphs)
11.2 Limit states (2)
11.3 Actions and design situations (6)
11.4 Design methods and design considerations (11)
11.5 Ultimate limit state design (26)
11.6 Serviceability limit state design(3)
11.7 Monitoring (2)

6.2.2. ULTIMATE LIMIT STATE DESIGN OF SLOPES

The overall stability of slopes should be checked using the design values of actions, resistance and
strengths obtained using the appropriate GEO/STR values for the partial factors. When analysing
overall stability, all the relevant modes of failure should be taken into account. Eurocode 7 does not
give any specific inequality to be satisfied for overall stability, nor is any calculation model given.
However, with regard to stability analyses of slopes, EN 1997-1 11.5.1(4) states that the mass of soil
or rock bounded by the failure surface should normally be treated as a rigid body or several rigid
bodies moving simultaneously. The failure surfaces may have a variety of shapes including planar,
circular, or more complicated shapes. Alternatively, stability may be checked by limit analysis or by
the finite element method.
DA3 is the same as DA1.C2 in the design of slopes since loads on the surface in DA3 are treated as
geotechnical actions using the A2 set of partial factors on actions, as in DA1.C2. In DA1, C1 and C2
should both be considered, but DA1.C2 normally controls.
For undrained analyses of slopes, the DA1 partial factors are:
o

DA1.C1

G = 1,35

Q = 1,5

cu = 1,0

DA1.C2

G = 1,0

Q= 1,3

cu = 1,4

For drained analyses, in the case of DA1.C1 an increase in the vertical load increases the resistance
on the shear plane since the shearing resistance is a function of the normal stress due to the soil
weight that is causing the instability, so that the margin of safety is unchanged. Thus DA1.C1 does
not usually govern. Hence in drained analyses, DA1.C2 governs and the DA1 partial factors are:
o

DA1.C2

G = 1,0

Q = 1,3

= 1,25

Fig.6.2.6 Rotational slide (after Orr and Farrell, 1998)

A rotational slide, which is an example of a loss of overall stability, is shown in Fig.6.2.6 from Orr and
Farrell (1998). This figure shows that one part of soil weight is unfavourable and causing the rotational

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failure, while the other part favourable and acting to stabilise the slope. As all the soil weight should
be treated as coming from a single source (see 2.4.2, Note to (9)P), the same partial factor should
be applied to the unfavourable and favourable components of the soil weight. In practice this means
that the partial action factor is applied to the net destabilising load effect. In DA2 different factors are
applied to favourable and unfavourable loads. Hence if the single source principle is followed, then
the reduced DA2 partial action factor on favourable actions is not applied to the stabilising component
of the soil weight with the result that the resulting design is less conservative than if the favourable
and unfavourable components of the load were treated separately. For this reason and also because
it is not normal practice to separate the soil weight into stabilising and destabilising parts in slope
stability analyses and because it is difficult to do so using the method of slices, DA2 is generally not
used for slope stability analyses.

6.2.3. SLOPE STABILITY ANALYSES

6.2.3.1. Infinite slope analyses
The example shown in Figure 6.2.3 is an infinite slope at an inclination with a slip plane parallel to
the ground surface and at a depth z. The water table is at a height h above the slip surface and the
soil has a weight density . The stability of the slope is analysed for the situation when the water rises
to the surface, i.e. h = z.

z
h

S lip p lan e
b co s

Fig.6.2.7 Infinite slope (after Orr and Farrell, 1998)

Analysing the stability of the slope, the equilibrium equation to be satisfied is that the design
destabilising action, i.e. the component of the weight causing sliding S d should be less than or equal
to the design resistance force Rd i.e.:

Sd Rd
Considering a column of soil of width b and weight W, the destabilising design sliding force is:
Sd GW sin G z b cos sin

The design resistance is:

Rd G W cos ub cos tan d

G z b cos w z b cos tan k M

G z b cos2 tan k M
Substituting for Sd and Rd in the equilibrium inequality and setting M = 1,25 for DA1.C2 gives:

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G z b cos sin G z b cos2 tan k 1,25

and hence:
tan tan k 1,25

For comparison, using previous global factor design method, the global factor of safety FOS was
given by:

FOS

tan
tan

If FOS = 1,25, this equation becomes:

tan tan k 1,25

so that designs to Eurocode 7 are the same as previous designs.

6.2.3.2. General stability analyses
Eurocode 7 provides no specific inequality to be satisfied in the case of slope stability analyses.
However, EN 1997-1 11.5.1(10) states that a slope stability analysis should verify the overall
moment and vertical equilibrium of the sliding mass. It also states that, if horizontal equilibrium is not
checked, the interslice forces, i.e. when using the method of slices, should be assumed to be
horizontal. This means that some slope stability analysis methods are not acceptable. Information
about the equilibrium equations that are satisfied and the interslice force characteristics and
relationships in the different methods of slices are given in Table 6.2.3 and Table 6.4 from Krahn
(2004). These tables show that:
o

Spencers method is acceptable because both moment and force equilibrium equations are
satisfied

Bishops Simplified method is acceptable because moment equilibrium is satisfied and, while
force equilibrium is not satisfied, the interslice forces are horizontal

Janbus method is not acceptable as moment equilibrium is not satisfied

Fellenius method is not acceptable because, while moment equilibrium is satisfied, forces
equilibrium is not and the interslice forces are not horizontal
Table 6.2.3 Equations of equilibrium satisfied in methods of slices (Krahn, 2004)
Method

Moment Equilibrium

Force Equilibrium

Ordinary or Fellenius

Yes

No

Bishops Simplified

Yes

No

Janbus Simplified

No

Yes

Spencer

Yes

Yes

Morgenstern-Price

Yes

Yes

Corps of Engineers 1

No

Yes

Corps of Engineers - 2

No

Yes

Lowe-Karafiath

No

Yes

Yes (by slice)

Yes

Yes

Yes

Janbu Generalized
Sarma vertical slices

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Table 6.4.2 Interslice force characteristics and relationships in methods of slices (Krahn,
2004)
Interslice
Normal (E)

Interslice
Shear (X)

Ordinary or Fellenius

No

No

No interslice forces

Bishops Simplified

Yes

No

Horizontal

Janbus Simplified

Yes

No

Horizontal

Spencer

Yes

Yes

Constant

Morgenstern-Price

Yes

Yes

Variable; user function

Corps of Engineers 1

Yes

Yes

Inclination of a line from crest to

Corps of Engineers - 2

Yes

Yes

Inclination of ground surface at

top of slice

Lowe-Karafiath

Yes

Yes

Average of ground surface and

slice base inclination

Janbu Generalized

Yes

Yes

Applied line of thrust and

moment equilibrium of slice

Sarma vertical slices

Yes

Yes

X = C + Etan

Method

Inclination of X/E Resultant,

and X-E Relationship

6.2.3.3. Bishops simplified method of slices

The global factor of safety F in Bishops simplified method of slices is equivalent to the partial factor
on the soil strength parameters with appropriate partial factors on the actions as shown in the
following equations:

mob

tan k
c
tan
c
n

n
F
F
M ;mob
M ;mob

M ;mob

ck b GW G ub tan k sec
1

tan tan k
GW sin
1
M ;mob

In DA1.C1, G = 1,35 is applied to permanent actions, including the soil weight force via the soil
weight density, and Q = 1,5 is applied to variable actions when analysing the overall factor of safety,
F using the method of slices. Then it is checked that F, which is equal to M;mob, is greater than or
equal to 1,0.
In the case of DA1.C2, G = 1,0 is applied to permanent actions, including the soil weight force via the
soil weight density, and Q = 1,5 is applied to variable actions when analysing the overall factor of
safety, F using the method of slices. Then it is checked that F, which is equal to M;mob, is greater than
or equal to 1,25.

6.2.4. SERVICEABILITY LIMIT STATE DESIGN OF SLOPES

With regard to the serviceability limit state design of slopes, EN 1997-1 11.6(1)P states that the
design of slopes shall show that the deformations of the ground will not cause a serviceability limit
state in structures and infrastructure on or near the particular ground. Since the analytical and
numerical methods available at present do not usually provide reliable predictions of the deformations
of a natural slope, the occurrence of serviceability limit states should be avoided by one of the
following:

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T.L.L.Orr and B.Schuppener
o

Limiting the mobilised shear strength

Observing the movements and specifying actions to reduce or stop them, if necessary (i.e.
use the Observational Method)

6.3. Embankments
6.3.1. SCOPE AND CONTENTS
EN 1997-1 12.1(1)P states that the provisions in Section 12 shall apply to embankments for small
dams and for infrastructure. However, no definition is given for the word small. According to Frank et
al. (2004), it may be appropriate to assume small dams include dams (and embankments for
infrastructure) up to a height of approximately 10 m.
Section 12 Embankments is the shortest section of EN 1997-1, being just over four pages long. It has
the following sub-sections:
6.

General (2 paragraphs)

7.

Limit states (2)

8.

Actions and design situations (8)

9.

Design methods and design considerations (13)

10.

Ultimate limit state design (7)

11.

Serviceability limit state design(4)

12.

Supervision and monitoring (6)

Since embankments are constructed by placing fill and sometimes involve ground improvement, the
provisions on fill in Section 5 should be applied. For embankments on ground with low strength and
high compressibility, EN 1997-1 12.4(4)P states that the construction process shall be specified, i.e.
in the Geotechnical Design Report, to ensure that the bearing resistance is not exceeded or
excessive movements do not occur during construction.

6.3.2. LIMIT STATE ANALYSES

Eurocode 7 provides a long list of possible limit states, both ultimate, including GEO and HYD types,
and serviceability limit states that should be checked for embankments including the following:
o

Loss of overall stability

Failure in the embankment slope or crest

Failure by internal erosion

Failure by surface erosion or scour

Excessive deformation

Limit states involving adjacent structures, roads and services are also included in the list.
All possible failure modes of an embankment need to be considered. Since embankments are often
constructed in different phases, with different load conditions, analyses should be carried out phase
by phase and in accordance with the Geotechnical Design Report. The design should show that
settlement of an embankment will not cause a serviceability limit state in the embankment or nearby
structures or services. The settlement of an embankment should be calculated using the principles of
EN 1997-1, Section 6.6.1, Settlement of foundations.

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6.3.3. MONITORING AND MAINTENANCE

Since the behaviour of embankments on soft ground during construction is usually monitored to
ensure failure does not occur, it is often appropriate to use the Observational Method for design. The
importance of both supervision and monitoring in the case of embankments is demonstrated by the
fact that in Section 12 of EN 1997-1, there is a separate sub-section, 12.7, with specific provisions for
the supervision of the construction of embankments and the monitoring of embankments during and
after construction. The only other section of Eurocode 7 that has specific provisions for both
supervision and monitoring is Section 8 on ground anchorages.

6.4. Hydraulic failure

6.4.1. OVERVIEW AND DEFINITIONS
The provisions of this Section apply to four modes of ground failure induced by pore-water pressure
or pore-water seepage, which shall be checked, as relevant:
o

failure by uplift (UPL)

failure by heave (HYD)

failure by internal erosion (HYD)

failure by piping (HYD)

As the definitions of hydraulic failures vary considerably in Europe they are defined as follows:
o

Failure by uplift (UPL) occurs when pore-water pressure under a structure or a low
permeability ground layer becomes larger than the mean overburden pressure (due to the
structure and/or the overlying ground layer).

Failure by heave (HYD) occurs when upwards seepage forces act against the weight of the
soil, reducing the vertical effective stress to zero. Soil particles are then lifted away by the
vertical water flow and failure occurs (boiling).

Failure by internal erosion is produced by the transport of soil particles within a soil stratum, at
the interface of soil strata, or at the interface between the soil and a structure. This may finally
result in regressive erosion, leading to collapse of the soil structure.

Failure by piping is a particular form of failure, for example of a reservoir, by internal erosion,
where erosion begins at the surface, then regresses until a pipe-shaped discharge tunnel is
formed in the soil mass or between the soil and a foundation or at the interface between
cohesive and non-cohesive soil strata. Failure occurs as soon as the upstream end of the
eroded tunnel reaches the bottom of the reservoir (see Fig.6.8.1).

Fig.6.8.1 Example of conditions that may cause piping (BAW, 2011)

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6.4.2. VERIFICATION OF RESISTANCE TO UPLIFT

According to EN 1997-1 2.4.7.4 (1)P verification for uplift (UPL) shall be carried out by checking that
the design value of the combination of destabilising permanent and variable vertical actions Vdst;d is
less than or equal to the sum of the design value of the stabilising permanent vertical actions Gstb;d
and of the design value of any additional resistance to uplift Rd (in EN 1997-1 expression 2.8, here
Eqn 6.1):
Vdst ;d Gstb;d Rd

(6.0)

where:
Vdst ;d Gdst ;d Qdst ;d

Additional resistance to uplift may also be treated as a stabilising permanent vertical action Gstb;d.
If a structure is completely below the groundwater level, the water pressure acting on the top of the
structure could be regarded as a stabilising action and the water pressure acting on the bottom as a
destabilising action. As the stabilising and destabilising actions are multiplied by different partial factor
values, the safety against uplift would then depend on the water-depth above the structure. To avoid
this misinterpretation the Note to 2.4.2(9) of EN 1997-1 should be followed: Unfavourable (or
destabilising) and favourable (or stabilising) permanent actions may in some situations be considered
as coming from a single source. If they are considered so, a single partial factor may be applied to the
sum of these actions or to the sum of their effects.

6.4.3. VERIFICATION OF RESISTANCE TO HEAVE

According to EN 1997-1 2.4.7.5 (1)P to avoid the occurrence of a limit state of failure due to heave
by seepage of water in the ground, it shall be verified, for every relevant soil column, that the design
value of the destabilising total pore water pressure udst;d at the bottom of the column, or the design
value of the seepage force Sdst;d in the column is less than or equal to the stabilising total vertical
stress stb;d at the bottom of the column, or the submerged weight Gstb;d of the same column (EN
1997-1 expressions 2.9a and 2.9b, here Eqn.6.2 and Eqn.6.3):

udst ;d std ;d

(6.0)

;d
Sdst ;d Gstd

(6.0)

Using the same partial factors, a design with total stresses using Eqn.6.2 provides greater safety than
inequality Eqn.6.2. Moreover, using expression Eqn.6.2, the safety becomes dependant of the water
depth which is physically not correct. In the next version of EN 1997-1, expression Eqn.6.2 needs
further explanation so that the hydrostatic water pressure components of the udst and stb are not
multiplied by different partial factors as occurs when different partial factors are applied to udst;k and
stb;k.
The determination of the submerged weight Gstb;d and total vertical stress stb;d at the bottom of the
column pose no problems in the verification. The pore water pressure distribution and the seepage
force, however, are influenced very strongly by the geometry of the structure and the permeability
conditions of the ground. Therefore EN 1997-1 requires in 10.3(2)P: The determination of the
characteristic value of the pore-water pressure shall take into account all possible unfavourable
conditions, such as:
o

thin layers of soil of low permeability

spatial effects such as narrow, circular or rectangular excavations below water level

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This can only be provided by modelling the hydraulic ground conditions by an adequate analytical
model based on thorough ground investigations.

6.4.4. INTERNAL EROSION

For internal erosion there is no mathematical formulation of the ultimate limit state. Here EN 1997-1
states in 10.4 (1)P Filter criteria shall be used to assess the danger of material transport by internal
erosion. (5)P If the filter criteria are not satisfied, it shall be verified that the critical hydraulic
gradient is well below the design value of the gradient at which soil particles begin to move. (6)P The
critical hydraulic gradient for internal erosion shall be established taking into consideration at least the
following aspects:
o

direction of flow

grain size distribution and shape of grains

stratification of the soil

The procedure to check the susceptibility of soil to internal erosion is shown in Fig.6..

Fig.6.4.2 Steps to check internal erosion (BAW, 2011)

6.4.5. FAILURE BY PIPING

Due to the complexity of failure by piping, no mathematical formulation is given in EN 1997-1 to verify
the ultimate limit state. Instead two checks have to be performed. EN 1997-1 10.5 prescribes in (3)P:
Failure by piping shall be prevented by providing sufficient resistance against internal soil erosion in
the areas where water outflow may occur. If this is not given, a filter layer should be placed on the
ground. In the second step it has to be checked that there is sufficient safety against failure by heave
where the ground surface is horizontal and sufficient stability of the surface layers in sloping ground
(local slope stability) (see EN 1997-1 10.5(3)P). As the hydraulic conditions are strongly influenced
by preferred seepage paths due to joints and the interfaces between the structure and the ground, it
must be carefully assessed whether a gap and preferred flow path can develop (see Table 6.4.1).
These areas or interfaces should be modelled by layers of high permeability. Worked examples can
be found in BAW (2011).

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Table 6.4.1 Examples for the assessment of the development of gaps or preferred flow paths
for structures in dams (BAW, 2011)
Interface

No gap

Along driven sheet pile walls

Along vertical, smooth and even walls with a backfilling of

cohesionless soil

Beneath cast-in-situ concrete constructed in a dry trench

Between cast-in-situ concrete elements and ground

Gaps (cavities) cannot

be ruled out

Between precast elements and ground

Beneath slabs with a pile foundation

6.5. Summary of key points

6.5.1. SLOPES AND EMBANKMENTS
o

Sections 11 and 12 set out the provisions for the design of slopes and embankments

The focus in both sections is on the relevant limit states to be checked

No calculation models are provided

When using the method of slices for slope stability, some simplified methods are not
acceptable

The relevance and importance of other sections of EN 1997-1 in the design of embankments
is noted, for example:

The section on Fill and Ground Improvement

The sub-section on the Observational Method

The sub-section on the Geotechnical Design Report

The section on Supervision and Monitoring

6.5.2. HYDRAULIC FAILURE

o

Verification of uplift (UPL)

Verification of hydraulic heave

Verification of internal erosion

Verification of piping

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6.6. Worked examples applying EN1997-1 expressions

(2.8) and (2.9) (here Eqn.6.1, Eqn.6.2 and Eqn.6.3)
Worked examples illustrating different approaches to applying expressions Eqn.6.1, Eqn.6.2 and
Eqn.6.3 (expressions (2.8) and (2.9) in 1997-1) are included in the Annex to this report.

References
BAW, (2011) Code of Practice - Stability of Embankments at German Inland Waterways
(downloadable: www.baw.de, > publications, > codes of practice, > MSD (2011))
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.
Frank, R., Bauduin, C., Kavvadas, M., Krebs Ovesen, N., Orr, T., and Schuppener, B. (2004).
Designers guide to EN 1997-1: Eurocode 7: Geotechnical design General rules, London:
Thomas Telford.
Krahn, J. (2004) Stability modelling with SLOPE/W An Engineering Methodology, GEO-SLOPE/W
International Ltd, Canada
Orr, T.L.L. and Farrell E.R. (1998) Geotechnical design to Eurocode 7, Springer-Verlag, London

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70

CHAPTER 7

Retaining structures II

A. J. Bond and G. Scarpelli2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Technical University of the Marche Region, Ancona, Italy (former Vice-Chairman of

TC250/SC7)

Retaining structures II
A.J.Bond and G.Scarpelli

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Retaining structures II
A.J.Bond and G.Scarpelli

7.1. Scope
This Chapter concentrates on the design of embedded walls, which are relatively thin walls of steel,
reinforced concrete, or timber supported by anchorages, struts, and/or passive earth pressure. The
bending capacity of such walls plays a significant role in the support of the retained material.
Examples include: cantilever steel sheet pile walls; anchored or strutted steel or concrete sheet pile
walls; and diaphragm walls.
Gravity walls are discussed in Chapter 4.
Composite retaining structures are walls composed of elements of the above two types (gravity and
embedded). Examples include: double sheet pile wall cofferdams; earth structures reinforced by
tendons, geotextiles, or grouting; structures with multiple rows of ground anchorages or soil nails.
Parts of this chapter will be relevant to the design of composite walls.
Section 9 of EN 1997-1 applies to retaining structures supporting ground (i.e. soil, rock or backfill)
and/or water and is sub-divided as follows:
7.1. General (6 paragraphs)
7.2. Limit states (4)
7.3. Actions, geometrical data and design situations (26)
7.4. Design and construction considerations (10)
7.5. Determination of earth pressures (23)
7.6. Water pressures (5)
7.7. Ultimate limit state design (26)
7.8. Serviceability limit state design (14)
Annex C of Eurocode 7 Part 1 Sample procedures to determine earth pressures provides informative
text relevant to retaining structures and is sub-divided as follows:
1. Limit values of earth pressure (3 paragraphs)
2. Analytical procedure for obtaining limiting active and passive earth pressures (14)
3. Movements to mobilise earth pressures (4)

7.2. Design situations and limit states

Figures 7.2.1, 7.2.2 and 7.2.3 (reproducing here Figures 9.1, 9.3, 9.4, and 9.6 of EN 1997-1) illustrate
some common limit modes for overall stability and foundation failure of embedded walls.

Fig.7.2.1 Limit modes for overall stability of embedded walls

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Retaining structures II
A.J.Bond and G.Scarpelli

Fig.7.2.2 Limit modes for failure by pull-out of anchors

Fig.7.2.3 Limit modes for foundation failures of embedded walls

For ultimate limit state design of embedded walls, the design geometry shall account for anticipated
excavation or possible scour in front of the retaining structure. Specifically, with normal site control,
the retained height of the wall must be increased as follows:

Hd Hnom H
Where Hd = design height of wall; Hnom = nominal height of wall and H = allowance for unplanned
excavation. Table 7.2.1 below gives the recommended values of H with normal site control in place.
Table 7.2.4 Recommended values of H with normal site control
Wall type

H for normal site control

Cantilever

10% H (up to a maximum of 0,5 m)

Supported

10% of height below lowest support (up to a maximum of 0,5 m)

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Discussion of Eurocode 7s recommendations regarding water levels and factoring of water pressures
is included in Chapter 4 and will not be repeated here.

7.3. Basis of design for embedded walls

According to EN 1997-1, ultimate limit states GEO and STR must be verified using one of three
Design Approaches, as summarized below. The Design Approaches that have been chosen by
different European countries for retaining wall design are shown in Fig.4.3.1.
Table 7.3.5 Summary of Design Approaches
Design
Approach

DA1

DA2

DA3

Combination

2*

Partial factors
applied to:

Actions

Material
properties

Actions and
resistance

Effects of
actions and
resistance

Structural actions
and resistance

Partial factor
Sets*

A1+M1+R1**

A2+M2+R1**

A1+M1+R2**

A1+M1+R2**

A1/A2+M2+R3**

Sets A1-A2 = factors on actions/effects of actions

Sets M1-M2 = factors on material properties
Sets R1-R3 = factors on resistances
** in underlined sets, factors are > 1,0

Fig.7.3.1 National choice of Design Approach for retaining walls (after Bond, 2013)

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Retaining structures II
A.J.Bond and G.Scarpelli
The values of the partial factors that are recommended by EN 1997-1 for Design Approach 1
Combinations 1 and 2 (DA1-1 and DA1-2) are summarized in Table 7.3.2 below.
Table 7.3.2 Values of the partial factors for Design Approach 1
Parameter

Symbol

DA1-1
A1

M1

DA1-2
R1

A2

Unfavourable

1,35

Favourable

(G,fav)

1,0

Unfavourable

1,5

1,3

Favourable

(0)

(0)

Permanent action (G)

Variable action (Q)

Shearing resistance (tan )

Effective cohesion (c)

Undrained shear strength (cu)

cu

Unconfined compressive strength (qu)

qu

Weight density ()

Bearing resistance (Rv)

Rv

Sliding resistance (Rh)

Rh

Earth resistance (Re)

Re

M2

R1

1,0

1,25

1,0
1,4

1,0

1,0

1,0

Factors given for persistent and transient design situations

The values of the partial factors that are recommended by EN 1997-1 for Design Approaches 2 and 3
(DA2 and DA3) are summarized below.
Table 7.3.3 Values of the partial factors for Design Approaches 2 and 3
Parameter

Symbol

DA2/DA2*
A1

Permanent
action (G)

Variable
action (Q)

Unfavourable

Favourable

(G,fav)

1,0

Unfavourable

1,5

Favourable

Shearing resistance (tan )

Effective cohesion (c)

M1

DA3
R2

A1

A2*

1,35

1.0

1,5

1.3

M2

1,35

(0)

(0)

1,0
c

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A.J.Bond and G.Scarpelli

Parameter

Symbol

DA2/DA2*
A1

Undrained shear strength (cu)

Unconfined comp. str. (qu)

Weight density ()

Bearing resistance (Rv)

Sliding resistance (Rh)

M1

DA3
R2

A1

A2*

M2

R3

cu

1,4
qu

1,0

Rv

1,4

Rh

1,1
1,0

Earth resistance (Re) walls

1,4

Re

Earth resistance (Re) slopes

1,1

Factors given for persistent and transient design situations

#

Applied to structural actions; *applied to geotechnical actions

7.4. Verification of ultimate limit state GEO

Limiting equilibrium
Annex C of EN 1997-1 (+Corrigendum 1) gives expressions for active and passive earth pressures:

a Ka dz q u 2c Ka (1 a / c ) u
0

p K p dz q u 2c K p (1 a / c ) u
0

where

a, p = active, passive stresses normal to the wall;

Ka, Kp = horizontal active, passive earth pressure coefficients;
= weight density of retained ground;
c = ground cohesion;
q = vertical surface load;
z = distance down face of wall;
a = wall adhesion;
u = pore water pressure.

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The earth pressures that act on an embedded wall may be determined using the charts given in
Annex C of EN 1997-1, which were developed by (but are not attributed to) Kerisel and Absi. They are
the same charts as appear in BS 8002. Kerisel and Absi assumed log-spiral failure surfaces and
hence their charts give upper bound values of Ka and Kp. The charts can only be used for walls that
are vertical.
Alternatively, the following expressions developed by Brinch Hansen (also given in Annex C of EN
1997-1) may be used:

a Ka dz u Kaq q Kac c;
0

Ka

K n cos cos ;
K p

Kn

p K p dz u K pq q K pc c
0

Kaq

2
K n cos ;
K pq

Kac

K n 1 cot
K pc

1 sin sin(2mw ) 2( mt mw ) tan

e
1 sin sin(2mt )

sin
2mt cos1
;
sin

sin
2mw cos1

sin

Bond and Harris (2008) have published charts (for vertical walls only) that make these expressions
easy to evaluate. Fig.7..1 shows one of these charts.

Fig.7.4.1 Chart showing Brinch Hansens passive earth pressure coefficient (after Bond &
Harris, 2008)
A key parameter when using these charts is the value chosen for the design angle of interface friction
d. Eurocode 7 suggests d should be determined from soils design constant-volume angle of
shearing resistance cv,d using the expression:

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A.J.Bond and G.Scarpelli

tan cv ,k
d kcv ,d k tan1

where
k is a constant (= 1 for soil against cast in-situ concrete or for soil against precast concrete);
cv,k is the soils characteristic constant-volume angle of shearing resistance;
is a partial factor.
Advocates of critical state soil mechanics would argue that it is unnecessary to apply a partial factor to
cv,k in this expression, provided its value is chosen carefully, since it is already a pessimistic value.
For this reason, the UK National Annex states that It might be more appropriate to select the design
value of cv directly. A future version Eurocode 7 might propose a reduced value for the partial factor,
for example:

tan cv ,k
d kcv ,d k tan1

,cv

with ,cv = 1,1 (for example).

There is some ambiguity in the interpretation of Eurocode 7 with regards to the treatment of passive
earth pressure. Most engineers first instinct is to regard passive earth pressure as a resistance in
which case its characteristic value p,k is divided by a resistance factor Re to obtain the design value:

p,d

p ,k
Re

Typically, in Design Approach 2, Re = 1,4.

However, the NOTE to clause 2.4.2(9) of EN 1997-1 states:
Unfavourable (or destabilising) and favourable (stabilising) permanent actions may in some
situations be considered as coming from a single source. If so, a single partial factor may
be applied to the sum of these actions or to the sum of their effects

This gives the potential to treat passive earth pressure as an action, in which case it may be classified
as favourable, that is:

p,d G,fav p,k

with G,fav = 1,0; or it may be classified as unfavourable, in which case:

p,d G p,k
with G = 1,35, typically.
One other treatment is possible when material properties are factored but actions and resistances
are not (as in Design Approach 1, Combination 2) then:

p,d p,k

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Bond and Harris (2008) studied the effects of these different options and concluded for Design
Approach 1 at least that treating passive pressure as an unfavourable action, although the least
intuitive option, is the most consistent choice. This is equivalent to applying the single source principle
and considering the action to be the pressure distribution obtained from the algebraic sum of active
and passive earth pressures.
Fig.4..2 illustrates the movement v needed for the ground next to an embedded wall to reach a state
of active or passive failure, expressed as a percentage of the wall height h. When movements are
less than that needed for active conditions, consideration should be given to using at-rest earth
pressures in the walls design.

Fig.7.9.2 Normalized movement v/h needed to trigger limit states (after Bond & Harris, 2008)

7.5. Verification of serviceability

Eurocode 7 requires a cautious estimate of the distortion and displacement of retaining walls, and the
effects on supported structures and services, to be made on the basis of comparable experience. This
estimate must include the effects of the construction of the wall. The design may be justified by
checking that the estimated displacements do not exceed the limiting values (EN 1997-1 9.8.2(2)P).
Displacement calculations must be undertaken:
o

where nearby structures and services are unusually sensitive to displacement

where comparable experience is not well established

Displacement calculations should be considered where the wall:

o

retains more than 6 m of cohesive soil of low plasticity

retains more than 3 m of soils of high plasticity

is supported by soft clay within its height or beneath its base

This should be interpreted as recommending an explicit calculation for displacements should

undertaken whenever the stiffness of the retained or resisting soil is likely to cause unacceptable
movements of nearby structures or services.

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7.6. Supervision, monitoring, and maintenance

Eurocode 7 does not give specific rules for supervision, monitoring, and maintenance of embedded
walls. Instead there are several execution standards that provide the necessary recommendations:
o

EN 1536 covers bored piles

EN 1537 covers ground anchors

EN 1538 covers diaphragm walls

EN 12063 covers sheet pile walls

7.7. Summary of key points

The design of embedded walls to Eurocode 7 involves:
o

checking the vertical bearing capacity of the wall

reducing wall friction owing to vertical loads

stability calculations based on limiting equilibrium, soil-structure interaction, or fully numerical

methods adopting continuous model for the soil and the wall

careful thought about the way passive earth pressures should be handled as a resistance,
as a favourable action, or as an unfavourable action (invoking the single source principle)

7.8. Worked example anchored sheet pile wall

A worked example illustrating the way in which an anchored sheet pile wall may be designed
according to Eurocode 7 is included in the Annex to this report.

References
Bond, A. J. (2013). Implementation and evolution of Eurocode 7, Modern Geotechnical Design Codes
of Practice, Arnold et al. (eds), Amsterdam: IOS Press, pp3-14.
Bond, A. J., and Harris, A. J. (2008). Decoding Eurocode 7, London: Taylor & Francis, 618pp.
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.

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T.L.L.Orr and A.J.Bond

CHAPTER 8

Deep foundations

T.L.L. Orr1 and A. J. Bond2

Trinity College, Dublin, Ireland (Convenor of TC250/SC7/EG3)

2

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

Deep foundations
T.L.L.Orr and A.J.Bond

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8.1. Scope
This Chapter examines the provisions in Section 7 of EN 1997-1 for the design of pile foundations.
These provisions apply to end-bearing piles, friction piles, tension piles and transversely loaded piles.
They apply to piles installed by driving, jacking and screwing or boring, and piles installed with or
without grouting. It is noted that the provisions of Section 7 should not be applied directly to piles that
are intended as settlement reducers, as in some piled raft foundations.
Reference is made in Eurocode 7 to other CEN standards that are relevant to the design of pile
foundations. A design standard that is referred to is the part of Eurocode 3 for the structural design of
steel piles:
o EN 1993-5: Eurocode 3, Part 5: Design of Steel Structures Piling
Reference is also made to the following execution standards for the carrying out of piling work:
o

EN 1536:1999 - Bored Piles

EN 12063:1999 - Sheet pile walls

EN 12699:2000 - Displacement piles

EN 14199:2005 - Micropiles

Another CEN standard that is relevant to the design of piles but not referred to in Eurocode 7 is the
material standard:
o

EN 12794:2005 Precast concrete products. Foundation piles.

Section 7 of EN 1997-1 is sub-divided as follows:

7.1. General (3 paragraphs)
7.2. Limit states (1)
7.3. Actions and design situations (18)
7.4. Design methods and design considerations (8)
7.5. Pile load tests (20)
7.6. Axially loaded piles (89)
7.7. Transversely loaded piles (15)
7.8. Structural design of piles (5)
7.9. Supervision of construction (8)
As this list of sub-sections shows, the largest sub-section is sub-section 6 on axially loaded piles,
which are the most common type of pile, with 89 out of 167 of the paragraphs in Section 7, i.e. 53%.
This chapter focuses on the design of axially loaded piles, in the section on ultimate limit state design
and in the design examples. Another feature of Section 7 is that, with 20 pages, it is the longest
section of Eurocode 7.

8.2. Design situations and limit states

When selecting the design situations for piles, it is necessary to consider the different types of actions

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T.L.L.Orr and A.J.Bond
to which piles may be subjected. Piles may be loaded axially and/or transversely. They may also be
loaded due to displacement of the surrounding soil. This may be due to:
o

Consolidation

Swelling

Adjacent loads

Creeping soil

Landslides, or

Earthquakes

The loads from the surrounding soil due to these causes need to be considered as they can affect
piles by causing downdrag (negative skin friction), heave, stretching, transverse loading and
displacement. According to EN 1997-1 7.3.3(1)P 1, if ultimate limit state design calculations are
carried out with the downdrag load as an action, its value shall be the maximum, which could be
generated by the downward movement of the ground relative to the pile. Usually, in this situation, the
design values of the strength and stiffness are upper values, which is a more conservative approach.
However, although EN 1997-1 indicates that downdrag can be included in ultimate limit state
calculations, normally downdrag is only relevant in serviceability limit states, causing additional pile
settlement.
The limit states that need to be considered in the design of piles are the following:
o Loss of overall stability
o

Bearing resistance failure of the pile foundation

Uplift or insufficient tensile resistance of the pile foundation

Failure in the ground due to transverse loading of the pile foundation

Structural failure of the pile in compression, tension, bending, buckling or shear

Combined failure in the ground and in the pile foundation

Combined failure in the ground and in the structure

Excessive settlement

Excessive heave

Excessive lateral movement

Unacceptable vibrations

One of the special features of Eurocode 7 is that it provides checklists, which are lists of factors to be
taken into account or considered in a particular design situation. In the design of piles, a checklist is
provided of the factors that affect the selection of the type of pile. Orr and Farrell (1998) have
presented this checklist in the form of Table 8.3.1 with a column to be ticked when each particular
factor has been considered.

8.3. Approaches to pile design and static load tests

EN 1997-1 7.4(1)P states that the design of piles shall be based on one of the following approaches:
o

The results of static load tests, which have been demonstrated, by means of calculations or
otherwise, to be consistent with other relevant experience

Empirical or analytical calculation methods whose validity has been demonstrated by static
load tests in comparable situations

The results of dynamic load tests whose validity has been demonstrated by static load tests in
comparable situations

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T.L.L.Orr and A.J.Bond
o

The observed performance of a comparable pile foundation, provided that this approach is
supported by the results of site investigation and ground testing

Table 8.3.1 Checklist of factors affecting selection of pile type (after Orr and Farrell, 1999)
Selection of pile type

Checked

The ground and ground-water conditions, including the presence or possibility of

obstructions in the ground
The stresses generated in the pile during installation
The possibility of preserving and checking the integrity of the pile being installed
The effect of the method and sequence of pile installation on piles, which have
already been installed and on adjacent structures or services
The tolerances within which the pile can be installed reliably
The deleterious effects of chemicals in the ground
The possibility of connecting different ground-water regimes
The handling and transportation of piles

The use of static pile load tests for pile design has been underlined in the above text to highlight the
emphasis and importance placed on static pile load tests in the design of piles to Eurocode 7 since
the first three approaches all refer to static load tests while the fourth approach refers to observed
performance and ground testing. Eurocode 7 provides the following requirements concerning static
load tests:
o

Static load tests may be carried out on trial piles, installed for test purposes only, before the
design is finalised, or on working piles, which form part of the foundation (7.4.1(3))

If one pile load test is carried out, it shall normally be located where the most adverse ground
conditions are believed to occur (7.5.1(4)P)

Between the installation of the test pile and the beginning of the load test, adequate time shall
be allowed to ensure that the required strength of the pile material is achieved and the porewater pressures have regained their initial values (7.5.1(6)P)

8.4. Ultimate limit state design of piles

8.4.1. EQUILIBRIUM EQUATION
The equilibrium equation to be satisfied in the ultimate limit state design of axially loaded piles in
compression is:

Fc;d Rc;d
where Fc;d is the design axial compression load and Rc;d is the pile compressive design resistance.

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8.4.2. DESIGN AXIAL LOAD

The design axial compressive load Fc;d is obtained by multiplying the representative permanent and
variable loads, G and Q by the corresponding partial action factors G and Q:
Fc;d GGrep QQrep

The two sets of recommended partial factors on actions and the effects of actions provided in Table
8.4.1 (representing Table A3 of Annex A of EN 1997-1).
Table 8.4.1 Recommended partial factors on actions and effects of actions
Action

Permanent
Variable

Symbol

Unfavourable
Favourable
Unfavourable
Favourable

Set
A1

A2

DA1.C1, DA2
DA3 (structural actions)

DA1.C2
DA3 (geotech.actions)

1,35

1,0

1,0

1,0

1,5

1,3

G
Q

The self-weight of the pile should be included when calculating the design axial compressive load,
Fc;d, along with any downdrag, heave or transverse loading. However the common practice of
assuming that the weight of the pile is balanced by that of the overburden allowing both to be
excluded from Fc;d and Rc;d is permitted, where appropriate. The pile weight may not cancel the weight
of the overburden if:
f)

The downdrag is significant

g)

The soil is light

h)

The pile extends above the ground surface

8.4.3. CHARACTERISTIC PILE RESISTANCE

Eurocode 7 describes three procedures for obtaining the characteristic compressive resistance Rc;k of
a pile:
a) Directly from static pile load tests
b) By calculation from profiles of ground test results
c) By calculation from ground parameters
In the case of procedures a) and b) Eurocode 7 provides correlation factors to convert the measured
pile resistances or pile resistances calculated from profiles of test results into characteristic
resistances. In the case of procedure c), the characteristic pile resistance is calculated from ground
parameter values. This is referred to as the alternative procedure in the Note to EN 1997-1
7.6.2.3(8), even though it is the most common method in some countries, for example in Ireland and
the UK. Outlines of worked pile design examples using these three procedures are given in Sections
8, 9 and 10 of this Chapter with links to the complete solutions of these worked examples.

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a) Characteristic pile resistance from static load tests
For piles in compression, it is often difficult to identify the ultimate limit state from static load test
results because the pile load-settlement plot shows a continuous curvature. In these cases, Eurocode
7 states that the settlement of the pile top equal to 10% of the pile base diameter should be adopted
as the "failure" criterion. The characteristic pile resistance Rc;k is then determined directly (i.e. not
estimated) from the measured pile resistance Rc;m values (ultimate limit state resistances) by applying
correlation factors, 1 and 2 , related to number of piles tested, to the mean and minimum measured
resistances according to equation:
Rc;m
Rc;m min

mean
Rc;k Min
;

1
2

The recommended values for 1 and 2 for n pile load tests, given in Table A.9 of EN 1997-1 Annex A,
are shown in Table 8.4.1.
Table 8.4.1 Recommended correlation factors 1 and 2 to determine characteristic pile
resistance from pile load test results
n

1,4

1,3

1,2

1,1

1,0

1,4

1,2

1,05

1,0

1,0

The values for 1 and 2 in Table 8.4.1 show the advantage of carrying out more load tests since the
correlation values reduce as the number of load tests increases so that higher Rc;k values are
determined. For structures which have sufficient stiffness to transfer loads from weak to strong
piles, the values may be divided by 1,1 provided they are not less than 1,0.
a)

Characteristic pile resistance from profiles of ground test results

Part 2 of EN 1997 includes the following Annexes with methods to calculate the compressive
resistance, Rc;cal of a single pile from profiles of ground test results:
o

D.6

Example of a correlation between compressive resistance of a single pile and cone

penetration resistance - Tables are provided in this Annex relating the piles unit base
resistances pb at different normalised pile settlements, s/D, and the shaft resistance
ps to average cone penetration resistance qc values. The values in Tables D.3 and
D.4 are used to calculate the pile base and shaft resistances in pile (Example 2).

D.7

Example of a method to determine the compressive resistance of a single pile Equations are provided in this Annex to calculate the maximum base resistance and
shaft resistance from the qc values obtained from an electrical CPT.

E.3

Example of a method to calculate the compressive resistance of a single pile - An

equation is provided in this Annex to calculate the ultimate compressive resistance of
a pile from the results of an MPM test.

When a number of profiles of tests are carried out, e.g. CPTs, the characteristic total pile compressive
resistance Rc;k or the base and shaft resistances Rb;k and Rs;k, may be determined directly by applying
correlation factors 3 and 4 to the set of pile resistances calculated from the test profiles using, for
example, the methods referred to in the Annexes above. This procedure is referred to as the Model
Pile procedure by Frank et al. (2004). The values of the correlation factors 3 and 4, depend on the
number of test profiles, n and they are applied to the mean and minimum Rc;cal values according to the
following equation:

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T.L.L.Orr and A.J.Bond

Rc;cal mean Rc;cal min

Rt ,k (Rb,k Rs,k ) Min

;

3
4

The recommended values for 3 and 4 for n profiles of test results, given in Table A.10 of EN 1997-1,
are shown in Table 8.4.2 and differ from the factor values for design from pile load tests.
Table 8.4.2 Recommended correlation factors 3 and 4 to determine characteristic pile
resistance from ground test results
n

10

1,4

1,35

1,33

1,31

1,29

1,27

1,25

1,4

1,27

1,23

1,20

1,15

1,12

1,08

b) Characteristic pile resistance from ground parameters

The characteristic base and shaft resistances may also be determined directly from ground
parameters using the following equations given in EN 1997-1 7.6.2.3(8):

Rb;k Ab qb;k
Rs;k As;i qsi ;k
where:
Ab = the nominal plan area of the base of the pile;
Asi = the nominal surface area of the pile in soil layer i
qb;k = the unit base resistance
qsi;k = the unit shaft resistance in soil layer i
In this alternative procedure, the characteristic unit pile resistances qb;k and qs;k are calculated using
appropriate values for the ground parameters. These would normally be cautious values, i.e.
characteristic values. In a note to EN 1997-1 7.6.2.3(8), it is stated that when the alternative
procedure is used to calculate the design pile compressive or tensile resistance, the partial factors b
and s may need to be corrected by a model factor larger than 1,0. A number of countries, such as
Ireland as explained in Section 8.6.2 below, have introduced such a model factor.

8.4.4. DESIGN COMPRESSIVE RESISTANCE

The design compressive resistance of a pile Rc;d may be obtained either by treating the pile resistance
as a total resistance or by separating it into base and shaft components. If the pile resistance is
treated as a total resistance, the design pile resistance is obtained by dividing the characteristic total
resistance Rc;k by the relevant partial factor t:

Rc;d Rc;k t
If the pile resistance is separated into base and shaft components, the design resistance is obtained
by dividing the characteristic base and shaft resistances, Rb;k and Rs;k, by the relevant partial factors,
b and s:

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Rc;d Rb;k b Rs;k s

EN 1997-1 provides different sets of recommended partial resistance factor values for driven, bored
and CFA piles in Tables A6, A7 and A8 of Annex A. These are shown in Table 8.4.3. The following
features should be noted concerning these partial resistance factor values:
o

The R1 partial factor values are greater than 1,0 for bored and CFA piles in compression, but
are equal to 1,0 for driven piles

The R2 partial factors are the same for all three different types of pile

The R3 partial factors are all equal to 1,0 for all three different types of pile

The R4 partial factors are all greater than 1,0 and greater than the R2 partial factor values

For piles in tension, only the shaft resistance factor is relevant and this has the same value for
all three types of pile
Table 8.4.3 Recommended partial resistance factors for driven, bored and CFA piles
Resistance

Symbol

Set
R1

R2

R3

R4

Partial resistance factors for driven piles

Base

1,0

1,1

1,0

1,3

Shaft (compression)

1,0

1,1

1,0

1,3

Total/combined (compression)

1,0

1,1

1,0

1,3

Shaft in tension

s;t

1,25

1,15

1,1

1,6

Base

1,25

1,1

1,0

1,6

Shaft (compression)

1,0

1,1

1,0

1,3

Total/combined (compression)

1,15

1,1

1,0

1,5

Shaft in tension

s;t

1,25

1,15

1,1

1,6

Partial resistance factors for bored piles

Partial resistance factors for continuous flight auger (CFA) piles

Base

1,1

1,1

1,0

1,45

Shaft (compression)

1,0

1,1

1,0

1,3

Total/combined (compression)

1,1

1,1

1,0

1,4

Shaft in tension

s;t

1,25

1,15

1,1

1,6

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The combinations of sets of partial factor values that should be used for Design Approach 1 are as
follows:
DA1.C1:

A1 + M1 + R1

DA1.C2:

A2 + M1 or M2 + R4

It should be noted that, unlike in the case of all other geotechnical design situation, in the design of
pile foundations, DA1 is a partial resistance factor rather than a material factor approach since for
both C1 and C2 the design resistance is obtained by applying the partial resistance factor Sets R1 or
R4, which are mostly 1,0, to the characteristic base and shaft resistances, and applying the partial
material factor Set M1 = 1,0 to the ground parameters; Set M2 > 1,0 is only used for C2 to calculate
unfavourable design actions on piles owing e.g. to negative skin friction.
The combinations of sets of partial factor values that should be used for Design Approach 2 are as
follows:
DA1.C1:

A1 + M1 + R2

As in the case of Design Approach 1, this is a partial resistance factor approach as Set M1 = 1.0, but
the Set R2 values differ from the Set R1 values.
The combinations of sets of partial factor values that should be used for Design Approach 3 are as
follows:
DA1.C1:

(A1* or A2) + M2 + R3

where * and indicate that the partial action factor Set A1 is applied to structural actions and A2 is
applied to geotechnical actions. Since all the R3 values are unity, DA3 should not be used for piles
designed from pile load tests or from resistances calculated from profiles of test results as it provides
no safety on the resistance.

8.4.5. PILE GROUPS

Piles in a group should be checked for failure of the piles individually and acting as a block. The
design resistance shall be taken as the lower value caused by these two mechanisms. Generally a
pile block can be analysed as a single large diameter pile. The strength and stiffness of the structure
connecting the piles shall be considered. For a stiff structure, advantage may be taken of load
redistribution. A limit state will occur only if a significant number of piles fail together; so failure
involving only one pile need not be considered. In the case of flexible structures, the weakest pile
governs the occurrence of a limit state in the structure. Special attention needs to be given to failure
of edge piles by inclined or eccentric loads.

8.5. Serviceability limit state design

The small amount in Eurocode 7 on the SLS design of compression piles is provided in 7.6.4 which
is called Vertical displacement of pile foundations (Serviceability of supported structure). This includes
the Principle that vertical displacements under serviceability limit state conditions shall be assessed
and checked against the requirements given. This is a direct design method as it involves checking
the serviceability limit state by calculating the pile displacements. However, the application rules to
this Principle states that it should not be overlooked that in most cases calculations will provide only
an approximate estimate of the displacements of the pile foundation.

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7.6.4.1(2) has the important note that for piles bearing in medium-to-dense soils and for tension
piles, the safety requirements (i.e. partial factors) for the ultimate limit state design are normally
sufficient to prevent the occurrence of a serviceability limit state in the supported structure. Preventing
the occurrence of a serviceability limit state by means of the ultimate limit state partial factors is an
indirect design method. Since it is often difficult to predict the settlement of a pile foundation, many
countries have adopted this indirect design method for pile foundations and have either increased the
values for the ULS design of piles or have included a model factor so as to satisfy the SLS
(settlement) as well as the ULS (safety against failure) requirements.

8.6. Pile design in Ireland

8.6.1. PILE DESIGN IN IRELAND FROM GROUND TEST RESULTS
In Ireland it was considered necessary to increase the values in Table A.10, EN 1997-1 to allow for
uncertainties in deriving the characteristic compressive and tensile resistances when designing piles
from ground test results. The recommended values given in Table A.10 and the increased values
given in Table NA.3 of the Irish National Annex (NSAI, 2005) are shown in Table 8.6.1 It can be seen
from these values that all the recommended values have effectively been increased by a model
factor of 1,5 in the Irish National Annex.
Table 8.6.1 Recommended correlation factors 3 and 4 and values in the Irish National Annex
to determine characteristic pile resistance from ground test results
Number of profiles of tests, n
3 values on mean
calculated resistance
4 values on
minimum calculated
resistance

10

Recommended

1,4

1,35

1,33

1,31

1,29

1,27

1,25

Irish National Annex

2,1

2,03

2,0

1,97

1,94

1,91

1,88

Recommended

1,4

1,27

1,23

1,20

1,15

1,12

1,08

Irish National Annex

2,1

1,91

1,85

1,80

1,73

1,68

1,62

8.6.2. PILE DESIGN IN IRELAND USING THE ALTERNATIVE PROCEDURE

In Ireland, in order to allow for uncertainties in deriving the characteristic compressive resistances
from ground parameters, it was considered necessary, in accordance with EN 1997-1 7.6.2.3(8) as
noted in Section 8.4.3, to correct the recommended partial resistance factors by applying a model
factor of 1,75 to the b and s values (NSAI, 2005). Hence designing piles in Ireland using the
alternative procedure with the model factor of 1,75 included is equivalent to replacing the
recommended b and s values in Tables A.6, A.7 and A.8 on EN 1997-1 with the increased values
shown in Table 8.6.2.

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Deep foundations
T.L.L.Orr and A.J.Bond
Table 8.6.2 Recommended partial resistance factors and equivalent Irish values after
application of model factor of 1,75
Resistance

Set

Symbol

R1

R2

R3

R4

Recommended

1,0

1,1

1,0

1,3

Equivalent Irish values

1,75

1,925

1,75

2,275

Recommended

1,0

1,1

1,0

1,3

Equivalent Irish values

1,75

1,925

1,75

2,275

1,25

1,1

1,0

1,6

2,1875

1,925

1,75

2,8

Recommended

1,0

1,1

1,0

1,3

Equivalent Irish values

1,75

1,925

1,75

2,275

1,1

1,1

1,0

1,45

1,925

1,925

1,75

2,5375

Recommended

1,0

1,1

1,0

1,3

Equivalent Irish values

1,75

1,925

1,75

2,275

Partial resistance factors for driven piles

b

Base

Shaft (compression)

Partial resistance factors for bored piles

b

Base

Shaft (compression)

Recommended
Equivalent Irish values

Partial resistance factors for continuous flight auger (CFA) piles

Base

Shaft (compression)

Recommended
Equivalent Irish values

8.7. Summary of key points

The key points concerning the design of pile foundations to Eurocode 7 are:
o

The importance of static pile load tests in the design of piles to Eurocode 7 is emphasised

Eurocode 7 provides an innovative method for determining the characteristic pile resistance
directly from the results of pile load tests or from profiles of tests using values

The values are based on the number of pile load tests or the number of soil test profiles and
hence offer more economical designs for more pile load tests or more soil test profiles

DA1 is a resistance factor approach for the design of piles

DA3 should not be used for the design of piles from pile load tests or from soil test profiles as
its resistance factors are all equal to 1,0

SLS requirements need to be satisfied and model factors or increased factors in ULS
calculations have been introduced in many countries NAs to provide an indirect design
method to ensure that the occurrence of an SLS as well as a ULS is sufficiently unlikely.

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Deep foundations
T.L.L.Orr and A.J.Bond

8.8. Worked examples pile design

Worked examples illustrating the design of piles according to Eurocode 7 are included in the Annex to
this report.

References
EN 1997-1: 2004. Eurocode 7: Geotechnical design. Part 1: General rules. CEN.
Frank, R., Bauduin, C., Kavvadas, M., Krebs Ovesen, N., Orr, T., and Schuppener, B. (2004).
Designers guide to EN 1997-1: Eurocode 7: Geotechnical design General rules, London:
Thomas Telford
NSAI (2005) Irish National Annex to Eurocode 7: Geotechnical design Part 1: General rules, National
Standards Authority of Ireland, Dublin, 2005
Orr, T.L.L. and Farrell E.R. (1998) Geotechnical design to Eurocode 7, Springer-Verlag, London

95

Deep foundations
T.L.L.Orr and A.J.Bond

96

ANNEX

Worked examples

A. J. Bond1, B. Schuppener2, G. Scarpelli3, and T.L.L. Orr4

Geocentrix Ltd, Banstead, UK (Chairman of TC250/SC7)

BAW Federal Waterways Engineering and Research Institute, Germany (former

Chairman of TC250/SC7)

Technical University of the Marche Region, Ancona, Italy (former Vice-Chairman of

TC250/SC7)
4

Trinity College, Dublin, Ireland (Convenor of TC250/SC7/EG3)

Worked examples
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A.1. Introduction
This Annex contains worked examples to accompany the various chapters of this report.

A.2. Worked example to accompany Chapter 2

This worked example illustrates the way in which actions should be combined according to EN 1990,
in a way that is suitable for geotechnical design of foundations.

A.2.1. DESIGN SITUATION

Consider a n=3 storey building, Bx =48 m by By=15 m on plan, which is divided into Nx =8 bays in the
building's long direction and Ny =2 bays in its short direction. The height of each storey is h = 3,2 m .
The floors of the building are dfloor =250 mm thick (Figure A.2.1).
Shear walls, intended to resist overturning, are located at both ends of the building and are t=300 mm
thick by bw=4 m wide on plan. A water tank, dtank =2 m deep by ltank =5 m long by btank =5m wide sit
over the shear wall at one end of the building. The shear walls are supported by strip foundations of
length lfdn = 6,5 m, breadth bfdn = 2 m, and thickness dfdn = 1,5 m. The following characteristic
imposed/wind actions act on the building:
o

roof loading

qrf,k = 0,6 kPa

office floor loading

qoff,k = 2,5 kPa

partition loading

qpar,k = 0,8 kPa

wind (horizontal)

qw,k =1,15 kPa

3

The characteristic weight density of reinforced concrete is c,k =25 kN/m and of water w,k = 10 kN/m .

Fig.A.2.1 Plan and section of the 3 storey building

Geometry
Total plan area of building is:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Atot Bx By 720m2
The tributary area above the stability wall has area:

By bw
A
2

1 Bx

2 Nx

2
28,5m

Characteristic actions -permanent

Self-weight of slabs:
o

Floor:

gfl,Gk =c,k dfloor = 6,25 kPa

Screed on roof:

gscr,Gk =1,5 kPa

Raised floor:

gr-fl,Gk =0,5 kPa (removable)

Self-weight of water tank on roof - only half total weight is carried by the core wall

w tank ,Gk

1
w ,k dtank l tank btank 250kN (removable)
2

Self-weight of core wall:

wwall ,Gk c,k tw bw nh 288kN

Self-weight of pad foundation:
Wfdn,Gk c,k dfdn bfdn lfdn 488kN

Total self-weight of non-removable members (normal to ground):

NGk1= ngfl ,Gk A gscr ,Gk A +Wwall ,Gk +Wfdn,Gk 1353kN

Total self-weight of removable members (normal to ground):

NGk 2 n 1 gr fl ,Gk A Wtank ,Gk 279kN

Characteristic actions - variable

Imposed actions (normal to ground):
o

on roof:

Nrf ,Qk qrf ,k A 17,1 kN

on floors:

Nfl ,Qk n 1 qoff ,k qpar ,k A 188,1 kN

Wind actions (horizontal direction):

h Bx
44,2kN
2 2

on roof:

Qw ,rf ,Qk qw ,k

on each floor:

Qw ,fl ,Qk qw ,k h

Bx
88,3 kN
2

Total wind action (normal to ground):

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Nw ,Qk 0kN

Moment effect of wind action (on ground):

o

first floor:

Mw ,Qk1 Qw ,fl ,Qk n 2 h dfdn 415 kNm

second floor:

Mw ,Qk 2 Qw ,fl ,Qk n 1 h dfdn 698 kNm

roof:

Mw ,Qk 3 Qw ,rf ,Qk nh dfdn 490 kNm

total:

Mw ,Qk Mw ,Qk 1603 kNm

A.2.2. COMBINATIONS OF ACTIONS FOR PERSISTENT AND TRANSIENT

DESIGN SITUATIONS - ULS VERIFICATION
Combination 1 - wind as leading variable action, vertical actions unfavourable, partial factors
from Set B
Partial factors
o

on permanent actions:

G =G,B=1,35

on variable actions (wind):

Q,w=Q,B=1,5

on variable actions (imposed loads):

Q,I =Q,B=1,5

Combination factors:
o

for wind

w =1,0

for imposed load in office areas (Category B):

fl =0,i,B =0,7

for imposed load on roof (Category H):

rf =0,i,H =0

Design value of normal action effect:

NEd G NGK 1 NGK 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 2400kN

Design value of moment effect:

MEd Q,w w Mw ,Qk 2405kN

Maximum bearing pressure on underside of foundation is:

N
6MEd
Pmax,Ed Ed
355kN
2
bfdn l fdn bfdn l fdn
Combination 2 - wind as leading variable action, vertical actions favourable, partial factors
from Set B
Design value of normal action effect:

NEd =G,fav NGk1+NGk 2 1631 kN

Design value of moment effect:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
MEd Q,w w Mw ,Qk 2405 kNm

Maximum bearing pressure on underside of foundation is:

N
6MEd
45kN
Pmax,Ed Ed
2
bfdn l fdn bfdn lfdn
Line of action is outside the middle-third and eccentricity is:

MEd
1,47kN
NEd

Revised maximum bearing pressure on underside of foundation is:

Pmax,Ed

NEd
8
345kN
3 lfdn 2e 2

Combination 3 - imposed loads as leading variable action, vertical actions unfavourable,

partial factors from Set B
Combination factors:
o

for wind

w =0,w =0,6

for imposed load in office areas (Category B):

fl =1

for imposed load on roof (Category H):

rf =1

Design value of normal action effect:

NEd = G NGk 1+NGk 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 2510 kN

Design value of moment effect:

MEd =Q,w w Mw ,Qk 1443 kN

Maximum bearing pressure on underside of foundation is:

N
Pmax,Ed Ed
bfdn l fdn

6MEd
296kN

2
bfdn l fdn

Combination 4 - wind as leading variable action, vertical actions unfavourable, partial factors
from Set C
Partial factors:
o

on permanent actions:

G =G,C = 1

on variable actions (wind):

Q,w =Q,C =1,3

on variable actions (imposed loads):

Q,I =Q,C =1,3

Combination factors:
o

w =1,0

for wind:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
o

for imposed load in office areas (Category B):

fl = 0,i,B = 0,7

for imposed load on roof (Category H):

rf = 0,i,H = 0

Design value of normal action effect:

NEd = G NGk 1+NGk 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 1802 kN

Design value of moment effect:

MEd =Q,w w Mw ,Qk 2084 kN

Combination 5 - wind as leading variable action, vertical actions favourable, partial factors
from Set C
Design value of normal action effect:

NEd = G,fav NGk 1+NGk 2 1631 kN

Design value of moment effect:
MEd =Q,w w Mw ,Qk 2084 kN

Combination 6 - imposed loads as leading variable action, vertical actions unfavourable,

partial factors from Set C
Combination factors:
o

for wind:

w = 0,w = 0,6

for imposed load in office areas (Category B):

fl = 1

for imposed load on roof (Category H):

rf = 1

Design value of normal action effect:

NEd = G NGk 1+NGk 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 1898 kN

Design value of moment effect:

MEd =Q,w w Mw ,Qk 1250 kN

A.2.3. COMBINATIONS OF ACTIONS FOR QUASI-PERMANENT DESIGN

SITUATIONS - SLS VERIFICATIONS
Combination 7 - wind as leading variable action, vertical actions unfavourable, partial factors
for SLS
Partial factors:
o

on permanent actions:

G = G,SLS = 1

on variable actions (wind):

Q,w =Q,SLS = 1

on variable actions (imposed loads):

Q,i = Q,SLS = 1

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Combination factors:
o

for wind:

w = 2,w = 0

for imposed load in office areas (Category B):

fl = 2,i,B = 0,3

for imposed load on roof (Category H):

rf = 2,i,H = 0

Design value of normal action effect:

NEd = G NGk 1+NGk 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 1688 kN

Design value of moment effect:

MEd =Q,w w Mw ,Qk 0 kN

Combination 8 - wind as leading variable action, vertical actions favourable, partial factors for
SLS
Design value of normal action effect:

NEd = G,fav NGk 1+NGk 2 1631 kN

Design value of moment effect:
MEd =Q,w w Mw ,Qk 0 kN

Combination 3 - imposed loads as leading variable action, vertical actions unfavourable,

partial factors for SLS
Combination factors:
o

for wind :

w = 2,w = 0

for imposed load in office areas (Category B):

fl = 2,i,B = 0,3

for imposed load on roof (Category H):

rf = 2,i,H = 0

Design value of normal action effect:

NEd = G NGk 1+NGk 2 Q,w w Nw ,Qk Q,i fl Nfl ,Qk rf Nrf ,Qk 1688 kN

Design value of moment effect:

MEd =Q,w w Mw ,Qk 0 kN

A.3. Worked example to accompany Chapter 3

This worked example illustrates how the design of a strip foundation of a building can be carried out to
Eurocode 7.
Real data from a comprehensive site investigation are given to define the geotechnical model with
characteristic geotechnical parameters. Both ULS and SLS checks are shown with some details.

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A.3.1. DESIGN SITUATION

Design a strip foundation for the concrete building of Fig.A.3.2 whose destination is civil habitation. It
is composed of four floors. The embedment depth of foundation is 1,5 m; the groundwater level is
situated at 1,5 m from the ground surface. Allowable settlement is 5 cm.

Fig.A.3.2 Arrangement of building

Fig.A.3.3 Main floor framing

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fig.A.3.4 Vertical cross section

From the structural analysis, the characteristic value of permanent Gk and variable Qk vertical loads for
each of the six columns have been obtained as summarized in Table A.3.1. For no-seismic design
situation, shear forces and bending moments can be assumed to be negligible.
Table A.3.1 Vertical action on the columns of the building of Fig.A.3.2
Column
C1

C2

C3

C4

C5

C6

Normal forces (kN)*

Gk

-460,147

Qk

-108,138

Gk

-687,103

Qk

-222,355

Gk

-627,8

Qk

-154,012

Gk

-623,915

Qk

-152,261

Gk

-685,011

Qk

-222,231

Gk

-416,982

Qk

-108,103

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A.3.2. ASSIGNEMENT: THE FOUNDATION WIDTH B TO SATISFY BOTH ULS

AND SLS IS REQUIRED
To design the shallow foundation and to meet the assigned requirements, the geotechnical model of
the bearing soil has to be defined. This is obtained by assembling data and information from
geotechnical investigations as summarized for this example through the following steps:
1. The soil profile is taken from the borehole log;
2. CPTu soil in situ testing gives cone and frictional resistances and the pore pressures with
depth;
3. Normalized cone resistance Qt and Friction Ratio Fr as defined in the Figure A.3.6 and plotted
with depth in Figure A.3.7 are used to classify the different soil deposits.

Fig.A.3.5: The soil profile

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
qc (MPa)
20

40

100

u2 (MPa)
200

300

0,0

10

10

10

15

15

15

20

z (m)

z (m)

z (m)

fs (kPa)

qt (MPa)

20

20

25

25

25

30

30

30

35

35

35

40

40

40

Fig. A.3.6 Results from CPTu testing

Fig.A.3.7 Normalized chart to analyse CPT test

108

0,5

1,0

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Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Qt
100

200

300

400

500

10

10

15

15

z (m)

z (m)

Fr

20

50

100

20

25

25

30

30

35

35

40

40
Fig.A.3.8 Normalized point resistance and friction from CPTu tests

More correlations for fine grained soils give:

cu=(qt-v0)/Nk

undrained shear strength (assumed Nk = 19)

Eu -

undrained modulus (it can be obtained from the plot of Fig.A.3.9)

Ed -

oedometric modulus
Ed (MPa) = 4qc

(if qc > 10 MPa)

109

150

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Fig.A.3.9 Empirical correlation for the ratio Eu/Cu as a function of the overconsolidation ratio.
Ip is the soil plasticity index.

Results of one oedometer test (

Fig.A.3.) are used to obtain soil consolidation properties:
-3

Cv = 210 cm /s

- average value of the consolidation coefficient

z = 25 m

- sample depth

W =32,74 %

- natural water content

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
=19 kN/m
zw = 2,5 m

- unit weight,
- water depth

Fig.A.3.10 Results from oedometer testing vertical pressure

Fig.A.3.10 Results from oedometer testing - settlement

From all the given data, a geotechnical model as shown in Fig.A.3.111 can be finally assumed.

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k
k

Soil 1: medium
sand (0-20 m)

dense

= 18.5 kN/m3
c = 0 = 38

E = 30 MPa

Soil 2: clayey silt

= 18.5 kN/m3
Cc = 0.36
Cs = 0.022
-3

Cv=2*10 cm /s
Cu = 80 kPa

Fig.A.3.111 The soil geotechnical model adopted for the shallow foundation design

A.3.3. DESIGN OF A STRIP FOUNDATION FOR BEARING RESISTANCE

In the following tables are summarized adopted factors and results obtained by using the three
different design approaches DA1, DA2 and DA3. For all the cases, k = 38 and the value of B is
nd
obtained by imposing Rd = Vd (in DA1 for the 2 combination only).
Table A.3.1. Adopted factors and results obtained by using design approach DA1
B=1,5

DA1-1

DA1-2

Partial factors

A1+M1+R1

A2+M2+R1

Vd (kN)

7395,74

5661,00

Nq

48,87

23,17

74,80

27,72

sq

1,04

1,04

0,95

0,98

Rd (kN)

15320,80

5676,52

Rd / Vd

2,07

1,00

Table A.3.2. Adopted factors and results obtained by using design approach DA2
B=1,21

DA2

Partial factors

A1+M1+R2

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Vd (kN)

7160,10

Nq

48,87

74,80

sq

1,03

0,98

Rd (kN)

7150,58

Rd / Vd

1,00

Table A.3.3. Adopted factors and results obtained by using design approach DA3
B=1,74

DA3

Partial factors

A1 / A2+M2+R3

Vd (kN)

7590,75

Nq

23,17

27,72

sq

1,04

0,98

Rd (kN)

7612,07

Rd / Vd

1,00

It is clear how design approach 2 gives the smallest value for B.

This is also true in general if friction is not too small, as shown by the plot of the ratio Rd/Vd against
friction for the three possible design approaches (Fig.A.3.122).

Fig.A.3.122 Graphs of the utilization ratio Rd/Vd with friction k for constant B in the three
design approaches DA1, DA2 and DA3.

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A.3.4. DESIGN OF A STRIP FOUNDATION: SERVICEABILITY CHECK

Calculation of immediate (mean) settlement: use of the linear elastic solution and take the sum of the
contributions to total settlement from each j-stratum with constant elastic parameters (Ej,j) (Figure
A.3.13). Use the solution for influence factor I=01 that can be obtained from the graphs of Fig.
A.3.15A.3.14 and A.3.15.
n

I (Hi ) I Hi 1

i 1

Ei

s0 qB

(1 2 )

Fig. A.3.133 Calculation of elastic settlement

Fig. A.3.144 Graph to obtain 0 for calculation of the elastic settlement

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Fig. A.3.15 Graph to obtain 1 for calculation of the elastic settlement

Having adopted a footing with B = 1,50 m, stress increments are confined to a very shallow depth and
there is no need to account for the change of the stiffness with depth; in this case, just one soil
stratum is considered in the settlement calculation. On the other hand, if the footings are assimilated
to a single equivalent spread foundation with B equal to the building width, a geotechnical model with
two strata is adopted, and each stratum has its appropriate stiffness value. However the thickness of
the deforming soil is 50 metres for both schemes. The following Table A. and A.3.5 give details of the
two calculations.
Table A.3.4: Settlement calculations for a single footing
q (kPa)
B (m)
L (m)
H (m)

E (kPa)
H/B
D/B
L/B
0
1
(m)

167,32
1,50
21,40
50
0,3
30000
666,7
1
14,3
1
1,8
0,014

Table A.3.5: Settlement calculations for the spread foundation scheme

q (kPa)

64,77

B (m)

15,50

L (m)

21,40

H1 (m)

20

H2 (m)

50

0,30

0,50

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cu (kPa)

80,00

Eu (kPa)

32000

E (kPa)

30000

H1 / B

1,29

H2 / B

64,52

D/B

L/B

1,38

0 (1)

1,00

1 (1)

0,50

0 (2)

1,00

1 (2)

0,70

(m)

0,021

A.3.5. CONSOLIDATION SETTLEMENTS IN OEDOMETRIC CONDITIONS:

Sed Hi

Hi

c'
Hi
log
C

1 e0 s v' 0

v' 0 v
log

c
c'

With the calculation scheme shown in the Fig,A.3.6, stress increments (by means of influence factors
of Fig.A.3.16) and settlements can be obtained as detailed in Table A.3.6 and in Table A.3.7.
In the first table, settlement calculation was limited at a depth where the stress increment is lower than
10% of the in situ effective stress. This is justified by a small overconsolidation of the clayey soil
deposit due to cementation. In the second table this effect is not considered and the settlement
calculation was extended to a depth comparable with the building width. Final settlement values are
3,3 cm and 24,3 cm respectively.

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Fig,A.3.16: Scheme of the soil stratigraphy for calculation of consolidation settlements

1/2

1/2

2
2
2mn m2 n 2 1
1 2mn m n 1
m2 n 2 2
1
z q

tan
4 m2 n 2 m2 n 2 1 m2 n 2 1
m2 n 2 m2 n 2 1

Fig.A.3.167 Influence factors for computing vertical stresses

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Table A.2.6 Consolidation settlement for the 10% stress increment limitation scheme
z

z
(from
g.s.)

(m)

(m)

(kPa)

(kPa)

(kPa)

1,00

0,50

20,25

374,63

174,13

200,50

0,91

21,67

0,11

222,17

0,86

0,023

0,012

2,00

0,50

20,75

383,88

179,03

204,84

0,90

20,87

0,10

225,71

0,86

0,022

0,011

3,00

0,50

21,25

393,13

183,94

20919

0,90

20,10

0,10

229,29

0,86

0,021

0,010

4,00

0,50

21,75

402,38

188,84

213,53

0,90

19,37

0,09

232,90

0,86

0,020

0,010

5,00

0,50

22,25

411,63

193,75

217,88

0,89

18,68

0,09

236,55

0,86

0,019

0,009

6,00

0,50

22,75

420,88

198,65

222,22

0,89

18,01

0,08

240,24

0,86

0,018

0,009

7,00

0,50

23,25

430,13

203,56

226,57

0,89

17,38

0,08

243,95

0,86

0,017

0,009

8,00

0,50

23,75

439,38

208,46

230,91

0,88

16,78

0,07

247,69

0,85

0,016

0,008

layers

e0

z/z

(kPa)

z_fin

ef

(kPa)

Sed

(m)

9,00

0,50

24,25

448,63

213,37

235,26

0,88

16,20

0,07

251,46

0,85

0,015

0,008

10,00

0,50

24,75

457,88

218,27

239,60

0,88

15,66

0,07

255,26

0,85

0,015

0,007

11,00

0,50

25,25

467,13

223,18

243,95

0,88

15,13

0,06

259,08

0,85

0,014

0,007

12,00

0,50

25,75

476,38

228,08

248,29

0,87

14,63

0,06

262,93

0,85

0,013

0,007

13,00

0,50

26,25

485,63

232,99

252,64

0,87

14,16

0,06

266,79

0,85

0,013

0,006

stot =

0,033

Table A.3: Consolidation settlement for the full depth scheme

z

z
(from g.s.)

(m)

(m)

(kPa)

(kPa)

(kPa)

(kPa)

1,00

2,00

21.00

388.50

181.49

207.02

20.48

0.10

227.50

0.86

0.022

0.043

2,00

2,00

23.00

425.50

201.11

224.40

17.69

0.08

242.90

0.86

0.017

0.035

3,00

2,00

25.00

462.50

220.73

241.78

15.39

0.06

257.17

0.85

0.014

0.029

4,00

2,00

27.00

499.50

240.35

259.16

13.48

0.05

27.64

0.84

0.012

0.024

5,00

2,00

29.00

536.50

259.97

276.54

11.88

0.04

288.42

0.84

0.010

0.020

6,00

2,00

31.00

573.50

279.59

293.92

10.54

0.04

304.46

0.83

0.008

0.017

7,00

2,00

33.00

610.50

299.21

311.30

9.40

0.03

320.70

0.83

0.007

0.014

8,00

2,00

35.00

647.50

318.83

328.68

8.43

0.03

337.11

0.82

0.006

0.012

9,00

2,00

37.00

684.50

338.45

346.06

7.60

0.02

353.65

0.81

0.005

0.010

10,00

2,00

39.00

721.50

358.07

363.44

6.88

0.02

370.31

0.81

0.004

0.009

11,00

2,00

41.00

758.50

377.69

380.82

6.25

0.02

387.07

0.80

0.004

0.008

12,00

2,00

43.00

795.50

397.31

398.20

5.71

0.01

403.90

0.80

0.003

0.007

13,00

2,00

45.00

832.50

416.93

415.58

5.23

0.01

420.81

0.79

0.003

0.006

14,00

2,00

47.00

769.50

436.55

432.96

4.81

0.01

437.76

0.78

0.003

0.005

15,00

2,00

49.00

906.50

456.17

450.34

4.43

0.01

454.77

0.78

0.002

0.005

stot =

0,243

layers

z/z

z_fin

ef

(kPa)

Sed
(m)

Patterns of time settlement curves are computed by means of Terzaghis one dimensional
consolidation theory. Given the average degree of consolidation Um, the corresponding time factor Tv
is obtained as summarized in Fig.A.3.178:

118

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

T Um2
;

4
T 1,781 0,933log 100 Um (%)
Um 2

per Um 60%

(Terzaghi)

per Um 60%

Fig.A.3.17 Main results from Terzaghis solution of the one dimensional consolidation
problem (d in the figure is H in the text)

c t
H2

The end of consolidation time is strongly influenced by the assumed drainage length H. The selection
of the drainage length is based on the interpretation of CPTu tests of Fig. A.3.6 Results from
CPTu testingFig. A.3.6; H values are different for the two settlement calculation schemes: if the ten
per cent limitation is adopted, only 3 metres of clay is considered, so that 2H=3 m and the resulting
time-settlement plot is given in Fig.A.3.189. If the 10% limitation is removed, the drainage length is the
half of the maximum distance between two sandy layers, approximately 7 metres from Fig. A.3.6. For
this reason H= 3,5 m in the second scheme and the resulting time-settlement plot is given in Fig.A.3..
Adopting the limitation of 10% for the stress increment, the final settlement is Ed = (3,3 + 2,1) cm.
Therefore Ed Cd = 5 cm and the SLS requirement can be considered as satisfied.

Fig.A.3.189 Time settlement curve for the single footing scheme (H=1,5 m)

119

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fig.A.3.20 Time settlement curve for the whole footing scheme (H=3,5 m)

A.4. Worked example to accompany Chapter 4

This worked example illustrates the way in which a T-shaped wall may be designed according to
Eurocode 7. Two solutions are included one for Design Approach 1 (DA1) and the other for DA2*.
The design situation involves a T-shaped gravity wall with that is required to support granular fill. This
ground and the fill are both dry.

A.4.1. DESIGN SITUATION

Consider a T-shaped gravity wall (Figure A.4.1) with retained height H=6,0 m that is required to
3
support granular fill with characteristic weight density k =19 kN/m and drained strength parameters
k = 32,5 and c'k =0 kPa.
A variable surcharge pk=5 kPa acts behind the wall on ground that rises at an angle = 20 to the
horizontal.
The dimensions of the wall are as follows: overall breadth (assumed) B=3,9 m; base thickness
tb=0,8 m; toe width bt=0,95 m; thickness of wall stem ts=0,7 m. The weight density of reinforced
3
concrete is c,k=25 kN/m .
The properties of the ground beneath the wall are the same as the fill. This ground and the fill are
both dry.

Fig.A.4.1 T-shaped gravity wall

120

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Geometry
Width wall heel is:

bheel B bt ts 2,25m
Height of fill above wall heel is:

hf H bheel tan( ) 6,82m

Height of wall above wall heel including the thickness of base is:

Hheel hf tb 7,62m
Depth to base of footing is:

d tb 0,8m

A.4.2. T-SHAPED WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT

STATE GEO) - DESIGN APPROACH 1
Material properties
Partial factors
M1
1
1
from Set
:
and c

M2
1,25
1,25

Design angle of shearing resistance:

tan k 32,5
d atan

27
Design effective cohesion:
c 'd

c 'k 0
= kPa
c 0

Actions
Characteristic self-weight of wall (permanent action) is:
o

wall stem

Wstem,Gk c,k ts H 105kN/m

wall base

Wbase,Gk c,k tb B 78kN/m

Characteristic total self-weight of wall is:

Wwall ,Gk Wstem,Gk Wbase,Gk 183kN/m

Characteristic total self-weight of backfill is:

121

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Wfill ,Gk k bheel

H hf
274kN/m
2

Characteristic total self-weight of wall including backfill is then:

WGk Wwall ,Gk Wfill ,Gk 457kN/m

Characteristic surcharge (variable) is:

qQk pk 5kPa

QQk qQk bheel 11,3kN/m

Design active earth pressure coefficient (for calculating inclined thrust) is:
cos cos 2 cos 2


d
K a,d
2
2

cos( ) cos cos d

cos( ) 0,365

0,486

Equivalent coefficient for calculating horizontal thrust is:

0,343
Kah,d Ka,d cos( )

0,457

Partial factors
A1
1,35
1,5
from Set
: G
and Q
A2
1
1,3

Design thrust (inclined at angle to the horizontal) from earth pressure on back of virtual plane is:

1
271,4
2
Ea,Gd G Ka,d k Hheel
kN/m

2
268,2

from ground

20,8
from surcharge Ea,Qd Q Ka,d qQk Hheel
kN/m
24,1

total

292,2
Ea,d Ea,Gd Ea,Qd
kN/m
292,3

Horizontal component of design thrust is then:

274,6
HEd =Ea,d cos( )
kN/m
274,7

Vertical/normal component of design weight and thrust:

716,9
NEd GWGk Ea,d sin( )
kN/m
557

Moments about wall toe - bearing design situation

Design overturning moments (destabilizing) about wall toe:

122

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

1
285,7
from ground MGd Ea,Gd Hheel cos( ) Bsin( )
kNm/m
3
282,3

1
46,8
from surcharge MQd Ea,Qd Hheel cos( ) Bsin( )
kNm/m
3
54,1

332,5
total design destabilising moment is: Mdst ,d =MGd MQd
kNm/m
336,4

Design restoring moments (stabilizing) about wall toe:

o

from wall stem Mstem,Gd G,favWstem,Gk bt s 136,5kNm/m

2

from wall base Mbase,Gd G,favWbase,Gk

b
from backfill Mfill ,Gd G,fav k bheel H B heel
2

from surcharge MQd ,fav G,fav QQk

total design stabilising moment is: Mstb,d =Mstem,Gd Mbase,Gd Mfill ,Gd MQd ,fav 1068kNm/m

B
152,1kNm/m
2
bheel
hf H
2 B 3 766,9kNm/m

bheel
12,7kNm/m
2

Line of action of resultant force is a distance from the toe:

x

Mstb,d Mdst ,d
NEd

1,03
=
m
1,31

Eccentricity of actions from centre line of base is:

ed

0,92
B
x
m
2
0,64

Effective width of base is then:

2,05
B 'd =B 2ed
m
2,63

Bearing resistance
Design bearing capacity factors:
2
tan
24,6

Nq,d e d tan 45 d

2 13,2

30,1
N ,d 2 Nq,d 1 tan d

12,4

Shape factors (for an infinitely long footing): sq=1,0 and s = 1,0

Inclination factors: (using mB = 2 for an infinitely long footing)

123

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

HEd
iq 1

NEd Ac 'd cot(d )

mB

0,38
=

0,26

m 1

B
0,23
i i q mB

0,13

Partial factors
from Set R1: Rv = 1
Design bearing resistance (in terms of pressure) is:
o

from overburden

k dNq,d sq i q
qRvq,d
Rv

142,2

kPa
51,6

from body-mass

1 B 'd k N ,d s i 137,6
qRv ,d

kPa
Rv
2
40,4

total

279,8
qRv ,d =qRvq,d qRv ,d
kPa
92

Characteristic bearing resistance (in terms of force) is:

574
NRd (qRv ,d B 'd )
kN/m
242

A.4.3. VERIFICATIONS
Verification of resistance to sliding
Partial factors
from Set R1: Rh = 1
For cast-in-place concrete, interface friction angle is k=1 times the constant-volume angle of shearing
Assume cv,k =30
d kcv ,k 30

Design sliding resistance (drained), ignoring adhesion (as required by EN 1997-1 exp. 6.3a)
HRd

G,fav NEd tan(d )

Rh

'Degree of utilization'

413,9

kN/m
321,6

HEd 66
H
1,51
= % or 'Overdesign factor' ODF Rd =

HRd 85
HEd 1,17

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of bearing resistance

124

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Design bearing resistance is:
574,4
NRd
kN/m
241,8

Design bearing force is:

716,9
NEd
kN/m
557

'Degree of utilization'

NEd 125
NRd 0,8
=
=
% or 'Overdesign factor' ODF

NRd 230
NEd 0,43

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of resistance to toppling
Design de-stabilizing moment is:
332
MEd ,dst MGd MQd
kNm/m
336

Design stabilizing moment is (approximately):

MEd ,stb Mstb,d 1068kNm/m

'Degree of utilization'

MEd ,dst
MEd ,stb

M
31
3,21
% or 'Overdesign factor' ODF= Ed ,stb

MEd ,dst 3,17

31

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)

A.4.4. T-SHAPED WALL: VERIFICATION OF DRAINED STRENGTH (LIMIT

STATE GEO) - DESIGN APPROACH 2*
Material properties
Characteristic material properties are used throughout this calculation.
Actions
Characteristic self-weight of wall (permanent action) is:
o

wall stem

Wstem,Gk c,k ts H 105kN/m

wall base

Wbase,Gk c,k tb B 78kN/m

Characteristic total self-weight of wall is:

Wwall ,Gk Wstem,Gk Wbase,Gk 183kN/m

Characteristic total self-weight of backfill is:

Wfill ,Gk k bheel

H hf
274kN/m
2

125

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Characteristic total self-weight of wall including backfill is then:
WGk Wwall ,Gk Wfill ,Gk 457kN/m

Characteristic surcharge (variable) is:

qQk pk 5kPa

QQk qQk bheel 11,3kN/m

Design active earth pressure coefficient (for calculating inclined thrust) is:

K a,k

cos cos 2 cos 2

k

2
2

cos( ) cos cos k

cos( ) 0,365

Equivalent coefficient for calculating horizontal thrust is:

Kah,k Ka,k cos( ) 0,343

Characteristic inclined thrust (at angle to the horizontal) from earth pressure on back of virtual plane
is:

2
Ea,Gk Ka,k k Hheel
201kN/m
2

from ground

from surcharge Ea,Qk Ka,k qQk Hheel 13,9kN/m

total

Ea,k Ea,Gk Ea,Qk 214,9kN/m

Horizontal component of design thrust is then:

HEk =Ea,k cos( ) 202kN/m

Vertical/normal component of design weight and thrust:

NEk GWGk Ea,k sin( ) 530,5kN/m

Moments about wall toe - bearing design situation

Design overturning moments (destabilizing) about wall toe:
o

from ground

MGk Ea,Gk Hheel cos( ) Bsin( ) 211,6kNm/m

3

from surcharge

MQk Ea,Qk Hheel cos( ) Bsin( ) 31,2kNm/m

3

total design destabilising moment is:

Mdst ,k =MGk MQk 242,8kNm/m

Design restoring moments (stabilizing) about wall toe:

o

from wall stem Mstem,Gk Wstem,Gk bt s 136,5kNm/m

2

126

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

B
152,1kNm/m
2

from wall base Mbase,Gk Wbase,Gk

b
from backfill Mfill ,Gk k bheel H B heel
2

total design stabilising moment is: Mstb,k =Mstem,Gk Mbase,Gk Mfill ,Gk 1055,5kNm/m

bheel
hf H
2 B 3 766,9kNm/m

Line of action of resultant force is a distance from the toe:

x

Mstb,k Mdst ,k
NEk

=1,53m

Eccentricity of actions from centre line of base is:

ek

B
x 0,42m
2

Effective width of base is then:

B 'd =B 2ek 3,06m

Bearing resistance
Design bearing capacity factors:
tan k

Nq,k e

tan 45
24,6
2

N ,k 2 Nq,d 1 tan k 30,1

Shape factors (for an infinitely long footing): sq=1,0 and s = 1,0

Inclination factors: (using mB = 2 for an infinitely long footing)

HEk
iq 1

NEk Ac 'k cot(k )

mB

=0,38

mB 1

i i q mB 0,23
Characteristic bearing resistance (in terms of pressure) is:
o

from overburden

qRvq,k k dNq,k sq iq 143,3kPa

from body-mass

qRv ,k

total

qRv ,k =qRvq,k qRv ,k 351,1kPa

1
B ' k N ,d s i 207,8 kPa
2

Characteristic bearing resistance (in terms of force) is:

NRk qRv ,k B ' 1076kN/m

127

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

A.4.5. VERIFICATIONS
Verification of resistance to sliding
Partial factors from Set A1: G = 1,35; G,fav = 1 and Q = 1,5.
Design thrust (at angle to the horizontal) from earth pressure on back of virtual plane is:
Ea,Gd G Ea,Gk 271,4kN/m

from ground

from surcharge Ea,Qd Q Ea,Qk 20,8kN/m

total

Ea,d Ea,Gd Ea,Qd 292,2kN/m

Horizontal component of design thrust is then:

HEd =Ea,d cos( ) 274,6 kN/m

Vertical/normal component of design weight and thrust:

NEd GWGk Ea,d sin( ) 716,9kN/m

Partial factors
from Set R2: Rh = 1,1.
For cast-in-place concrete, interface friction angle is k=1 times the constant-volume angle of shearing
Assume cv,k =30
k kcv ,k 30

Design sliding resistance (drained), ignoring adhesion (as required by EN 1997-1 exp. 6.3a)
HRd

G,fav NEk tan(k )

Rh

'Degree of utilization'

278,4kN/m

H
HEd
=99% or 'Overdesign factor' ODF Rd =1,01
HEd
HRd

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of bearing resistance
Partial factors
from Set R2: Rv = 1,4.
Design bearing resistance is:

NRd

NRk
768,4kN/m
Rv

Design bearing force is:

NEd 716,9kN/m

128

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
'Degree of utilization'

N
NEd
=93% or 'Overdesign factor' ODF Rd =1,07
NEd
NRd

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of resistance to toppling
Design de-stabilizing moment is:
MEd ,dst GMGk QMQk 332kNm/m

Design stabilizing moment is (approximately):

MEd ,stb G,fav Mstb,k 1056kNm/m

'Degree of utilization'

MEd ,dst
MEd ,stb

31% or 'Overdesign factor' ODF=

MEd ,stb
MEd ,dst

3,17

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)

A.5. Worked example to accompany Chapter 5

A.5.1. APPLICATION OF STATISTICAL METHODS TO
CHARACTERISTIC VALUES OF GROUND PARAMETER

DETERMINE

The following example (see Fig.A.5.10) explains the application of EN 1997-1, paragraph (10) and the
NOTE. The ground has been investigated by 3 borings, where 11 samples have been taken from stiff
clay. These samples were tested in the laboratory to determine the strength of the ground. There is
some scatter in the undrained shear strength cu of the soil, but no trend to the strength with increasing
depth nor an apparent difference between the borings. So it can be assumed that the undrained shear
strength is normally distributed.
The first part of the NOTE to 2.4.5.2(10) refers to a situation where a cut is planned e.g. for a railway
line. Here the geotechnical designer has to verify the stability of the slope and as a first step he has to
select the characteristic value for the undrained shear strength cu. The potential slip surface lies in the
volume of ground of which several test results have been performed. So the characteristic value can
be determined as a cautious estimate of the mean value with a confidence level of 95%.
The second part of the NOTE refers to the situation where we have a footing, for which the designer
has to verify the ground bearing capacity. The footing only has a small zone of ground governing the
behaviour at the limit state. So this zone might be in an area, where the local strength might be lower.
In this case the characteristic value is a local low value (index: l,k), defined as a 5% fractile.

129

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fig.A.5.10 Examples of the selection of characteristic ground parameters mean value and
local values
The evaluation of the 11 tests gives a mean value of the undrained shear strength of cu,m = 79 kPa
with a coefficient of variation Vcu = 0,08. The characteristic values for the two situations are shown in
Table A.5.5. It can be seen that, in this case, the simple formula of Schneider (1999) gives the same
result as the refined statistical formula.
Table A.5.5 Statistical evaluation of test results

Global characteristic value

Local characteristic value

Equation

kn

cu,k (kPa)

cu,m,k = cu,m(1- kn,m Vcu)

0,55

75,5

cu,m,k = cu,m 0,5 scu

75,8

cu,l,k = cu,m(1- kn,l Vcu)

1,89

67,2

A.5.2. CHARACTERISTIC VALUES FOR BASE AND SHAFT RESISTANCE OF

PILE IN SAND
A building is to be supported on 450 mm diameter bored piles founded entirely in a medium dense to
dense sand spaced at 2 m centres. This is a small project for which there will be no load testing. It is
believed that settlement in service will not govern design. The sand is a Pleistocene fine and medium
sand covered by Holocene layers of loose sand, soft clay and peat; one CPT was carried out (see
Fig.A.5.11).

130

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fig.A.5.11 Ground conditions for the pile in sand

For the design of the piles use will be made of the provisions of EN 1997-1 given in 7.6.2.3 (8). The
characteristic values of the base resistance Rb;k and the shaft resistance Rs,k may be obtained by
calculating:
Rb;k = Abqb;k and Rs,k = As,iqs,i,k

(A.0)(7.9)

where Ab and As,i are the base area and the shaft areas in the various strata, qb;k and qs;i;k are
characteristic values of base resistance and shaft friction in the various strata, obtained from values of
ground parameters.
To determine qb;k and qs;i;k Tables D.3 and D.4 of Annex D in EN 1997-2 are used (see Table A.5.6
and

131

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Unit base resistance pb, in MPa, at average cone
penetration resistance qc (CPT) in MPa

Normalised settlement s/Ds;

s/Db

qc=10

qc=15

qc=20

qc=25

0,02

0,70

1,05

1,40

1,75

0,03

0,90

1,35

1,80

2,25

0,10(=sg)

2,00

3,00

3,50

4,00

NOTE Intermediate values may be interpolated linearly.

In the case of cast in-situ piles with pile base enlargement, the values shall be multiplied by 0,75.
s
is the normalised pile head settlement
Ds
is the diameter of the pile shaft
Db
is the diameter of the pile base
sg
is the ultimate settlement of pile head
Table A.5.7).
Table A.5.6. Unit base resistance pb of cast in-situ piles in coarse soil with little or no fines
Normalised settlement s/Ds;
s/Db

Unit base resistance pb, in MPa, at average cone

penetration resistance qc (CPT) in MPa
qc=10

qc=15

qc=20

qc=25

0,02

0,70

1,05

1,40

1,75

0,03

0,90

1,35

1,80

2,25

0,10(=sg)

2,00

3,00

3,50

4,00

NOTE Intermediate values may be interpolated linearly.

In the case of cast in-situ piles with pile base enlargement, the values shall be multiplied by 0,75.
s
is the normalised pile head settlement
Ds
is the diameter of the pile shaft
Db
is the diameter of the pile base
sg
is the ultimate settlement of pile head
Table A.5.7. Unit shaft resistance qs of cast in-situ piles in coarse soil with little or no fines
Average cone penetration resistance qc (CPT)
MPa

Unit shaft resistance ps

MPa

0,040

10

0,080

15

0,120

NOTE Intermediate values may be interpolated linearly

The dashed lines in Fig.A.5.11 show how the CPT was evaluated with respect to the cone resistance
qc which is the basis for establishing the base and shaft resistance of the piles. For the cone
resistance a mean value of qc = 2,5 MN/m was assumed up to NN 16,5 m and

Normalised settlement s/Ds;

Unit base resistance pb, in MPa, at average cone

penetration resistance qc (CPT) in MPa

s/Db

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
qc=10

qc=15

qc=20

qc=25

0,02

0,70

1,05

1,40

1,75

0,03

0,90

1,35

1,80

2,25

0,10(=sg)

2,00

3,00

3,50

4,00

NOTE Intermediate values may be interpolated linearly.

In the case of cast in-situ piles with pile base enlargement, the values shall be multiplied by 0,75.
s
is the normalised pile head settlement
Ds
is the diameter of the pile shaft
Db
is the diameter of the pile base
sg
is the ultimate settlement of pile head
Table A.5.7 then gives a value of qs,k = 0,02 MPa for the shaft resistance. For the base resistance a
low mean value of qc = 12,5 MN/m below NN was selected from NN 16,5 m. As settlement in
service will not govern design the values for a normalized pile settlement for sg = 0,10D from

Normalised settlement s/Ds;

Unit base resistance pb, in MPa, at average cone

penetration resistance qc (CPT) in MPa

s/Db
qc=10

qc=15

qc=20

qc=25

0,02

0,70

1,05

1,40

1,75

0,03

0,90

1,35

1,80

2,25

0,10(=sg)

2,00

3,00

3,50

4,00

NOTE Intermediate values may be interpolated linearly.

In the case of cast in-situ piles with pile base enlargement, the values shall be multiplied by 0,75.
s
is the normalised pile head settlement
Ds
is the diameter of the pile shaft
Db
is the diameter of the pile base
sg
is the ultimate settlement of pile head
Table A.5.7 was taken. Here local low value for the pile base will be relevant for design: qb,k (sg)= 2,5
MPa.

A.5.3. CHARACTERISTIC VALUES FOR BASE AND SHAFT RESISTANCE OF

PILE IN STIFF CLAY
In this example the same type of pile will be used as in the example with the piles in sand. The
settlement in service is limited to 20mm. The clay is an overconsolidated marine clay. There were
several different types of tests performed in the clay. In this example I will concentrate on the results
of UU-triaxial tests shown in Fig.A.5.12. The UU-tests give as results the undrained shear strength cu,
which are the basis for the characteristic values of the shaft und the base resistance of the piles.

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Fig.A.5.12. Undrained shear strength cu as results of UU triaxial tests with specimen from
samples of 6 borings
To evaluate the test results with respect to the base and shaft resistance of piles Tables B.4 and B.2
of Annex B in DIN 1054:2002 were used (see Table A.5.8 and Table A.5.9).
Table A.5.8 Unit shaft resistance qs,k of cast in situ piles in clay
Undrained shear strength cu,k
2
MN/m

Unit shift resistance qs,k

2
MN/m

0,025

0,025

0,10

0,040

0,20

0,060

Intermediate values may be interpolated linearly

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Table A.5.9 Unit base resistance qb,k of cast in situ piles in clay

Normalized pile
settlement
s/Ds bzw. s/Db

Unit base resistance qb,k

2
MN/m
Undrained shear strength cb,k
2
MN/m
0,10

0,20

0,02

0,35

0,90

0,03

0,45

1,10

0,10 (sg)

0,80

1,50

Intermediate values may be interpolated linearly

From Fig.A.5.12 it was assumed that, from +20,0 mOD to +5,0 mOD, the characteristic value of the
undrained shear strength cu increases linearly from 0 to cu,k = 180 kPa. Below +5,0 mOD a value of
cu,k = 180 kPa is assumed. Table A.5.8 then gives a linear increase of the shaft resistance from 0 to
qs,k = 0,056 MN/m and with Table A.5.9 a base resistance of qb,k = 0,97 MN/m assuming a settlement
of s=20mm 0,03Dpile=13,5 mm.

A.6. Worked example to accompany Chapter 6

The following worked examples illustrate different approaches to applying expressions (2.8) and (2.9)
of EN 1997-1 (Eqn.6.1, Eqn.6.2 and Eqn.6.3 in Chapter 6).

A.6.1. VERIFICATION AGAINST OF FAILURE OF UPLIFT

The following worked example illustrates different approaches to applying Eqn.6.1 (expression (2.8),
EN 1997-1) in the verification of uplift. Fig.A.6.1 shows the ground conditions and the cross-section of
an excavation, where the groundwater can rise to the ground-level. First the sheet pile walls are
placed, then the ground is excavated below the ground water, the struts are installed, the under-water
concrete slab is placed and the groundwater is pumped out of the excavation. For this situation the
excavation must have a sufficient safety against failure due to uplift. This situation is a transient
design situation during construction in which reduced safety factors may be used in Germany.

Fig.A.6.1 Cross-section and ground conditions for an excavation

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
In EN 1997-1 2.4.7.4, we find the following provisions for uplift:
(1)P Verification for uplift (UPL) shall be carried out by checking that the design value of the
combination of destabilising permanent and variable vertical actions (Vdst;d) is less than or equal to the
sum of the design value of the stabilising permanent vertical actions (G stb;d) and of the design value of
any additional resistance to uplift (Rd):
Vdst,d Gstb;d + Rd

(2.8)

where
Vdst,d = Gdst;d + Qdst;d
(2) Additional resistance to uplift may also be treated as a stabilising permanent vertical action
(Gstb;d).
The partial factors of safety used in Germany and Ireland are presented in Table A.10.1.
Table A.10.1 UPL partial factors and model factor used in Germany and Ireland
Factor

EN 1997-1

German NA
and DIN 1054

Irish NA

Permanent unfavourable action

G;dst

1,0

1,0

1,0

Permanent favourable action

G;stb

0,9

0,9

0,9

Variable unfavourable action

Q;dst

1,5

1,5

1,5

Angle of shearing resistance

1,25

1,25

1,25

Pile tensile resistance

s;t

1,4

1,4

2,0

0,8

Factor type

Model factor on wall resistance

In a first step a UPL-verification with the weight of the structure only is performed.
Self-weight base-slab:
concrete = 24,0 kN/m

Base-slab:

d = 1,0 m,

Base-area:

A = ab = 10,05,0 = 50,00 m

Gconcrete Adconcrete 50 1,0 24,0 1200 kN.

Self weight sheet-pile-wall:

dSPW 0,03 m;
Weight per unit area:
0

steel 78,0 kN / m
g = 78,00,03 = 2,34 kN/m,

GSPW LSPW 2(a b)g 15210 5 2,34 1053 kN

Total characteristic weight of the structure:

Gk Gconcrete GSPW 1200 1053 2253 kN

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Water-pressure:

Uk = Hwba = 5000 kN

Inserting the values in Eqn.6.1 (eq. (2.8), EN 1997-1) with Rd = 0:

Vdst ,d Uk G,dst Gstb;d Gk G,sbt

50001,00 5000 kN 22530,90 2028 kN

Hence the requirement is not fulfilled.
In the next step an UPL-verification including wall frictional resistance R is performed. The
characteristic value of the wall frictional resistance R k will be treated as a stabilising action determined
as the vertical component of the characteristic active earth pressure reduced by a model factor of
= 0,80:
Rk Eah,k tan a

The wall friction angle is assumed to be a = 2/3 k. For horizontal surface area and vertical wall the
earth pressure coefficient is Kah,k = 0,25 (from Figure C 1.1 of EN 1997-1 for k = 32,5) and
tan a = 0,397. The earth pressure is assumed to act only on the outer surface of the sheet pile wall:

Eah,k 2 a + b 0,5 L2SPW Kah,k 2 10 5 0,5 15 10 0,25 8437 kN

Rk = Eah,k tan a = 84370,3970,8 = 2680 kN
Eqn.6.1 (Eq. (2.8) of EN 1997-1) requires:

Vdst ,d Ud 5000 Gk Rk G,stb

2253 2680 0,90

4400 kN

Hence UPL requirement is not satisfied. So additional tension piles are required.
EN 1997-1 states in 7.6.3 (3)P For tension piles, two failure mechanisms shall be considered:
o

pull-out of the piles from the ground mass;

uplift of the structure and the block of ground containing the piles.

The design value of tensile action F t,d from the structure on the tension-pile is determined assuming
the ultimate limit state GEO is fulfilled using Design Approach 2 (DA2):
Ft ,d Ud (Rd Gd )

Ft ,d Uk G

Rk

Gk G,inf

Where
G = 1,20
for unfavourable actions (according to DIN 1054 for transient situations: construction
period)
G,inf = 1,00 for favourable effects of actions.
Inserting the values gives:

Ft ,d 5000 1,20 2253 2680 1,00 6000 4933 1067 kN

For tension piles driven piles are used with a diameter of D = 0,5 m and a shaft friction of
qs,k = 35 kN/m. The partial factor for these piles is p = 1,40. This gives a design value Rt,d for the pile
resistance of the total length Ltot of the piles:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Rt ,d Ltot qs,k D / P 39,25 Ltot

With eq. (7.12) of EN 1997-1:

Ft ,d Rt ,d

1067 39,25 Ltot

Ltot 27,2 m
Three piles with a length of 10 m are selected, their arrangement below the concrete slab is shown in
Fig.A.6.2.

Fig.A.6.2 Arrangement of the tension piles below the concrete slab

For the verification against uplift of structure plus the ground block containing the piles the situation of
Fig.A.13.3 is assumed, where Eqn.6.1 (eq. (2.8), EN1997-1) now includes the design value of the
weight Gstb,d of the ground block.

Fig.A.13.3 Assumption for the ground block containing the piles

For the ground block DIN 1054 gives the following formula for the volume of a prism shown in Fig.A.:

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Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Gsoil ,k n la l b L 1 3 la2 l b2 cot '

Where:
n: number of piles,
L: length of piles
la = 5,0 m greater grid distance piles,
lb = 3,33 m smaller grid distance piles,
= 10,0 kN/m submerged weight soil
= 0,80 model factor for the weight

Fig.A.6.4 Assumption for the ground block containing the piles

Inserting the values for the ground block:

Gsoil ,k 3 (5,0 3,3 (10 1/ 3 5,0 3,33 cot 32,5)) 8,0 10 2740kN
Inserting the values in the extended Eqn.6.1 (eq. (2.8), EN1997-1):
Uk G,dst

Rk Gsoil ,k G,stb

5000 6906 kN
Hence the requirement for uplift is fulfilled with the tension piles.
Irish verification of uplift failure is carried out either by treating the side-wall force, R as stabilising
resistance or, to be conservative and since it may be small due to soil disturbance, by ignoring it.
It should be noted that care is needed when treating R as a resistance and applying to obtain Rd.
o
This is because if k,inf = 32,5 is used, i.e. the inferior characteristic value, and the UPL factor
o
o
= 1,25 from Table A.10.1 is applied to tan(k,inf) to obtain d = 27,0 so that d = 2/3d = 18,0
giving
Ka;d
=
0,31,
the
design
wall
frictional
resistance
Rd=Eah,d tand=
2
2(10+5)15 0,5100,310,325=3400 kN, which is greater than the characteristic value calculated
using the values given above, i.e. Rk = Eah,k tank = 84370,397 = 3349 kN, so that this provides no
margin of safety, which is not acceptable.

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Hence a superior characteristic value k,sup needs to be used. This is obtained, after Bond and Harris
o
o
(2008), by assuming a normal distribution for and a standard deviation of 3 so that k,sup = 32,5 +
o
21,6243,0=42,2 . Then applying the partial factor of 1,25 as a multiplier to tank,sup gives
o
d,sup=48,6 and hence an Rd value of 2465 kN with a margin of safety of 1,13 on the characteristic
value.
Using the Eqn.6.1 (eq. (2.8), EN 1997-1):

Ud Gd Rd
Uk G,dst Gk G,stb Rd

Hence using the characteristic actions given above and the factors in 2 gives:

5000 1,00 5000 > 2253 0,90 2465 4493kN

Hence, treating the wall force as a resistance, the ULP requirement is not satisfied and tensile piles
are required.
The Irish verification for the situation with tension piles for GEO using Design Approach 1 involves
treating the side wall force as a resistance, as in the UPL analysis above. The superior k value,
o
42,2 , is used. For DA1.C1, = 1,0 and hence Rd = 2781 kN while for DA1.C2, = 1,25 and hence
Rd = 2465 kN.
Using the eq. (2.5) from EN1997-1 and the symbols defined above:

Ed Rd
Ed Uk G Gk G,inf 5000G 2253G;inf

Rt ,d Rt ,k / s;t Rd Ltot qs,k D / s;t Rd Ltot 350,5 / s;t Rd Ltot 54,98 / s;t Rd

Hence substituting for Ed and Rd in eq. (2.5) from EN 1997-1 the length of the piles for stability is
given by the equation:
Ltot s;t (5000G 2253G;inf Rd ) / 54,98

Substituting the appropriate partial factor values and Rd values in this equation gives the required
piles lengths:
DA1.C1:

Ltot 1,25 5000 1,35 2253 1,0 2781 / 54,98 39,0m

DA1.C2:

Ltot 1,6 5000 1,0 2253 1,0 2465 / 54,98 8,2m

Hence design length is the larger of DA1.C1 and DA1.C2, which 39,0 m and therefore 4 piles, each
10 m long are required. This is more than for the DA2 design given above, which uses a reduced G
value of 1,2 for transient situations during the construction period.
It should be noted that due to the large balancing forces, DA1.C1 controls the design in this example,
not DA1.C2 as is usually the case.

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A.6.2. VERIFICATION AGAINST FAILURE OF HYDRAULIC HEAVE

For the verification against hydraulic heave EN 1997-1 the following requirement is given in
EN 1997-1 2.4.7.5: (1)P When considering a limit state of failure due to heave by seepage of water
in the ground (HYD, see 10.3), it shall be verified, for every relevant soil column, that the design value
of the destabilising total pore water pressure (udst;d ) at the bottom of the column, or the design value
of the seepage force (Sdst;d) in the column is less than or equal to the stabilising total vertical stress
(stb;d) at the bottom of the column, or the submerged weight (Gstb;d) of the same column:
udst;d stb;d

(2.9a)

Sdst;d Gstb;d

(2.9b)

For the situation in thin column is assumed for which EAU give a formula for the hydraulic head hr
above the ground level of the excavation at the toe of the wall. The embedment length of the wall has
previously been determined using ULS-design.

Fig.A.6.5 Geometry of the sheet pile wall and the hydraulic conditions
With the embedment length t and the hydraulic head hr the hydraulic gradient i in the infinitesimal thin
column can be computed. This gives the seepage force:

Sk iwV 0,32 10V

where V is the volume of the column. The characteristic value of the effective weight Gk of the soil
volume is:

Gk V 10V
With partial factors of G,dst = 1,35 and G,stb = 0,9 Eqn.6.3 (eq. (2.9b), EN 1997-1) becomes:
Sk G,dst Gk G,stb

0,32 10 1,35 4,32 10 0,90 9,0

Hence there is sufficient safety using Eqn.6.3 (eq. (2.9b), EN 1997-1)
Using Eqn.6.2 (eq. (2.9a), EN 1997-1) the following values are needed:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

uk

hr w 6,60 2,13 10 87,3 kN/m

sstb;k t (w ) 6,60 20 132kN/m

uk G,dst sstb;k G,stb

87,3 1,35 132 0,90
117,9 118,8

Also Eqn.6.2 (eq. (2.9a), EN1997-1) gives sufficient safety against hydraulic heave, however, the
margin of safety is clearly smaller.

A.7. Worked example to accompany Chapter 7

This worked example illustrates the way in which an anchored sheet pile wall may be designed
according to Eurocode 7. Two solutions are included one for Design Approach 1 (DA1) and the
other for DA2*.
The design situation involves a sheet pile wall that retains dense sand. The ground behind the wall is
horizontal. The sheet pile is a Z section. An anchor will be installed at an angle to the horizontal to
stabilize the wall.

A.7.1. DESIGN SITUATION

Consider a sheet pile wall that retains Hnom = 8,0 m of dense sand with characteristic weight density
3
k =20 kN/m and drained angle of shearing resistance k=38. The ground behind the wall is
horizontal and subject to a blanket surcharge (representing traffic loading) - but, for simplicity, we will
assume qk=0kPa. The ground is dry.
The sheet pile is a Z-section with flange thickness tf =8,5 mm, web thickness tw = 8,5 mm, web height
3
h=302 mm, clutch-to-clutch breadth b=670 mm, elastic section modulus Wel=1400 cm /m, and
characteristic yield strength fyk =355 MPa.
An anchor with ultimate design resistance of Ra,d=130 kN/m will be installed at an angle =30 to the
horizontal to stabilize the wall (Figure A.7.1).

Fig.A.7.1 Anchored sheet pile wall

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Geometry
Allowing for an unplanned excavation in ULS verifications, the design retained height of the wall is:

Hd Hnom min(0,1Hnom ;0,5m) 8,5 m

A.7.2. ANCHORED SHEET PILE WALL: VERIFICATION OF

STRENGTH (LIMIT STATE GEO) - DESIGN APPROACH 1

DRAINED

Material properties
Partial factors
M1
1
from Set
:

M
2

1,25

Design angle of shearing resistance:

tan k 38
d atan

32
Characteristic value of soil's constant-volume angle of shearing resistance is assumed to be:
cv ,k 30

Design value of soil's constant-volume angle of shearing resistance is:

cv ,d min(d , cv ,k ) 30

Angle of wall friction is k = 0.67 times the soil's constant-volume angle of shearing resistance:
d kcv ,d 20

Earth pressure coefficients from Annex C of EN 1997-1:

0,21
Ka,h = Ka (d ; d ;0; 0)

0,26
7,39
K p,h = K p (d ; d ;0; 0)

5,18

Actions
Partial factors
A1
1,35
1,5
from Set
: G
; G,fav 1 and Q
A
2
1

1,3

'Single source principle' allows

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
1,35
G,fav =G

Ratio of variable and permanent partial factors is:

Q /G

Q 1,11
=

G 1,3

Assume a depth of embedment

1,11
d
m
2,01

Overturning moment about anchor is:

1
1
1790
MEd ,dst G Ka,h k (Hd d )3 Q /G qk (Hd d )2
kNm/m
2
3
2040

Restoring moment about anchor is:

1
2 1789

MEd ,stb =G,fav K p,h k d 2 Hd + d

kNm/m
3 2061

Out of balance moment is:

MEd ,dst MEd ,stb
MEd ,stb

0,1
%
1

Active thrust on retained side of wall is:

1
272
Pa,Ed =G Ka,h k (Hd d )2 Q /G qk (Hd d )
kN/m
2
291

Passive thrust on restraining side of wall is:

1
190
Pp,Ed G,fav K p,h k d 2
kN/m
2
209

Hence net thrust is:

81,9
PEd Pa,Ed Pp,Ed
kN/m
81,7

Hence axial force transferred to the anchor is:

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fa,Ed =

max PEd 1; PEd 2

cos

94,6kN/m

The depth of zero shear force in the retaining wall can be found (approximately) from:

5,42

m
5,57

PEd

G K a ,h

1
k
2

... and checked for accuracy using:

Vz,Ed =PEd - G Ka,h k z 2 Q /G qk z

2

0
= kN/m
0

Hence the maximum bending moment in the wall is:

1
1

MEd =PEd z G Ka,h k z3 + Q /G qk z 2

6
2

296
=
kNm/m
303

Maximum bending moment from either combination is:

MEd max MEd1;MEd 2 303kNm/m

Maximum shear force in the wall is:

VEd = max PEd1;PEd2 81,9kN/m

A.7.3. VERIFICATIONS
Verification of resistance to overturning
'Degree of utilization'

MEd ,dst
MEd ,stb

MEd ,stb 1
100

% or 'Overdesign factor' ODF=

MEd ,dst 1,01

99

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of bending resistance
Partial factor on yield strength of steel is

M0 = 1,0 (from EN 1993-1-1)

Factor for reduced shear force in interlocks

B = 1,0

Design bending resistance of sheet pile section is:

Mc,Rd

BWel fyk
M 0

497kNm/m

'Degree of utilization'

M
MEd
61% or 'Overdesign factor' ODF= c,Rd 1,64
MEd
Mc,Rd

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A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of shear resistance
Projected shear area is:
Av

tw (h tf )
3724 mm2 /m
b

Design shear resistance of sheet pile section is:

Vpl ,Rd

Av fyk
3 M 0

763,2kNm

'Degree of utilization'

Vpl ,Rd
VEd
9,3
11% or 'Overdesign factor' ODF=
VEd
Vpl ,Rd

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of resistance to anchor pull-out
Design pull-out resistance of anchor is:
Fa,Rd =Ra,d =130kN/m

'Degree of utilization'

Fa,Ed
Fa,Rd

73% or 'Overdesign factor' ODF=

Fa,Rd
Fa,Ed

1,37 .

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)

A.7.4. ANCHORED SHEET PILE WALL: VERIFICATION OF

STRENGTH (LIMIT STATE GEO) - DESIGN APPROACH 2*

DRAINED

Material properties
Partial factors
from Set M1: = 1
Characteristic angle of shearing resistance:
k = 38,0
Characteristic value of soil's constant-volume angle of shearing resistance is assumed to be:
cv,k = 30
Angle of wall friction is k=0,67 times the soil's constant-volume angle of shearing resistance:
k=kcv,k = 20
Earth pressure coefficients from Annex C of EN 1997-1:

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Ka,h = Ka (d ; d ;0;0) 0,21

K p,h = K p (d ; d ;0;0) 7,39
Actions
Partial factors
from Set A1: G =1,35; G,fav =1 and Q=1,5
Partial factor
from Set R2: Re =1,4
Ratio of variable and permanent partial factors is:
Q /G

Q
G

1,11

Assume a depth of embedment d=2,05 m

Overturning moment about anchor is:

1
1

MEd ,dst G Ka,h k (Hd d )3 Q /G qk (Hd d )2 2180kNm/m

3
2

Restoring moment about anchor is:

1
2
2
G,fav K p,h k d Hd + d
3

2
MEd ,stb =
2188kNm/m

Re

Out of balance moment is:

MEd ,dst MEd ,stb
MEd ,stb

0,4%

Active thrust on retained side of wall is:

Pa,Ed =G Ka,h k (Hd d )2 Q /G qk (Hd d ) 310kN/m

2

Passive thrust on restraining side of wall is:

Pp,Ed

1
2
G,fav K p,h 2 k d

222kN/m

Re

Hence net thrust is:

PEd Pa,Ed Pp,Ed 88,2kN/m

147

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Hence axial force transferred to the anchor is:

Fa,Ed =

PEd
101,9kN/m
cos

The depth of zero shear force in the retaining wall can be found (approximately) from:

PEd

G K a ,h

5,63m

1
k
2

... and checked for accuracy using:

Vz,Ed =PEd - G Ka,h k z 2 Q /G qk z =0kN/m

2

Hence the maximum bending moment in the wall is:

1
1

MEd =PEd z G Ka,h k z3 + Q /G qk z 2 =331kNm/m

6
2

Maximum shear force in the wall is:

VEd = PEd 88,2kN/m

A.7.5. VERIFICATIONS
Verification of resistance to overturning
'Degree of utilization'

MEd ,dst
MEd ,stb

100% or 'Overdesign factor' ODF=

MEd ,stb
MEd ,dst

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of bending resistance
Partial factor on yield strength of steel is

M0 =1,0 (from EN 1993-1-1)

Factor for reduced shear force in interlocks

B = 1,0

Design bending resistance of sheet pile section is:

Mc,Rd

BWel fyk
M 0

497kNm/m

'Degree of utilization'

M
MEd
67% or 'Overdesign factor' ODF= c,Rd 1,5
MEd
Mc,Rd

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of shear resistance
Projected shear area is:

148

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Av

tw (h tf )
3724 mm2 /m
b

Design shear resistance of sheet pile section is:

Vpl ,Rd

Av fyk
3 M 0

763,2kNm

'Degree of utilization'

Vpl ,Rd
VEd
8,7
12% or 'Overdesign factor' ODF=
VEd
Vpl ,Rd

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)
Verification of resistance to anchor pull-out
Design pull-out resistance of anchor is:
Fa,Rd =Ra,d =130kN/m

'Degree of utilization'

Fa,Ed
Fa,Rd

78% or 'Overdesign factor' ODF=

Fa,Rd
Fa,Ed

1,28 .

The design is unacceptable if the degree of utilization is > 100% (or overdesign factor is < 1)

A.8. Worked examples to accompany Chapter 8

A.8.1. PILE DESIGNED FROM STATIC LOAD TEST RESULTS
This worked example illustrates the design of a bored pile from static load test results using Design
Approaches 1 and 2 and the recommended partial factor values.
Design situation
Piles are required to support the following loads from a building:
o

Characteristic permanent vertical load

Gk = 6,0 MN

Characteristic variable vertical load

Qk = 3,2 MN

The design involves determining the number of piles to support the building. The number of piles is to
be determined on the basis of static pile load tests.
Geometry
It has been decided to use bored piles, 1,2 m in diameter and 15 m long.
Measured pile resistance
Static pile load tests have been performed on site on four piles of the same diameter and length as
the chosen piles.
The results of the load-settlement curves are plotted in the figure opposite.

149

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
In accordance with 7.6.1.1(3), settlement of the pile top equal to 10% of the pile base diameter
3
sg = (10/100)1,210 = 120 mm has been adopted as the "failure" criterion for the piles.
From the load-settlement graphs for each pile (Figure A.8.1) this gives:
o

Pile 1

Rm = 2,14 MN

Pile 2

Rm = 1,96 MN

Pile 3

Rm = 1,73 MN

Pile 4

Rm = 2,33 MN

Hence the mean and minimum measured pile resistances are:

(Rm)mean = 2,04 MN
(Rm)min = 1,73 MN

Fig.A.8.1 Load-settlement graphs

Characteristic resistance
The characteristic pile resistance is obtained by dividing the mean and minimum measured pile
resistances by the correlation factors 1 and 2 and choosing the minimum value.
For four load tests, recommended values are 1 =1,1 and 2 = 1,0
Hence the characteristic pile resistance
2,04 1,73
Rc;k min
;
min1,85;1,73 1,73MN
1,1 1,0

150

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
A.8.1.1. Design Approach 1
Combinations of sets of partial factors
DA1.C1:

A1 + M1 + R1

DA1.C2:

A2 + M1 + R4

Design actions
DA1.C1

Fc;d GGk QQk 1,356,0 1,53,2 12,9 MN

DA1.C2

Fc;d GGk QQk 1,0 6,0 1,3 3,2 10,2 MN

Characteristic resistances
DA1.C1

Rc;d Rc;k / t 1,73 / 1,15 1,50 MN

DA1.C2

Rc;d Rc;k / t 1,73 / 1,5 1,15 MN

Design equation
Fc;d Rc;d

Hence equating design actions and design resistances for n piles:

DA1.C1

12,9 1,50n

n 12,9 / 1,5

DA1.C2

10,2 1,15n

n 10,2 / 1,15

n 8,6 piles
n 8,9 piles

Design number of piles

Hence DA1.C2 controls the DA1 design and the number of piles required is 9.
A.8.1.2. Design Approach 2
Combinations of set of partial factors
DA2 A1 + M1 + R2
Design actions
DA2

Fc;d G Gk QQk 1,35 6,0 1,5 3,2 12,9 MN

Design resistances
DA2

Rc;d Rc;k / t 1,73 / 1,1=1,57 MN

Design equation

151

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Fc;d Rc;d

Hence equating design actions and design resistances:

DA2 12,9 1,57 n

n 12,9 / 1,57

n 8,2 piles

Design number of piles

Hence using, the DA2, the number of piles required is 9.
A.8.1.3. Design Approach 3
Combinations of sets of partial factors
DA3: A1 (on structural actions) or A2(on geotechnical actions) + M2 + R3
DA3 not to be used
Since the R3 recommended partial resistance factors used in DA3 are all equal to 1,0, no safety
margin is provided if DA3 is used to calculated the design pile resistance from pile load tests and
therefore piles should not be designed using DA3 and pile load tests unless the resistance factors are
increased.
A.8.1.4. Conclusions from Example 1
The same pile design length, 21m is required for both DA1 and DA2
Since the partial resistance factors are 1,0 for DA3, this Design Approach should not be used for the
design of piles from pile load tests unless the resistance factors are increased.

A.1.1. PILE FOUNDATION DESIGNED FROM SOIL TEST PROFILE

This worked example illustrates the design of a bored pile from a soil test profile obtained from a CPT
test using Design Approaches 1 and 2.
Design situation
The piles for a building are each required to support the following loads:
o

Characteristic permanent vertical load

Gk = 300 kN

Characteristic variable vertical load

Qk = 150 kN

The ground consists of dense sand beneath loose sand with soft clay and peat to 16,5m. One CPT
test profile is available. The pile foundation design involves determining the design length, L of the
piles.
Geometry
It has been decided to use bored piles with a diameter D = 0,45m.
Material properties
1 CPT was carried out and the results are shown in Figure A.8.2.

152

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

Fig.A.8.2 CPT results

Soil has an upper 11 m layer of loose sand, soft clay and some peat over 5,5 m of clay with peat
seams.
o

In the upper layer:

cautious average qc = 2,5 MPa

A stronger lower layer of medium to dense sand starts at depth of 16,5m

o

In the lower layer:

cautious average qc = 12,5 MPa

Assume the soil above 16,5 m provides no shaft resistance

The pile base and shaft resistances are calculated using Table A.8.1 and Table A.8.2 (Tables D.3 and
D.4 of EN 1997-2) and, for simplicity, relating the single cautious average qc value in lower layer of
stronger soil to the unit base and shaft resistances, pb and ps.
Table A.8.1 Unit base resistance pb of cast in-situ piles in coarse soil with little or no fines
Normalised settlement s/Ds;
s/Db

Unit base resistance pb, in MPa,

at average cone penetration resistance
qc (CPT) in MPa
qc = 10

qc = 15

qc = 20

qc = 25

0,02

0,70

1,05

1,40

1,75

0,03

0,90

1,35

1,80

2,25

0,10 (= sg)

2,00

3,00

3,50

4,00

NOTE Intermediate values may be interpolated linearly. In the case of cast in-situ piles with pile
base enlargement, the values shall be multiplied by 0,75.
s
is the normalised pile head settlement
Ds
is the diameter of the pile shaft
Db
is the diameter of the pile base
sg
is the ultimate settlement of pile head

153

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Table A.8.2 Unit shaft resistance ps of cast in-situ piles in coarse soil with little or no fines
Average cone penetration resistance qc (CPT)
MPa

Unit shaft resistance ps

MPa

0,040

10

0,080

> 15

0,120

NOTE Intermediate values may be interpolated linearly

Assume the ULS settlement of the pile head, sg so that the normalised settlement is 0,1.
Interpret linearly between relevant qc values to obtain pb and ps from these tables:

pb 2,5 MPa

ps 0,1 MPa
Characteristic pile resistance
o

Pile base cross sectional area:

Ab 0,452 / 4 0,159 m2

Pile shaft area per metre length:

As 0,45 1,414 m2 /m

Length of pile in lower stronger layer providing shaft resistance is Ls.

Calculated compressive pile resistance for the one profile of test results:

Rc;cal = Rb;cal Rs;cal Ab pb As Ls ps 0,159 2,5 1,414 Ls 0,1 103 kN

Rc;cal 398 141 Ls kN

Hence, applying the recommended correlation factors 3 and 4, which are both the same and equal to
1,4 for one profile of test results because the mean and minimum calculated resistances are the same
so that 3 and 4 = = 1,4, and the characteristic base and shaft compressive pile resistances are:
Rb;k Rb;cal / 398 / 1,4 284kN
Rs;k Rs;cal / 141 Ls / 1,4 101 Ls

A.8.1.5. Design Approach 1

Design actions
DA1.C1

Fc;d G Gk Q Qk 1,35 300 1,5 150 630 kN

DA1.C2

Fc;d G Gk QQk 1,0 300 1,3 150 495 kN

Design resistances
DA1.C1

Rc;d Rb;k / b Rs;k / s 284 / 1,25 101 Ls / 1,0

154

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
DA1.C2

Rc;d Rb;k / b Rs;k / s 284 / 1,6 101 Ls / 1,3

Design equation
Fc,d Rc,d

Hence equating design actions and design resistances:

DA1.C1

630 284 / 1,25 101 Ls / 1,0

Ls 3,99 m

DA1.C2

495 284 / 1,6 101 Ls / 1,3

Ls 4,08 m

Design pile length

Hence DA1.C2 controls the DA1 design and the DA1 design pile length L=16,5+Ls=21 m.
A.8.1.6. Design Approach 2
Design actions
DA2

Fc;d G Gk QQk 1,35 300 1,5 150 630 kN

Design resistances
DA2

Rc;d Rb;k / b Rs;k / s 284 / 1,1 101 Ls / 1,1

Design equation
Fc,d Rc,d

Hence equating design actions and design resistances:

DA2

630 284 / 1,1 101 Ls / 1,1

Ls 4,05 m

Design pile length

Hence the DA2 design pile length L=16,5+Ls=21 m.
A.8.1.7. Design Approach 3
As the R3 recommended partial resistance factors used in DA3 are equal to 1,0, no safety margin is
provided if these are used in DA3 to calculate the design pile resistance from a CPT test profile.
Hence, piles should not be designed from CPT test profiles using DA3 unless a model factor is
applied to increase the partial resistance factors
A.8.1.8. Conclusions from Example 2
The same design pile length, 21 m is required for both DA1 and DA2
Since the recommended partial resistance factors are 1,0 for DA3, this Design Approach should not
be used for the design of piles from profiles of ground test results unless the partial resistance factors
are increased.

155

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr

A.8.2. PILE FOUNDATION DESIGNED FROM SOIL PARAMETERS

This worked example illustrates the design of a driven pile in Dublin Boulder Clay from soil parameter
values using Design Approaches 1, 2 and 3 and using the Irish and German National Annexes.
Design situation
The piles for a proposed building in Dublin are each required to support the following loads:
o

Characteristic permanent vertical load

Gk = 600 kN

Characteristic variable vertical load

Qk = 300 kN

The ground consists of about 3m Brown Dublin Boulder Clay over Black Dublin Boulder Clay to great
depth. A large number of SPT results are available.
The pile foundation design involves determining the design length, L of the piles.
Geometry
It has been decided to use driven piles with a diameter D = 0,45 m.
Material properties
Figure A.8.3 shows tests results of SPT N values plotted against depth. Shaft resistance in Brown
Dublin Boulder Clay is ignored.

Fig.A.8.3 SPT N values versus depth

The average N value in Black Dublin Boulder Clay:
Nav = 57

156

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
A cautious average N value:
Nav,cau = 45
Plasticity Index of the Dublin Boulder Clay:
PI = IP = 14%

Fig.A.8.4 f1 vs. PI from Stroud and Butler

From Figure A.8.4.:
Adopt f1 = 6
Hence the cautious undrained shear strength:
cu = f1N = 270 kPa
Pile resistances
Pile base cross-sectional area:
Ab D2 / 4 0,452 / 4 0,159 m2

If length of pile in Black Dublin Boulder Clay providing shaft resistance is Ls, then pile shaft area is:
As DLs 0,45 Ls 1,414Ls m2

Characteristic unit pile base resistance:

qb;k Nq cu 9 270 2430

Characteristic unit shaft resistance:

qs;k cu 0,4 270 108

157

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Hence characteristic base resistance:
Rb;k Ab qb;k 0,159 2430 386 kN

Characteristic shaft resistance:

Rs;k As qs;k 1,414 Ls 0,4 270 153Ls

A.8.2.1. Design Approach 1

Since the building is being constructed in Dublin, the Irish NA must be used.
The Irish NA requires that the pile partial resistance factors are increased by a model factor of 1,75.
Design actions
DA1.C1

Fc;d GGk QQk 1,35 600 1,5 300 1260 kN

DA1.C12

Fc;d GGk QQk 1,0 600 1,3 300 990 kN

Design resistances
DA1.C1

Rc;d

DA1.C2

Rc;d

Rb;k
bx R;d
Rb;k
bx R;d

Rs;k
sx R;d
Rs;k
sx R;d

153 Ls
386

221 87,4Ls kN
1,0 1,75 1,0 1,75

153 Ls
386

170 67,3Ls kN
1,3 1,75 1,3 1,75

Design equation
Fc,d Rc,d

Hence equating design actions and design resistances:

DA1.C1

1260 221 87,4 Ls

Ls 11,9 m

DA1.C2

990 170 67,3 Ls

Ls 12,2 m

Design pile length

Hence DA1.C2 controls the DA1 design and the DA1 design pile length L 3 Ls 15.5 m
A.8.2.2. Design Approach 2
As in the case of Design Approach 1, the Irish NA requires the pile partial resistance factors to be
increased by a model factor of 1,75.
Design actions
DA2

Fc;d GGk QQk 1,35 600 1,5 300 1260 kN

158

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
Design resistances
DA2

Rc;d

Rb;k
bx R;d

Rs;k
sx R;d

153 Ls
386

201 79,5Ls kN
1,1 1,75 1,1 1,75

Design equation
Fc,d Rc,d

Hence equating design actions and design resistances:

DA2

1260 201 79,5 Ls

Ls 13,3 m

Design pile length

Hence the DA2 design pile length L 3,0 Ls 16,5 m .
A.8.2.3. Design Approach 3
In DA3, the partial resistance factors are all unity, so the Irish NA requirement to increase the pile
partial resistance factors by a model factor of 1,75 is not relevant. The pile design resistances are
obtained by applying partial material factors to suitably cautious characteristic soil parameter values. It
is assumed that the characteristic undrained strength is the value obtained from the cautious average
N value = 45.
Design actions
DA3

Fc,d GGk QQk 1,35 600 1,5 300 1260 kN

Design resistances

Rc;d Rb;d Rs;d Ab qb;d As qs;d

DA3

Ab Nq cu;k / cu

DLs 0, 4cu;k / cu
R;d s

0,159 9 270 / 1,4 1,414 Ls 0,4 270 / 1, 4

158 62,3Ls
1,75 1,0
1,75 1, 0

Design equation
Fc;d Rc;d

Hence equating design actions and design resistances:

DA3

R;d b

1260 158 62,3 Ls

Ls 17,7 m

Design pile length

Hence DA3 design pile length L 3 Ls 21 m

159

Worked examples
A.J.Bond, B.Schuppener, G.Scarpelli, T.L.L.Orr
A.8.2.4. Conclusions from Example 3
o

The design pile lengths obtained from ground strength parameters using the alternative
procedure and the model factor in the Irish National Annex are:
DA1 L = 15,5 m
DA2 L = 16,5 m
DA3 L = 21,0 m

Application of the model factor of 1,75 as well as the material factor of 1,4 to obtain the design
resistance when using DA3, results in DA3 providing a longer design pile length and hence
the least economical Design Approach in Ireland

If the building were to be constructed in Germany, the partial recommended in the German
NA have been increased by a model factor of 1,27, compared to the model factor of 1,75 in
the Irish NA, which gives a design pile length of 12,0 m in Germany using DA2 compared to
16,5 m using DA2 in Ireland.

160

European Commission
EUR 26227 EN Joint Research Centre Institute for the Protection and Security of the Citizen
Title: Eurocode 7: Geotechnical Design
Authors: Andrew J. Bond, Bernd Schuppener, Giuseppe Scarpelli, Trevor L.L. Orr
Editors: Silvia Dimova, Borislava Nikolova, Artur V. Pinto

Luxembourg: Publications Office of the European Union

2013 172 pp. 21.0 x 29.7 cm
EUR Scientific and Technical Research series ISSN 1831-9424
ISBN 978-92-79-33759-8
doi: 10.2788/3398

Abstract
This document is a report with worked examples summarizing the general rules, basic design principles and design
methods for geotechnical design following Eurocodes. It comprises an overview of Eurocode 7 with focus on the
design requirements, actions and design situations, and limit states. Different aspects to be considered for designing
shallow foundations, gravity walls, embedded walls and deep foundations are covered in the report. The provisions of
Eurocode 7 for ground investigations and testing for geotechnical design, overall stability of and movements in the
ground, slopes, hydraulic failure modes and verifications against them are also presented. The Annex contains worked
examples to accompany the various chapters of this report.
The materials were prepared and presented at the workshop Eurocode 7: Geotechnical Design held on 13-14 June
2013 in Dublin, Ireland. The workshop was organized by JRC with the support of DG ENTR and CEN, and in
collaboration with CEN/TC250/Sub-Committee 7 and Irelands Department of the Environment, Community and Local
government.
The document is part of the Report Series Support to the implementation, harmonization and further development of
the Eurocodes prepared by JRC in collaboration with DG ENTR and CEN/TC250 Structural Eurocodes.

z
LB-NA-26227-EN-N

As the Commission's in-house science service, the Joint Research Centre's mission is to provide
EU policies with independent, evidence-based scientific and technical support throughout the
whole policy cycle. Working in close cooperation with policy Directorates-General, the JRC
addresses key societal challenges while stimulating innovation through developing new
methods, tools and standards, and sharing its know-how with the Member States, the scientific
community and international partners.