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EN 1997-3:2025
NBN EN 1997-3:2025
Eurocode 7 - Geotechnical design - Part 3: Geotechnical
structures
Valid from 20-03-2025
Replaces NBN EN 1997-1/A1:2014, NBN EN 1997-1/AC:2009, NBN EN 1997-2/AC:2010,
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NBN EN 1997-2:2007, NBN EN 1997-1:2005
This European standard EN 1997-3:2025 does not yet have the status of a
Belgian standard.
In Belgium, it is available in 3 official versions (German, English, French) until the
Dutch version is also published.
This document can only be applied from the moment its corresponding Belgian
national annex (ANB) is published.
The sole purpose of publishing this document at this stage is to enable Eurocode
users to familiarize themselves with future normative texts while awaiting the
entry into force of the new generation of Eurocodes and their respective ANBs.
ICS: 91.010.30; 93.020
Bureau for Standardisation T. +32 2 738 01 11 BTW/TVA BE0880.857.592 www.nbn.be
Rue Joseph II 40 PO box 6 F. +32 2 733 42 64 IBAN BE41 0003 2556 2110
1000 Brussels production@nbn.be BIC Code BPOTBEB1
© NBN 2025
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NBN EN 1997-3:2025
NBN EN 1997-3:2025
EUROPEAN STANDARD EN 1997-3
NORME EUROPÉENNE
©2025 NBN. This document is protected by copyright, and licensed by NBN to Tractebel - India - Shubham AGRAWAL. Tractebel - India - Shubham AGRAWAL undertakes not to reproduce
EUROPÄISCHE NORM March 2025
ICS 91.010.30; 93.020 Supersedes EN 1997-1:2004
English Version
Eurocode 7 - Geotechnical design - Part 3: Geotechnical
structures
Eurocode 7 - Calcul géotechnique - Partie 3 : Eurocode 7 - Entwurf, Berechnung und Bemessung in
Constructions géotechniques der Geotechnik - Teil 3: Geotechnische Bauwerke
This European Standard was approved by CEN on 29 December 2024.
CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this
European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references
concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN
member.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
This European Standard exists in three official versions (English, French, German). A version in any other language made by
translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management
Centre has the same status as the official versions.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,
Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Türkiye and
United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2025 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 1997-3:2025 E
worldwide for CEN national Members.
NBN EN 1997-3:2025
EN 1997-3:2025 (E)
Contents
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Page
European foreword............................................................................................................................................. 7
0 Introduction ............................................................................................................................................ 9
0.1 Introduction to the Eurocodes ......................................................................................................... 9
0.2 Introduction to EN 1997 (all parts) ................................................................................................ 9
0.3 Introduction to EN 1997-3 ...............................................................................................................10
0.4 Verbal forms used in the Eurocodes ............................................................................................10
0.5 National Annex for EN 1997-3 ........................................................................................................10
1 Scope ........................................................................................................................................................12
1.1 Scope of EN 1997-3 .............................................................................................................................12
1.2 Assumptions..........................................................................................................................................12
2 Normative references ........................................................................................................................12
3 Terms, definitions, and symbols ....................................................................................................12
3.1 Terms and definitions .......................................................................................................................15
3.2 Symbols and abbreviations .............................................................................................................25
4 Slopes, cuttings, and embankments .............................................................................................43
4.1 Scope and field of application .........................................................................................................43
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
4.2 Basis of design ......................................................................................................................................44
4.3 Materials.................................................................................................................................................46
4.4 Groundwater.........................................................................................................................................47
4.5 Geotechnical analysis ........................................................................................................................48
4.6 Ultimate limit states ...........................................................................................................................51
4.7 Serviceability limit states .................................................................................................................52
4.8 Implementation of design ................................................................................................................53
4.9 Testing.....................................................................................................................................................55
4.10 Reporting ...............................................................................................................................................55
5 Spread foundations ............................................................................................................................55
5.1 Scope and field of application .........................................................................................................55
5.2 Basis of design ......................................................................................................................................55
5.3 Materials.................................................................................................................................................60
5.4 Groundwater.........................................................................................................................................61
5.5 Geotechnical analysis ........................................................................................................................61
5.6 Ultimate limit states ...........................................................................................................................69
5.7 Serviceability limit states .................................................................................................................76
5.8 Implementation of design ................................................................................................................77
5.9 Testing.....................................................................................................................................................77
5.10 Reporting ...............................................................................................................................................78
6 Piled foundations ................................................................................................................................78
6.1 Scope and field of application .........................................................................................................78
6.2 Basis of design ......................................................................................................................................79
6.3 Materials.................................................................................................................................................83
6.4 Groundwater.........................................................................................................................................84
6.5 Geotechnical analysis ........................................................................................................................85
6.6 Ultimate limit states ...........................................................................................................................94
6.7 Serviceability limit states .............................................................................................................. 107
6.8 Implementation of design ............................................................................................................. 107
6.9 Testing.................................................................................................................................................. 109
6.10 Reporting ............................................................................................................................................ 112
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EN 1997-3:2025 (E)
7 Retaining structures ....................................................................................................................... 112
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7.1 Scope and field of application ..................................................................................................... 112
7.2 Basis of design .................................................................................................................................. 112
7.3 Materials ............................................................................................................................................. 116
7.4 Groundwater ..................................................................................................................................... 117
7.5 Geotechnical analysis ..................................................................................................................... 117
7.6 Ultimate limit states ....................................................................................................................... 124
7.7 Serviceability limit states ............................................................................................................. 129
7.8 Implementation of design............................................................................................................. 130
7.9 Testing ................................................................................................................................................. 132
7.10 Reporting ............................................................................................................................................ 132
8 Anchors ............................................................................................................................................... 132
8.1 Scope and field of application ..................................................................................................... 132
8.2 Basis of design .................................................................................................................................. 133
8.3 Materials ............................................................................................................................................. 135
8.4 Groundwater ..................................................................................................................................... 136
8.5 Geotechnical analysis ..................................................................................................................... 136
8.6 Ultimate limit states ....................................................................................................................... 137
8.7 Serviceability limit states ............................................................................................................. 139
8.8 Implementation of design............................................................................................................. 142
8.9 Testing ................................................................................................................................................. 142
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
8.10 Reporting ............................................................................................................................................ 144
9 Reinforced fill structures .............................................................................................................. 145
9.1 Scope and field of application ..................................................................................................... 145
9.2 Basis of design .................................................................................................................................. 146
9.3 Materials ............................................................................................................................................. 150
9.4 Groundwater ..................................................................................................................................... 158
9.5 Geotechnical analysis ..................................................................................................................... 158
9.6 Ultimate limit states ....................................................................................................................... 165
9.7 Serviceability limit states ............................................................................................................. 171
9.8 Implementation of design............................................................................................................. 171
9.9 Testing ................................................................................................................................................. 172
9.10 Reporting ............................................................................................................................................ 172
10 Soil nailed structures ..................................................................................................................... 173
10.1 Scope and field of application ..................................................................................................... 173
10.2 Basis of design .................................................................................................................................. 173
10.3 Materials ............................................................................................................................................. 175
10.4 Groundwater ..................................................................................................................................... 181
10.5 Geotechnical analyses .................................................................................................................... 181
10.6 Ultimate limit states ....................................................................................................................... 185
10.7 Serviceability limit states ............................................................................................................. 191
10.8 Implementation of design............................................................................................................. 192
10.9 Testing ................................................................................................................................................. 193
10.10 Reporting ............................................................................................................................................ 196
11 Rock bolts and rock surface support ........................................................................................ 196
11.1 Scope and field of application ..................................................................................................... 196
11.2 Basis of design .................................................................................................................................. 196
11.3 Materials ............................................................................................................................................. 198
11.4 Groundwater ..................................................................................................................................... 200
11.5 Geotechnical analyses .................................................................................................................... 200
11.6 Ultimate limit states ....................................................................................................................... 203
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11.7 Serviceability limit states .............................................................................................................. 206
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11.8 Implementation of design ............................................................................................................. 206
11.9 Testing.................................................................................................................................................. 206
11.10 Reporting ............................................................................................................................................ 209
12 Ground improvement ..................................................................................................................... 209
12.1 Scope and field of application ...................................................................................................... 209
12.2 Basis of design ................................................................................................................................... 211
12.3 Materials.............................................................................................................................................. 216
12.4 Groundwater...................................................................................................................................... 217
12.5 Geotechnical analysis ..................................................................................................................... 217
12.6 Ultimate limit states ........................................................................................................................ 221
12.7 Serviceability limit states .............................................................................................................. 224
12.8 Implementation of design ............................................................................................................. 225
12.9 Testing.................................................................................................................................................. 226
12.10 Reporting ............................................................................................................................................ 228
13 Groundwater control measures .................................................................................................. 228
13.1 Scope and field of application ...................................................................................................... 228
13.2 Basis of design ................................................................................................................................... 228
13.3 Material................................................................................................................................................ 230
13.4 Groundwater...................................................................................................................................... 231
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
13.5 Geotechnical analysis ..................................................................................................................... 231
13.6 Ultimate limit states ........................................................................................................................ 233
13.7 Serviceability limit states .............................................................................................................. 233
13.8 Implementation of design ............................................................................................................. 234
13.9 Testing.................................................................................................................................................. 236
13.10 Reporting ............................................................................................................................................ 236
Annex A (informative) Slopes, cuttings, and embankments .......................................................... 238
A.1 Use of this annex ............................................................................................................................... 238
A.2 Scope and field of application ...................................................................................................... 238
A.3 Calculation models for analysing the stability of soil and fill .......................................... 238
A.4 Calculation models for analysing the stability of rock mass ............................................ 240
Annex B (informative) Spread foundations ......................................................................................... 242
B.1 Use of this annex ............................................................................................................................... 242
B.2 Scope and field of application ...................................................................................................... 242
B.3 Checklists ............................................................................................................................................ 242
B.4 Calculation model for bearing resistance using soil parameters ................................... 243
B.5 Calculation model for bearing resistance on ground underlain by a weaker layer 247
B.6 Calculation model for bearing resistance from Ménard pressuremeter test results
................................................................................................................................................................. 249
B.7 Calculation model for settlement evaluation based on elasticity .................................. 251
B.8 Calculation model for settlement evaluation based on the stress-strain method.... 252
B.9 Calculation model for settlements without drainage ......................................................... 253
B.10 Calculation model for settlements caused by consolidation ............................................ 253
B.11 Calculation model for time-settlement behaviour ............................................................... 253
B.12 Calculation model for settlement evaluation using pressuremeter test results....... 253
B.13 Calculation model for settlement evaluation using cone penetration test results .. 254
B.14 Relative stiffness of a spread foundation and subgrade modulus.................................. 256
B.15 Linear elastic spring stiffnesses of surface foundation ...................................................... 257
B.16 Calculation model for bearing resistance on rock mass based on wedge equilibrium
................................................................................................................................................................. 258
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EN 1997-3:2025 (E)
Annex C (informative) Piled foundations............................................................................................. 260
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C.1 Use of this annex .............................................................................................................................. 260
C.2 Scope and field of application ..................................................................................................... 260
C.3 Pile classification ............................................................................................................................. 260
C.4 Pile shaft resistance based on ground parameters ............................................................. 262
C.5 Pile base resistance based on ground parameters .............................................................. 263
C.6 Axial pile resistance based on CPT profiles ........................................................................... 264
C.7 Axial pile resistance from Ménard pressuremeter profiles ............................................. 268
C.8 Axial pile resistance based on empirical tables ................................................................... 271
C.9 Downdrag due to vertical ground movements ..................................................................... 273
C.10 Pile groups subject to axial tension .......................................................................................... 276
C.11 Calculation model for single pile settlement using load transfer functions .............. 277
C.12 Calculation model for single pile lateral displacement using load transfer functions
................................................................................................................................................................ 278
C.13 Buckling and second order effects ............................................................................................ 282
C.14 Determination of axial pile resistance under cyclic loading ........................................... 289
Annex D (informative) Retaining structures ...................................................................................... 291
D.1 Use of this Annex.............................................................................................................................. 291
D.2 Scope and field of application ..................................................................................................... 291
D.3 Calculation model to determine limit values of earth pressures on vertical walls . 291
D.4 Calculation model to determine at-rest values of earth pressure ................................. 296
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D.5 Earth pressures due to compaction .......................................................................................... 297
D.6 Earth pressures caused by cyclic thermal movement for integral bridges ................ 299
D.7 Basal heave ........................................................................................................................................ 299
D.8 Limit equilibrium models ............................................................................................................. 302
D.9 Beam-on-spring models ................................................................................................................ 303
D.10 Calculation model to determine intermediate values of earth pressure .................... 304
D.11 Numerical continuum models ..................................................................................................... 306
D.12 Vertical wall stability ..................................................................................................................... 307
D.13 Determination of the anchor length to prevent interaction between anchors and
retaining structures ........................................................................................................................ 308
Annex E (informative) Anchors ............................................................................................................... 311
E.1 Use of this Annex.............................................................................................................................. 311
E.2 Scope and field of application ..................................................................................................... 311
E.3 General design considerations ................................................................................................... 311
E.4 Specific design considerations.................................................................................................... 311
E.5 Layout of anchors ............................................................................................................................ 312
Annex F (informative) Reinforced fill structures .............................................................................. 316
F.1 Use of this annex .............................................................................................................................. 316
F.2 Scope and field of application ..................................................................................................... 316
F.3 Calculation models for reinforced fill structures................................................................. 316
F.4 Calculation models for basal reinforced of embankment on weak soil ....................... 319
F.5 Calculation models for overbridging systems ....................................................................... 320
F.6 Veneer reinforcement .................................................................................................................... 320
F.7 Typical grades of steel used for soil reinforcement elements ........................................ 321
Annex G (informative) Soil nailed structures ..................................................................................... 323
G.1 Use of this annex .............................................................................................................................. 323
G.2 Scope and field of application ..................................................................................................... 323
G.3 Guidance on verification of pull-out resistance.................................................................... 323
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EN 1997-3:2025 (E)
Annex H (informative) Rock bolts and rock surface support ........................................................ 326
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H.1 Use of this annex ............................................................................................................................... 326
H.2 Scope and field of application ...................................................................................................... 326
H.3 Guidance on verification of pull out resitance....................................................................... 326
Annex I (informative) Ground improvement ...................................................................................... 328
I.1 Use of this annex ............................................................................................................................... 328
I.2 Scope and field of application ...................................................................................................... 328
I.3 Examples of ground improvement techniques ..................................................................... 328
I.4 Use of stress envelope to determine acceptable limit states ........................................... 332
I.5 Calculation models for reinforced load transfer platform over discrete inclusions
................................................................................................................................................................. 332
I.6 Indicative range for the strength development of class II ground improved material
over time ............................................................................................................................................. 333
Annex J (informative) Groundwater control measures................................................................... 335
J.1 Use of this annex ............................................................................................................................... 335
J.2 Scope and field of application ...................................................................................................... 335
J.3 Examples of groundwater control measures ......................................................................... 335
Annex K (informative) Thermoactive geostructures design ......................................................... 336
K.1 Introduction ....................................................................................................................................... 336
K.2 Design principles.............................................................................................................................. 336
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
K.3 Ground investigation ...................................................................................................................... 337
K.4 Thermal design ................................................................................................................................. 337
K.5 Geotechnical and structural design ........................................................................................... 338
K.6 Execution ............................................................................................................................................. 338
Bibliography ..................................................................................................................................................... 339
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
European foreword
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This document (EN 1997-3:2025) has been prepared by Technical Committee CEN/TC 250 “Structural
Eurocodes”, the secretariat of which is held by BSI. CEN/TC 250 is responsible for all Structural
Eurocodes and has been assigned responsibility for structural and geotechnical design matters by CEN.
This European Standard shall be given the status of a national standard, either by publication of an
identical text or by endorsement, at the latest by September 2025, and conflicting national standards shall
be withdrawn at the latest by March 2028.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN shall not be held responsible for identifying any or all such patent rights.
Together with EN 1990:2023, EN 1997-1:2024 and EN 1997-2:2024, this document will supersede EN
1997-1:2004 and EN 1997-2:2007.
The first generation of EN Eurocodes was published between 2002 and 2007. This document forms part
of the second generation of the Eurocodes, which have been prepared under Mandate M/515 issued to
CEN by the European Commission and the European Free Trade Association.
The Eurocodes have been drafted to be used in conjunction with relevant execution, material, product
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
and test standards, and to identify requirements for execution, materials, products and testing that are
relied upon by the Eurocodes.
The Eurocodes recognize the responsibility of each Member State and have safeguarded their right to
determine values related to regulatory safety matters at national level through the use of National
Annexes.
In comparison with the previous edition of EN 1997-1, the following main changes have been made:
— the Scope of EN 1997-3 has been extended to include geotechnical structures on/in rock (the word
“ground” is now used extensively to denote soil, rock, and fill);
— new geotechnical structures have been added: pile groups and piled rafts (in Clause 6), reinforced fill
structures (in Clause 9), soil nailed structures (in Clause 10), rock bolts and rock surface support (in
Clause 11); ground improvement (in Clause 12) and groundwater control measures (in Clause 13);
— existing clauses on slopes, cuttings and embankments (in Clause 4), spread foundations (in Clause 5),
piled foundations (in Clause 6), retaining structures (in Clause 7) and anchors (Clause 8) have been
extensively revised;
— the basis of design of geotechnical structures has been aligned with EN 1990:2023;
— verification of ultimate limit state has been presented using (a) partial factors or other probabilistic
methods, (b) prescriptive rules, (c) testing and (d) the Observational Method;
— durability and sustainability issues, e.g. corrosion and maintenance strategies have been addressed
and an Annex K on thermoactive geostructure design introduced;
— harmonization of partial factors in ultimate limit state verification for all CEN-member states has
been achieved especially for slopes and piled foundations;
— the use of numerical methods has been incorporated into the verification of limit states;
— numerous state-of-the-art calculation models have been presented in informative annexes;
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
— the link between design, execution and testing of geotechnical structures has been improved, with
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clear connections to EN execution standards and EN ISO geotechnical investigation and testing
standards.
Any feedback and questions on this document should be directed to the users’ national standards body.
A complete listing of these bodies can be found on the CEN website.
According to the CEN-CENELEC Internal Regulations, the national standards organisations of the
following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia,
Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland,
Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North
Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Türkiye and the United
Kingdom.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
8
NBN EN 1997-3:2025
EN 1997-3:2025 (E)
0 Introduction
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0.1 Introduction to the Eurocodes
The Structural Eurocodes comprise the following standards generally consisting of a number of Parts:
— EN 1990 Eurocode — Basis of structural and geotechnical design
— EN 1991 Eurocode 1 — Actions on structures
— EN 1992 Eurocode 2 — Design of concrete structures
— EN 1993 Eurocode 3 — Design of steel structures
— EN 1994 Eurocode 4 — Design of composite steel and concrete structures
— EN 1995 Eurocode 5 — Design of timber structures
— EN 1996 Eurocode 6 — Design of masonry structures
— EN 1997 Eurocode 7 — Geotechnical design
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— EN 1998 Eurocode 8 — Design of structures for earthquake resistance
— EN 1999 Eurocode 9 — Design of aluminium structures
— New parts are under development, e.g. Eurocode for design of structural glass
The Eurocodes are intended for use by designers, clients, manufacturers, constructors, relevant
authorities (in exercising their duties in accordance with national or international regulations),
educators, software developers, and committees drafting standards for related product, testing and
execution standards.
NOTE Some aspects of design are most appropriately specified by relevant authorities or, where not specified,
can be agreed on a project-specific basis between relevant parties such as designers and clients. The Eurocodes
identify such aspects making explicit reference to relevant authorities and relevant parties.
0.2 Introduction to EN 1997 (all parts)
EN 1997 consists of a number of parts:
— EN 1997-1 Eurocode 7 — Geotechnical design – Part 1: General rules
— EN 1997-2 Eurocode 7 — Geotechnical design – Part 2: Ground properties
— EN 1997-3 Eurocode 7 — Geotechnical design – Part 3: Geotechnical structures
EN 1997 (all parts) establish additional principles and requirements to those given in EN 1990 for the
safety, serviceability, robustness, and durability of geotechnical structures.
EN 1997 (all parts) is intended to be used in conjunction with the other Eurocodes for the design of
geotechnical structures, including temporary geotechnical structures.
Design and verification in EN 1997 (all parts) are based on the partial factor method or other reliability-
based methods, prescriptive rules, testing, or the Observational Method.
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
0.3 Introduction to EN 1997-3
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EN 1997-3 establishes principles and requirements for the design and verification of the following
geotechnical structures, including temporary geotechnical structures: slopes, cuttings, embankments,
shallow foundations, piled foundations, retaining structures, reinforced fill structures, soil nailed
structures and ground improvement.
EN 1997-3 establishes principles and requirements for the design and verification of supporting
elements: anchors, reinforcing elements in reinforced fill structures, soil nails, rock bolts and rock surface
support, and ground improvement.
EN 1997-3 establishes principles and requirements for the design and verification of groundwater
control measures including reduction of hydraulic conductivity, dewatering and infiltration, and the use
of impermeable barriers.
0.4 Verbal forms used in the Eurocodes
The verb “shall” expresses a requirement strictly to be followed and from which no deviation is permitted
in order to comply with the Eurocodes.
The verb “should” expresses a highly recommended choice or course of action. Subject to national
regulation and/or any relevant contractual provisions, alternative approaches could be used/adopted
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
where technically justified.
The verb “may” expresses a course of action permissible within the limits of the Eurocodes.
The verb “can” expresses possibility and capability; it is used for statements of fact and clarification of
concepts.
0.5 National Annex for EN 1997-3
National choice is allowed in this standard where explicitly stated within notes. National choice includes
the selection of values for Nationally Determined Parameters (NDPs).
The national standard implementing EN 1997-3 can have a National Annex containing all national choices
to be used for the design of buildings and civil engineering works to be constructed in the relevant
country.
When no national choice is given, the default choice given in this standard is to be used.
When no national choice is made and no default is given in this standard, the choice can be specified by a
relevant authority or, where not specified, agreed for a specific project by appropriate parties.
National choice is allowed in EN 1997-3 through notes to the following clauses:
4.2.7.2(1) 4.3.4(1) 4.6.3(1) 5.2.7.2(1)
5.3.3(1) 5.6.1(5) 5.6.3(5) 5.6.3(7)
5.6.6(1) - 3 choices 5.6.6(3) 5.7.5(1) 6.1(2)
6.2.7.2(1) 6.3.7(1) 6.5.3.1(2) 6.5.3.3(5)
6.5.3.3(8) 6.5.3.3(10) 6.5.3.3(11) 6.5.6(3)
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EN 1997-3:2025 (E)
6.5.6(4) 6.5.8(4) 6.6.2.1(2) – 2 choices 6.6.2.4.2(1)
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6.6.2.4.3(1) 6.6.3(4) 6.6.4.1(1) – 2 choices 6.6.4.2(1) – 2 choices
6.7(4) 6.9.3(6) 7.2.7.2(1) 7.3.7(1)
7.4.1(1) 7.5.3.2(2) 7.5.3.2(5) 7.6.2(6)
7.6.7(2) 7.6.9(1) – 2 choices 8.2.7.2(1) 8.3.4(1)
8.6.2(1) 8.6.2(7) 8.6.2(8) 8.6.2(9)
8.6.4(1) – 2 choices 8.7.2(4) 8.7.3(1) 8.9.1(2) – 2 choices
8.9.3(1) 9.2.7.2(1) 9.3.3(6) 9.3.4(16) – 2 choices
9.3.7(1) 9.6.2.1(1) 9.6.2.3(1) 9.6.7(1) – 2 choices
10.3.2.2(2) 10.3.8.1(11) – 2 10.3.9(1) 10.6.2(2)
choices
10.6.2(3) 10.6.2(6) 10.6.2(7) 10.6.5(3)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
10.6.7(1) – 2 choices 10.9.1(4) 10.9.2(1) – 3 choices 10.9.2(8) – 2 choices
10.9.2(10) – 2 choices 11.3.3.2(3) 11.3.3.2(8) 11.3.5(1)
11.6.2(1) 11.6.3(1) 11.6.5(1) 11.9.1(4)
11.9.2(1) – 3 choices 11.9.2(4) – 2 choices 11.9.2(5) – 2 choices 11.9.3(1)
12.2.2(2) 12.2.7.2(1) 12.5.4(2) – 2 choices 12.5.4(5)
12.5.4(6) – 2 choices 12.6.1(2) 12.6.3(1) 12.6.6(1) – 2 choices
12.9.2.1(1) 12.9.2.2(2) 13.2.7.2(1) 13.3(4)
13.8.3(1) B.5(3) C.13.3.3(2) C.13.3.3(4)
C.13.5.3(3) – 3 choices C13.5.3(4) D.8(2)
National choice is allowed in EN 1997-3 on the application of the following informative annexes:
Annex A Annex B Annex C Annex D
Annex E Annex F Annex G Annex H
Annex I Annex J Annex K
The National Annex can contain, directly or by reference, non-contradictory complementary information
for ease of implementation, provided it does not alter any provisions of the Eurocodes.
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EN 1997-3:2025 (E)
1 Scope
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1.1 Scope of EN 1997-3
This document provides specific rules to be applied in the design and verification of geotechnical
structures.
1.2 Assumptions
This document is intended to be used in conjunction with EN 1990, which establishes principles and
requirements for the safety, serviceability, robustness, and durability of structures, including
geotechnical structures, and other construction works.
NOTE Additional or amended provisions can be necessary for assessment of existing structures, see
prEN 1990-2.
This document is intended to be used in conjunction with EN 1997-1, which provides general rules
for the design and verification of geotechnical structures.
This document is intended to be used in conjunction with EN 1997-2, which gives provisions for
determining ground properties from ground investigations.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
This document is intended to be used in conjunction with the other Eurocodes for the design of
geotechnical structures, including temporary geotechnical structures.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content constitutes
requirements of this document. For dated references, only the edition cited applies. For undated references, the
latest edition of the referenced document (including any amendments) applies.
NOTE See the Bibliography for a list of other documents cited that are not normative references, including
those referenced as recommendations (i.e. in ‘should’ clauses), permissions (‘may’ clauses), possibilities (‘can’
clauses), and in notes.
EN 206, Concrete — Specification, performance, production and conformity
EN 1563, Founding — Spheroidal graphite cast irons
EN 771-3, Specification for masonry units — Part 3: Aggregate concrete masonry units (Dense and
lightweight aggregates)
EN 1536, Execution of special geotechnical work — Bored piles
EN 1537, Execution of special geotechnical works — Ground anchors
EN 1538, Execution of special geotechnical work — Diaphragm walls
EN 1990:2023, Eurocode — Basis of structural and geotechnical design
EN 1991-2:2023, Eurocode 1 — Actions on structures — Part 2: Traffic loads on bridges and other civil
engineering works
EN 1992 (all parts), Eurocode 2 — Design of concrete structures
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EN 1997-3:2025 (E)
EN 1992-1-1:2023, Eurocode 2 — Design of concrete structures — Part 1-1: General rules and rules for
©2025 NBN. This document is protected by copyright, and licensed by NBN to Tractebel - India - Shubham AGRAWAL. Tractebel - India - Shubham AGRAWAL undertakes not to reproduce
buildings, bridges and civil engineering structures
EN 1993 (all parts), Eurocode 3 — Design of steel structures
EN 1993-1-1:2022, Eurocode 3 — Design of steel structures — Part 1-1: General rules and rules for
buildings
prEN 1993-5:2023, Eurocode 3 — Design of steel structures — Part 5: Piling
EN 1994 (all parts), Eurocode 4 — Design of composite steel and concrete structures
EN 1995 (all parts), Eurocode 5 — Design of timber structures
EN 1996 (all parts), Eurocode 6 — Design of masonry structures
EN 1997-1:2024, Eurocode 7 — Geotechnical design — Part 1: General rules
EN 1997-2:2024, Eurocode 7 — Geotechnical design — Part 2: Ground properties
EN 10025 (all parts), Hot rolled products of structural steel
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 10079, Definition of steel products
EN 10080, Steel for the reinforcement of concrete — Weldable reinforcing steel — General
EN 10218-1, Steel wire and wire products — General — Part 1: Test methods
EN 10218-2, Steel wire and wire products — General — Part 2: Wire dimensions and tolerances
EN 10223-3, Steel wire and wire products for fencing and netting — Part 3: Hexagonal steel wire mesh
products for civil engineering purposes
EN 10223-6, Steel wire and wire products for fencing and netting — Part 6: Steel wire chain link fencing
EN 10223-8, Steel wire and wire products for fencing and netting — Part 8: Welded mesh gabion products
EN 10244-2, Steel wire and wire products — Non-ferrous metallic coatings on steel wire — Part 2: Zinc or
zinc alloy coatings
EN 10245 (all parts), Steel wire and wire products — Organic coatings on steel wire
EN 12063, Execution of special geotechnical work — Sheet pile walls, combined pile walls, high modulus
walls
EN 12699, Execution of special geotechnical works — Displacement piles
EN 12715, Execution of special geotechnical work — Grouting
EN 12716, Execution of special geotechnical work — Jet grouting
EN 12794, Precast concrete products — Foundation piles
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EN 1997-3:2025 (E)
EN 13251, Geotextiles and geotextile-related products — Characteristics required for use in earthworks,
©2025 NBN. This document is protected by copyright, and licensed by NBN to Tractebel - India - Shubham AGRAWAL. Tractebel - India - Shubham AGRAWAL undertakes not to reproduce
foundations and retaining structures
EN 13438, Paints and varnishes — Powder organic coatings for hot dip galvanised or sherardised steel
products for construction purposes
EN 13670, Execution of concrete structures
EN 13738, Geotextiles and geotextile-related products — Determination of pullout resistance in soil
EN 14199, Execution of special geotechnical works — Micropiles
EN 14475:2006, Execution of special geotechnical works — Reinforced fill
EN 14487-1, Sprayed concrete - Part 1: Definitions, specifications and conformity
EN 14490:2010, Execution of special geotechnical works — Soil nailing
EN 14679, Execution of special geotechnical works — Deep mixing
EN ISO 1461, Hot dip galvanized coatings on fabricated iron and steel articles — Specifications and test
methods (ISO 1461)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN ISO 10319, Geosynthetics — Wide-width tensile test (ISO 10319)
EN ISO 12957-1, Geosynthetics — Determination of friction characteristics — Part 1: Direct shear test (ISO
12957-1)
EN ISO 12957-2, Geosynthetics — Determination of friction characteristics — Part 2: Inclined plane test
(ISO 12957-2)
EN ISO 22282-4, Geotechnical investigation and testing — Geohydraulic testing — Part 4: Pumping tests
(ISO 22282-4)
EN ISO 22477-1, Geotechnical investigation and testing — Testing of geotechnical structures — Part 1:
Testing of piles: static compression load testing (ISO 22477-1)
EN ISO 22477-2, Geotechnical investigation and testing — Testing of geotechnical structures — Part 2:
Testing of piles: static tension load testing (ISO 22477-2)
EN ISO 22477-4, Geotechnical investigation and testing — Testing of geotechnical structures — Part 4:
Testing of piles: dynamic load testing (ISO 22477-4)
EN ISO 22477-5:2018, Geotechnical investigation and testing — Testing of geotechnical structures — Part
5: Testing of grouted anchors (ISO 22477-5:2018)
EN ISO 22477-10, Geotechnical investigation and testing — Testing of geotechnical structures — Part 10:
Testing of piles: rapid load testing (ISO 22477-10)
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EN 1997-3:2025 (E)
3 Terms, definitions, and symbols
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3.1 Terms and definitions
For purposes of this document, the terms and definitions given in EN 1990, EN 1997-1 and the following
apply.
3.1.1 Common terms used in EN 1997-3
3.1.1.1
foundation
construction for transmitting forces to the supporting ground
3.1.1.2
deep foundation
foundation consisting of a pile or caisson that transfers loads below the surface stratum to a deeper
stratum or series of strata at a range of depths
3.1.1.3
caisson
hollow construction with substantial impervious walls that comprises one or more cells and is sunk into
the ground or water to form the permanent shell of a deep foundation
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.1.4
frost heave
swelling of soil due to formation of ice within it
3.1.1.5
ground heave
upward movement of the ground caused by either failure in the ground or by deformations due to stress
relief, creep, or swelling
3.1.1.6
secondary compression
creep (in fine soils)
slow deformation of soil and rock mass because of prolonged pressure and stress
3.1.1.7
downdrag
situation where the ground surrounding a structural element settles more than the element itself, causing
a downward drag force on and potential drag settlement of the element
3.1.1.8
drag force
additional axial force acting on a structural element due to downdrag
3.1.1.9
drag settlement
additional settlement of a structural element due to downdrag
3.1.1.10
reinforcing element
structural element added to the ground or engineered fill for stabilizing slopes or retaining structures
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Note 1 to entry: Examples include steel or geosynthetic reinforcement, soil nails and rock bolts.
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3.1.1.11
sprayed concrete
concrete that is conveyed through a hose and pneumatically sprayed at high velocity onto a surface
3.1.1.12
wire mesh
arrangement of bidirectional interlocking metal wires with small openings spaced between them
3.1.1.13
facing element
modular precast panel embedding the connections for soil reinforcements or soil nails covering to the
exposed face of a reinforced fill or soil nailed structure which retains the fill between layers of
reinforcement or soil nails and protects the fill against erosion
3.1.2 Terms relating to slopes, cuttings, and embankments
3.1.2.1
earth-structure
civil engineering structure made of fill material or as a result of excavation
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.2.2
cut
void that results from open excavation of the ground
3.1.2.3
cutting
earth-structure created by excavation of the ground
3.1.2.4
embankment
earth-structure formed by the placement of fill
3.1.2.5
embankment slope
slope that results from the placement of fill
3.1.2.6
earthworks
civil engineering process that modifies the geometry of ground surface
3.1.2.7
excavation
result of removing material from the ground
3.1.2.8
levee
embankment for preventing flooding
3.1.2.9
load transfer platform
layer of engineered fill constructed with or without reinforcing element used to spread the load from an
overlying structure such as a spread foundation, raft or embankment to improved ground
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3.1.3 Terms relating to spread foundations
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3.1.3.1
spread foundation
foundation that transmits forces to the ground mainly by compression on its base
3.1.3.2
strip foundation
long, narrow, usually horizontal foundation
3.1.3.3
raft foundation
spread foundation in the form of a continuous structural concrete slab that extends over the whole base
of a structure
3.1.4 Terms relating to piled foundations
3.1.4.1
pile
slender structural member, substantially underground, intended to transmit forces into load-bearing
strata below the surface of the ground
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.4.2
bored cast-in-place pile
bored pile formed by continuous or discontinuous earthwork methods where the hole is subsequently
filled with concrete
3.1.4.3
displacement pile
pile which is installed in the ground without excavation of material from the ground, except for limiting
heave, vibration, removal of obstructions, or to assist penetration
3.1.4.4
driven pile
displacement pile forced into the ground by hammering, vibration or static pressure
3.1.4.5
end bearing pile
pile that transmits forces to the ground mainly by compression on its base
Note 1 to entry: The word ‘mainly’ implies at least 70 % to 80 % of the compression force applied to the pile is
transmitted to the ground via its base.
3.1.4.6
friction pile
pile transmitting forces to the ground mainly by friction between the surface of the pile and the adjacent
ground
Note 1 to entry: The word ‘mainly’ implies at least 70 % to 80 % of the compression or tension force applied to
the pile is transmitted to the ground by friction between the pile shaft and the ground.
3.1.4.7
replacement pile
pile installed in the ground after excavation of material
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3.1.4.8
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tension pile
vertical or inclined pile used to transfer axial tension force by friction between the surface of the pile and
the adjacent ground
3.1.4.9
pile cap
construction at the head of one or more piles that transmits forces from a structure to one or several piles
3.1.4.10
piled foundation
foundation that incorporates one or more piles
3.1.4.11
pile group
foundation that incorporates piles arranged in a grid
3.1.4.12
piled raft
combined foundation that incorporates a ground bearing raft foundation and a pile group
3.1.4.13
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ground Model Method
calculation method to determine the axial resistance of a single pile based on ground properties
determined from field or laboratory tests, accounting for horizontal variability of the ground in the piled
area
3.1.4.14
Model Pile Method
calculation method to determine the axial resistance of a single pile based on individual pile resistance
profiles determined from correlations with field test results or ground properties from field or laboratory
tests
3.1.4.15
neutral plane
depth at which there is no relative movement between the pile and the surrounding ground due to down
drag
3.1.4.16
trial pile
pile that does not form part of the foundation, installed before the commencement of the piling works,
that is used to investigate the appropriateness of the chosen pile type and method of execution and to
confirm its design, dimensions, and resistance
3.1.4.17
working pile
pile that does form part of the foundation of the structure
3.1.4.18
test pile
trial pile or working pile to which loads are applied to determine the load-displacement behaviour of the
pile and the surrounding ground at the time of construction
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3.1.4.19
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ultimate pile load test
load test carried out on a test pile to determine its resistance at the ultimate limit state
3.1.4.20
serviceability pile load test
load test carried out on a test pile to determine its load-displacement behaviour and resistance at the
serviceability limit state
3.1.4.21
integrity test
test carried out on an installed pile for the verification of soundness of materials and of the pile geometry
3.1.4.22
pile load
axial compressive, tensile, or transverse load (or force) applied to the head of the pile
3.1.4.23
proof load (in a pile load test)
maximum proposed test load in a pile load test
3.1.4.24
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
temporary support force
temporary force arising from axial or transverse support from the ground to a pile during a pile load test
resulting from variations in groundwater, pile head level or pile head restraint that can reverse, reduce
or change under service conditions
3.1.4.25
static load test
load test in which a single pile is subject to a series of static loads in order to define its load-displacement
behaviour
3.1.4.26
dynamic load test
test where a pile is subjected to a chosen axial dynamic load at the pile head to allow the determination
of its compressive resistance
[SOURCE: EN ISO 22477-4:2018, 3.1.7]
3.1.4.27
rapid load test
load test where a pile is subjected to a chosen axial rapid load at the pile head for the analysis of its
compression resistance
[SOURCE: EN ISO 22477-10:2016, 3.1.7, modified]
3.1.4.28
ultimate resistance of a pile
corresponding state in which the pile displaces significantly with negligible increase of resistance
3.1.4.29
driving formula
formula that relates impact hammer energy and number of blows for a unit distance or permanent set
for a single blow to pile compressive resistance
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[SOURCE: EN ISO 22477-4:2018, 3.1.9]
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3.1.4.30
wave equation analysis
analysis of a dynamically loaded pile by a mathematical model that can represent the dynamic behaviour
of the pile by the progression of stress waves in the pile and the resulting response of the ground
[SOURCE: EN ISO 22477-4:2018, 3.1.10]
3.1.4.31
closed form solution
mathematical analysis of the dynamic load test data based on closed form wave analysis equations to
derive a mobilized load
3.1.4.32
signal matching
numerical analysis to evaluate the shaft and base resistance of the test pile by modelling the pile and
ground with assumed parameters to closely match the measured signals of pile head strain, displacement
and acceleration obtained during a dynamic load test
[SOURCE: EN ISO 22477-4:2018, 3.1.11]
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.4.33
re-driving
process of re-initiating movement of a driven pile carried out some time after pile installation, used to
check or determine any change in pile set or resistance
3.1.4.34
pile set
permanent pile settlement after one hammer impact blow during driving
3.1.4.35
pile set-up
time-dependent increase in pile resistance
3.1.5 Terms relating to retaining structures
3.1.5.1
retaining structure
structure that provides lateral support to the ground or that resists pressure from a mass of other
material
3.1.5.2
gravity wall
retaining structure of stone or plain or reinforced concrete having a base spread foundation with or
without a heel, ledge or buttress
Note 1 to entry: The weight of the wall itself, sometimes including stabilizing masses of soil, rock or backfill,
plays a dominant role in the support of the retained material.
3.1.5.3
embedded wall
relatively thin retaining structure of steel, reinforced concrete, or timber that is supported by anchors,
struts and/or passive earth pressure
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Note 1 to entry: The bending stiffness of such walls plays a significant role in the support of the retained material
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while the role of the weight of the wall is insignificant.
Note 2 to entry: This definition includes structures that do not reach below the final excavation level, even if
they cannot formally be considered as embedded.
3.1.5.4
composite retaining structure
retaining structure composed of elements of gravity and embedded walls
Note 1 to entry: A large variety of such structures exist and examples include double sheet pile wall cofferdams,
gabion walls, crib walls, earth structures reinforced by grouting.
Note 2 to entry: Retaining structures reinforced by geosynthetics, steel strips, or wire meshes are considered as
reinforced fill structures (see 3.1.7.2).
Note 3 to entry: Retaining structures reinforced by soil nails are considered as soil nailed structures (see 3.1.8.3).
3.1.5.5
combined wall
embedded wall composed of primary and secondary steel elements, placed in the ground before
excavation begins
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.6 Terms relating to anchors
3.1.6.1
anchor
structural element capable of transmitting an applied tensile load from the anchor head through a free
anchor length to a resisting element and finally into the ground
3.1.6.2
grouted anchor
anchor that uses a bonded length formed of cement grout, resin or similar material to transmit the tensile
force to the ground
Note 1 to entry: A ‘grouted anchor’ in this document is termed a ‘ground anchor’ in EN 1537.
3.1.6.3
permanent anchor
anchor with a design service life greater than two years
3.1.6.4
temporary anchor
anchor with a design service life of two years or less
3.1.6.5
tendon
part of an anchor that is capable of transmitting the tensile load from the anchor head to the resisting
element in the ground
3.1.6.6
fixed anchor length
designed length of an anchor over which the load is transmitted to the surrounding ground through a
resisting element
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3.1.6.7
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free anchor length
distance between the proximal end of the fixed anchor length and the tendon anchorage point at the
anchor head
3.1.6.8
tendon bond length
(for grouted anchors only) length of the tendon that is bonded directly to the grout and capable of
transmitting the applied tensile load
3.1.6.9
tendon free length
length of the tendon between the anchorage point at the anchor head and the proximal end of the tendon
bond length
3.1.6.10
apparent tendon free length
(for grouted anchors only) length of tendon which is estimated to be fully decoupled from the
surrounding grout and is determined from the load-elastic displacement data following testing
3.1.6.11
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
lock-off load
load with which pre-stressable anchors are fixed to realize an active force to limit deformation
3.1.6.12
Test Method 1
test in which the anchor is loaded stepwise by one or more load cycles increasing from the datum load to
the proof load
Note 1 to entry: At each load step the displacement of the tendon end is measured during a fixed time period.
[SOURCE: EN ISO 22477-5:2018, Test Method 1]
3.1.6.13
Test Method 3
test in which the anchor is loaded in incremental steps from a datum load to a maximum load
Note 1 to entry: The displacement of the tendon end is measured under maintained load at each loading step.
[SOURCE: EN ISO 22477-5:2018, Test Method 3]
3.1.6.14
proof load (in anchor test)
maximum test load to which an anchor is subjected in a particular load test
[SOURCE: EN ISO 22477-5:2018, 3.1.8]
3.1.7 Terms relating to reinforced fill structures
3.1.7.1
reinforced fill structures
structure that incorporates discrete layers of soil reinforcement within engineered fill
Note 1 to entry: The reinforcement layers are generally placed horizontally, between successive layers of fill
during construction.
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3.1.7.2
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basal reinforcement to embankments
fill structures incorporating at their base level at least one layer of soil reinforcements, commonly used
for fills founded on weak or soft soils and fills founded on inclusion networks, or for fills overbridging
voids
3.1.7.3
soil veneer reinforcement
use of soil reinforcement to prevent the sliding of the cover soil layer over a landfill lining or cover system,
or any other low friction interface
3.1.7.4
isochronous creep curves
load/strain creep curves plotted at fixed times for geosynthetic reinforcement elements
Note 1 to entry: The load at which there is a specified difference in strain for a specified time interval can then
be defined. The procedure how to generate the isochronous creep curves is given in ISO/TS 20432.
3.1.7.5
equivalent constant in-soil temperature
temperature that causes the same rate of reinforcing element degradation during one year as the actual
in-soil temperature variation at the location of the reinforcing element
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3.1.7.6
external failure mechanism
failure mechanism for a reinforced fill structure that does not intersect the structure
3.1.7.7
compound failure mechanism
failure mechanism for a reinforced fill structure that intersects the structure
3.1.7.8
internal failure mechanism
failure mechanism for a reinforced fill structure that occurs solely within the structure
3.1.8 Terms relating to soil nailed structures
3.1.8.1
soil nail
reinforcing element installed into the ground that mobilises resistance with the ground along its entire
length, working mainly in tension, but with shearing/bending forces as a potential but negligible
secondary effect
Note 1 to entry: Soil nails are usually driven or bored into the ground.
3.1.8.2
soil nailed structure
cutting, slope, or existing structure reinforced with soil nails, that are installed into the ground, usually
at a sub-horizontal angle
Note 1 to entry: Soil nails form part of a composite structure which usually includes facing elements (head plates,
sprayed concrete, wire mesh, or other facing elements). The facing retains the ground between the soil nails that
would otherwise be left unsupported.
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Note 2 to entry: Soil nails are typically arranged in rows. For cut-faced applications, the rows are usually installed
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sequentially in a top-down sequence as the face of the structure is progressively excavated.
3.1.9 Terms relating to rock bolts and rock surface support
3.1.9.1
rock bolt
reinforcing element for stabilizing rock excavations and slopes, transferring load from the unstable
exterior to the confined interior of the rock mass including doweling to prevent shear failure through
discontinuities
Note 1 to entry: Rock bolts consist of different types of reinforcement of the rock mass, and generally consist of
a bar (solid, hollow or flexible) or cable, fixed in place by either mechanical expansion or by grout, or resin.
3.1.9.2
rock surface support
support given to a rock mass to prevent potential rock falls and ravelling of the rock surface
Note 1 to entry: Rock surface support is non-structural and includes wire mesh and sprayed concrete
3.1.10 Terms relating to ground improvement
3.1.10.1
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ground improvement
modification of the ground to provide better performance at ultimate and or serviceability limit states
Note 1 to entry: Ground modification includes changes of one or more properties, typically by means of
compaction, consolidation, replacement or mixing with binders, or installation of inclusions within the ground
improvement zone.
3.1.10.2
ground improvement zone
volume of ground within which ground improvement is installed and results in modified ground
properties
3.1.10.3
inclusion
elements installed in the ground with defined geometry and material properties sufficiently different
from the surrounding ground so as to modify the distribution of load, stress and groundwater flow within
the ground improvement zone
3.1.10.4
rigid inclusion
inclusions with stiffness and strength that are significantly higher than the ground in which they are
installed
3.1.10.5
discrete ground improvement
ground improvement zone comprising inclusions created in the ground with properties differing from
the surrounding ground
3.1.10.6
diffused ground improvement
ground improvement where the ground improvement zone is be modelled with a single set of parameters
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EN 1997-3:2025 (E)
3.1.10.7
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structural connection
mechanical connection between the ground improvement and the structure, capable of transferring
compressive, tensile, shear, and bending actions directly
3.1.10.8
contact
physical contact between the ground improvement and the structure, capable of transferring only
compressive and limited shear loads
Note 1 to entry: The transferable shear load typically depends on the size of the compressive load and the
activated friction.
3.1.10.9
load distribution
subdivision of the total load into the share transferred by the inclusion and the part transferred by the
soil
Note 1 to entry: The load distribution is determined by calculation and is an integral part of the design of
discrete ground improvement.
3.2 Symbols and abbreviations
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
For the purposes of this document, the following symbols and abbreviations apply.
Note 1 to entry: The symbols commonly used in all Eurocodes are defined in EN 1990.
Note 2 to entry: Further symbols commonly used in Eurocode 7 are defined in EN 1997-1.
Note 3 to entry: The notation used for the symbols used is based on ISO 3898.
3.2.1 Symbols
Latin upper-case letters
A plan area of the foundation base
A loss of metal (including zinc) per face over the first year (in reinforcement elements)
A' effective plan area of the foundation
A0 initial cross-sectional area of steel reinforcement
A0,con initial cross-sectional area of steel reinforcement at a connection
Ab, As area of the pile base and shaft, respectively
A'gs,d design value of the effective adhesion between the ground and geosynthetic
reinforcement (also covers apparent adhesion caused by interlocking mechanism)
Ar reduced cross-sectional area of steel reinforcement, taking account of the maximum
anticipated loss of steel during the design service life of the structure
Ar,con reduced cross-sectional area of steel reinforcement at a connection, taking account of
the maximum anticipated loss of steel along the design service life of the structure
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EN 1997-3:2025 (E)
Ared plan area of the foundation base not including any area where there is no positive
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contact pressure between the foundation and the underlying ground
Aru reduced cross-sectional area of the reinforcing element at ultimate resistance, allowing
for the effects of potential corrosion
Ary reduced cross-sectional area of the reinforcing element at yield, allowing for the effects
of potential corrosion
A'sn,d design value of the effective adhesion between the ground and a soil nail
A'st,d design value of the effective adhesion between the ground and steel reinforcement
B foundation width (shorter dimension on plan)
B breadth of the reinforcing element
B' effective foundation width
Bb , Bs base and shaft width (for square piles), respectively
Bn,eq equivalent pile base size equal to Bb (for square piles), Db (for circular piles), or pb/π (for
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
other shaped piles)
Bnom nominal width of the rectangular foundation
B'eq effective width of an equivalent rectangular foundation
Bgi smaller plan dimension of a rectangle circumscribing the ground improvement zone,
limited to the depth of the zone of influence (in ground improvement)
Bri diameter of an inclusion
Bref reference diameter of an inclusion
Bs,eq equivalent pile shaft size equal to Bs (for square piles) or Ds (for circular piles)
C subgrade reaction modulus
Ca cohesive resistance along the slip surface of an active wedge
Cad,SLS serviceability limit state criterion for non-grouted anchors
Cd,SLS,min, minimum and maximum design value of the relevant serviceability criterion for the
Cd,SLS,max considered geotechnical structure within the zone of influence
Cp cohesive resistance along the slip surface of a passive wedge
D diameter of circular foundation, reinforcing bar
Db base diameter (for circular piles) in pile foundations
Dds diameter of depression at the surface
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
Dd design drag force due to moving ground in pile foundations
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Df embedment depth
Dnom nominal diameter of the circular foundation
Drep representative drag force due to moving ground in pile foundations
Ds shaft diameter (for circular piles) in pile foundations
Dsupp representative vertical or transverse temporary support force
Dy diameter of the void
Ed design value of the effects of actions at the ultimate limit state
Ed,SLS design value of the maximum anchor force, including the lock-off load, and sufficient to
prevent the serviceability limit state in the anchored structure
(EI)d design value of bending (flexural) stiffness
EI bending (flexural) stiffness
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ei initial tangent modulus
Em,rep Representative value of the ground elasticity moduls
Eur unloading-reloading modulus
EI bending stiffness
Fcd design axial compression force applied to the pile including an allowance for any
potential drag force
Fcd,SLS design axial compression load applied to the pile at the serviceability limit state,
including potential drag forces
Fd,SLS design value of an action to prevent a serviceability limit state
Fd,ULS design value of the action that the supporting element shall provide to prevent an
ultimate limit state of the supported structure or the design action at the ultimate limit
state for piles
Fgroup,d design action applied to the pile group or piled raft
Frep,SLS representative value of the action that the supporting element shall provide to prevent
a serviceability limit state of the supported structure
Frep,ULS representative value of the action that the supporting element shall provide to prevent
an ultimate limit state of the supported structure
Ftd design axial tension load applied to the pile
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EN 1997-3:2025 (E)
Ftot,k characteristic value of the load on a raft
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Ftr,d design transverse force applied to the pile including an allowance for any potential
transverse force due to moving ground
H embankment height
Ηe excavation depth
Hret height of supported ground
Hs height of material above a geosynthetic layer
Hv height above a void
I second moment of area (geometric moment of inertia)
Is influence factor for foundation shape
Iz,max maximum value of vertical strain influence factor for spread foundation
K0 at-rest earth pressure coefficient
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ka active pressure coefficient
Ka𝛾𝛾, Kaq, Kac active earth pressure coefficients
Kac,u active earth pressure coefficient for undrained conditions
Kp𝛾𝛾, Kpq, Kpc passive earth pressure coefficients
Kpc,u passive earth pressure coefficient for undrained conditions
Ks relative stiffness between the foundation and the ground
Ku corrosion heterogeneity factor at the ultimate stress (in reinforcement elements)
Ky corrosion heterogeneity factor at yield (in reinforcement elements)
L foundation length
L' effective foundation length
Lb grouted length of steel bar
Lbd design value of buckling length
Ldb debonded length of the soil nail
Ldd depth of the neutral plane corresponding to the point where the pile settlement equals
the ground settlement
Lds total length of the reinforcing element along which direct shear stresses are mobilized
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EN 1997-3:2025 (E)
L'eq effective length of an equivalent rectangular foundation
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Lint mobilized interface length
Lj length of the jth layer of reinforcement
Ln nail length
Lpo total length of the reinforcing element beyond the failure surface (or line of maximum
tension) where pull-out stresses are mobilized (for reinforcement elements)
Lps total length of the reinforcing element beyond the failure surface (or line of maximum
tension) where punching shear stresses are mobilized
N normal component of the resulting force acting on the foundation base
Na component of the total action acting normal to the slip surface of an active wedge
Nc non-dimensional bearing resistance factor for the influence of the ground's effective
cohesion
Ncr critical buckling pile load
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ncu non-dimensional bearing resistance factor for the influence of the ground's undrained
shear strength
Nd design value of N
N'd design value of the effective action acting normal to the foundation base
NEd design axial pile load
Nrep representative value of N
Np component of the total action acting normal to the slip surface of a passive wedge
Nq non-dimensional bearing resistance factor for overburden pressure
NRd structural design resistance of the pile
Ns shape factor depending on the length and the width of the excavation
Nγ non-dimensional bearing resistance factor for the influence of the ground’s weight
density
Nγu non-dimensional bearing resistance factor for the influence of the ground’s weight
density in undrained conditions
P percentage of test results passing the required characteristic value (in ground
improvement)
P length of the perimeter of a reinforcing element
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EN 1997-3:2025 (E)
Pc critical creep load determined in Test Method 3 of EN ISO 22477-5:2018
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Po lock-off load
PP proof load
R radius of a circular foundation
Rad,SLS design value of an anchor’s geotechnical resistance at the serviceability limit state
Rad,ULS design value of an anchor’s geotechnical resistance at the ultimate limit state
Rak,SLS characteristic value of an anchor’s geotechnical resistance at the serviceability limit
state
Rak,ULS characteristic value of an anchor’s geotechnical resistance at the ultimate limit state
Ram measured value of an anchor’s geotechnical resistance
Ram,SLS measured value of an anchor’s geotechnical resistance at the serviceability limit state
Ram,ULS measured value of an anchor’s geotechnical resistance at the ultimate limit state
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ram,αSLS measured value of an anchor’s geotechnical resistance complying with its serviceability
limit state criterion αSLS
Ram,αULS measured value of an anchor’s geotechnical resistance complying with its ultimate limit
state criterion αULS
Ram,CadSLS measured value of the anchor’s geotechnical resistance complying with Cad,SLS
Ram,CadULS measured value of the anchor’s geotechnical resistance complying with Cad,ULS
(Ram,ULS)min minimum value of Ram,ULS in a number of tests
(Ram,SLS)min minimum value of Ram,SLS in a number of tests
Rblock ultimate vertical resistance of the block of ground bounded by the perimeter of the pile
group
Rb, Rs, Rst resistance of pile base, shaft, and shaft in tension, respectively
Rb,rep pile’s representative base resistance in axial compression
Rcalc,mean mean calculated pile resistance for a set of profiles of field or laboratory test results
Rcalc,min minimum calculated pile resistance for a set of profiles of field or laboratory test results
Rc, Rt, Rtr pile resistance to compression, tension, and transverse actions, respectively
Rc,rep pile’s representative total resistance in axial compression
Rcon,x,rep representative tensile resistance at the connection of component 'x', where 'el' denotes
the reinforcing element at the connection to the facing; 'c' denotes the connector (steel
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
plates and bolts, steel rods, polymeric bodkins, combs, pins, polymeric loops and
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toggles, etc.) at the connection; and 'f' denotes the facing element at the connection
Rg resistance of the ground supporting the load transfer platform in the net area between
the columns mobilized at a settlement that is compatible with the settlement of the
ground improvement system
Rgroup ultimate compressive resistance of a pile group
Rgroup,d design resistance of the pile group or piled raft
Rgroup,rep representative ultimate vertical resistance of the pile group
Rgs,int,d design tensile strength of the interface with a geosynthetic reinforcing element
Ri ultimate axial resistance of the i-th pile in the pile group, taking full account of the effects
of pile interaction
Rk,com characteristic resistance to direct shear of a reinforcing element
Rk,ds characteristic tensile resistance of a connection (of a reinforcing element)
Rm,sn,pul
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
measured pull-out force for a soil nail
RN drained bearing resistance normal to the base of a spread foundation
RNd design bearing resistance normal to the base of a spread foundation
RNu undrained bearing resistance normal to the base of a spread foundation
Rpd design value of the resisting force caused by earth pressure on the foundation side
Rpiled-raft ultimate compressive resistance of a piled raft
Rpiled-raft,d design resistance of the piled raft
Rpiled-raft,rep representative ultimate compressive resistance of a piled raft
Rpo,d design value of interface resistance between the fill and the reinforcing element
Rpo,rep representative pull-out resistance of a reinforcing element
Rraft additional bearing resistance from the raft
Rraft,net additional bearing resistance from the raft, considering the net area of the raft
Rrep,SLS representative value of the pile’s serviceability resistance
Rrep,ULS representative value of the pile’s ultimate resistance
Rri, Rro pick-up and anchoring resistance for rock bolts
Rri,i resistance of a rigid inclusion depending on its position within a group of inclusions
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EN 1997-3:2025 (E)
Rs,rep pile’s representative shaft resistance in axial compression
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Rsn,int,d design tensile strength of the interface with a soil nail element
Rst,int,d design tensile strength of the interface with a steel reinforcing element
Rsys,rep representative value of the total resistance of the ground improvement system with
rigid inclusions
Rtd design value of the axial tensile resistance of a pile or a structural element
Rt,el,rep representative tensile resistance of the reinforcing element
Rt,rep representative axial tensile resistance of a pile
Rt,wm,rep representative tensile resistance of the wire mesh
RT,base sliding resistance of a foundation along its base
RT,face resistance from earth pressure on the front of the foundation
Rt,el,rep representative tensile resistance of a reinforcing element
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Rtest,mean mean pile resistance measured in a set of load tests
Rtest,min minimum pile resistance measured in a set of load tests
Rtr,d design transverse resistance of a pile
RTu,base undrained sliding resistance of a foundation along its base
Rxd design resistance of a pile (where x is one of b for base, c for compression, s for shaft, t
for tension or tr for transverse)
Rxm measured resistance of a pile (where x is one of b for base, c for compression, s for shaft,
t for tension or tr for transverse)
Rx,rep representative resistance of a pile (where is one of b for base, c for compression, s for
shaft, t for tension or tr for transverse)
St sensitivity of fine soil
Sv vertical spacing of reinforcement
T component of the total action acting transverse (parallel) to the foundation base
T age of the structure (in reinforcement elements)
Td design value of the applied force acting parallel to the foundation base, including any
thrust caused by earth pressure acting on the foundation
Tf,j tensile force due to any horizontal loads
Tgs,k characteristic tensile strength of geosynthetic reinforcement
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EN 1997-3:2025 (E)
Tk characteristic tensile strength of a reinforcing element
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Tk,cr characteristic tensile strength of a reinforcing element allowing for creep and limiting
elongation
Tp,j tensile force per metre width due to the vertical loads of self-weight and surcharge
Trep representative value of T
Ts,j tensile force due to any strip loading
Tven tensile force to hold a veneer system on a dry slope
U uplift force due to groundwater pressure on the foundation base
Vnorm coefficient of variation based on a normal distribution of strength values
W wedge weight load
Ws surcharge load
WT vertical uniformly distributed (wedge) load on the reinforcement
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Wv resultant vertical load excluding external strip loads on a reinforcement layer
Latin lower-case letters
a adhesion between the wall and the ground
ad design value of a geometrical property
anom nominal value of a geometrical property
b base width of an embankment
b width of a strip element (in reinforcement elements)
bc , bq , bγ non-dimensional factors accounting for base inclination
bcu non-dimensional factor accounting for base inclination, undrained
bgs width of reinforcement per unit width
bst width of strip reinforcement per unit width
c' soil's or fill's effective cohesion
cmin,dur minimum concrete cover required for durability
cu undrained shear strength of soil or fill
cud design value of the undrained shear strength of soil or fill
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EN 1997-3:2025 (E)
cu,ref reference undrained shear strength
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cu,rep representative value of the undrained shear strength of soil or fill
davg average horizontal spacing between the test profiles
dc, dq, dγ non-dimensional factors accounting for the embedment depth and resistance above the
base of the foundation
dcu non-dimensional factor accounting for embedment depth and resistance above the base
of the foundation, undrained
dmin minimum depth of field investigation
dref reference horizontal spacing for the Model Pile Method
ds rock discontinuity spacing between a pair of immediately adjacent discontinuities
e eccentricity of the applied or resultant action
e centre to centre spacing of inclusions
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
e0d maximum transverse deformation of the initial curvature over the buckling length, design
value
eB eccentricity of the applied load in the direction of B
ed design eccentricity of the resultant action
ej eccentricity of the resultant vertical load at the level of the jth layer of reinforcement
eL eccentricity of the applied load in the direction of L
ez initial zinc thickness of coating (for steel reinforcement elements)
fds direct shear factor determined from direct shear tests or comparable experience (for
reinforcing elements)
fe0d factor accounting for that initial deflection of pile is not measurable
fmd design value of the unconfined compressive strength of improved ground
fs reduction factor to allow for uncertainty in the extrapolation of data for a given design
service life
fud design tensile strength of steel reinforcement
fuk characteristic ultimate tensile strength of steel reinforcement
fyk characteristic yield strength of steel reinforcement
gc, gq, gγ non-dimensional factors accounting for ground surface inclination
gcu non-dimensional factor accounting for ground surface inclination, undrained
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EN 1997-3:2025 (E)
h maximum depth or maximum height of a cutting, excavation or embankment
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hcom depth to the bottom of a compressible soil layer or the zone of influence
href reference thickness of a soil layer
hs distance between the lowest support and excavation level at each construction stage
i index from 1 to n
ic , iq , iγ non-dimensional factors accounting for load inclination
icu non-dimensional factor accounting for load inclination, undrained
j index number of layers or strata with j from 1 to n
k subgrade reaction modulus
kcc corrosion concentration factor, accounting for concentrated areas of corrosion and
depending on the steel manufacturing process
kcu reduction factor depending on the foundation material, execution method and soil or fill
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
disturbance
kd design value of the subgrade reaction modulus
kinterface reduction factor depending on the foundation material, execution method and soil or fill
disturbance
kn{P} acceptance value for the sample distribution in terms of P
kpo pull-out factor determined in laboratory pull-out tests in representative conditions, from
comparable experience, or from field tests (for reinforcement elements)
ksn soil nail (reinforcement element) pull-out factor determined from field pull-out tests or
from comparable experience
ksubgrade coefficient of horizontal subgrade reaction
kt calibration factor accounting for the influence of the termination on the measured
breaking strength of the element
ktanϕ reduction factor applied to tanϕ
ktanδ reduction factor depending on the foundation material and execution method
m exponent in bearing resistance formulae for the load inclination factor i
my mean of the measured values of log(qu,field) (in ground improvement)
n number of rigid inclusions or piles
n exponent (factor covering reduction in corrosion rate in time for reinforcement
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
elements)
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n number of geotechnical units providing resistance
ntest number and type of site-specific plie loads tests
ntotal total number of piles in similar ground conditions
p pile perimeter
p0 total at-rest earth pressure
p'0 effective at-rest earth pressure
pa component of the total active earth pressure normal to the retaining wall face
p'a component of the effective active earth pressure normal to the retaining wall face
pa,min minimum value of pa to the retaining wall face
pfd design value of the ultimate transverse ground resistance pressure
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
pf,rep representative value of the ultimate transverse ground resistance pressure
pgroup smaller dimension of a rectangle circumscribing the group of piles forming the
foundation
pp component of the total passive earth pressure normal to the retaining wall face
p'p component of the effective passive earth pressure normal to the retaining wall face
pps resistance to punching through the ground or fill (of a reinforcing element)
pre perimeter of the reinforcing element
psn representative perimeter of the failure surface enclosing the soil nail per unit length,
where pull-out resistance is mobilized
q overburden or vertical surcharge pressure at given level
q' effective overburden pressure in ground outside the foundation base at the level of the
base
q0 overburden pressure applied to the ground outside the foundation
qa vertical surcharge applied at the ground surface (on the active side of the retaining wall)
qb unit base resistance
qp permanent (or unfavourable variable) vertical surcharge applied at ground surface on
the passive side
qs surface load
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
qs,i unit shaft resistance the i-th geotechnical unit
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qsk characteristic skin friction along the soil nail (reinforcement element)
qs,rep representative value of unit shaft resistance
qst,i unit shaft resistance in tension in the i-th geotechnical unit
qu,field unconfined compressive strength measured in unconfined compressive tests on field
samples
qu,imp,k characteristic value of the unconfined compressive strength of improved ground
qu,imp,nom nominal value of the unconfined compressive strength of the Class II ground
improvement material
qu,rep representative value of the unconfined compressive strength of improved ground
s0 settlement caused by undrained shear
s1 settlement caused by consolidation
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
s2 settlement caused by creep
sc, sq, sγ non-dimensional factors accounting for the shape of the foundation
scu non-dimensional factor accounting for shape of the foundation, undrained
sground ground strata settlement profile (at any particular time)
spile pile settlement with depth
sy standard deviation of the measured values of log(qu,field) (in ground improvement)
t time in days (since t0)
tf thickness of foundation
t0 time / date of installation or construction
u groundwater pressure at a point in the ground
ua groundwater pressure acting on the active side of a retaining wall
up groundwater pressure acting on the passive side of the wall
va horizontal wall movement required to mobilize full active earth pressure
vp horizontal wall movement required to mobilize full passive earth pressure
ws surcharge on a geosynthetic layer
x distance along the length of a reinforcing element
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NBN EN 1997-3:2025
EN 1997-3:2025 (E)
y transverse deflection of a pile
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yf transverse deflection of the pile at ground failure
z depth below ground surface
za depth on the active side of a retaining wall
zc,max maximum depth at which p'c applies
zc,min minimum depth at which p'c applies
zmin minimum horizontal extent of field investigation for anchors
zp depth on the passive side of a retaining wall
Greek upper-case letters
Δa deviation in a geometrical property
ΔAr maximum anticipated loss of steel area during the design service life of the structure
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ΔB deviation in width
Δcdev allowance in design for deviation of concrete cover
ΔD deviation in diameter
Δe loss of thickness caused by corrosion in the ground
Greek lower-case letters
α angle of inclination of a foundation base to the horizontal
α angle defining the width of the foundation area
α angle of inclination of a surcharge
α1 limit value of the creep rate in Test Method 1
α3 limit value of the creep rate in Test Method 3
αds soil/reinforcement interaction coefficient for undrained conditions (for reinforcing
elements)
αSLS creep rate that defines the geotechnical resistance of an anchor at the serviceability limit
state
αULS creep rate that defines the geotechnical resistance of an anchor at the ultimate limit state
β inclination of the ground surface from the horizontal, measured downwards from the
edge of the foundation
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EN 1997-3:2025 (E)
tan ϕ coefficient of friction of the ground
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γ unit weight density of the ground
γ* relevant weight density below foundation base depend on on the ground water level
γa average weight density of the ground (on the active side of a retaining wall) above depth
za
γa,SLS partial factor on an anchor’s geotechnical resistance at the serviceability limit state
γa,SLS,test partial factor on an anchor resistance at the serviceability limit state in acceptance tests
γa,ULS partial factor on an anchor’s geotechnical resistance at the ultimate limit state
γcu partial factor on undrained shear strength
γ’d design effective weight density of the ground below foundation level
γE partial factor on the effect of actions
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
γF partial factor on an action
γF,drag partial factor on the drag force on a pile due to moving ground
γF,SLS partial factor on an anchor force at the serviceability limit state
γgs partial factor on the strength of geosynthetic reinforcement
γgs,int partial factor on the interface strength of geosynthetic reinforcement
γgs,d design value of the effective angle of shearing resistance between the ground and
geosynthetic reinforcement
γM partial factor on a material property
γM0, γM2 partial factors for steel (see EN 1993-1-1)
γM,gs partial material factor for geosynthetic reinforcing element
γM,pwm partial material factor for a polymeric steel woven wire mesh reinforcing element
γp average weight density of the ground (on the passive side of a retaining wall) above depth
zp
γpf partial factor on transverse ground resistance pressure
γR partial factor on resistance
γRa,SLS partial factor on the anchor’s geotechnical resistance at the serviceability limit state
γRa,ULS partial factor on the anchor’s geotechnical resistance at the ultimate limit state
39
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EN 1997-3:2025 (E)
γRa,SLS,test partial factor on the anchor’s geotechnical resistance at the serviceability limit state
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γRb partial factor on the base resistance of a single pile
γRc partial factor on the axial compressive resistance of a single pile
γRd,bolt model factor accounting for uncertainty in the interface model for rock bolts
γRd,group model factor accounting for uncertainty in the resistance model for a pile group
γRd,nail model factor accounting for uncertainty in the pull-out resistance of soil nails
γRd,pile model factor accounting for uncertainty in the resistance model for a piled foundation
γRd,piled-raft model factor accounting for uncertainty in the resistance modle for a piled raft
γRd,retain model factor accounting for uncertainty in the resistance model for a retaining structure
γRd,sys model factor on overall system resistance
γRd,wm model factor accounting for additional uncertainty owing to extrapolation of measured
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
strengths to the design service life of reinforcing elements
γRe partial factor on passive earth resistance
γR,group partial factor on the axial resistance of a pile group
γRh partial factor on the sliding resistance of a spread foundation
γRN partial factor on the bearing resistance of a spread foundation
γR,ds partial factor on the direct shear resistance of a reinforcing element
γR,po partial factor on the pull-out resistance of a reinforcing element
γR,piled-raft partial factor on the compressive resistance of a piled raft
γRs partial factor on the shaft resistance of a single pile loaded in compression
γR,st partial factor on the shaft resistance of a single pile loaded in tension
γR,sys partial factor on the compressive resistance of a rigid inclusion system
γRT partial factor on sliding resistance
γRT,face partial factor on passive resistance contributing to sliding resistance
γRtr partial factor on the transverse resistance of a single pile
γtanδ partial factor on interface friction
tan 𝛿𝛿 coefficient of friction between the foundation and the ground
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EN 1997-3:2025 (E)
𝛿𝛿 ground/structure interface friction angle
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δ angle of inclination of earth pressure
𝛿𝛿d design value of 𝛿𝛿
δep angle of inclination of earth pressure
𝛿𝛿rep representative value of 𝛿𝛿
εl limiting strain in reinforcement
εr reinforcement strain
ηc conversion factor accounting for long term effects in ground improvement
ηch conversion factor accounting for the adverse effects of chemical and biological
degradation of a reinforcing element at its design temperature
ηcon reduction factor accounting for anticipated loss of strength with time and from other
influences at a connection
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ηcon,dmg reduction factor accounting for the reduction of resistance due to damage of the
connection
ηcor is a reduction factor accounting for the adverse effects of degradation of the wire mesh
by corrosion over the design service life of the structure
ηcov conversion factor allowing for the relationship between log normal and normal
characteristic strengths based on field test results
ηcr conversion factor accounting for the adverse effect of tensile creep due to sustained static
load over the design service life of a structure at its design temperature
ηdmg conversion factor accounting for the adverse effects of mechanical damage on reinforcing
element or wire mesh during transportation, installation and execution
ηdyn conversion factor accounting for the adverse effects of intense and repeated loading over
the design service life of the structure
ηgs reduction factor for geosynthetic reinforcement accounting for potential loss of strength
with time and other influences
ηpwm conversion factor for reinforcement polymeric steel woven wire mesh accounting for
potential loss of strength with time and other influences
ηt conversion factor accounting for the difference in time between testing and when
improved ground is exposed to designed stresses
ηw conversion factor accounting for the adverse effects of weathering
𝜃𝜃 angle on plan between the L axis and the direction of T
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λ inclination to the vertical of a retaining wall
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λ slenderness ratio of a pile
μnorm mean normal strength of field samples
μpo coefficient of interface friction determined in laboratory pull-out tests on reinforcement
elements in representative conditions or from field tests or comparable experience
ξa,SLS,test correlation factor for serviceability limit state verification taking account of the number
of suitability tests
ξa,ULS,test correlation factor for ultimate limit state verification taking account of the number of
suitability tests
ξmean correlation factor applied to the mean of calculated or test values
ξmin correlation factor applied to the minimum of calculated or test values
ξn correlation factor based on the number of tests and selected value of measured force
ξsn correlation factor accounting for the number of field pull-out tests performed on or
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
comparable experience of reinforcement elements
ξULS correlation factor for ultimate limit state verification
σan normal component of the total active earth pressure acting on the wall face
σpn normal component of the total passive earth pressure acting on the wall face
σ'an normal component of the effective active earth pressure acting on the wall face
σ'pn normal component of the effective passive earth pressure acting on the wall face
σ'n normal effective stress acting on a reinforcing element
σ'v effective vertical stress acting on the anchorage length of a reinforcing element
σ'va vertical stress (excluding surcharge pressure) acting on the active side of the wall
σ'r radial effective stress
τa, τp shear component of the active and passive earth pressure, respectively
τds resistance against direct shear along the ground/grout/reinforcement interface of a
reinforcing element
τf interface resistance along the soil nail, soil nail-grout, soil nail-soil, or grout-soil interface
τs shaft friction mobilized to equilibrate the vertical anchor force
τs,dd unit shaft friction causing downdrag
τpo representative shear resistance against pull-out of a reinforcing element along the
ground/grout/reinforcement interface
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φsn,d design value of the effective angle of shearing resistance between the ground and a soil
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nail
φ'st,d design value of the effective angle of shearing resistance between the ground and steel
reinforcement
ωα intermediate variable depending on the angle of inclination of a surcharge
ωδ intermediate variable depending on the angle of inclination of earth pressure
3.2.2 Abbreviations
AI, AII diffused ground improvement classes
BI, BII discrete ground improvement classes
CPT cone penetration test
GC Geotechnical Category
MPM Ménard pressuremeter test
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NDP Nationally Determined Parameter
OCR overconsolidation ratio of soil
PMT pressuremeter test
PWM polymeric steel woven wire mesh
SPLT serviceability pile load test
SPT standard penetration test
UPLT ultimate pile load test
VC Verification Case
4 Slopes, cuttings, and embankments
4.1 Scope and field of application
This clause shall apply to overall stability, local stability, and displacement of slopes, cuttings and
embankments.
NOTE 1 EN 16907 (all parts) gives definitions, principles and general rules for the planning, design, and
specification of earthworks.
NOTE 2 The stability of existing slopes can be assessed using reliability levels for existing structures according
to EN 1990.
This clause shall apply to dams and levees but excludes the verification of water retention of those
structures.
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NOTE The provisions in this clause do not entirely cover design rules needed for dams and levees classified in
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CC3 and CC4. For these structures, additional provisions can be needed.
This clause shall apply to the overall stability of the following:
— slopes and cuttings supporting nearby structures, infrastructure or foundations;
— existing slopes within the zone of influence of the construction works;
— retaining structures (see Clause 7);
— slopes and cuttings supported by anchors (see Clause 8);
— reinforced fill structures (see Clause 9);
— soil nailed structures (see Clause 10);
— slopes and cuttings supported by rock bolts or rock surface support (see Clause 11); and
— embankments on improved ground (see Clause 12).
4.2 Basis of design
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
4.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to slopes, cuttings, and embankments.
4.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to slopes, cuttings, and embankments.
4.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to slopes, cuttings, and embankments.
4.2.4 Actions and environmental influences
4.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to slopes, cuttings, and embankments.
4.2.4.2 Permanent and variable actions
Design situations involving long-term settlement and movement should be verified according to EN
1997-1:2024, 9.1(5).
Traffic load on slopes, cuttings and embankments shall comply with EN 1991-2:2023, 6.9 and 8.10,
as appropriate.
4.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to slopes, cuttings, and embankments.
4.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to slopes, cuttings, and embankments.
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4.2.5 Limit states
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4.2.5.1 Ultimate limit states
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified for
all slopes, cuttings, and embankments:
— loss of overall and local stability of the ground and structures within the zone of influence;
— failure due to gradual degradation of ground strength;
— failure along discontinuities;
— failure due to rock fall;
— loss of bearing resistance of embankments;
— structural failure of the face or surface of the slope, cutting or embankment and parts of it;
— structural failure of stabilizing measures;
— adverse hydraulic effects as a result of failure of drains, filters or seals;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— rapid drawdown of surface water levels causing excess pore water pressure;
— failure of the ground caused by surface or internal erosion, or scour; and
— structural failure in structures, roads, railway lines, or utilities due to movements in the ground in
the zone of influence.
Potential ultimate limit states other than those given in (1) should be verified.
4.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified for all slopes, cuttings, and embankments:
— settlement of embankments;
— horizontal ground movements of slopes, cuttings, and embankments;
— creep in soil and fill during the freezing and thawing period;
— loss of serviceability in neighbouring structures, roads or services due to movements in the ground
or due to changes in groundwater conditions;
— deformation of the structure, which can cause serviceability limit states of existing nearby structures;
— movements in the ground due to shear deformations, settlement, vibration or heave; and
— accumulated ground movement or settlement due to creep.
NOTE Excavation below groundwater level can cause severe reduction in ground strength, hydraulic heave,
groundwater flow, internal erosion, piping or surface erosion.
Potential serviceability limit states other than those given in (1) should be verified.
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4.2.6 Robustness
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EN 1997-1:2024, 4.1.4 shall apply for slopes, cuttings, and embankments.
4.2.7 Ground investigation
4.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply for slopes, cuttings, and embankments.
NOTE Specific ground investigations for earthworks are given in EN 16907-1 and EN 16907-5.
4.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for slopes, cuttings,
and embankments shall be determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 4.1 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Table 4.1 (NDP) — Minimum depth of field investigation of slopes, cuttings, and embankments
Application Minimum depth Illustration
Cuttings dmin = 1,4 h
Embankmentsa dmin = max{1,2 h; hcom + 2 m}
a hcom is the depth to the bottom of a compressible soil layer or of the zone of influence. hcom is measured from the same
position as dmin.
4.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to slopes, cuttings, and embankments.
4.3 Materials
4.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to slopes, cuttings, and embankments.
NOTE For fill properties see EN 1997-1:2024, Clause 5.
Anisotropic properties should be determined if they have the potential to influence ground
behaviour.
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EN 1997-3:2025 (E)
NOTE For example, anisotropic ground strength is of special importance for cuttings in fine soils due to the
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unloading and rotation of the principal stresses.
Potential reduction in ground strength properties caused by exposure to weather conditions during
or after execution should be considered.
NOTE Examples include desiccation, saturation and salinity of the ground and thawing of frozen ground.
Slopes, cuttings, and embankments may be verified using effective stress or total stress ground
properties.
The determination of properties of discontinuities shall comply with EN 1997-2:2024, 6.2.
For unstable, slowly moving slopes, ground properties may be derived from back analyses using EN
1997-1:2024, 4.3.2.4 and EN 1997-2:2024, 5.3.4.
4.3.2 Engineered fill
EN 1997-2:2024, 5.2 shall apply for engineered fill in slopes, cuttings and embankments.
NOTE For classification of fill, see EN 16907-2.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
4.3.3 Improved ground
When ground improvement techniques are used, determination of representative values of the
improved ground properties shall comply with Clause 12.
4.3.4 Other materials
Materials other than those specified in 4.3.2 to 4.3.3 may be used provided they comply with a
relevant material standard.
NOTE The relevant standard can be specified in the National Annex.
4.4 Groundwater
4.4.1 General
EN 1997-1:2024, Clause 6 shall apply to slopes, cuttings, and embankments.
Measures shall be taken to prevent the adverse effects of potential scour leading to erosion of soil
around an earth-structure or internal erosion of soil within or around an earth structure.
Groundwater pressure at interfaces and in discontinuities shall be determined.
Groundwater flow through interfaces and discontinuities shall be determined.
4.4.2 Groundwater control measures
Clause 13 shall apply to slopes, cuttings and embankments.
Groundwater control measures may be provided to ensure that design groundwater and piezometric
pressures are not exceeded due to unforeseen circumstances.
NOTE 1 Guidance on verification of groundwater control measures is given in Clause 13.
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NOTE 2 Examples of drainage for cuttings and embankments are given in EN 16907-1.
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If groundwater control measures are not provided, the design shall be verified to withstand potential
increase of groundwater pressures.
When the safety and the serviceability of the structure depends on the successful performance of a
groundwater control system, a Maintenance Plan shall be specified.
Failure of groundwater control measures should be treated as an accidental design situation.
4.5 Geotechnical analysis
4.5.1 General
EN 1997-1:2024, Clause 7 shall apply to slopes, cuttings, and embankments.
In addition to EN 1997-1:2024, 4.3.1.3, the design of slopes, cuttings, and embankments subject to
cyclic and dynamic loading should consider the following:
— degradation of ground strength and stiffness;
— accumulated ground movement or settlement;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— build-up of excess groundwater pressures;
— amplification of loads or displacements owing to resonance; and
— potential liquefaction of the ground.
NOTE For seismic design, see EN 1998-5.
The resistance of pre-existing sliding surfaces should be determined using residual strength
properties.
If the level of reliability required by EN 1990 is not obtained in the design verification, stabilizing
measures shall be considered.
When verifying stability, all potential failure mechanisms shall be verified.
4.5.2 Stability of slopes and cuttings in soils and fill
The stability of slopes shall be determined using at least one of the following calculation models:
— limit-equilibrium methods;
— numerical models according to EN 1997-1:2024, 7.1.4; or
— limit analysis.
NOTE 1 Calculation models for stability of soil and fill slopes are given in A.3.
NOTE 2 In layered soils with significant differences in shear strength, the most critical failure surfaces generally
are non-circular and intersect the layers with the lowest shear strength.
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When it is not obvious which drainage condition (drained or undrained) governs overall stability in
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any particular geotechnical unit, a calculation using a combination of drained or undrained
conditions should be used in which the most unfavourable combination is chosen.
The permanent weight density of ground within a slope, embankment, or cutting should be
determined in accordance with EN 1990:2023, 6.1.2.2.
NOTE The weight density is a mean value when the uncertainty is small; otherwise it is either the superior
(upper) or inferior (lower) characteristic value, whichever is more critical.
The stabilizing effect from pore water suctions arising in the unsaturated zone may be used in
transient design situations, provided its effect can be verified by comparable experience,
groundwater pressure measurements or monitoring.
NOTE The stabilizing effect is also referred to as apparent cohesion and can vary significantly with a change of
moisture content. A common approach is to assume zero groundwater pressure above the piezometric level.
Potential development of tension cracks in cohesive soils or cracks due to drying of high plasticity
clays shall be considered when verifying limit states.
Potential instability along soil-rock interfaces shall be considered when verifying limit states.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
4.5.3 Stability of slopes and cuttings in rock mass
The verification of rock mass stability shall consider, but is not limited to:
— the rock excavation technique and sequence;
— damaging effects of excavation by blasting;
— influence of rock discontinuities and weathered zones within slopes and cuttings on the local
stability;
— the influence of strength anisotropy of the rock material;
— the effect of strength reduction with time through weathering, swelling, degradation, and climate
effects;
— groundwater;
— geometry/curvature;
— rock stress (particularly horizontal); and
— effect of possible local instability on the overall stability.
NOTE Calculation models for stability of rock slopes are given in A.4.
The verification of limit states shall be based on geotechnical mapping and documentation of the
rock conditions obtained from site inspection and testing.
4.5.4 Stability of embankments
For the analysis of the stability of embankments, 4.5.2 shall apply.
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Analysis of embankments should adopt strength and stiffness properties that have been determined
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at compatible strains for the different materials in the embankment and ground.
Additional calculation models for bearing resistance and settlement analysis given in Clause 5 may
be used to verify that embankments do not exceed limit states.
For embankments on low strength fine soils and organic soils, resistance to punching failure and
plastic extrusion failure of the underlying soil should be verified.
NOTE 1 A calculation model for extrusion resistance of reinforced embankments is given in F.4.
NOTE 2 Calculation models for embankments subject to punching shear are given in B.5.
4.5.5 Ground displacement and settlement of embankments
In addition to EN 1997-1:2024, 4.3.1 potential ground displacement due to the following causes
should be considered:
— change of stresses in the ground due to self-weight or the application and removal of external actions;
— change in groundwater conditions and corresponding groundwater pressures;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— ongoing creep;
— volume loss of soluble strata or due to internal erosion;
— through degradation;
— shrinkage and swelling of ground due to change in water content;
— freeze and thaw effects; and
— presence of cavities in the ground.
The following components of settlement should be considered for soils and fill beneath and within
the embankment:
— immediate settlement;
— settlement caused by consolidation; and
— settlement caused by creep.
NOTE Consolidation and creep can occur simultaneously, particularly in thick soil layers of low hydraulic
conductivity.
Immediate settlement and settlement below an embankment during execution should be included
in the calculation of total settlement if it affects the final structure or utilities.
Settlement within and below the embankment after execution due to external actions, self-weight,
or delayed compaction effects should be included in the total settlement.
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4.6 Ultimate limit states
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4.6.1 General
EN 1997-1:2024, Clause 8 shall apply to slopes, cuttings, and embankments.
Slopes, cuttings, and embankments may be verified by the partial factor method according to EN
1997-1:2024, 4.4.
Slopes, cuttings, and embankments may be verified by prescriptive rules according to EN
1997-1:2024, 4.5.
Slopes, cuttings, and embankments may be verified by testing according to EN 1997-1:2024, 4.6.
Staged construction or trial embankments excavations or cuttings may be used to verify limit states.
Slopes, cuttings, and embankments may be verified using Observational Method according to EN
1997-1:2024, 4.7.
Potential uplift of embankment due to buoyancy shall be considered as an ultimate limit state.
4.6.2 Supporting elements
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
In cases where a combined failure of supporting elements and the ground could occur, ground-
structure interaction shall be considered allowing for the difference in strength and stiffness of the
ground and that of the supporting element.
NOTE Supporting elements include but are not limited to walls, piles, anchors, props, discrete ground
improvement, soil nails and rock bolts.
If supporting elements are used to increase overall stability, their structural resistance shall be
verified for the combined effects of actions from the ground and the structure for all relevant design
situations.
Supporting elements used to improve overall or local stability, bearing resistance, or settlement
performance shall be verified in accordance with Clauses 6 to 12.
NOTE Actions in the supporting elements can include axial forces, shear forces or bending moments depending
on the types of interaction between the ground and the supporting elements.
It shall be verified that the supporting element can resist the design value of the effect of actions Ed
from the structure given by either Formula (4.1) for Verification Cases 1 and 3 or Formula (4.2) for
Verification Case 4:
𝐸𝐸d = max �𝐹𝐹d,ULS ; 𝛾𝛾F 𝐹𝐹rep,SLS � (4.1)
𝐸𝐸d = max�𝛾𝛾E 𝐹𝐹rep,ULS ; 𝛾𝛾E 𝐹𝐹rep,SLS � (4.2)
where
Fd,ULS is the design value of the action that the supporting element shall provide to prevent
an ultimate limit state of the supported structure;
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Frep,ULS is the representative value of the action that the supporting element shall provide to
prevent an ultimate limit state of the supported structure;
Frep,SLS is the representative value of the action that the supporting element shall provide to
prevent a serviceability limit state of the supported structure;
γF is the partial factor applied to Frep,SLS in Verification Cases 1 and 3 to convert it to a
design value; and
γE is the partial factor applied to Frep,SLS and Frep,ULS in Verification Case 4 to convert them
to design values.
NOTE 1 Formulae (4.1) and (4.2) ensure that the supporting element can resist the largest force that could occur
during the entire design service life of the supported structure.
NOTE 2 The values of γF and γE are given in EN 1990.
The value of Frep,SLS should include the effects of prestress in the supporting element.
4.6.3 Partial factors
Partial factors for the verification of slopes, cuttings, and embankments at the ultimate limit state
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
shall be determined according to EN 1997-1:2024, 4.4.1 using the Material Factor Approach.
NOTE Values of the partial factors are given in Table 4.2 (NDP) for persistent and transient design situations
unless the National Annex gives different values.
Table 4.2 (NDP) — Partial factors for the verification of ground resistance of slopes, cuttings,
and embankments for fundamental (persistent and transient) design situations
Verification of Partial factor on Symbol Material Factor Approach
Actions γF VC3a
Overall stability
Ground propertiesc γM M2b
Bearing resistance see Clause 5
a Values of the partial factors for Verification Case 3 (VC3) are given in EN 1990:2023, Annex A.
b Values of the partial factors for Set M2 are given in EN 1997-1:2024, 4.4.1.3.
c Also includes ground properties of Class AI ground improvement (see Clause 12).
4.7 Serviceability limit states
4.7.1 General
EN 1997-1:2024, Clause 9 shall apply to slopes, cuttings, and embankments.
It shall be verified that deformation of the ground within the zone of influence of a slope, cutting, or
embankment does not cause a serviceability limit state in nearby structures or civil engineering
works.
Serviceability limit states for embankments shall be verified for deformations caused by freezing and
thawing.
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EN 1997-3:2025 (E)
Occurrence of a serviceability limit state may be avoided by:
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— limiting the mobilised strength; or
— monitoring the movements and specifying actions to limit them.
4.7.2 Slopes and cuttings
In accordance with EN 1990:2023, 5.1(2), if there are no explicit serviceability criteria, then the
verification of serviceability limit states of slopes may be omitted provided ultimate limit states are
verified.
4.7.3 Embankments
It shall be verified that differential settlement due to the following causes does not exceed the defined
serviceability criteria:
— differences in embankment height;
— external loading;
— variability of loading;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— variability of ground properties; and
— variability of the thickness of geotechnical units.
When verifying the settlement of an embankment, any change of effective stress in the ground should
be considered.
4.8 Implementation of design
4.8.1 General
EN 1997-1:2024, Clause 10 shall apply to slopes, cuttings, and embankments.
NOTE For earthworks, see EN 16907-3.
4.8.2 Inspection
EN 1997-1:2024, 10.3 shall apply to slopes, cuttings, and embankments.
Quality control of earthworks should comply with EN 16907-5.
4.8.3 Monitoring
4.8.3.1 General
EN 1997-1:2024, 10.4 shall apply to slopes, cuttings, and embankments.
In addition to EN 1997-1:2024, 10.4, a Monitoring Plan should be prepared for slopes, cuttings, and
embankments in GC2 and GC3 for the following situations:
— when existing slopes show permanently or repeatedly ongoing displacement;
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— where the stability is sensitive to the groundwater pressure distribution in and beneath the
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embankment;
— when utilizing the stabilising effect from pore water suction; and
— when measuring the effects on structures.
4.8.3.2 Monitoring of slopes and cuttings
The Monitoring Plan for slopes and cuttings should include, but is not limited to, measurement of the
following:
— horizontal and vertical ground displacements with time;
— groundwater levels or groundwater pressures with time as needed;
— location and geometrical properties of the sliding surface in a developed slide, to derive the ground
strength parameters from back analysis for the design of remedial works; and
— displacement and visible damage of structures and infrastructures within the zone of influence.
4.8.3.3 Monitoring of embankments
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The Monitoring Plan for an embankment should include, but is not limited to, the following:
— groundwater pressure measurements during execution of embankments on fine soil and fill of high
compressibility;
— settlement measurements for the whole or parts of the embankment, different soil layers, and nearby
structures, roads, and services;
— measurements of horizontal displacements in the zone of influence;
— checks on strength and stiffness properties of fill during construction;
— visual inspection of rockfall protection measures;
— regular emptying of boulder traps upstream of the structure;
— chemical analyses before, during and after construction, if pollution control is required;
— if fine grained fill is used: groundwater pressure measurement within the body of the embankment
during construction; and
— checks on hydraulic conductivity or grain sized distribution of fill material and of foundation soil
during construction.
When an embankment on fine soil of low strength is raised in layers to avoid potential limit states,
groundwater pressures within the zone of influence should be monitored to ensure that they have
dissipated to a sufficient degree before the next layer is placed to prevent a limit state being
exceeded.
4.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to slopes, cuttings and embankments.
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The Maintenance Plan should include, but is not limited to, the following:
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— inspection and maintenance measures of erosion and scour protection, drainage systems and filters;
— allowable dredging or excavation levels;
— procedures for canal or reservoir emptying;
— reconstruction or remedial measures of existing slopes after failure or extensive deformation; and
— allowable loads and other restrictions during maintenance work.
4.9 Testing
EN 1997-1:2024, Clause 11 shall apply to slopes, cuttings, and embankments.
4.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to slopes, cuttings, and embankments.
5 Spread foundations
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5.1 Scope and field of application
This clause shall apply to spread foundations, including pad, strip, and raft foundations and
unreinforced working platforms.
NOTE Parts of this clause also apply to load transfer platforms over rigid inclusions (see Clause 12).
This clause may be applied to deep foundations, including caissons, that behave as spread
foundations.
5.2 Basis of design
5.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to spread foundations.
Design situations for spread foundations should also include the effect of:
— soluble, expansive, and collapsible soils;
— the particular features of rock; and
— potential scour.
5.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to spread foundations.
The width of a spread foundation should be chosen considering setting out tolerances, working space
requirements, and the dimensions of the structural member supported by the foundation.
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When choosing the embedment depth of a spread foundation, influences that could affect the
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resistance of the bearing stratum and the deformation behaviour of the foundation shall be
considered.
NOTE Influences that can affect the resistance of the bearing stratum are given in B.3.
When selecting the embedment depth of a spread foundation, the embedment depth of current and
future utilities should be considered in order to limit interaction effects.
5.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to spread foundations.
5.2.4 Actions and environmental influences
5.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to spread foundations.
5.2.4.2 Permanent and variable actions
Actions for spread foundations shall include but not be limited to:
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— imposed actions from the structure;
— the self-weight of the foundation;
— the weight of any backfill placed on the foundation;
— favourable and unfavourable earth pressures acting on the foundation, where significant;
— loading due to lateral or vertical ground displacements;
— actions due to frost, including frost heave, thaw settlement, and thaw weakening of the ground;
— actions due to swelling in soils with high expansion potential;
— actions due to the collapse of ground;
— actions due to heating of the ground causing a reduction in the water content and ground
movements;
— actions due to the swelling of desiccated ground by the restoration of groundwater;
— actions due to seasonal drying and wetting cycles;
— changes in geometrical and geotechnical properties during the structure’s design service life due to
anticipated nearby excavations for the replacement of pipes, cables, and drainage;
— actions due to adjacent building; and
— accidental actions.
The adverse effects of actions on a spread foundation due to planned construction of adjacent
structures and nearby excavations should be considered.
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Hazards due to changes in the volume of the ground shall be identified.
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NOTE Examples of risks are active soils, swelling, shrinking and heave.
In ground with high expansion potential, measures shall be taken to avoid swelling during execution
of a spread foundation.
Spread foundations should be designed to accommodate potential effective stress and volumetric
changes in the ground caused by a change in groundwater level.
Spread foundations should be designed to accommodate potential effective stress and volumetric
changes in the ground caused by a change in water content.
NOTE Examples of reasons for a change in water content is the presence or removal of nearby trees or other
vegetation or the presence of expansive clays.
For raft foundations, an analysis of the interaction between the supported structure and the ground
should be performed to determine the distribution of actions on the spread foundation.
Actions on the foundation may be determined by an analysis of ground structure interaction based
on an equivalent spring model of the ground, or other interaction models.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 1 Formulae for spring stiffnesses are given in B.15.
NOTE 2 The stiffness of the springs is to be chosen depending on the stress and strain level. For dynamic actions,
the spring stiffness is frequency dependent.
5.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to spread foundations.
The design of foundations subjected to cyclic and dynamic loading should consider the following:
— occurrence of vibrations that can affect the structure, surrounding structures, people or sensitive
machinery;
— decrease of ground strength and potential liquefaction of foundation soil (leading to ultimate limit
states being exceeded at loads below those expected from verifications based on static strength);
— changes in the ground hydraulic conductivity;
— large eccentricity leading to smaller effective foundation area and reduced bearing resistance;
— decrease of ground stiffness, leading to an accumulation of permanent foundation displacement;
— damping of vibrations in the ground beneath the structure;
— amplification of loads or movements owing to resonance; and
— potential surface wave issues due to dynamic loading.
5.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to spread foundations.
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Measures shall be taken to avoid frost impact on ground during execution.
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Testing to determine the frost susceptibility of the ground shall comply with EN 1997-2:2024, 12.2.
Structural damage due to frost in frost susceptible ground may be prevented by adopting one or
more of the following measures:
— setting the foundation level beneath the depth of frost penetration; or
— providing insulation to prevent frost.
For buildings, insulation to prevent frost should comply with EN ISO 13793.
For structures other than buildings, insulation against frost may be as specified by the relevant
authority or, where not specified, agreed for the specific project by the relevant parties.
The potential of low temperatures due to ground freezing causing deformations of the foundation
elements shall be considered in the presence of frost susceptible ground.
NOTE This particularly applies to thin raft foundations, including the execution stage.
The adverse effects of frost action caused by construction work or by ground freezing should be
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
considered.
Measures shall be taken to avoid structural damage due to drying and wetting cycles of the ground
caused by the change of climatic conditions during service life.
Measures shall be provided to prevent the adverse effects of potential scour leading to erosion of soil
under and around a spread foundation.
Measures shall be provided to prevent adverse effects of soluble materials, if present.
5.2.5 Limit states
5.2.5.1 Ultimate limit states
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified for
all spread foundations:
— bearing failure;
— sliding failure;
— rotational failure;
— shear and tensile failure of possible ground-foundation reinforcement elements;
— excessive deformations due to collapsible soils and cavities in the ground;
— structural failure due to excessive foundation movement; and
— excessive heave due to swelling, frost, or other causes.
NOTE Toppling can be verified according to EN 1997-1:2024, 8.1.
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Potential ultimate limit states other than those given in (1) should be verified.
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5.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified for all spread foundations:
— settlement;
— heave;
— rotation and tilting; and
— horizontal displacement.
NOTE Suggested maximum permitted values of foundation movements are given in EN 1990:2023, A.1.8.4.
Potential serviceability limit states other than those given in (1) should be verified.
5.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to spread foundations.
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5.2.7 Ground investigation
5.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to spread foundations.
5.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for a spread
foundation shall be determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 5.1 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
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Table 5.1 (NDP) — Minimum depth of field investigation for spread foundations
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Application Minimum deptha, Illustration
Square or circular spread dmin = max{3B; 6 m}
foundation
Strip spread foundation dmin = max{5B; 6 m}
Raft or structure supported by a dmin = max{1,5B; 6 m}
group of spread foundations
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a B is related to the foundation system behaviour: the width of the shallow foundation for a single or a strip
foundation, the width of the foundation group for a structure supported by many shallow foundations (to take
into account group effects)
5.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to spread foundations.
5.3 Materials
5.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to spread foundations.
NOTE For engineered fills, see EN 1997-1:2024, 5.2.
Spread foundations may be verified using effective or total stress properties depending on the
permeability of the ground, potential failure mechanisms, and the rate and duration of loading.
5.3.2 Plain and reinforced concrete
EN 1997-1:2024, 5.5 shall apply to spread foundations.
5.3.3 Other materials
Materials other than those specified in 5.3.2 may be used provided they comply with a relevant
material standard.
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NOTE The relevant standard can be specified in the National Annex.
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5.4 Groundwater
5.4.1 General
EN 1997-1:2024, Clause 6 shall apply to spread foundations.
Groundwater levels and pressures (including potential changes) that could affect bearing or sliding
resistance, stability against uplift, loss of equilibrium, or settlement of the spread foundation shall be
considered in the verification of limit states.
Where the groundwater level is close to the foundation level, the effects of pore water suction
causing deterioration of foundation materials should be considered.
NOTE Pore water suction can be avoided by including waterproofing membranes or a capillary break soil layer.
5.4.2 Groundwater control measures
Clause 13 shall apply to spread foundations.
If ponding of water above a spread foundation reduces its robustness against the occurrence of a
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
limit state below an acceptable level, drainage measures should be provided to remove the surface
water or structural measures implemented to prevent ponding.
5.5 Geotechnical analysis
5.5.1 General
EN 1997-1:2024, Clause 7 shall apply to spread foundations.
When verifying a spread foundation against ultimate or serviceability limit states, the effect of
adjacent foundations on the loading, resistance and movement of the foundation should be
considered.
In addition to (2), the effect of the spread foundation on nearby foundations, structures, and services
should be considered.
Calculation models used to verify the bearing resistance of a spread foundation should account for
the following:
— the failure mechanism (general shear, local shear, punching shear, or squeezing failure);
— the strength of the ground;
— the variability of the ground, especially layering;
— discontinuities and weakness zones in a rock mass or in hard soils;
— the shape, depth, and inclination of the foundation;
— groundwater pressures;
— the inclination of the ground surface;
— the depth and extent of the failure zone;
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— the eccentricity and inclination of the loads; and
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— the presence of cyclic or dynamic loads.
NOTE Guidance on the use of calculation models is given in 5.5.2 to 5.5.4. Details of the calculation models are
given in B.4 to B.13.
5.5.2 Bearing resistance
5.5.2.1 Bearing resistance on soil or fill
Provided that the undrained strength of the ground is constant within the zone of influence, the
undrained bearing resistance (RNu) to the normal component of the total force acting on the base of
the foundation of a spread foundation on soil or fill may be determined using total stress analysis
from:
𝑅𝑅Nu = 𝐴𝐴′ (𝑐𝑐u 𝑁𝑁cu 𝑏𝑏cu 𝑑𝑑cu 𝑔𝑔cu 𝑖𝑖cu 𝑠𝑠cu + 𝑞𝑞o ) (5. 1)
where
A' is the effective plan area of the foundation, see (2) and (3);
cu is the undrained shear strength of the soil or fill;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Ncu is a non-dimensional bearing resistance factor for the influence of the ground's
undrained shear strength;
qo is the overburden pressure in the ground outside the foundation base acting at the
level of the foundation base; and
bcu, dcu,, are non-dimensional factors to account for the effects of base inclination, embedment
gcu, icu, depth and resistance above the base of the foundation, ground surface inclination,
and scu, load inclination, and foundation shape.
NOTE Formulae for Ncu, bcu, dcu, gcu, icu, and scu are given in B.4(1) and (3).
The effective plan area of a rectangular foundation (A′) in Formula (5.1), assuming a uniform stress
distribution should be determined from:
𝐴𝐴′ = 𝐵𝐵′ × 𝐿𝐿′ = (𝐵𝐵 − 2𝑒𝑒B )(𝐿𝐿 − 2𝑒𝑒L ) (5. 2)
where
B' is the effective foundation width;
L' is the effective foundation length;
B is the foundation width;
L is the foundation length;
eB is the eccentricity of the applied load in the direction of B; and
eL is the eccentricity of the applied load in the direction of L.
NOTE The notation used in Formula (5.2) is illustrated in Figure 5.1.
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
Df embedment depth
N component of the total action acting normal to the foundation base
T component of the total action acting transverse (parallel) to the foundation base
α angle of foundation base
B foundation width
B' effective foundation width
L foundation length
L' effective foundation length
A' effective plan area of a the foundation
eB eccentricity of the applied load in the direction of B
eL eccentricity of the applied load in the direction of L
β inclination of the ground surface from the horizontal, measured downwards from the
edge of the foundation
Figure 5.1 — Notation for a rectangular spread foundation with an inclined base and eccentric
load
The effective plan area (A') of a circular foundation for use in Formula (5.1) should be determined
from:
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𝐷𝐷 2 2𝑒𝑒 2𝑒𝑒 2𝑒𝑒 2
𝐴𝐴′ = 𝐵𝐵′eq × 𝐿𝐿′eq = �𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 � � − �1 − � � � (5. 3)
2 𝐷𝐷 𝐷𝐷 𝐷𝐷
′
𝐵𝐵eq 𝐷𝐷−2𝑒𝑒
=� (5. 4)
𝐿𝐿′
eq 𝐷𝐷+2𝑒𝑒
where
B'eq is the effective width of an equivalent rectangular foundation;
L'eq is the effective length of an equivalent rectangular foundation;
D is the diameter of the circular foundation; and
e is the eccentricity of the applied or resultant action.
NOTE 1 acos(2e/D) is in radians.
NOTE 2 The notation used in Formulae (5.3) and (5.4) is illustrated in Figure 5.2.
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Key
α angle defining the width of the foundation area
Figure 5.2 — Definition of effective area for a circular spread foundation with an eccentric load
The drained bearing resistance (RN) to a force acting normal to the base of a spread foundation on
soil or fill may be determined using effective stress analysis from:
𝑅𝑅N = 𝐴𝐴′ �𝑐𝑐 ′ 𝑁𝑁c 𝑏𝑏c 𝑑𝑑c 𝑔𝑔c 𝑖𝑖c 𝑠𝑠c + 𝑞𝑞 ′ 𝑁𝑁q 𝑏𝑏q 𝑑𝑑q 𝑔𝑔q 𝑖𝑖q 𝑠𝑠q + 0.5γ∗ 𝐵𝐵′ 𝑁𝑁γ 𝑏𝑏γ 𝑑𝑑γ 𝑔𝑔γ 𝑖𝑖γ 𝑠𝑠γ � (5. 5)
where
A' is the effective plan area of the foundation;
B' is the effective foundation width shown in Figure 5.1;
c' is the soil’s or fill’s effective cohesion;
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q'
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is the effective overburden pressure in ground outside the foundation base at the
level of the base;
γ* is the relevant weight density below foundation base depending on the
groundwater level;
Nc, Nq, are non-dimensional bearing resistance factors;
Nγ
bc , bq , bγ are non-dimensional factors accounting for base inclination;
dc, dq, dγ are non-dimensional factors accounting for embedment depth and resistance above
the base of the foundation;
gc, gq, gγ are non-dimensional factors accounting for ground surface inclination;
ic , iq , iγ are non-dimensional factors accounting for load inclination; and
sc, sq, sγ are non-dimensional factors accounting for the shape of the foundation base.
NOTE 1 Formulae for Nc, Nq, etc. are given in B.4(4) and B.4(6).
NOTE 2 Guidance is given in B.4(7) to account for the effect of groundwater level on overburden pressure q′ and
weight density, γ*.
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NOTE 3 Formula (5.5) is valid only for a single homogeneous ground layer.
Formula (5.5) may also be applied to layered ground provided that the rupture mechanism does not
differ from that implied by the adoption of Formula (5.5).
NOTE 1 The rupture mechanism depends on the shear strength properties of the ground layers within the zone
of influence.
NOTE 2 A procedure for estimating the depth of the rupture mechanism is given in B.4.
The terms q0 and q' in Formulae (5.1) and (5.5) respectively shall be reduced if the overburden could
be removed during the design service life of the foundation.
The values of dcu in Formula (5.1) or dc and dq in Formula (5.5) should only be > 1,0 when the strength
of soil or fill above the foundation depth D is equal to or greater than the strength of the soil within
the rupture mechanism below the foundation level; otherwise the values of dcu, dc and dq should be
equal to 1,0.
Where soil or fill beneath a spread foundation has a definite structural pattern of layering or other
discontinuities, the assumed failure mechanism and the selected shear strength and deformation
parameters shall consider the characteristics of the layering and discontinuities.
Where a weaker geotechnical unit underlies a stronger unit, including a coarse layer forming a
working platform foundation, the failure mechanisms that should be considered depend on the
relative thickness of the stronger layer to the foundation width and should include:
— bearing resistance failure in the upper geotechnical unit;
— punching failure through the upper unit and bearing resistance failure in the lower unit; and
— squeezing or extrusion failure in the lower unit.
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NOTE Calculation models for punching failure of a spread foundation on a stronger geotechnical unit over a
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weaker unit are given in B.5.
Soil reinforcement may be placed on a weak geotechnical unit under a spread foundation supporting
an inclined force, or under a stronger unit supporting a working platform, to resist the horizontal
component of the force.
When analytical models cannot accommodate or do not adequately represent the design situations
described in (9) and (10), numerical models should be used instead to determine the most
unfavourable failure mechanism (see EN 1997-1:2024, 8.2).
5.5.2.2 Bearing resistance of rock mass
The bearing resistance of a spread foundation on a rock mass that behaves as a discontinuous
medium shall be verified using the shear strength along discontinuities, determined in accordance
with EN 1997-2:2024, 8.1.5.
NOTE Mechanisms for bearing resistance of a spread foundation on a discontinuous rock can include planar
sliding, wedge sliding and toppling.
The bearing resistance of a spread foundation on a rock mass that behaves as an equivalent
continuous medium shall be verified using the shear strength determined in accordance with EN
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1997-2:2024, 8.14.
NOTE A calculation model based on wedge equilibrium is presented in B.16.
5.5.2.3 Bearing resistance from empirical models
An empirical calculation model may be used to verify bearing resistance of spread foundations,
provided there is comparable experience of its successful use.
The bearing resistance of a spread foundation on soil may be determined from the results of field
investigations and calculation models.
NOTE An empirical calculation model for the bearing resistance of a spread foundation is given in B.6.
5.5.3 Sliding resistance
The resistance of a spread foundation to sliding may be determined as the sum of the resistance to
sliding on its base plus any resistance to sliding caused by earth pressure on the front face of the
foundation.
The resistance from earth pressure on the front face of the foundation (RT,face) shall be determined
considering the properties of the ground at the front face and the compatibility of the displacements
at the front face and underneath the base.
RT,face should only be utilized if it is certain to act throughout the foundation's design service life.
Where a spread foundation includes a waterproof membrane or is constructed on a lean concrete
blinding layer, insulation plates, or frost protection, consideration shall be given to failure occurring
along a plane weaker than that between the foundation base and the underlying ground.
The undrained sliding resistance of a spread foundation along its base (RTu,base) on soil or fill may be
determined using total stress analyses from:
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𝑅𝑅Tu,base = 𝐴𝐴red 𝑘𝑘interface 𝑐𝑐u (5. 6)
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where
Ared is the plan area of the foundation base, not including any area where there is no
positive contact pressure between the foundation and the underlying ground as a
result of load eccentricity, ground shrinkage, or any other cause;
kinterface is a reduction factor depending on the foundation material, execution method, and
soil or fill disturbance; and
cu is the undrained shear strength of soil or fill.
The drained sliding resistance of a spread foundation along its base (RT,base) on soil or fill may be
determined using effective stress analysis from:
𝑅𝑅T,base = (𝑁𝑁 − 𝑈𝑈)tan𝛿𝛿 (5. 7)
where
N is the normal component of the resulting force acting on the foundation base;
U is the uplift force due to groundwater pressures on the foundation base; and
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tan δ is the coefficient of friction between the foundation and the ground.
The value of the coefficient of interface friction (tan δ) shall comply with:
tan 𝛿𝛿 ≤ 𝑘𝑘interface tan 𝜑𝜑 ′ (5. 8)
where
tan ϕ’ is the value of the ground's coefficient of friction.
When the base of the spread foundation is rough or ridged, the value of kinterface should be taken as
1,0, otherwise it should be taken as 2/3.
NOTE Concrete cast directly against soil or fill are considered as rough materials. Precast concrete, masonry
and steel are considered as smooth materials.
When verifying the sliding resistance of a spread foundation, the representative angle of friction of
soil or fill should consider potential disturbance of the soil or fill beneath the foundation.
When designing a spread foundation against sliding using the Mohr-Coulomb failure criterion, the
value of effective cohesion c′ at the base of the foundation should be taken as zero.
5.5.4 Settlement
The following potential components shall be considered when calculating the settlement of spread
foundations:
— immediate settlement;
— settlement caused by consolidation;
— settlement caused by creep; and
— settlement caused by cyclic and dynamic actions.
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NOTE 1 Calculation models for settlements of spread foundations are given in B.7 to B.13 for design situations
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where comparable experience exists.
NOTE 2 Consolidation and creep can occur simultaneously, particularly in thick layers of soil of low permeability.
NOTE 3 Settlement by consolidation typically occurs in fine soils with a high degree of saturation.
NOTE 4 Cyclic and dynamic actions can generate settlements due to strain and excess ground water pressure
accumulation.
The settlement of a foundation on rock may be determined on the basis of comparable experience
related to rock mass classification.
The settlement of a spread foundation may be determined using soil and fill parameters, provided
the calculation model used is appropriate for the type of ground and is based on comparable
experience.
NOTE Information regarding the use of calculation models for settlement is provided in B.7 to B.11.
The depth of the compressible soil layer to be considered when calculating settlement should depend
on the load, the size and shape of the foundation, the variation in soil stiffness with depth and the
spacing of foundation elements.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The following factors, which can potentially cause additional settlement to the components in (1),
should be considered:
— the effect of a change in the effective stress due to reduction in the groundwater pressure;
— the effect of self-weight compaction or volume loss of the soil;
— the effects of self-weight, flooding and vibration on fill and collapsible soils; and
— the effects of stress changes on crushable coarse soil.
NOTE An example of volume loss causing settlement is the oxidation of peat above groundwater level.
The settlement of spread foundations should be determined assuming a distribution of bearing
pressures resulting from the ground-foundation interaction.
Allowance should be made for differential settlement caused by variability of the ground unless it is
prevented by the stiffness of the structure.
5.5.5 Heave
Analysis of heave shall consider the following potential mechanisms:
— reduction of effective stress;
— volume expansion of partly saturated soil;
— death or removal of vegetation;
— seasonal changes of the water content;
— increase in groundwater as a result of water leaking from damaged pipes;
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— constant volume deformations in fully saturated soil, caused by settlement of an adjacent structure;
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and
— chemical reactions in the ground.
NOTE An example of a chemical reaction in the ground causing heave is the transformation of anhydrite
(anhydrous calcium sulphate) to gypsum.
Calculations of heave shall include both immediate and delayed heave.
5.5.6 Bearing pressures for structural analysis
The bearing pressure beneath a rigid foundation may be assumed to be distributed linearly when
determining bending moments and shear forces in the structural member.
The distribution of bearing pressure beneath a flexible foundation shall consider the stiffness of the
foundation and the supported structure.
To determine bending moments and shear force, the distribution of bearing pressure beneath a
flexible foundation may be derived by modelling the foundation as a beam or raft resting on a
deforming continuum or series of springs, with appropriate stiffness and strength.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 1 Formulae for the relative stiffness of a spread foundation on elastic ground and for subgrade modulus
are provided in B.14.
NOTE 2 A method for determining whether a foundation is rigid or flexible on the basis of the relative stiffness
value is given in B.14.
NOTE 3 For spread foundations, calculations based on uniform spring stiffness do not provide realistic
estimations of deformations due to edge effects.
NOTE 4 The distribution of bearing pressure, bending moments and shear forces can also be derived by applying
upper and lower bound plasticity theory.
5.6 Ultimate limit states
5.6.1 General
EN 1997-1:2024, Clause 8 shall apply to spread foundations.
The ultimate limit states of a spread foundation involving overall stability, bearing, and sliding failure
shall be verified using Formula (8.1) of EN 1990:2023.
The design resistance of ground beneath a spread foundation shall be verified using the appropriate
drainage conditions.
Spread foundations may be verified by the partial factor method according to EN 1997-1:2024, 4.4.
Spread foundations may be verified using prescriptive rules according to EN 1997-1:2024, 4.5.
NOTE Guidance on the use of presumed bearing resistance can be given in the National Annex.
Spread foundations may be verified by large-scale testing according to EN 1997-1:2024, 4.6.
The location of the test shall be chosen in accordance with the ground investigation results to be
representative of the most unfavourable ground conditions likely to be found under the structure.
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When evaluating the results of large-scale foundation tests, any excess pore water pressures beneath
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the foundation shall be measured and considered.
When using a test to verify limit states for a spread foundation, any differences in scale and response
between the test foundation and the real foundation shall be considered, including the adverse
influence of weak layers within the zone of influence of the test or real foundation.
Spread foundations may be verified using the Observational Method according to EN 1997-1:2024,
4.7.
5.6.2 Overall stability
In accordance with Clause 4, it shall be verified that a spread foundation does not exceed an ultimate
limit state of overall stability.
NOTE This is particularly relevant when the spread foundation is within the zone of influence of sloping ground
or when there are other significant changes in the ground surface profile. Such situations can occur at e.g.
excavations or cuttings; rivers, canals, lakes, reservoirs, or the seashore; mine workings or buried structures.
5.6.3 Bearing failure
The design bearing resistance normal to the base of a spread foundation RNd shall comply with:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝑁𝑁d ≤ 𝑅𝑅Nd (5. 9)
where
Nd is the design value of the normal component of the resulting force acting on the foundation
base; and
RNd is the design bearing resistance normal to the base of a spread foundation.
NOTE Overturning verification is included in the verification carried out with Formula (5.9).
The design bearing resistance of a spread foundation subject to a tangential force should be verified
using two separate combinations of actions: one treating the normal force as a favourable action and
the other as an unfavourable action.
The effective plan area A' of circular and rectangular foundations may be calculated according to
5.5.2.1(3) and (2) respectively.
For a foundation subject to eccentric loads, the reduction of the plan area A to the effective plan area
A' should be limited so that any potential foundation rotation does not cause a limit state to be
exceeded in the foundation or overlying structure.
The design eccentricity should be determined using design actions.
NOTE 1 The design eccentricity is calculated using the partial factors given in 5.6.6.
NOTE 2 Limit values for design eccentricities in ULS verification can be specified in the National Annex.
The following precautions shall be taken when the eccentricity of loading exceeds 1/3 of the width
of a rectangular foundation or 0,59 times the radius of a circular foundation:
— careful review of the design values of the actions; and
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— designing the location of the foundation edge by considering the magnitude of construction
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tolerances.
NOTE Numerical methods can be more appropriate than the procedures given in 5.5.2 when there are large
eccentricities.
Unless measures are specified to control the dimensions of a cast-in-place concrete foundation, the
design width of a rectangular foundation Bd should be determined from:
𝐵𝐵d = 𝐵𝐵nom − Δ𝐵𝐵 (5. 10)
or, for a circular foundation, from:
𝐷𝐷d = 𝐷𝐷nom − Δ𝐷𝐷 (5. 11)
where
Bnom is the nominal width of the rectangular foundation;
∆B is a deviation in width;
Dnom is the nominal diameter of the circular foundation; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
∆D is a deviation in diameter.
NOTE 1 The values of ∆B and ∆D are 0,1 m unless the National Annex gives different values.
NOTE 2 Bd and Dd are used instead of B and D in Formulae 5.2, 5.3, and 5.6.
5.6.4 Sliding failure
Where the applied force is inclined to the foundation base, the foundation shall be verified against
sliding failure.
The design sliding resistance along the base of a spread foundation shall comply with:
𝑇𝑇d ≤ 𝑅𝑅Td,base + 𝑅𝑅Td,face (5. 12)
where
Td is the design value of the applied force acting parallel to the foundation base, including
any thrust caused by earth pressure acting on the foundation, determined according to
Clause 7;
RTd,base is the design value of the sliding resistance of a foundation along its base; and
RTd,face is the design value of the resistance force to sliding caused by earth pressure on the
front face of the foundation, i.e. the design face resistance.
Thrust caused by earth pressure acting on the foundation (included in Td in Formula (5.12)) shall be
determined according to Clause 7.
The values of RTd,base and RTd,face shall be related to the scale of movement anticipated under the limit
state design loading.
NOTE The displacements required to mobilize shear resistance at the base of the foundation are much lower
than the displacements required to mobilize earth pressures on the foundation front face.
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The value of RTd,face should allow for potential loss of ground strength caused by large displacements.
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For spread foundations on fine soils resting within the zone of seasonal changes of the water content,
potential shrinkage of soil away from the vertical face of the foundation shall be considered, in case
it results in face resistance being unavailable.
Consideration shall be given to the absence of face resistance due to potential removal of ground in
front of the foundation.
When the Material Factor Approach is used, the design undrained sliding resistance RTud,base along
the base of a spread foundation on soil or fill shall be determined using:
𝑐𝑐u,rep
𝑅𝑅Tud = 𝐴𝐴red 𝑘𝑘cu 𝑐𝑐ud = 𝐴𝐴red 𝑘𝑘cu (5. 13)
𝛾𝛾cu
where
Ared is the plan area of the foundation base, not including any area where there is no positive
contact pressure between the foundation and the underlying ground as a result of load
eccentricity, ground shrinkage, or any other cause;
kcu is a reduction factor depending on the foundation material, execution method, and soil
or fill disturbance;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
cud is the design value of undrained shear strength for soil or fill;
cu,rep is the representative value of undrained shear strength for soil or fill; and
γcu is a partial factor on undrained shear strength.
NOTE Values for the reduction factor kcu are specified in 5.5.3(8).
When the Resistance Factor Approach is used, the design undrained sliding resistance RTud,base along
the base of a spread foundation shall be determined using:
𝐴𝐴red 𝑘𝑘cu 𝑐𝑐u,rep
𝑅𝑅Tud,base = 𝛾𝛾RT
(5. 14)
where, in addition to the parameters defined for Formula (5.13):
γRT is the partial factor on sliding resistance.
In addition to (8) and (9) if:
— it is possible for water or air to reach the interface between the foundation and the surrounding soil
or fill; or
— the formation of a gap between the foundation and the surrounding soil or fill is not prevented by
suction in areas where there is no positive bearing pressure,
then RTud,base shall comply with:
𝑅𝑅Tud,base ≤ 0,4 𝑁𝑁rep (5. 15)
where
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Nrep
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is the representative value of the force acting normal to the foundation base,
considered as a favourable action.
NOTE 1 The factor 0,4 in Formula (5.14) is to limit the load inclination and ensure that, for foundations subjected
to inclined loads and small normal load, simultaneous shearing and bearing failure does not occur as a result of the
reduced contact area due to the inclined loading.
NOTE 2 A reduced contact area can occur when there is an irregular bearing surface with poor contact between
the base of the foundation and the underlying ground.
When the Material Factor Approach is used, the design drained sliding resistance RTd,base along the
base of a spread foundation shall be determined from:
tan 𝛿𝛿rep
𝑅𝑅Td,base = (𝑁𝑁d − 𝑈𝑈d ) tan 𝛿𝛿d = (𝑁𝑁d − 𝑈𝑈d ) 𝛾𝛾tanδ
(5. 16)
where
Nd is the design value of the force acting normal to the foundation base;
Ud is the design value of any uplift force from groundwater pressures acting normal to
the foundation base;
tanδd
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
is the design value of interface friction between the foundation and the ground;
tanδrep is the representative value of interface friction between the foundation and the
ground; and
γtanδ is a partial factor on interface friction.
NOTE 1 Design values of groundwater pressures are specified in EN 1997-1:2024, Clause 6.
NOTE 2 The value of the partial factor γtanδ is given in EN 1997-1:2024, 4.4.1.3.
When the Resistance Factor Approach is used, the design drained sliding resistance RTd,base along the
base of a spread foundation shall be determined using Formula (5.17) for VC1 or Formula (5.18) for
VC4:
(𝑁𝑁d −𝑈𝑈d ) tan 𝛿𝛿rep
𝑅𝑅Td = 5. 17
𝛾𝛾RT
(𝑁𝑁rep −𝑈𝑈rep ) tan 𝛿𝛿rep
𝑅𝑅Td = 𝛾𝛾RT
5. 18
where
Nd is the design value of the force acting normal to the foundation base;
Nrep is the representative value of the force acting normal to the foundation base;
Ud is the design value of any uplift force from groundwater pressures normal to the
foundation base;
Urep is the representative value of the any uplift force from groundwater pressures normal to
the foundation base;
δrep is the representative value of interface friction between the foundation and the ground;
and
γRT is a partial factor on sliding resistance.
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NOTE 1 Representative values of groundwater pressures are specified in EN 1997-1:2024, Clause 6.
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NOTE 2 The value of the partial factor γRT is given in 5.6.6.
The term (Nd – Ud) in Formulae (5.16) and (5.17) and the term (Nrep – Urep) in Formula (5.18) shall be
minimized for each specific design situation.
The determination of Nd and Nrep shall consider whether T and N are independent or interdependent
actions, according to the single source principle in EN 1990:2023, 6.1.1.
5.6.5 Toppling
The stability against toppling of a spread foundation shall be verified in accordance with EN
1990:2023, 8.3.3.1(5) and EN 1997-1:2024, 8.1.3.1.
NOTE Toppling is rotational failure that does not involve failure of the ground (see EN 1997-1:2024,
8.1.3.1(1)).
5.6.6 Partial factors
Partial factors for the verification of spread foundations at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.3, using either the Material Factor Approach or the
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Resistance Factor Approach.
NOTE 1 The National Annex can specify which factor approach to use.
NOTE 2 Values of partial factors are given in Table 5.2 (NDP) for persistent and transient design situations,
unless the National Annex gives different values.
NOTE 3 When the Material Factor Approach is used, the National Annex can specify whether to use both
combinations (a) and (b) or the single combination (c) in Table 5.2 (NDP).
NOTE 4 Guidance on seismic design cases are given in EN 1998-5:2024, 6.5.
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Table 5.2 (NDP) — Partial factors for the verification of ground resistance of spread foundations
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for fundamental (persistent and transient) design situations
Verification of Partial Symbol Material Factor Resistance Factor
factor on Approach, either both Approach, either
combinations (a) and combination (d)
(b) or the single or (e)c
combination (c)
(a) (b) (c)d (d) (e)
Overall stability See Clause 4
Actions, γF ,γE VC1a VC3a VC1a VC1a VC4
Effects of
actions
Ground γM M1b M2b M2b Not factored
properties
Bearing and
sliding Bearing γRN Not factored 1,4
resistance resistance
Sliding γRT Not factored 1,1
resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Passive γRT,face Not factored 1,4
resistance
a Values of the partial factors for Verification Cases (VCs) 1, 3, and 4 are given in EN 1990:2023, Annex A
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, 4.4.1.3
c Use combination (d) except where specified otherwise in 5.6.6(2)
d In this combination, the consequence factor on material properties is omitted
When the Resistance Factor Approach is used to determine the bearing resistance of a spread
foundation under inclined loading, Verification Case 4 may be used instead of Verification Case 1,
provided the following condition is satisfied:
𝑇𝑇rep ≤ 0,2𝑁𝑁rep (5. 19)
where
Trep is the representative value of the force acting tangential to the foundation base;
Nrep is the representative value of the force acting normal to the foundation base, considered
as a favourable action.
Provided the conditions specified in EN 1997-1:2024, 4.4.3(10) are satisfied, the value of γRN and γRT
for transient design situations may be multiplied by a factor kR,tr ≤ 1,0 provided also that the products
kR,tr γRN and kR,tr γRT are not less than 1,0.
NOTE For spread foundations, the value of kR,tr is 1,0 unless the National Annex gives a different value.
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5.7 Serviceability limit states
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5.7.1 General
EN 1997-1:2024, Clause 9 shall apply to spread foundations.
The adverse effects of foundation displacements shall be considered both in terms of displacement
of the entire foundation and differential displacements of parts of the foundation.
Displacements caused by actions on the foundation shall be considered, including the actions given
in EN 1997-1:2024, 4.3.1.2(1).
In determining the magnitude of foundation displacements, comparable experience shall be
considered, as given in EN 1997-1:2024, 3.1.2.4.
The effect of existing and planned adjacent foundations, fills, and excavations shall be considered,
including the stress increase in the ground and its influence on ground compressibility and
displacement.
5.7.2 Settlement
To ensure the avoidance of a serviceability limit state, determination of differential settlements and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
relative rotations shall consider both the distribution of loads and the variability of the ground.
Upper and lower bound values of settlement should be determined using inferior and superior
representative values of stiffness and hydraulic conductivity.
5.7.3 Tilting
For spread foundations subject to eccentric loading, it shall be verified that differential settlements
of the foundation will not result in the occurrence of a serviceability limit state due to unacceptable
tilting of the supported structure.
5.7.4 Vibration
Foundations for structures subjected to vibrating loads shall be designed to ensure that vibrations
will not cause excessive settlements or a loss of serviceability of supported or adjacent structures.
Precautions should be taken to ensure that resonance will not occur between the frequency of the
dynamic load and a critical frequency in the foundation-ground system, and to ensure that
liquefaction will not occur in the ground.
5.7.5 Physical gap beneath the foundation
To limit a potential physical gap forming beneath the foundation, the eccentricity of load at the
serviceability limit state shall not exceed specified limits.
NOTE The specified limits are given in Table 5.3 (NDP) unless the National Annex gives different limits.
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Table 5.3 (NDP) — Limits to load eccentricity at the serviceability limit state
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Loading effects Strip Circular Rectangular foundation
foundation foundation
Permanent action 𝑒𝑒B 1 𝑒𝑒 1 𝑒𝑒L 𝑒𝑒B 1
≤ ≤ + ≤
effects only 𝐵𝐵 6 𝑅𝑅 4 𝐿𝐿 𝐵𝐵 6
(No tension gap)
Permanent and 𝑒𝑒B 1 𝑒𝑒 𝑒𝑒L 2 𝑒𝑒B 2 1
≤ ≤ 0,59 � � +� � ≤
variable action 𝐵𝐵 3 𝑅𝑅 𝐿𝐿 𝐵𝐵 9
effects
e is the eccentricity of the load
eB is the eccentricity of the load in the direction of the smaller foundation width B
eL is the eccentricity of the load in the direction of the greater foundation width L
R is the radius of a circular foundation
5.8 Implementation of design
5.8.1 General
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 1997-1:2024, Clause 10 shall apply to spread foundations.
The execution of concrete spread foundations should comply with EN 13670.
5.8.2 Inspection
EN 1997-1:2024, 10.3 shall apply to spread foundations.
5.8.3 Monitoring
EN 1997-1:2024, 10.4 shall apply to spread foundations.
5.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to spread foundations.
5.9 Testing
EN 1997-1:2024, Clause 11 shall apply to spread foundations.
Full- or small-scale tests may be used to verify limit states of spread foundations on soil and fill.
NOTE 1 Examples of full-scale tests includes sacrificial spread foundation tests, kentledge tests and zone tests.
NOTE 2 An example of a small-scale test is the plate loading test.
The results of plate loading tests should only be used for verification of limit states if:
— the size of the plate has been chosen considering the width of the planned spread foundation; and
— a homogeneous layer exists beneath the spread foundation with thickness greater than two times
the width of the foundation.
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NOTE 1 Plate loading tests are commonly used for compliance testing of thin layers of compacted fill. Due to the
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small diameter of the plate, their use to verify limit states of spread foundation is limited in practice.
NOTE 2 The depth of the ground tested by a plate loading test is approximately twice the diameter of the plate.
No inference concerning soil quality below that depth can be made unless additional investigations, (e.g. sounding),
are carried out.
Provided comparable experience is available, the results of a plate loading test may be used to
determine the modulus of elasticity and evaluate the settlement of a spread foundation on soil and
fill and on rock.
NOTE The modulus of elasticity can be determined using the method is given in B.7.
When a plate loading test is used to determine the modulus of elasticity or to evaluate settlement of
a spread foundation on soil and fill, the effects of any groundwater pressures generated on loading
should be considered.
5.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to spread foundations.
6 Piled foundations
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
6.1 Scope and field of application
This clause shall apply to single piles, pile groups and piled rafts.
NOTE Parts of this clause also apply to rigid inclusions, where indicated in Clause 12.
Piles should be classified according to their method of execution.
NOTE 1 The classification is given in Table 6.1 (NDP) unless the National Annex gives a different classification.
NOTE 2 The pile type is used to determine resistance factors, see 6.6.4.
NOTE 3 Examples of different pile types are given in Annex C.3.
Table 6.1 (NDP) —Classification of piles
Pile type Description Class
Displacement pile Pile installed in the ground without Full displacement
excavation of material
Partial displacement
Replacement pile Pile installed in the ground after the Replacement
excavation of material
Pile not listed above --- Unclassified
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6.2 Basis of design
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6.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to piled foundations.
6.2.2 Geometrical properties
6.2.2.1 General
EN 1997-1:2024, 4.3.3 shall apply to piled foundations.
6.2.2.2 Single Pile
Pile dimensions shall be selected according to the pile type and method of execution, the stability of
the ground, and the potential adverse changes that can occur due to pile installation.
The adverse effects of pile geometrical imperfections shall be considered in the verification of limit
states.
NOTE 1 The execution standards given in 6.8.1 give positional and verticality tolerances. Other geometrical
imperfections can include curvature of the pile shaft, bulging or necking of the pile, and oversized or undersized
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
bores.
NOTE 2 Annex C.13 provides calculation models that consider second order effects induced by some geometrical
imperfections.
6.2.2.3 Pile groups
The spacing of piles in groups should be selected according to the pile type, method of execution,
proposed sequence of execution, pile length, ground conditions, and anticipated pile group behaviour.
Pile spacing should be sufficient to avoid damage to previously constructed piles, considering
positional and verticality tolerances.
6.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to piled foundations.
6.2.4 Actions and environmental influences
6.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to piled foundations.
6.2.4.2 Permanent and variables actions
Actions for piled foundations shall include, but are not limited to:
— applied axial, transverse, and shear forces in any combination;
— applied bending and torsional moments in any combination;
— static, cyclic, dynamic, or impact actions in any combination;
— loading due to lateral or vertical ground displacements;
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— pile imperfections that result in additional bending moment or shear loads; and
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— loading due to thermal deformations of the pile or surrounding ground.
NOTE Seismic actions are defined in EN 1998 (all parts).
6.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to piled foundations.
The adverse effects of cyclic and dynamic actions on the long-term axial and transverse resistance of
piled foundations shall be considered.
NOTE 1 Cyclic and dynamic actions can result in reduced ground strength and stiffness leading to additional pile
displacements and loss of resistance.
NOTE 2 In coarse fills and soils, cyclic and dynamic actions can result in densification of the ground leading to
increased stiffness, particularly in the horizontal direction.
NOTE 3 In saturated coarse soils, cyclic and dynamic actions can result in liquefaction that leads to reductions in
ground strength and stiffness.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
For axially loaded piles, the stability diagram may be used to assess whether the effects of cyclic loads
can significantly affect the response of the pile or can be neglected.
NOTE 1 The concept of a pile stability diagram is presented in C.14.
NOTE 2 The effect of cyclic actions on axial pile resistance depends on the pile properties, load characteristics
and ground properties.
6.2.4.4 Actions due to ground displacement
The adverse effects on a piled foundation of vertical and horizontal ground movements shall be
considered.
NOTE 1 See 6.5.2.2 for a method of calculating downdrag on piles.
NOTE 2 Ground displacement can be determined according to Clause 4.
Effects of downdrag and heave should be classified as permanent actions arising from the relative
axial movement when ground settlement exceeds pile settlement.
Transverse forces on the pile due to moving ground should be classified as permanent actions arising
from relative transverse movement between the ground and the pile.
6.2.4.5 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to piled foundations.
6.2.5 Limit states
6.2.5.1 Ultimate limit states
In addition to EN 1997-1:2024, 8.1 the following potential ultimate limit states shall be verified for
all piled foundations:
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— failure of the ground surrounding the piled foundation;
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— failure of a pile group;
— buckling of the pile element;
— structural failure of the pile itself or any element of the pile;
— combined failure of the ground and the structural pile element; and
— failure of the supported structure caused by excessive pile movement.
Potential ultimate limit states other than those given in (1) should be verified.
6.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9 the following potential serviceability limit states shall be
verified for all piled foundations:
— pile settlement;
— differential pile settlement;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— settlement caused by downdrag;
— pile heave;
— transverse movement of the piled foundation; and
— unacceptable movements or distortions of the structure caused by pile movements.
Potential serviceability limit states other than those given in (1) should be verified.
6.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to piled foundations.
6.2.7 Ground investigation
6.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to piled foundations.
The ground investigation should include one or more of the following:
— field tests that can be directly correlated with the pile's shaft and base resistance;
— field tests to determine the shear strength and stiffness of the ground; and
— laboratory tests to determine ground shear strength and stiffness.
In addition to (2), for piled foundations on or in very weak to weak rock or weak zones at the
anticipated pile base level, the ground investigation should include one or more of the following:
— rotary core drill holes to provide undisturbed core samples;
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— assessment of any core loss, fracturing and joint spacing;
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— a full core description complying with EN ISO 14689, including estimates of rock strength; and
— laboratory testing to determine the compressive strength of the rock;
— measurement while drilling (of a borehole);
— borehole video logging.
The chemical properties and aggressiveness of the ground and groundwater shall be determined
during the ground investigation.
In addition to (1) to (4), the ground investigation may include:
— static load testing;
— dynamic impact load testing;
— rapid load testing; and
— visual inspection of rock surfaces.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The ground investigation should determine potential obstacles for the execution of the geotechnical
structure including, but not limited to:
— obstruction to drilling and boring;
— drillability of the ground;
— abrasivity;
— driveability;
— borehole stability;
— potential flow of groundwater in or out of a borehole;
— geometrical properties of discontinuities and weak zones;
— borehole axis deviations; and
— potential loss of concrete and grout from the borehole.
6.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the depth of field investigation for a piled foundation shall be
determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 6.2 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
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Table 6.2 (NDP) — Minimum depth of field investigation for piled foundations
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Application Minimum depth Illustration
Single piled foundation dmin = max{5 m; 3Bn,eq}
Pile groups or piled rafts in soils dmin = max{5 m; 3Bn,eq; pgroup}
and in very weak and weak rock
Pile groups or piled rafts in dmin = max{3 m; 3Bn,eq}
strong rock
Bn,eq is the equivalent size of the pile base, equal to Bb (for square piles), Db (for circular piles), or pb/π (for other piles)
Bb is the base width of the pile with the largest base (for square piles)
Db is the base diameter of the pile with the largest base (for circular piles)
pgroup is the smaller dimension of a rectangle circumscribing the group of piles forming the foundation, limited to the depth
of the zone of influence
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
6.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to piled foundations.
Piled foundations shall be classified in Geotechnical Category 2 or 3.
6.3 Materials
6.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to piled foundations.
The following non-exhaustive list of field tests and ground parameters may be used to calculate axial
or transverse pile resistance:
— cone resistance from cone penetration tests;
— corrected blow counts from standard penetration tests;
— limit pressure from pressuremeter tests;
— effective shear strength parameters of fill, soil, or weak rock;
— coefficient of friction of soil or fill at critical state;
— undrained shear strength of fill or soil;
— unconfined compressive strength of rock; or
— compressive strength of rock and mechanical properties of discontinuities.
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The effect of subsequent excavation, placement of overburden, or changes in groundwater pressure
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on the values of ground properties should be considered.
Verification of limit states should be based on ground parameters that represent the strength and
stiffness of the ground after pile execution, unless the selected design method implicitly allows for
execution effects.
6.3.2 Plain and reinforced concrete
EN 1997-1:2024, 5.5 shall apply to piled foundations.
Concrete cover requirements shall comply with EN 1992-1-1 and applicable execution standards,
and in case of precast piles, product standard EN 12794.
6.3.3 Grout and mortar
EN 1997-1:2024, 5.4 shall apply to piled foundations.
Exposure classes for grout and mortar should comply with EN 206.
Grout and mortar cover requirements shall comply with EN 14199.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
6.3.4 Steel
EN 1997-1:2024, 5.6 shall apply to piled foundations.
6.3.5 Ductile cast iron
Cast iron for piles or piled foundation and the values of cast iron properties shall comply with
EN 1563.
6.3.6 Timber
EN 1997-1:2024, 5.7 shall apply for pile design.
NOTE Guidance on timber for foundation piles is given in prEN 1995-1-1:2023, Annexes W and X.
6.3.7 Other materials
Materials other than those specified in 6.3.2 to 6.3.6 may be used provided they comply with a
relevant material standard.
NOTE The relevant standard can be specified in the National Annex.
6.4 Groundwater
6.4.1 General
EN 1997-1:2024, Clause 6 shall apply to piled foundations.
6.4.2 Groundwater control measures
13.5.1(3) shall apply to piled foundations.
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6.5 Geotechnical analysis
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6.5.1 General
EN 1997-1:2024, Clause 7 shall apply to piled foundations.
The interaction between the structure, piled foundation, ground and any adjacent structures shall be
considered when verifying limit states.
The non-linearity of the load-displacement curve of axially and transversally loaded piles should be
considered for the verification of both geotechnical and structural limit states.
6.5.2 Effect of ground displacement
6.5.2.1 General
Actions due to ground displacement shall be modelled either by treating the displacement as an
action or as an equivalent design force.
Evaluation of an equivalent design force should take account of the strength and stiffness of the
ground, together with the source, magnitude and direction of the ground displacement by assuming
the most unfavourable values of the strength and stiffness of the moving ground.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Downdrag (negative skin friction)
The adverse effects of the drag force caused by moving ground shall be included in the verification
of serviceability and ultimate limit states.
The effects of the downdrag should be modelled by carrying out a ground-pile interaction analysis,
to determine the depth of the neutral plane corresponding to the point where the pile settlement
equals the ground settlement.
NOTE 1 The neutral plane marks the boundary between downwards shaft friction (occurring above the neutral
plane), and upwards shaft friction (occurring below the neutral plane).
NOTE 2 The depth of the neutral plane is usually different for serviceability and ultimate limit state conditions.
If the pile head settlement at the ultimate limit state is greater than the settlement of the surrounding
ground, the drag force may be disregarded for the verification of the bearing resistance.
The ground-pile interaction analysis should provide force and displacement profiles for the full
depth of the pile to enable the representative drag force Drep acting on the pile shaft above the neutral
plane to be determined.
NOTE See C.9 for detailed models and combinations of actions for downdrag.
In addition to EN 1990:2023, 6.1.1(4) and 8.3.3.1(3) to (4), when carrying out an interaction analysis,
if the drag force and shaft resistance originate in a single geotechnical unit, with no significant change
in strength or stiffness across the neutral plane, then both the drag force and the resistance may be
considered as coming from a single-source.
The representative drag force Drep should be determined from:
𝐿𝐿
𝐷𝐷rep = 𝑝𝑝 ∫0 dd 𝜏𝜏s,dd ∙ dz 6.1)
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where
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p is the perimeter of the pile;
τs,dd is the unit shaft friction causing downdrag at depth z; and
Ldd is the depth to the neutral plane corresponding to the point where the pile settlement
equals the ground settlement
Either superior or inferior ground parameters should be used within a geotechnical unit, depending
on whether the drag force or the resistance is predominant.
A simplified approach for calculating drag force may be used by adopting a depth to the neutral plane
Ldd that results in an upper value of the drag force.
NOTE 1 C.9.3 provides guidance for determining an upper value of the drag force.
NOTE 2 C.9.3 provides guidance when the downdrag can be disregarded based on the relative settlement of the
pile and the settlement at ground surface.
6.5.2.3 Heave
Verification of a pile's compressive or tensile resistance shall take account of potential ground heave
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(including swelling) that takes place during execution before piles are fully loaded by the structure.
The adverse effects of heave caused by moving ground shall be included in the verification of
serviceability limit states.
Verification of serviceability limit states should consider short- or long-term ground heave sufficient
to cause unacceptable uplift to the pile element or to result in a serviceability limit state in the overall
structure.
Long-term heave may be disregarded where the imposed permanent actions exceed the heave load.
6.5.2.4 Transverse loading
Verification of the pile transverse resistance and displacement shall take account of actions on piles
originating from the adverse effect of ground movements or asymmetric loads around a pile.
6.5.3 Axial resistance of single piles
6.5.3.1 Calculation
The axial resistance of a single pile shall be determined based on comparable experience from the
results of field investigation and laboratory testing or from load tests.
The axial resistance of a single pile designed by calculation shall be determined by one of the
following methods:
— the Ground Model Method; or
— the Model Pile Method.
NOTE The method (Ground Model or Model Pile) to be used can be given in the National Annex.
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The validity of the method used to assess the base and shaft resistance of a pile shall be proved by
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documented load testing of comparable piled foundations in comparable ground conditions or case
histories that confirm that the method provides reliable pile resistance and performance.
NOTE Methods of calculating base and shaft resistance are included in C.4 and C.5 for ground parameters, C.6
for cone penetration test methods, and C.7 for pressuremeter methods.
The axial compressive resistance Rc of a single pile should be determined from:
Rc = Rb + Rs 6.2
where
Rb is the pile base resistance; and
Rs is the pile shaft resistance.
NOTE The use of Formula (6.2) assumes compatibility of the displacements needed to mobilise both base
resistance and shaft resistance considering the pile geometry and the difference of stiffness between the ground
and the pile. In case of ground layers with significantly different stiffness, shaft resistance might not be fully
mobilized in layers of lower stiffness.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The weight of the pile should be included as an action in the calculation model, in which case the
beneficial contribution of overburden should be included in the axial compressive resistance at the
pile base.
The weight of the pile and the additional resistance at the pile base due to overburden pressure may
both be disregarded provided that:
— the pile weight and the contribution to resistance due to overburden pressure at the foundation base
are approximately equal;
— downdrag is not significant;
— the soil or fill does not have a very low weight density; and
— the pile does not extend above the surface of the ground.
For a pile loaded in tension, the weight of the pile should be treated as a favourable action.
The pile base resistance in compression Rb should be determined from:
𝑅𝑅b = 𝐴𝐴b ∙ 𝑞𝑞b (6.3)
where
qb is the unit base resistance; and
Ab is the area of the pile base.
The pile shaft resistance Rs in compression should be determined from:
𝑅𝑅s = ∑𝑛𝑛𝑖𝑖=1 𝐴𝐴s,i ∙ 𝑞𝑞s,i (6.4)
where
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qs,i is the unit shaft resistance in the i-th geotechnical unit;
As,i is the area of the pile shaft in the i-th geotechnical unit;
i is an index that varies from 1 to n; and
n is the number of geotechnical units providing resistance.
The pile shaft resistance in tension Rst should be determined from:
𝑅𝑅st = ∑𝑛𝑛𝑖𝑖=1 𝐴𝐴s,i ∙ 𝑞𝑞st,i (6.5)
where
qst,i is the unit shaft resistance in tension in the i-th geotechnical unit.
6.5.3.2 Prescriptive rules
The axial compressive resistance of a single pile may be determined using prescriptive rules where
specified by a relevant authority, provided they are based on comparable experience.
6.5.3.3 Testing
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The axial resistance (both compressive and tensile) of a single pile at ultimate and serviceability limit
states may be determined from the results of static load tests, provided adjustments are made to
account for any temporary support force.
Static load tests shall comply with EN ISO 22477-1 for compressions tests and EN ISO 22477-2 for
tension tests.
Dynamic impact and rapid load tests may be used to determine the ultimate limit state of a single pile
in compression, provided adjustments are made to account for any temporary support force.
Dynamic impact and rapid load tests shall comply with EN ISO 22477-4 and EN ISO 22477-10,
respectively.
The compressive resistance of a friction pile from a dynamic impact test should be determined by
signal matching.
NOTE The method for applying signal matching for determination of tension resistance of a friction pile can be
given in the National Annex.
The validity of the interpreted results from dynamic impact or rapid load tests should be
demonstrated by static load tests carried out on the same site to allow direct comparison.
In the absence of site-specific correlations, the validity of dynamic impact or rapid load tests shall be
established using static load test carried out on comparable piles in comparable ground conditions,
tested to similar load levels.
Results of dynamic impact or rapid load tests where more than approximately 30 % of the total pile
resistance is provided in fine soils should only be used to determine Rc if there is site-specific
calibration against static load tests.
NOTE 1 In saturated fine soils, the use of dynamic impact or rapid load test results can be specified by the
National Annex.
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NOTE 2 In saturated fine soils, the test results are significantly influenced by the excessive porewater-pressures.
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Allowance for any potential pile set-up may be included provided this has been either verified by load
tests on piles of different ages or established by comparable experience.
The compressive resistance of a pile may be determined from the results of wave equation analysis
based on the registered energy transfer to the pile during driving, provided the analysis has
previously been calibrated against the results of static load tests on comparable piles in comparable
ground conditions, tested to comparable load levels.
NOTE The National Annex can give other calibration procedures based on comparable experience.
The compressive resistance of an end-bearing pile in coarse soil or rock may be based on a pile
driving formula provided the formula has previously been calibrated against the results of static load
tests on comparable piles in comparable ground conditions, tested to comparable load levels.
NOTE The National Annex can give other calibration procedures based on comparable experience.
Analysis of the results of dynamic impact tests may be carried out using wave equation analysis for
confirmation of design or for interpolation between test locations when it is necessary to modify the
design to consider different design situations.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Wave equation analysis may also be used to determine the effect of significant changes in
dimensions, length, impact energy, and final set of piles that are not load tested.
Wave equation analysis or driving formulae may be used to determine driving criteria for control
purposes.
6.5.4 Transverse resistance of single piles
The transverse resistance of a single pile shall be determined by calculation or by testing.
The transverse resistance of a single pile may be determined assuming rotation or translation of a
rigid body or bending failure and local yielding depending on the ground properties and the flexural
stiffness of the pile.
Temporary support from moving ground that will reduce or reverse during the design service life of
the piled foundation shall not be included in the computation of transverse resistance.
The transverse resistance of a single pile shall take account of the fixity of the pile head to the pile
cap or sub-structure and the fixity of the pile base.
The transverse resistance of a single pile should take account of potential variations of ground
stiffness with depth.
For piles in multi-layered soils, superior (upper) and inferior (lower) values of soil stiffness in
different layers should be combined in the most adverse manner.
NOTE For example, upper bound stiffness for stiff soil layers and lower bound for less stiff layers.
The transverse geotechnical and structural resistance of a socketed pile should include specific
analyses of the pile base, especially when shear forces are present owing to a large difference in
stiffness between the rock mass and any overlying soil.
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6.5.5 Resistance of pile groups
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The design of pile groups shall consider the effect of:
— pile-soil interaction; and
— pile-pile interaction.
Verification of limit states for pile groups may be carried out by numerical, analytical, or empirical
calculation methods, or determined from the observed performance of comparable pile groups.
Pile group design shall consider that the resistance and load-displacement behaviour of single piles
in a group might show significant variation compared to the behaviour of single piles.
Calculation of pile group effects should consider the potential changes in stress and density of the
ground resulting from pile installation together with the effects of group behaviour due to the
structural loads taking the stiffness of the pile cap and the structure into account.
Pile group design may be based on the results of load tests on single piles provided the interaction
between single piles and pile group effects are considered.
The ultimate compressive resistance of a pile group Rgroup should be determined from:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝑅𝑅group = min{∑𝑛𝑛𝑖𝑖 𝑅𝑅i ; 𝑅𝑅block } 6.6
where
Ri is the ultimate axial resistance of the i-th pile in the pile group, taking full account of the
effects of pile interaction;
i is an index that varies from 1 to n;
n is the number of piles within the piled foundation; and
Rblock is the ultimate vertical resistance of the block of ground bounded by the perimeter of the
pile group.
In the case of tension loading, the reduction in effective vertical stresses in the ground should be
considered when deriving the shaft resistance of single piles in the group.
NOTE For the evaluation of the block failure of pile groups subject to axial tension, see C.10.
The effects of pile interaction, the shadow effect of closely spaced piles, and head fixity of piles should
be accounted for when deriving the transverse resistance of a pile group from the results of
calculations or load tests on individual test piles.
Where interaction effects between piles are expected to be significant, the verification of limit states
should be based on numerical models that consider non-linear ground-pile response and can cater
for combined axial and transverse forces and moments.
If the piles in a group are connected by a pile cap that is unable to redistribute loads, verification of
limit states shall be based on the pile in the most unfavourable condition.
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The verification of geotechnical ultimate and serviceability limit states for single piles may be
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omitted provided it is verified that the pile cap is able to redistribute loads without itself exceeding
an ultimate or serviceability limit state.
Pile cap design should take account of potential variation in pile stiffness at different locations
beneath the cap owing to variable ground conditions and pile interaction effects.
6.5.6 Resistance of piled rafts
The design of piled rafts shall consider the effects of:
— pile-soil interaction;
— pile-pile interaction;
— raft-soil interaction; and
— pile-raft interaction.
NOTE Figure 6.1 illustrates these various interactions.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 interaction between piled raft and ground 5 pile-pile interaction
2 piled-ground interaction e distance between piles
3 raft-ground interaction Bn,eq pile diameter
4 piled-raft-interaction
Figure 6.1 — Interaction effects of a piled raft
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Considering the compatibility of the displacements of the piles and the raft, the ultimate compressive
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resistance of a piled raft Rpiled-raft should be determined from:
𝑅𝑅piled−raft = ∑𝑛𝑛𝑖𝑖 𝑅𝑅c,i + 𝑅𝑅raft (6.7)
where
Rc,i is the compressive resistance of the i-th pile;
n is the number of piles supporting the piled raft;
i is an index that varies from 1 to n; and
Rraft is the additional bearing resistance from the raft.
Provided any constraints on the use of this method are satisfied, the ultimate compressive resistance
of a piled raft may be determined according to 5.5.2.3 and 5.6.3, by neglecting pile resistances and
considering the bearing resistance of the raft alone.
NOTE Constraints on the use of this method can be given in the National Annex.
Provided any constraints on the use of this method are satisfied, Rpiled-raft may be determined from:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝑅𝑅piled−raft = 𝑅𝑅group + 𝑅𝑅raft,net (6.8)
where
Rgroup is the ultimate compressive resistance of the pile group as defined in 6.5.5(6); and
Rraft,net is the additional bearing resistance from the raft, considering the net area of the raft
(i.e. the area of the raft outside the perimeter of the pile group, as shown in Figure
6.2).
NOTE Constraints on the use of this method can be given in the National Annex.
Figure 6.2 — Net raft area (white) and area within the pile group perimeter (shaded)
Analysis of a piled raft may be based on numerical modelling including nonlinear stress–strain
models for the ground, the structural flexural stiffness of the raft and the interactions between
ground, raft, and piles.
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Verification of the ultimate limit state of single piles within a piled raft may be omitted provided an
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ultimate limit state of the combined structure is not exceeded.
Provided that an ultimate limit state in the combined structure is not exceeded, the shaft and base
resistances of single piles used for settlement reduction of a raft foundation may be allowed to reach
their limiting value.
NOTE 1 This is particularly beneficial when piles are used for the purpose of settlement or raft bending moment
reduction.
NOTE 2 The limiting value here is not necessarily the same as that of a single pile, since it includes pile-raft
interaction effects, especially the surcharge effect and the restrain provided by the raft in contact with the ground.
6.5.7 Displacement of piled foundations
6.5.7.1 General
The settlement and transverse displacement of a piled foundation shall be determined from the
results of load tests; analytical, numerical or empirical calculations; or prescriptive rules based on the
observed performance of comparable single piles or pile groups.
NOTE Load testing of pile groups is seldom feasible, and so the performance of pile groups is normally verified
by other methods.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Potential downdrag shall be considered for both serviceability and ultimate conditions and take
account of the relevant pile foundation loading and strain mechanisms between the piles and the
surrounding soil or fill, in accordance with 6.5.2.
6.5.7.2 Displacement of single piles
The settlement and transverse displacement of a single pile may be determined from load tests or
calculated using empirical or analytical methods or numerical modelling.
NOTE Owing to rapid degradation of mobilized ground stiffness with pile head movement, calculation models
based on nonlinear stiffness are particularly appropriate for calculating the transverse response of a pile
foundation.
Elastic shortening of the pile shaft under axial compression should be included in the calculation of
pile head settlement taking into account the effects of creep.
6.5.7.3 Displacement of pile groups and piled rafts
The settlement and transverse displacement of pile groups and piled rafts may be determined using
empirical or analytical methods or numerical modelling.
Calculation methods for pile group design should take account of:
— the load-displacement behaviour of single piles as well as behaviour of pile group;
— the movement and loading effects caused by pile-to-pile interaction through the ground; and
— the interaction with the supported structure.
NOTE Examples of appropriate methods include finite element/difference, boundary element, and interaction
factor approaches.
Interactions between piles should consider the non-linear behaviour of the ground.
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6.5.8 Confirmation of pile design by testing or comparable experience
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Pile design should be validated using site-specific static load testing to confirm parameter values,
verify compressive or tensile resistance, and establish behaviour under serviceability conditions.
NOTE Unlike static load tests, rapid load and dynamic impact tests do not provide direct information about the
pile behaviour under serviceability limit state conditions.
Pile resistance to axial compression may be confirmed using dynamic impact or rapid load tests
provided that these tests have been validated by static pile load tests.
Site-specific pile load tests may be omitted where there is comparable experience or evidence of
previous successful use of the same pile type, with similar geometry, installed in similar ground
conditions.
The number and type of site-specific pile loads tests ntest needed to confirm pile design by calculation
may be selected based on the type and purpose of the load test.
NOTE Values of ntest are given in Table 6.3 (NDP) unless the National Annex gives different values.
Table 6.3 (NDP) —Minimum quantity of load testing for confirmation of pile design by
calculation
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Type of load test Confirmation of design by Confirmation of design by
ultimate pile load tests serviceability pile load tests
Static load test max (1, 0,5 % ntotal) max (2, 1 % ntotal)
Rapid load test max (3, 1,0 % ntotal) max (6, 5 % ntotal)
Dynamic impact load test max (3, 1,0 % ntotal) max (6, 5 % ntotal)
ntotal = total number of piles in similar ground conditions
When selecting the value of ntest, piles with different geometries may be considered as a single set,
provided they are anticipated to exhibit a similar response to loading.
The value of ntest may be adjusted proportionately when carrying out both ultimate and serviceability
pile load tests or when carrying out a mix of static, rapid, or dynamic impact load tests.
All pile load tests should be carried out in accordance with 6.9.1.
The design of piles shall consider any adverse effect of pile load tests on the load-settlement
behaviour of the test pile during its design service life.
6.6 Ultimate limit states
6.6.1 General
EN 1997-1:2024, Clause 8 shall apply to piled foundations.
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6.6.2 Ultimate limit states for single piles
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6.6.2.1 Axial compressive resistance
The axial compressive resistance of a single pile shall be verified using:
𝐹𝐹cd ≤ 𝑅𝑅cd 6.9
where
Fcd is the design axial compression force applied to the pile including an allowance for any
potential drag force (see 6.6.4); and
Rcd is the pile’s design axial compressive resistance.
NOTE Rcd includes cyclic degradation effects where applicable.
The design axial compressive resistance Rcd shall be determined from:
𝑅𝑅c,rep 𝑅𝑅b,rep 𝑅𝑅s,rep
𝑅𝑅cd = 𝑜𝑜𝑜𝑜 � + � 6.10
𝛾𝛾Rc .𝛾𝛾Rd,pile 𝛾𝛾Rb .𝛾𝛾Rd,pile 𝛾𝛾Rs .𝛾𝛾Rd,pile
where
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Rc,rep is the pile’s representative total resistance in axial compression;
Rb,rep is the pile’s representative base resistance in axial compression;
Rs,rep is the pile’s representative shaft resistance in axial compression;
γRd,pile is a model factor accounting for uncertainty in the resistance model for a piled
foundation; and
γRc, γRb, are resistance factors given in 6.6.4.
γRs
NOTE 1 Values of γRd,pile are given in Table 6.4 (NDP) for verification of axial pile resistance by calculation, unless
the National Annex gives different values.
NOTE 2 Values of γRd,pile are given in Table 6.5 (NDP) for verification of axial pile resistance by testing or assisted
by testing, unless the National Annex gives different values.
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EN 1997-3:2025 (E)
Table 6.4 (NDP) —Model factor γRd,pile for verification of axial pile resistance by calculation
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Verification
Based on Model factor γRd,pile
by
Ground Ultimate pile load tests 1,15
Model
Method Extensive comparablea,b
experience without site-specific 1,3
pile load tests
Serviceability pile load tests 1,35
No pile load tests and limited
1,55
comparable experiencea,c
Compressive
Tensile resistance
resistance
Model Pile Ménard pressuremeter testd,f 1,15 1,4
Method
Cone penetration testd 1,1 1,1
Profiles of ground properties
1,2 1,2
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
based on field or laboratory testsd,e
a Comparable experience assumes documented records (or database) of static pile load test results conducted
on similar piles, in similar ground conditions, under similar loading conditions from a certain number of sites n
b Extensive comparable experience assumes n ≥ 10
c Limited comparable experience assumes 0 < n < 10
d Value can be multiplied by 0,9 when accompanied by ultimate pile load tests
e Ground strength properties determined at least every 1,5 m along the vertical profile
f The value of the model factor corresponds to the calculation method given in C.7
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EN 1997-3:2025 (E)
Table 6.5 (NDP) — Model factor γRd,pile for verification of axial pile resistance by testing or
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assisted by testing
Verification by Model factor γRd,pile
Fine soils Coarse soils Rockc
Static load tests 1,0 1,0 1,0
Rapid load tests (multiple load cycles)a 1,4 1,1 1,2
Rapid load tests (single load cycle)a 1,4 1,1 1,2
Dynamic impact tests Shaft 1,5 1,1 1,2
(signal matching)b resistance
End 1,4 1,25 1,25
resistance
Dynamic impact tests Shaft 1,5 1,1 1,2
(multiple blow)b resistance
End 1,4 1,2 1,2
resistance
Dynamic impact tests Shaft Not permitted Not permitted Not permitted
(closed form solutions)b resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
End Not permitted 1,3 1,3
resistance
Wave equation analysis Not permitted 1,6 1,5
Pile driving formulae Not permitted 1,8 1,7
a When dynamic impact tests or rapid load tests are not calibrated by site-specific static load testing, but by
comparable experience only (see Table 6.4 (NDP)), the values for γRd,pile are increased by:
0,1 when calibration is based on extensive comparable experience; or
0,25 when calibration is based on limited comparable experience.
b When dynamic impact tests or rapid load tests are carried out on cast-in-place piles, the values for γRd,pile are
increased by 0,2
c If the test results demonstrate an elastic behaviour without any significant permanent movement, the
values for γRd,pile can be decreased by 0,1 as long as the model factor remains greater than or equal to 1,0
6.6.2.2 Axial tensile resistance
The axial tensile resistance of a single pile shall be verified using:
𝐹𝐹td ≤ 𝑅𝑅td 6.11
where
Ftd is the design axial tension load applied to the pile;
Rtd is the pile’s design axial tensile resistance.
The design axial tensile resistance Rtd shall be determined from:
𝑅𝑅t,rep
𝑅𝑅td = 𝛾𝛾Rst .𝛾𝛾Rd,pile
6.12
where
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EN 1997-3:2025 (E)
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Rt,rep is the pile’s representative axial tensile resistance;
γRd is a model factor; and
γRst is a resistance factor, specified in 6.6.4.
NOTE 1 The value of γRd,pile is given in 6.6.2.1.
NOTE 2 Rtd includes potential cyclic degradation effects.
6.6.2.3 Transverse resistance
The transverse resistance of a single pile shall be verified using:
𝐹𝐹tr,d ≤ 𝑅𝑅tr,d (6. 13)
where
Ftr,d is the design transverse force applied to the pile including an allowance for any potential
transverse force due to moving ground (see 6.2.4.4); and
Rtr,d is the pile’s design transverse resistance.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
When the Material Factor Approach is used, the design transverse resistance Rtr,d shall be determined
according to EN 1990:2023, Formula (8.19), by applying material factors γM to the representative
values of the material properties Xrep.
NOTE The value of γM is given in EN 1997-1:2024, 4.4.1.3.
When the Resistance Factor Approach is used, the design transverse resistance Rtr,d shall be
determined according to EN 1990:2023, Formula (8.20), by applying resistance factors γR,tr to the
representative transverse resistance of the single pile Rtr,rep.
NOTE The value of γR,tr is given in 6.6.4.
6.6.2.4 Representative values of resistance
6.6.2.4.1 Ground Model Method
For design by calculation using the Ground Model Method, the representative value of resistance of
a single pile Rrep shall be determined from:
𝑅𝑅rep = 𝑅𝑅calc (6. 14)
where
Rrep is Rc,rep for compression, Rt,rep for tension, or Rtr,rep for transverse resistance, as
appropriate;
Rcalc is the calculated pile resistance based on ground parameters.
6.6.2.4.2 Model Pile Method
For design by calculation using the Model Pile Method, the representative value of resistance of a
single pile Rrep shall be determined from:
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EN 1997-3:2025 (E)
𝑅𝑅calc,mean 𝑅𝑅calc,min
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𝑅𝑅rep = min � 𝜉𝜉mean
; 𝜉𝜉min
� (6. 15)
where
Rcalc,mean is the mean calculated pile resistance for a set of profiles of field or laboratory test
results;
Rcalc,min is the minimum calculated pile resistance for a set of profiles of field or laboratory
test results;
ξmean is a correlation factor for the mean of the (calculated) values; and
ξmin is a correlation factor for the minimum of the (calculated) values.
NOTE Values of ξmean and ξmin for the Model Pile Method are given in Table 6.6 (NDP) unless the National Annex
gives different values.
Table 6.6 (NDP) — Correlation factors for the Model Pile Method
Correlation Coefficient of Number of tests or profiles
Factor-a, b variation (CoV)
1 2 3 4 5 7 10 ≥ 20
ξmean ≤ 12 % 1,4 1,35 1,33 1,31 1,29 1,27 1,25 1,19
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ξmin n/a 1,4 1,27 1,23 1,20 1,15 1,12 1,08 1,06
a The correlation factors given here assume field test profiles arranged on a grid with reference spacing dref of 30 m
b Values of the correlation factors can be adjusted for the test profiles according to:
𝑑𝑑avg
𝜉𝜉 ′ mean = 1 + (𝜉𝜉 − 1)
𝑑𝑑ref mean
𝑑𝑑avg
𝜉𝜉′min = 1 + (𝜉𝜉 − 1)
𝑑𝑑ref min
where
ξmean is the value of ξmean adjusted for the average spacing davg of the test profiles;
ξmin is the value of ξmin adjusted for the average spacing davg of the test profiles;
davg is the average horizontal spacing between the test profiles; and
dref is the reference horizontal spacing between the test profiles (given above) for the Model Pile Method.
Profiles of field test results should only be considered as a single data set if they are obtained in an
area of the site with comparable ground conditions and over comparable depths as the installed
piles.
A single data set may be split up into different sets to obtain a smaller coefficient of variation for each
of those sets.
If the design is governed by Rcalc,min/ξmin then at least one of the following conditions shall be met:
— the number of profiles per set is at least 5; and
— the coefficient of variation is determined and its value is smaller than 30%.
Rrep may be determined by reliability analysis provided that the level of reliability required by
EN 1990 is obtained.
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EN 1997-3:2025 (E)
The values of ξmean and ξmin may be reduced by 10 % for pile groups or piled rafts that are able to
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redistribute load from a single pile to other piles in the group without any significant additional
settlement of the foundation provided the value of the final correlation factor is not less than 1,0.
If ξmean and ξmin are reduced according to (6), then the verification of limit states in the pile cap shall
take into account the load redistribution.
6.6.2.4.3 Testing
For design by testing, the representative value of resistance of a single pile Rrep shall be determined
from:
𝑅𝑅test,mean 𝑅𝑅test,mean
𝑅𝑅rep = min � 𝜉𝜉mean
; 𝜉𝜉min
� (6. 16)
where
Rtest,mean is the mean pile resistance measured in a set of load tests;
Rtest,min is the minimum pile resistance measured in a set of load tests;
ξmean is a correlation factor for the mean of the (measured) values; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ξmin is a correlation factor for the minimum of the (measured) values.
NOTE Values of ξmean and ξmin for pile design by testing are given in Tables 6.7 (NDP) and 6.8 (NDP) unless the
National Annex gives different values.
Table 6.7 (NDP) — Correlation factors for design by testing with static load tests
Correlation Number of tests
factora 1 2 3 4 ≥5
ξmean 1,4 1,3 1,2 1,1 1,05
ξmin 1,4 1,2 1,05 1,0 1,00
a If all piles in a group are tested, use ξmean = 1,0 provided load can be transferred through the pile cap. For
individually tested piles, use ξmean = ξmin = 1,0.
Table 6.8 (NDP) — Correlation factors for design by testing with rapid load or dynamic impact
tests
Correlation Correlation Number of tests
factora factorb
1 2 3 4 5 7 10 ≥ 20
Rapid load ξmean 1,4 1,36 1,32 1,29 1,28 1,25 1,23 1,19
test ξmin 1,4 1,28 1,23 1,19 1,15 1,13 1,1 1,06
Dynamic ξmean 1,4 1,36 1,32 1,29 1,28 1,25 1,23 1,19
impact test ξmin 1,4 1,28 1,23 1,19 1,15 1,13 1,1 1,06
a If all piles in a group are tested, use ξmean = 1,0 provided load can be transferred through the pile cap. For
individually tested piles, use ξmean = ξmin = 1,0
b The correlation factors given are based on a coefficient of variation of pile load test results of 12 %
Results of pile load tests shall only be considered as a single data set if they relate to similar pile
types, pile geometry, loading conditions, and ground conditions.
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The values of ξmean and ξmin may be reduced by 10 % for pile groups or piled rafts that are able to
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redistribute load from a single pile to other piles in the group without any significant additional
settlement of the foundation provided the value of the final correlation factor is not less than 1,0.
If ξmean and ξmin are reduced according to (3), then the verification of limit states in the pile cap shall
take into account the load redistribution.
6.6.2.5 Structural resistance
The structural resistance of a single piles should be verified in accordance with:
— EN 1992-1-1 for reinforced and plain concrete, grout or mortar piles;
— EN 1993-1-1 and EN 1993-5 for steel piles and single bar grouted micropiles;
— EN 1994-1-1 for composite steel and concrete piles;
— EN 1995-1-1 for timber piles.
Ground stiffness should be determined considering the magnitude of any axial or transverse
displacement of the pile.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The representative value of ground and pile stiffness should be independently selected as either an
upper or lower value, depending on which is more critical.
NOTE Upper values are sometimes critical when transverse loads are present (e.g. from settling soil).
Bending stresses due to initial curvature, eccentricities and induced deflection should be considered
together with stresses due to transverse load.
If piles are loaded both transversally and axially, the structural resistance should be verified using
second order theory.
The structural resistance of a fully embedded pile subjected to compression should be verified by
theory of second order when it has a high slenderness ratio (λ), or a high ratio of design axial load to
the critical buckling load (NEd/Ncr).
NOTE 1 C.12 and C.13 provide guidance for the calculation of the critical buckling load and the design buckling
resistance including second order effects.
NOTE 2 C.13.5 provides guidance on obtaining limit values of λ and NEd/Ncr for fully embedded piles of different
pile materials below which second order effects can be neglected.
The adverse effects of heave caused by moving ground shall be included in the verification of
structural ultimate limit states.
6.6.3 Ultimate limit states for pile groups and piled rafts
The design resistance of a pile group Rgroup,d shall be verified using:
𝐹𝐹d ≤ 𝑅𝑅group,d (6. 17)
where
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Fd is the design action applied to the pile group; and
Rgroup,d is the design resistance of the pile group.
The design resistance of a piled raft Rpiled-raft,d shall be verified using:
𝐹𝐹d ≤ 𝑅𝑅piled−raft,d (6. 18)
where
Fd is the design action applied to the piled raft; and
Rpiled-raft,d is the design resistance of the piled raft.
When the Material Factor Approach is used, the design resistance Rgroup,d shall be determined
according to EN 1990:2023, Formula (8.19), by applying material factors γM to the representative
values of the material properties Xrep.
NOTE The value of γM is given in EN 1997-1:2024, 4.4.1.
When the Resistance Factor Approach is used, the design resistance Rgroup,d may be determined from:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝑅𝑅group,rep
𝑅𝑅group,d = (6. 19)
𝛾𝛾R,group 𝛾𝛾Rd,group
where
Rrep,group is the representative ultimate vertical resistance of the pile group;
γR,group is a resistance factor for the pile group's vertical resistance; and
γRd,group is a model factor for the pile group.
NOTE 1 The value of γR,group is given in 6.6.4.2.
NOTE 2 The value of γRd,group is 1,0, unless the National Annex gives a different value.
When the Resistance Factor Approach is used the design values for the compressive resistance of a
piled raft Rpiled-raft,d may be determined from:
𝑅𝑅piled−raft,rep
𝑅𝑅piled−raft,d = 𝛾𝛾 (6. 20)
R,piled−raft ∙𝛾𝛾Rd,piled−raft
where, in addition to the symbols defined for Formula (6.19):
Rpiled-raft,rep is the representative ultimate vertical resistance of the piled raft;
γR,piled-raft is a partial factor on the pile raft's vertical resistance; and
γRd,piled-raft is a model factor for the piled raft.
NOTE 1 The value of γR,piled-raft is given in 6.6.4.2.
NOTE 2 The value of γRd,piled-raft is 1,0, unless the National Annex gives a different value.
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6.6.4 Partial factors
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6.6.4.1 Single piles
Partial factors for the verification of the axial and transverse resistance of single piles at the ultimate
limit state shall be determined according to EN 1997-1:2024, 4.4.1, using the Resistance Factor
Approach in combination with either the Ground Model Method or the Model Pile Method.
NOTE 1 Values of the partial factors for single piles are given in Tables 6.9 (NDP), 6.10 (NDP) and 6.11 (NDP) for
persistent and transient design situations unless the National Annex gives different values.
NOTE 2 Either (or both) of the Model Pile Method or the Ground Model Method can be used unless the National
Annex specifies otherwise.
Representative drag forces and transverse ground loads shall be multiplied by the partial factor γF,drag
and γF,tr respectively.
NOTE The values of γF,drag and γF,tr, is given in Tables 6.9 (NDP), 6.10 (NDP) and 6.11(NDP).
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
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EN 1997-3:2025 (E)
Table 6.9 (NDP) — Partial factors for the verification of ultimate resistance of single piles for
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fundamental (persistent and transient) design situations – Ground Model Method
Verificatio Partial factor on Symbol Material Factor Resistance Factor Approach
n of Approach – both
combinations
(a) (b) Pile class Ground Model
Axial Actions, Effects VC1
γF, γE
compressive of actionsa
resistance
Drag force γF,drag All 1,35
Ground Not factored
propertiesb γM
Base and shaft Base Shaft
resistance in Full displacement 1,2 1,05
compression Not Used
γRb, γRs Partial displacement 1,3 1,1
Replacement 1,4 1,15
Unclassified 1,5 1,25
Total resistance Full displacement 1,1
in compression Partial displacement 1,2
γRc
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Replacement 1,3d
Unclassified 1,4
Axial tensile Actions, Effects All
γF, γE VC1
resistance of actionsa
Ground
γM Not factored
propertiesb
Shaft resistance Not Used Full displacement 1,2
in tension Partial 1,25
γRst
Replacement 1,3
Unclassified 1,5
Transverse Actions, Effects
resistance of actionsa γF, γE VC4 or VC1 VC3 All VC4 or VC1
Transverse
ground load γF,tr All 1,35
Ground
propertiesb γM M1 M2 All Not factored
Transverse
γRtr Not factored All 1,4
resistance
a Values of the partial factors for Verification Cases (VCs) 1, 3, and 4 are given in EN 1990:2023, Annex A.
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, 4.4.1.3.
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EN 1997-3:2025 (E)
Table 6.10 (NDP) — Partial factors for the verification of ultimate resistance of single piles for
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fundamental (persistent and transient) design situations – Model Pile Method
Verification Partial factor on Symb Material Factor Resistance Factor Approach
of ol Approach – both
combinations
(a) (b) Pile class Model Pile Method
Axial Actions, Effects of γF; γE All
VC1
compressive actionsa
resistance Drag force γF,drag 1,35
Ground propertiesb γM Not factored
Base and shaft γRb |γRs Base Shaft
resistance in Full displacement 1,2 1,0
compression
Partial displacement
1,2 1,0
Not Used
Replacement 1,2 1,0
Unclassified 1,35 1,25
Total resistance in γRc Full displacement
compression Partial displacement 1,1
Replacement
Unclassified 1,3
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Axial tensile Actions, Effects of γF, γE All
resistance actionsa VC1
Ground propertiesb γM Not factored
Shaft resistance in γR,st Not Used Full displacement
tension Partial displacement 1,15
Replacement
Unclassified 1,4
a Values of the partial factors for Verification Cases (VCs) 1, 3, and 4 are given in EN 1990:2023, Annex A. For transverse
resistance, VC1 can be used as alternative to VC4.
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, 4.4.1.3.
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Table 6.11 (NDP) — Partial factors for the verification of ultimate resistance of single piles for
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fundamental (persistent and transient) design situations – Design by testing
Verification Partial factor on Symbol Material Factor Approach – Resistance Factor Approach
of both combinations
(a) (b) Pile class
Axial Actions, γF, γE All
VC1
compressiv Effects of actionsa
e resistance Drag force γF,drag 1,35
Ground propertiesb γM Not factored
Total resistance in γRc Not Used Full displacement 1,1
compression
Partial displacement
1,1
Replacement 1,1
Unclassified 1,1
Axial tensile Actions, Effects of γF, γE All
VC1
resistance actionsa
Ground propertiesb γM Not factored
Shaft resistance in γR,st Full displacement 1,25
Not Used
tension Partial
1,25
displacemen
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Replacement 1,25
Unclassified 1,25
a Values of the partial factors for Verification Cases (VCs) 1, 3, and 4 are given in EN 1990:2023, Annex A.
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, 4.4.1.3.
6.6.4.2 Pile groups and piled rafts
Partial factors for the verification of pile groups and piled rafts at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.1 using either the Material Factor Approach or the
Resistance Factor Approach.
NOTE 1 Values of the partial factors for pile groups and piled rafts are given in Table 6.12 (NDP) for persistent
and transient design situations unless the National Annex gives different values.
NOTE 2 The National Annex can specify which factor approach to use.
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Table 6.12 (NDP)— Partial factors for the verification of ultimate resistance of pile groups and
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piled rafts for fundamental (persistent and transient) design situations
Verification of Partial factor on Symbol Material Factor Approach
Resistance
– both combinations
Factor Approach
(a) (b)
Vertical Actions, Effects of γF, γE VC1
VC4 VC3
resistance actionsa
Ground propertiesb γM M1 M2 Not factored
Vertical resistance γR,group 1,4
γR,piled-raft 1,4
Combined axial Actions, Effects of γF, γE
VC4 or VC1 VC3
and transverse actionsa
resistance (see Ground propertiesb γM M1 M2
EN 1997- Not used
1:2024, 8.2) Compressive and γR,group
transverse Not factored
resistance
a Values of the partial factors for Verification Cases (VCs) 3 and 4 are given in EN 1990:2023, Annex A
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, Table 4.8
6.7 Serviceability limit states
EN 1997-1:2024, Clause 9 shall apply to piled foundations.
The serviceability behaviour of piled foundations shall be determined in accordance with 6.5.7.
Explicit verification of the serviceability of a piled foundation may be omitted provided serviceability
performance of the piled foundation can be demonstrated by comparable experience.
Explicit verification of settlement may be omitted for single piles loaded in compression.
NOTE The conditions to omit explicit verification of settlement and the verification procedure can be given in
the National Annex.
Verification of the serviceability limit state for pile groups and piled rafts should be based on
modelling that accounts for non-linear stiffness of the ground, flexural stiffness of the structure, and
interaction between the ground, structures, and piles.
6.8 Implementation of design
6.8.1 General
EN 1997-1:2024, Clause 10 shall apply to piled foundations.
The execution of piled foundations shall comply with the following execution standards:
— EN 1536 for bored piles;
— EN 12699 for displacement piles;
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— EN 14199 for micropiles;
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— EN 12063 for sheet piles used for axial bearing resistance;
— EN 1538 for diaphragm walls used for axial bearing resistance.
6.8.2 Inspection
6.8.2.1 General
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should include, but is not limited to:
— the location and general layout of the piled foundations;
— the sequence of works;
— rig monitoring and instrumentation; and
— the working level and working platform.
In addition to (1), the Inspection Plan may include one or more of the following:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— non-destructive integrity tests;
— thermal integrity profiling;
— cross-hole sonic logging; or
— observations of spoil from drilling or boring during pile execution.
The following may be included in the Inspection Plan to verify ground conditions:
— observations from site trials and prototype pile installation;
— pile installation record;
— observation of spoil from replacement piles;
— measurement of blow count for driven displacement piles; and
— pile driving analysis.
6.8.3 Monitoring
EN 1997-1:2024, 10.4, shall apply to piled foundations.
In addition to EN 1997-1:2024, 10.4, the Monitoring Plan shall comply with the relevant execution
standard.
6.8.4 Maintenance
The Maintenance Plan for piled foundations should comply with EN 1997-1:2024, 10.5.
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6.9 Testing
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6.9.1 General
EN 1997-1:2023, Clause 11 shall apply to piled foundations.
Pile load tests shall conform to the following standards:
— EN ISO 22477-1 for static compression load testing;
— EN ISO 22477-2 for static tension load testing;
— EN ISO 22477-4 for dynamic load testing; and
— EN ISO 22477-10 for rapid load testing.
Ultimate pile load tests shall be carried out when the verification of limit states is based on the results
of pile load testing.
Ultimate pile load tests shall be performed when using a pile type or installation method for which
there is no comparable experience or when piles have not previously been tested in comparable
ground or under comparable loading conditions.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Serviceability pile load tests should be carried out on working piles during the main piling works for
the purpose of verifying acceptable pile movement.
NOTE See 6.5.8(3) for guidance in which cases serviceability pile load test can be omitted.
Control tests should be carried out to verify the integrity of all piles susceptible to installation
damage or other piles when execution procedures cannot be monitored in a reliable way.
6.9.2 Trial piles
Trial piles may be used to perform ultimate or serviceability pile load tests.
Trial piles should be installed and tested before commencement of the piling works to confirm the
chosen pile type, its design, dimensions, resistance, and performance.
If only one trial pile is installed, it should be located in the most adverse ground conditions identified
on the project site.
Execution of the trial pile shall be performed in an identical manner to that proposed for the working
piles.
In cases where it is impractical to install or construct full-size large diameter trial piles, a smaller
diameter trial pile may be installed provided that:
— the ratio of the trial pile to working pile diameter is not less than 0,5;
— the trial pile is constructed or installed in an identical manner to the proposed working piles;
— the trial pile is instrumented to allow separation of the base and shaft resistance during any test.
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6.9.3 Test proof load
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The test proof load shall be determined allowing for potential drag force, transverse ground force,
and temporary support force.
The proof load PP for ultimate and serviceability pile load tests shall be determined from:
𝑅𝑅rep,ULS + 𝐷𝐷supp
𝑃𝑃P ≥ � (6. 21)
𝑅𝑅rep,SLS + 𝐷𝐷supp
where
Rrep,ULS is the representative value of the pile’s ultimate resistance as appropriate, estimated
from previous load testing, calculation, or comparable experience;
Rrep,SLS is the representative value of the pile’s serviceability resistance as appropriate,
estimated from previous load testing, calculation, or comparable experience; and
Dsupp is the representative vertical or transverse temporary support force.
The value of Dsupp should be estimated using superior (upper) ground strength and stiffness
properties.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
When a significant vertical temporary support force is provided by the ground, the pile should be
instrumented.
For ultimate pile load tests, when the pile ultimate resistance is unknown at the time of test, the value
of Rrep,ULS may be determined from:
𝑅𝑅rep,ULS ≥ 𝛾𝛾Rd,pile ∙ 𝜉𝜉 ∙ 𝛾𝛾R ∙ 𝐹𝐹d,ULS (6. 22)
where
γRd,pile is the model factor accounting for uncertainty in the resistance model for a piled
foundation;
ξ is the correlation factor (if any) used in the verification of ultimate resistance;
γR is the resistance factor to be used in the verification of ultimate resistance; and
Fd,ULS is the design action at the ultimate limit state.
For serviceability pile load tests, the value of Rrep,SLS may be determined from:
𝑅𝑅rep,SLS = 𝛾𝛾test ∙ 𝐹𝐹d,SLS (6. 23)
where
γtest is a partial factor; and
Fd,SLS is the design action at the serviceability limit state.
NOTE The value of γtest is 1,35 unless the National Annex gives a different value.
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Determination of the proof load for transverse load testing should take account of the level at which
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the applied load or transverse force from moving ground is to be applied and any differences in
geometry and head fixity of the test pile compared to the pile under service conditions.
6.9.4 Static load tests
Static load tests in compression should comply with EN ISO 22477-1 and in tension with
EN ISO 22477-2.
The interpretation of load testing should take account of the systematic and random variations that
exist in the ground and the variability of the test pile installation and its influence when deriving the
pile’s resistance.
Separation of the base and shaft resistance components from a static compression load test may be
performed using instrumented test piles.
In an ultimate pile load test, the ultimate compressive resistance should be determined as the load
corresponding to a downward plunging failure of the pile, with adjustments for any temporary
support force.
The ultimate compressive resistance should be mathematically defined as the resistance
corresponding to infinite settlement.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Provided the ultimate pile load test has been taken to a sufficiently high load level to mobilise a large
proportion of the base resistance, an extrapolated asymptotic value of pile compressive resistance
at infinite movement may be adopted.
As an alternative to (5) and (6), the ultimate compressive resistance may be determined as:
— the maximum applied test load; or
— the test load at a pile head settlement equal to 10 % of the pile’s base diameter.
For a tension load test, the ultimate tension resistance Rt shall be determined as the load
corresponding to pull-out failure of the pile corresponding to infinite vertical displacement.
NOTE The limiting criteria to be used is as specified by the relevant authority or where not specified, as agreed
for a specific project by the relevant parties.
Interpretation of horizontal load test results shall take account of the different deformation
mechanisms of free-headed test piles and working piles with head fixity imposed by the pile cap or
the superstructure.
NOTE Under test conditions, the behaviour of the pile will be dominated by the strength, stiffness, and
variability of the ground over the top few metres of the pile. The pile diameter deviating from the design diameter
and the concrete time dependent stiffness will also affect the results.
6.9.5 Rapid load tests
Rapid load tests should comply with EN ISO 22477-10.
The compressive pile resistance Rc determined from the results of a rapid load test should be reduced
by the estimated temporary support force.
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6.9.6 Dynamic impact tests
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Dynamic impact load tests should comply with EN ISO 22477-4.
The compressive pile resistance Rc determined from the results of a dynamic impact test should be
reduced by the estimated temporary support force.
Where dynamic impact tests are used to confirm design by calculation or testing, the pile’s total
resistance and an estimate of its shaft and base resistances may be determined from an analysis of
test measurements using signal matching.
6.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to piled foundations.
In addition to (1), pile test reports shall include full details of the pile execution including the pile
type, method of installation, size, length, material properties, and other observations made during
installation.
Pile load test reports shall comply with the relevant test standards given in 6.9.1.
Pile load test reports shall include applied load and displacement measurements at all stages of the
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
test, together with results of any instrumentation or external measurements.
7 Retaining structures
7.1 Scope and field of application
This clause shall apply to structures that retain ground, groundwater, engineered fill, and surface
water.
NOTE 1 For reinforced fill structures, see Clause 9.
NOTE 2 For soil nailed structures, see Clause 10.
7.2 Basis of design
7.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to retaining structures.
7.2.2 Geometrical properties
7.2.2.1 General
EN 1997-1:2024, 4.3.3 shall apply to retaining structures.
7.2.2.2 Ground surfaces
Values for the geometry of the retained material shall take account of any variation in actual field
values and anticipated excavation or possible scour or erosion in front of the retaining structure.
NOTE Anticipated excavation includes post-construction excavation in front of the structure, e.g. due to buried
services maintenance.
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The design level of the resisting ground should be lowered below the nominal level by an amount ∆a
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given by:
— for a cantilever wall, ∆a = min{0,1 H; 0,5 m}, where H is wall height above excavation level;
— for a supported wall, ∆a = min{0,1 hs; 0,5 m}, where hs is the distance between the lowest support
and excavation level at each construction stage.
Values of ∆a smaller than those given in (2), including ∆a = 0, may be used when the surface level is
specified to be controlled reliably throughout the relevant execution period.
Values of ∆a larger than those given in (2) should be used when the surface level is particularly
uncertain.
NOTE This can be relevant for marine structures during dredging operations or for erosion conditions.
7.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to retaining structures.
7.2.4 Actions and environmental influences
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
7.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to retaining structures.
7.2.4.2 Permanent and variables actions
Actions for retaining structures shall include, but are not limited to:
— stages of excavation, construction, operation, and maintenance;
— anticipated future structures or any anticipated future loading or unloading within the zone of
influence of the geotechnical structure;
— effects on waterfront structures, potential ice and wave forces;
— potential adverse effects of repeated surcharge loading; and
— potential actions arising from temperature changes in struts or integral bridges.
NOTE Seismic actions are defined in EN 1998 (all parts).
Loads that act within the zone of influence may be considered as concentrated or uniform depending
on their nature and proximity to the retaining structure.
7.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to retaining structures.
7.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to retaining structures.
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The adverse effects of temperature changes shall be considered, especially when determining the
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loads in struts and props due to wall movements.
NOTE Direct sunlight effects can often be reduced by specific measures, such as coating or painting.
Measures should be taken to prevent frost heave and potential ice lenses forming in the ground
behind a retaining structure.
NOTE 1 Frost heave can occur in frost susceptible soil, especially in silt.
NOTE 2 Formation of ice lenses can occur in frost susceptible soil with access to free water leading to a significant
volume expansion of the soil and causing high swelling pressure.
NOTE 3 Possible measures include selection of suitable backfill material, drainage, or insulation.
7.2.5 Limit states
7.2.5.1 Ultimate limit states
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified for
all retaining structures:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— failure of a structural element, including the wall, anchor, rock bolt, corbel, or strut;
— failure of the connection or interface between structural elements;
— combined failure in the ground and in the structural element; and
— excessive movement of the retaining structure, which may cause collapse of the structure or nearby
structures or services that rely on it (see EN 1997-1:2024, 8.1.2(1)).
Potential ultimate limit states other than those given in (1) should be verified.
In addition to (1), the following potential ultimate limit states shall be verified for gravity walls and
for composite retaining structures:
— bearing failure, taking into account eccentricity and inclination of loads;
— failure by sliding along the base; and
— failure by overturning or by toppling (see Clause 5).
In addition to this Clause 7, ultimate limit states for gravity walls shall be verified according to
Clause 5.
In addition to (1), the following potential ultimate limit states shall be verified for embedded
retaining walls:
— failure by rotation or translation of the wall or parts there of; and
— failure by lack of vertical equilibrium.
Ultimate limit states for embedded retaining walls shall be verified according to this Clause 7.
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7.2.5.2 Serviceability limit states
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In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified for all retaining structures:
— movements of the retaining structure that cause damage or affect the appearance or the use of the
structure or nearby structures or services;
— unacceptable leakage through or beneath the structure; and
— unacceptable change in the groundwater conditions induced by the retaining structure.
Potential serviceability limit states other than those given in (1) should be verified.
7.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to retaining structures.
7.2.7 Ground investigation
7.2.7.1 General
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 1997-2:2024, Clause 5 shall apply to retaining structures.
Investigations should include the installation of piezometers to measure groundwater pressures
within relevant geotechnical units in the zone of influence, over a sufficiently long period of time to
detect any variations owing to seasonal, fluvial, or tidal changes.
7.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for retaining
structures shall be determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 7.1 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
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Table 7.1 (NDP) Minimum depth of field investigation for retaining structuresa
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Application Minimum depth Illustration
Gravity walls dmin = max{Hret; 6 m}
from foundation level
Depending on the foundation type,
see also sub-clauses 5.2.7.2 or
6.2.7.2
Embedded walls For laterally supported walls:
dmin = 2 Hret
For laterally unsupported walls:
dmin = 3 Hret
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Hret is the height of the supported ground
a Guidance for retaining structures founded in a slope is also given in 4.2.7.2.
7.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to retaining structures.
7.3 Materials
7.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to retaining structures.
7.3.2 Plain and reinforced concrete
EN 1997-1:2024, 5.5 shall apply to retaining structures.
7.3.3 Steel
EN 1997-1:2024, 5.6 shall apply to retaining structures.
7.3.4 Timber
EN 1997-1:2024, 5.7 shall apply to retaining structures.
7.3.5 Masonry
EN 1997-1:2024, 5.8 shall apply to retaining structures.
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7.3.6 Improved ground
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When ground improvement techniques are used, either to form the retaining structure itself or to
improve the adjacent ground, the determination of the representative values of the properties of
improved ground shall comply with Clause 12.
7.3.7 Other materials
Materials other than those specified in 7.3.2 to 7.3.6 may be used provided they comply with a
relevant material standard.
NOTE The relevant standard can be specified in the National Annex.
7.4 Groundwater
7.4.1 General
EN 1997-1:2024, Clause 6 shall apply to retaining structures.
NOTE For structures retaining fine soils, water pressures can act all the way to the ground surface. The National
Annex can provide further guidance.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Potential obstruction of natural groundwater flow caused by embedded retaining walls shall be
considered.
Retaining walls should be designed for an accidental design situation corresponding to a water table
at the surface of the retaining structure, unless infiltration is prevented or physically impossible or
groundwater control measures are employed (see Clause 13).
Unfavourable potential effects of hydraulic gradients due to dewatering shall be considered when
calculating groundwater pressures and resulting effective stresses (see 7.6.5).
7.4.2 Groundwater control measures
Clause 13 shall apply to retaining structures.
When the safety and the serviceability of the structure depends on the successful performance of a
groundwater control system, a Maintenance Plan shall be specified.
7.5 Geotechnical analysis
7.5.1 General
EN 1997-1:2024, Clause 7 shall apply to retaining structures.
The limit states specified in 7.6 and 7.7 should be analyzed using one or more of the following
calculation models:
— an analytical model (including limit equilibrium model and limit analysis);
— a semi-empirical model (including earth pressure envelopes); or
— a numerical model (including beam-on-spring models or continuum models).
NOTE Further details of these models are given in Annex D.
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Prestressing forces exerted on the retaining structure by anchors or struts should be included in the
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calculation model.
Determination of earth pressures shall take account of the expected failure mechanisms and
deformations at the limit state under consideration.
NOTE 1 The term “earth pressure” includes ground pressure from rock.
NOTE 2 The magnitudes of earth pressures and directions of resultant forces are strongly influenced by
horizontal and vertical movements of the retaining structure in relation to the ground, which can vary with time,
stages of execution, and limit states being considered.
Calculations of earth pressures and the forces resulting from them should consider, but are not
limited to, the following:
— shear strength and weight density of the ground;
— amount and direction of the movement of the retaining structure relative to the ground;
— surcharge on the ground surface;
— inclination of the ground surface;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— inclination of the wall to the vertical;
— wall roughness;
— rigidity of the structure and its supporting system relative to the stiffness of the ground;
— water levels and the seepage forces in the ground;
— strain and stiffness time-dependence for low-permeability fine soils;
— effect of compaction;
— horizontal and vertical equilibrium for the entire retaining structure;
— effect of initial stresses and stiffness of the ground;
— inclination of the ground strata and potential discontinuities;
— the swelling potential of the ground;
— anisotropy of the ground for mechanical and hydraulic properties; and
— potential for strain ratcheting due to imposed cyclic actions.
In the case of structures retaining rock masses, calculations of the earth pressures shall take account
of the effects of discontinuities in the rock mass, as well as the strength anisotropy of the rock
material and potential effects of deterioration.
NOTE 1 The orientation, spacing, aperture, roughness of the discontinuities and the mechanical characteristics
of any joint filling material are important in this respect.
NOTE 2 The mechanical resistance of the matrix itself can be a limiting parameter in specific materials.
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7.5.2 Ground-structure interaction
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The shear stress mobilized at the interface between the ground and the structure shall be
determined by the ground-structure interface coefficient (tan δ), where δ is the inclination of stresses
applied to the interface.
The value of the ground-structure interface coefficient (tan δ) shall comply with:
tan 𝛿𝛿d ≤ 𝑘𝑘tanδ tan 𝜑𝜑 ′ (7. 1)
where
tanϕ' is the value of the ground's coefficient of friction; and
ktanδ is a reduction factor depending on the foundation material and execution method.
NOTE 1 The value of the interface coefficient depends on the displacement of the retaining structure relative to
the surrounding ground that might potentially reduce the inclination of earth pressure.
NOTE 2 The reduction in inclination is automatically considered when using numerical continuum models.
Explicitly introducing a value lower than the maximum is only relevant for analytical models that do not
automatically take the relative displacement into account.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 3 The assessment of reduced values of the interface coefficient in the presence of structural forces is
considered in 7.6.4 and more guidance is given in Annex D.
In fine soils, it may be assumed that ktanδ = ɑ/c, where ɑ is the adhesion to the wall and c the soil’s
effective cohesion.
The value of ktanδ shall not exceed 1,0.
A value of ktanδ = 1,0 may be assumed for retaining structures with rough surfaces.
NOTE Rough surfaces include, for example, concrete cast directly against soil and stone infill or backfill used
in crib walls and gabions.
The value of ktanδ should not exceed 2/3 for retaining structures with smooth surfaces.
NOTE This limit can also be applied conservatively to retaining structures with rough surfaces.
A value of ktanδ = 0 should be used for steel sheet piles walls immediately after installation into clay
or peat.
7.5.3 Limiting values of earth pressure
7.5.3.1 General
Limiting values of earth pressures shall be determined considering the relative movement of the
ground and the wall at failure and the corresponding shape of the failure surface.
When using tabulated values of earth pressure coefficients or computer software based on limit
equilibrium analysis, the consistency between limiting values of earth pressure and interface
parameters δ should be considered in order to avoid unsafe results (see 7.5.2).
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In cases where struts, anchors, or similar structural elements impose restraints on movement of the
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retaining structure, the possibility of more adverse earth pressures than limiting active and passive
values should be considered.
7.5.3.2 Active earth pressure
For ground in an active state, the normal component of the total earth pressure acting on the wall
face (σan) may be determined from:
𝜎𝜎an = max �𝜎𝜎′an ; 𝑝𝑝′a,min � + 𝑢𝑢a (7. 2)
where
σ'an is the normal component of the effective active earth pressure acting on the wall face, as
defined in Formula (7.4);
ua is the groundwater pressure acting on the active side of the wall; and
p'a,min is the minimum value of the effective active earth pressure.
NOTE p'a,min provides a minimum effective earth pressure behind the wall.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The value of p'a,min shall be greater than zero.
NOTE The value of p'a,min is 10 % of the effective vertical stress unless the National Annex gives a different value
or a different procedure to determine p'a,min.
The effective active earth pressure on the wall face (σ′a) may be determined from:
𝜎𝜎′a = 𝐾𝐾aγ (σva − 𝑢𝑢a ) − 𝐾𝐾ac 𝑐𝑐 ′ + 𝐾𝐾aq 𝑞𝑞a (7. 3)
where
σva is the total vertical stress (excluding surcharge pressure) acting on the active side
of the wall;
ua is the groundwater pressure acting on the active side of the wall;
c' is the soil’s effective cohesion;
qa is the vertical surcharge pressure applied at the ground surface on the active; and
Kaγ, Kac, and are active earth pressure coefficients.
Kaq
NOTE 1 Values of Kaγ, Kac, and Kaq are given in Annex D.
NOTE 2 The normal and shear components of the effective active earth pressure (σ'an and τa respectively) are
given by:
𝜎𝜎′an = 𝜎𝜎′a cos 𝛿𝛿a (7. 4)
𝜏𝜏a = 𝜎𝜎′an tan 𝛿𝛿a (7. 5)
where, in addition to the symbols defined for Formula (7.3):
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δa is the inclination of σ'a to the normal to the wall face on the active side of the wall.
When using a total stress calculation of undrained behaviour, the following may be used instead of
Formula (7.2):
𝜎𝜎an ≥ 𝑝𝑝a,min (7. 6)
where, in addition to the symbols defined for Formula (7.2):
σan is the normal component of the total active earth pressure acting on the wall face, as
defined in Formula (7.8); and
pa,min is the minimum value of the total earth pressure.
NOTE pa,min provides a minimum total earth pressure behind the wall.
The value of pa,min shall be greater than zero.
NOTE The value of 𝑝𝑝a,min is 10 % of the total vertical stress unless the National Annex gives a different value or
a different procedure to determine 𝑝𝑝a,min .
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
When there is potential for water to fill a tension crack behind the wall, 𝑝𝑝a may be equal to ua.
When using a total stress analysis for calculation of undrained behaviour, the total active earth
pressure acting on the wall face (σa) may be determined from:
𝜎𝜎a = σva − 𝐾𝐾ac,u 𝑐𝑐u + 𝑞𝑞a (7. 7)
where, in addition to the symbols defined for Formula (7.3):
cu is the soil’s undrained shear strength;
Kac,u is an active earth pressure coefficient for undrained conditions.
NOTE 1 Values of Kac,u are given in Annex D.
NOTE 2 The normal and shear components of the total active earth pressure (σan and τa respectively) are given
by:
𝜎𝜎an = 𝜎𝜎a cos(asin (𝑎𝑎⁄𝜎𝜎a )) (7. 8)
𝜏𝜏a = 𝑎𝑎 (7. 9)
where, in addition to the symbols defined for Formula (7.7):
a is the adhesion between the wall and the ground.
7.5.3.3 Passive earth pressure
For ground in a passive state, the normal component of the total earth pressure acting on the wall
face (σpn) may be determined from:
𝜎𝜎pn = 𝜎𝜎′pn + 𝑢𝑢p (7. 10)
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where
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σ'pn is the normal component of the effective passive earth pressure acting on the wall face,
defined in Formula (7.12); and
up is the groundwater pressure acting on the passive side of the wall.
The effective passive earth pressure acting on the wall face (σ′p) may be determined from:
𝜎𝜎′p = 𝐾𝐾pγ �𝜎𝜎vp − 𝑢𝑢p � + 𝐾𝐾pc 𝑐𝑐 ′ + 𝐾𝐾pq 𝑞𝑞p (7. 11)
where
σvp is the total vertical stress (excluding surcharge pressure) acting on the passive side
of the wall;
up is the groundwater pressure acting on the passive side of the wall;
c′ is the soil’s effective cohesion;
qp is any permanent (or unfavourable variable) vertical surcharge pressure applied at
ground surface on the passive side; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Kpγ, Kpc, are passive earth pressure coefficients.
and Kpq
NOTE 1 Values of Kpγ, Kpc, and Kpq are given in Annex D.
NOTE 2 The normal and shear components of the effective passive earth pressure (σ'pn and τp respectively) are
given by:
𝜎𝜎′pn = 𝜎𝜎′p cos 𝛿𝛿p (7. 12)
𝜏𝜏p = 𝜎𝜎′pn tan 𝛿𝛿p (7. 13)
where, in addition to the symbols defined for Formula (7.11):
δp is the inclination of σ'p to the normal to the wall face on the passive side of the wall.
NOTE 3 If limiting values are determined assuming planar failure surfaces with the value of δp not equal to zero
in Formulae (7.12) and (7.13), the passive earth pressure can be overestimated.
Coefficients of passive earth pressure should be cautiously assessed for high values of the friction
angle (> 40°).
When using a total stress analysis for calculation of undrained behaviour, the total passive earth
pressure acting on the wall (σp) may be determined from:
𝜎𝜎p = 𝜎𝜎vp + 𝐾𝐾pc,u 𝑐𝑐u + 𝑞𝑞p (7. 14)
where, in addition to the symbols defined for Formula (7.11):
Kpc,u is a passive earth pressure coefficient for undrained conditions; and
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cu is the soil’s shear strength in total stress analysis.
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NOTE 1 Values of Kpc,u are given in Annex D.
NOTE 2 The normal and shear components of the effective passive earth pressure (σpn and τp respectively) are
given by:
𝜎𝜎pn = 𝜎𝜎p cos�asin (𝑎𝑎/𝜎𝜎p )� (7. 15)
𝜏𝜏p = 𝑎𝑎 (7. 16)
a is the adhesion between the wall and the ground.
7.5.4 At-rest values of earth pressure
The earth pressure coefficient at rest K0 should be determined according EN 1997-2:2024, 7.1.7
taking into account in addition the type of retaining structures and the conditions of installation.
NOTE Some examples of conditions that affect the earth pressure coefficient at rest include the
overconsolidation ratio in clays, a cylindrical wall layout on plan, and the wall’s installation method.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
For ground in an at-rest state, the horizontal component of the total earth pressure (σ0) acting on
the wall may be determined from:
𝜎𝜎0 = 𝜎𝜎′0 + 𝑢𝑢 = 𝐾𝐾0 (𝜎𝜎v − 𝑢𝑢 + 𝑞𝑞) + 𝑢𝑢 (7. 17)
where
σ′0 is the horizontal component of the effective at-rest earth pressure;
u is the groundwater pressure;
K0 is the at-rest earth pressure coefficient.
σv is the total vertical stress (excluding surcharge pressure) acting on the wall; and
q is the vertical surcharge pressure applied at the surface of the ground.
NOTE Calculation models to determine K0 are given in Annex D.
7.5.5 Intermediate values of earth pressure
Intermediate values of earth pressure, between active and passive limits, shall be determined
considering the amount of wall movement and its direction relative to the ground.
The intermediate values of earth pressures acting on the wall may be determined using empirical
rules, beam-on-spring models, or continuum numerical models.
NOTE Guidance on suitable calculation models and determination of ground stiffness, which plays an
important part in soil structure interaction, is given in Annex D.
7.5.6 Compaction pressures
The determination of earth pressures acting behind the wall shall consider any additional pressures
generated by compacting backfill, in relation with the procedures adopted for its compaction.
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NOTE Guidance for determining these additional pressures is given in Annex D.
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For integral bridges, enhanced values of earth pressure shall be determined considering the total
movement of the abutment, and the direction of movement relative to the abutment position.
NOTE For a given position of the abutment, there will be a maximum and minimum potential pressure
depending on whether the abutment is moving in or out of the backfill.
7.5.7 Groundwater pressures
EN 1997-1:2024, Clause 6 shall apply to retaining structures.
7.6 Ultimate limit states
7.6.1 General
EN 1997-1:2024, Clause 8 shall apply to retaining structures.
Effects of actions derived from ultimate limit state verifications shall be considered when checking
the structural resistance of the retaining structure and associated supports, as well as the pull-out
resistance of anchors.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Retaining structures may be verified using the Observational Method according to EN 1997-1:2024,
4.7.
7.6.2 Overall stability
The overall stability of a retaining structure shall be verified in accordance with Clause 4.
NOTE Figure 7.1 gives examples of limit modes for overall stability of retaining structures.
Figure 7.1 — Examples of failure mechanisms for overall stability of retaining structures
If measures are necessary to ensure the overall stability of the site and the retaining structure plays
a part in those measures, then the stability of failure surfaces that intersect the retaining structure
shall be verified.
If a continuum numerical model is used for overall stability calculations, it should also be used to
verify the ultimate limit states given in 7.6.3 (rotational resistance), 7.6.5 (stability of excavations),
and 7.6.8 (structural failure).
NOTE This does not exclude that other calculation models are additionally used when checking local failure
mechanisms.
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When a numerical model is used for overall stability calculations with elastic properties for
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structural elements, forces in these structural elements shall be checked according to EN 1992 (all
parts), EN 1993 (all parts), EN 1995 (all parts), or EN 1996 (all parts) respectively for concrete, steel,
timber, or masonry.
The ultimate resistance of structural elements determined by numerical models with elasto-plastic
properties shall be verified according to EN 1997-1:2024, 8.2 with the ultimate resistance of
structural elements defined according to EN 1992 (all parts), EN 1993 (all parts), EN 1995 (all parts)
or EN 1996 (all parts) respectively for concrete, steel, timber, or masonry.
For retaining structures in sloped ground, where slope deformation induces additional thrust on the
wall, one of the following analyses should be used:
— the effects of actions on the retaining wall are checked using a continuum numerical model;
— failure surfaces intercepting the retaining structure are checked using a limit equilibrium method; or
— failure surfaces not intercepting the retaining structure are checked using a limit equilibrium method
and by applying an additional model factor γRd,retain.
NOTE 1 Unless the National Annex gives different values, the value of γRd,retain is 1,2 for persistent design
situations and sensitive structures, 1,05 for transient design situations, and 1,0 for deep failure mechanisms that
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
have no possibility of interfering with the retaining structure.
NOTE 2 This is particularly relevant for slope movements acceptable for slope stability but incompatible with a
retaining structure; deep soft soil layers that generate slope instability; retaining structures used to stabilize a
failure surface in a slope; site constraints preventing installation of ground anchors that are long enough.
7.6.3 Rotational resistance
The rotational resistance (i.e. resistance of toppling) of a gravity wall shall be verified according to
Clause 5.
The rotational resistance of an embedded wall may be verified using analytical calculation models
or continuum numerical models.
NOTE 1 Figure 7.2 gives examples of mechanisms involving failure of embedded walls.
NOTE 2 Further information about calculation models is given in Annex D.
Figure 7.2 — Examples of failure mechanisms for embedded walls
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7.6.4 Bearing resistance
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The bearing resistance of a gravity wall shall be verified according to Clause 5.
The bearing resistance of an embedded wall that is subject to significant imposed vertical forces,
shall be verified according to either Clauses 5 or 6, depending on its embedded length.
NOTE Significant vertical forces can be imposed on an embedded wall by inclined anchors.
It shall be verified that the shaft friction mobilized to ensure the vertical equilibrium is compatible
with the horizontal equilibrium in terms of stress inclination.
NOTE 1 Shaft friction acting downwards on the active side of the wall or upwards on the passive side
considerably change the coefficients of earth pressure in an adverse way.
NOTE 2 Guidance is given in D.12.
7.6.5 Sliding resistance
The sliding resistance of a gravity wall shall be verified according to Clause 5.
7.6.6 Resistance to basal heave in excavations
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Resistance to failure by heave of the bottom of excavations due to unloading of the ground shall be
verified.
NOTE Guidance about suitable models is provided in Annex D.
Resistance to basal heave during excavation in fine soils should be verified assuming either
undrained or drained conditions (whichever is more adverse).
Resistance to basal heave in layered soils (vertically variable permeability) should be determined for
the most adverse profile of groundwater pressure with depth, which might include treating some
strata as undrained and some as drained.
Resistance to basal heave in coarse soils should be verified considering hydraulic gradients in the
soil.
In the presence of hydraulic gradients, it shall be verified that limit states due to uplift (see EN 1997-
1:2024, 8.1.3.2), hydraulic heave (see EN 1997-1:2024, 8.1.4.2), and internal erosion or piping (see
EN 1997-1:2024, 8.1.4.3) or bottom failure mechanisms, i.e. basal heave, are not exceeded.
NOTE See Annex D for basal heave.
Measures should be taken to avoid the adverse effects of upward hydraulic gradients.
NOTE Examples of preventive measures include deep relief wells to protect the passive zone close to
embedded walls; increased embedment; embedment down to impervious layers and grouting.
If upward hydraulic gradients cannot be avoided in the passive zone close to the retaining structure,
passive earth resistance shall be reduced accordingly and potential failure due to soil erodibility shall
be checked.
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7.6.7 Supporting elements
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In cases where a combined failure of supporting elements and the ground could occur, ground-
structure interaction shall be considered allowing for the difference in strength and stiffness of the
ground and that of the supporting element.
NOTE Supporting elements include, but are not limited to walls, piles, anchors, props, soil nails, and rock bolts.
It shall be verified that the supporting element can resist the design value of the effect of action Ed
from the structure given for Verification Case 1 and 3, by:
𝐸𝐸𝑑𝑑 = 𝛾𝛾Sd max�𝐹𝐹d,ULS ; 𝛾𝛾F 𝐹𝐹rep,SLS � (7. 18)
or, for Verification Case 4, by:
𝐸𝐸d = 𝛾𝛾Sd max �𝛾𝛾E 𝐹𝐹rep,ULS ; 𝛾𝛾E 𝐹𝐹rep,SLS � (7. 19)
where
Fd,ULS is the design value of the action that the supporting element shall provide to prevent
an ultimate limit state in the supported structure;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Frep,ULS is the representative value of the action that the supporting element shall provide to
prevent an ultimate limit state in the supported structure;
Frep,SLS is the representative value of the action that the supporting element shall provide to
prevent a serviceability limit state in the supported structure;
γSd is a model factor accounting for concentration of load in the supporting element due
to arching behind stiff retaining structures;
γF is a partial factor applied to Frep,SLS in Verification Cases 1 and 3 to convert it to a design
value; and
γE is a partial factor applied to Frep,SLS and Frep,ULS in Verification Case 4 to convert them
to design values.
NOTE 1 Formulae (7.18) and (7.19) ensure that the supporting element can resist the largest force that could
occur in it during the entire design service life of the supported structure.
NOTE 2 The value of γSd is 1,0 unless the National Annex gives another value.
NOTE 3 The values of γF and γE are given in EN 1990:2023, Annex A.
The value of Frep,SLS should include the effects of prestressing the supporting element.
7.6.8 Structural resistance
The structural resistance of retaining structures and their component members shall be verified in
accordance with:
— EN 1992 (all parts) for reinforced or plain concrete retaining walls;
— EN 1993 (all parts) for steel retaining walls;
— EN 1994 (all parts) for composite steel and concrete retaining walls;
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— EN 1995 (all parts) for timber members in retaining walls; and
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— EN 1996 (all parts) for masonry retaining walls.
Structural resistance shall be verified considering all geotechnical failure mechanisms that interfere
with the retaining structure.
7.6.9 Partial factors
Partial factors for the verification of retaining structures at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.1, using either the Material Factor Approach or the
Resistance Factor Approach.
NOTE 1 The National Annex can specify which factor approach to use.
NOTE 2 Values of the partial factors are given in Table 7.2 (NDP) for persistent and transient design situations
unless the National Annex gives different values.
NOTE 3 Additional guidelines for use of partial factors for numerical models is given in EN 1997-1:2024, 8.2.
When the Resistance Factor Approach is used, the partial factor γRe should be applied to the resultant
passive earth resistance.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE When using the Resistance Factor Approach, the partial factors γRe and γE can be combined into a single
factor applied to passive soil resistance.
When the Resistance Factor Approach is used, explicit verification of rotational resistance may be
omitted if the upper part of the retaining structure is supported by anchors, struts, or slabs and the
ratio between the passive earth resistance and the mobilized earth pressure in front of the wall is
greater or equal to the product γRe γE.
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Table 7.2 (NDP) —Partial factors for the verification of ground resistance against retaining
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structures for fundamental (persistent and transient) design situations
Verification of Partial Symbol Material Factor Approach – Resistance Factor
factor on both combinations (a) and Approach
(b) or the single
combination (c)
(a) (b) (c) (d) (e)
Overall stability See Clause 4
Bearing/sliding Actions, γF,γE VC4a VC3a VC1a VC1a,c VC4a,c
resistance of Effects of
gravity walls actions
Ground γM M1b M2b M2b Not factored
properties
Bearing γRN Not factored 1,4
resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Sliding γRT 1,1
resistance
Bearing/rotational Actions, γF , γE VC4a VC3a Not VC1a VC4a
resistance of Effects of used
embedded walls actions
Basal heavec Ground γM M1b M2b Not Not factored
properties used
Vertical γR Not factored 1,4
resistance,
basal heave
Passive earth γRe 1,4
resistance
a
b
c For basal heave, see Annex D.
7.7 Serviceability limit states
7.7.1 General
EN 1997-1:2024, Clause 9 shall apply to retaining structures.
Where relevant, the assessment of design values of earth pressures should consider initial stresses,
ground stiffness and strength and the stiffness of the structural elements.
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7.7.2 Displacements
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Limiting values of ground movement around retaining structures shall comply with EN 1997-1:2024,
4.2.5 and 9.2, considering the tolerance to displacements of supported structures and utilities within
the zone of influence.
Ground movement around retaining structures, and their effects on supported structures and
services, shall always be checked against comparable experience.
Determination of ground movement around retaining structures shall consider the sequence of
work.
Vibrations caused by traffic loads or construction machinery close to the retaining wall should be
considered when estimating ground movements around retaining structures.
NOTE Guidance on traffic loads is given in EN 1991-2.
When linear ground behaviour is assumed, the assumed stiffness shall be based on comparable
experience and be compatible with the expected strain level.
7.8 Implementation of design
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
7.8.1 General
EN 1997-1:2024, Clause 10 shall apply to retaining structures.
The execution and control of concrete gravity walls shall comply with EN 13670.
The execution and control of steel sheet pile walls shall comply with EN 12063.
The execution and control of diaphragm walls shall comply with EN 1538.
The execution and control of piled walls shall comply with EN 1536, EN 14199, or EN 12699
depending on the pile type.
The execution and control of steel combined walls and high modulus walls shall comply with
EN 12063.
The execution and control of deep mixing and jet grouting walls shall comply with EN 14679 and
EN 12716 respectively.
7.8.2 Inspection
7.8.2.1 General
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should include, but is not limited to:
— verification of ground and groundwater conditions, and of the location and general layout of the
retaining structure and any adjacent settlement sensitive structure (above and below ground);
— verification of the sequence of works, and control of ground excavation levels, as well as temporarily
applied loads behind the retaining structure; and
— for gravity retaining structures, verification of the quality of foundation ground, including as
necessary placement of a concrete screed or a drainage layer properly compacted.
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7.8.2.2 Water flow and groundwater pressures
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In addition to EN 1997-1:2024, 10.3, the Inspection Plan should include, but is not limited to,
measures to check:
— adequacy of systems to ensure control of groundwater pressures in all aquifers where excess
pressure could affect stability of slopes or base of excavation, including artesian pressures in an
aquifer beneath the excavation;
— disposal of water from dewatering systems;
— depression of groundwater table throughout entire excavation to prevent boiling or quick conditions,
piping and disturbance of formation by construction equipment;
— diversion and removal or rainfall or other surface water;
— efficient and effective operation of dewatering systems throughout the entire construction period,
considering encrusting of well screens, silting of wells or sumps;
— wear in pumps;
— clogging of pumps;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— control of dewatering to avoid disturbance of adjoining structures or areas;
— observations of piezometric levels;
— effectiveness, operation and maintenance of water recharge systems, if installed;
— effectiveness of sub-horizontal borehole drains;
— effects of dewatering operations on groundwater table;
— effectiveness of measures taken to control seepage inflow;
— internal erosion processes and piping;
— chemical composition of groundwater; and
— corrosion potential.
7.8.3 Monitoring
In addition to EN 1997-1:2024, 10.4, the Monitoring Plan should include, but is not limited to:
— displacements at established time intervals of adjoining structures or areas, more especially in the
case of compressible or weak quality soil layers;
— evolution of existing cracks in adjacent structures;
— piezometric or groundwater levels under buildings or behind the structure, or in adjoining areas,
especially if permanent dewatering systems are installed;
— deflection or displacement of retaining structures;
— behaviour of temporary or permanent support systems, such as anchors or struts; and
— the required degree of water tightness.
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7.8.4 Maintenance
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EN 1997-1:2024, 10.5 shall apply to retaining structures.
7.9 Testing
EN 1997-1:2024, Clause 11 shall apply to retaining structures.
The efficiency of any dewatering system shall be tested before the beginning of excavation, in
accordance with EN ISO 22282-4.
7.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to retaining structures.
8 Anchors
8.1 Scope and field of application
This clause shall apply to temporary and permanent anchors that transmit a tensile force from the
anchor head through a free anchor length over a resisting element to a load resisting ground
formation.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 1 This includes anchors within the scope of EN 1537 and mechanical anchors with a free anchor length
(such as screw, harpoon, and expander anchors).
NOTE 2 Figure 8.1 shows an example of an anchor within the scope of this clause.
Key
1 free anchor length 5 ground
2 fixed anchor length 6 anchored structure
3 resisting element 7 load transfer block
4 tendon 8 anchor head
Figure 8.1 — Example of an anchor within the scope of Clause 8
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Tension elements without a free length shall be designed according to Clauses 6, 10 and 11.
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NOTE 1 For tension elements without a free length such as piles and micropiles, see Clause 6.
NOTE 2 For tension elements without a free length such as soil nails, see Clause 10.
NOTE 3 For tension elements without a free length such as rock bolts, see Clause 11.
Anchor walls providing fixity for dead-man anchors shall be designed according to Clause 7.
8.2 Basis of design
8.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to anchors.
8.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to anchors.
The required free anchor length shall be determined in the design of the anchored structure.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The anchor head shall be designed to tolerate angular deviations complying with EN 1537.
Angular deviations complying with EN 1537 shall be considered to account for a potential reduction
of load transferred to the ground or a risk of intersection with other elements in the ground.
8.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to anchors.
8.2.4 Actions and environmental influences
8.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to anchors.
8.2.4.2 Permanent and variable actions
Design values of the anchor force and lock off load shall be obtained from the verification of limit
states for the anchored structure.
Anchor forces required to support slopes, cuttings, and embankments shall comply with Clause 4.
Anchor forces required to support retaining structures shall comply with Clause 7.
Anchor forces required to support structures subjected to uplift shall be determined according to
EN 1997-1:2024, 8.1.3.2.
The lock-off load shall not give rise to a limit state in the ground, in the anchored or in the supported
structures.
It shall be verified that the lock-off load is sufficient to ensure that the anchor resistance can be
mobilised without exceeding the serviceability limit state of both the anchored and adjacent
structures.
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8.2.4.3 Cyclic and Dynamic actions
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EN 1997-1:2024, 4.3.1.3 shall apply to anchors.
8.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to anchors.
The potential adverse effect of chemical components of ground or groundwater according to
EN 1537 shall be taken into account for design for durability.
8.2.5 Limit states
8.2.5.1 Ultimate limit states
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified for
all anchors:
— structural failure of the tendon or anchor head;
— rupture at the interface between the tendon and the grout body;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— rupture at the interface between the grout body or the resisting element and the resisting ground;
— loss of anchor force by displacement of the resisting element due to creep, deformations or loss of
ground behind the anchored structure;
— limit states in anchored or adjacent structures, including actions resulting from testing and
prestressing; and
— excessive deformation of the anchored structure.
Potential ultimate limit states other than those given in (1) should be verified.
For a group of anchors, verification shall be based on the most critical failure surface.
NOTE Depending on spacing and the profile of ground strength, this can involve displacement of part of or the
whole anchored ground body, often combined with pull-out of the distant ends of the anchors.
8.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified for all anchors:
— deformation of the anchored structure;
— increase of anchor load during the design service life; and
— loss of anchor force by displacement of the resisting element due to creep, deformations or loss of
ground behind the anchored structure.
Potential serviceability limit states other than those given in (1) should be verified.
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8.2.6 Robustness
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EN 1997-1:2024, 4.1.4 shall apply to anchors.
8.2.7 Ground investigation
8.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to anchors.
The zone of ground into which tensile forces are transferred should be included in ground
investigations.
8.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for anchors shall be
determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 8.1 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ground conditions.
Table 8.1 (NDP) — Minimum depth of field investigation for anchors
Application Minimum depth Illustration
Anchors dmin = 2 m from the end of the
lowest anchor downward
zmin = 2 m from the end of the
longest anchor
Ground investigation may include additional observations of spoil from drilling or boring during
execution of geotechnical structure.
8.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to anchors.
Anchors shall be classified in Geotechnical Category 2 or 3.
8.3 Materials
8.3.1 Ground
EN 1997-2:2024, Clause 7 to 12 shall apply to anchors.
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8.3.2 Steel
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EN 1997-1:2024, 5.6 shall apply to anchors.
8.3.3 Grout
EN 1997-1:2024, 5.4 shall apply to anchors.
8.3.4 Other materials
Materials other than those specified in 8.3 may be used provided they comply with a relevant
material standard.
NOTE The relevant standard can be specified in the National Annex.
8.4 Groundwater
8.4.1 General
EN 1997-1:2024, Clause 6 shall apply to anchors.
8.4.2 Groundwater control measures
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Clause 13 shall apply to anchors.
8.5 Geotechnical analysis
In addition to EN 1997-1:2024, Clause 7, the geotechnical analysis shall address all limit state
verifications listed in 8.2.5.
The anchor head shall be designed to allow the tendon to be stressed, proof-loaded, and locked-off
and (if required) released, de-stressed, and re-stressed.
The anchor head shall be designed to accommodate deformations and load variation that can occur
during the design service life of the structure.
Measures shall be taken to avoid adverse interactions between anchors that are located close to each
other.
NOTE Details are given in Annex E.
The resisting ground should be sufficiently distant from the anchored structure to avoid any adverse
interaction between the two.
The orientation of the anchor should be chosen to enable self-stressing under deformation.
If self-stressing under deformation is not possible, the adverse effects of potential failure
mechanisms shall be considered.
The orientation of the anchor should be chosen to optimize the transfer of load into the resisting
ground.
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8.6 Ultimate limit states
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8.6.1 General
EN 1997-1:2024, Clause 8 shall apply to anchors.
The design value of the ultimate limit state resistance of an anchor shall satisfy.
𝐸𝐸d ≤ min�𝑅𝑅ad,ULS ; 𝑅𝑅td � (8. 1)
where
Ed is the design value of the effects of actions for the ultimate limit state;
Rad,ULS is the design value of an anchor’s geotechnical resistance at the ultimate limit state; and
Rtd is the design value of the tensile resistance of the structural element.
Ed shall be determined according to 4.6.2 and 7.6.7 and EN 1997-1:2024, 8.1.3.
Ed shall include the effects of anchor lock-off load.
8.6.2 Geotechnical resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Anchors shall only be used if their geotechnical design and construction have been verified by:
— investigation or suitability tests; or
— comparable experience.
NOTE 1 Anchors are verified by investigation and suitability tests unless the National Annex states otherwise.
NOTE 2 Comparable experience is defined in EN 1997-1:2024, 3.1.2.4.
Acceptance tests shall be carried out on all anchors.
Investigation, suitability and acceptance tests on grouted anchors shall comply with EN ISO 22477-5.
In addition to (2), the measured value of the geotechnical resistance of a grouted anchor at the
ultimate limit state shall be determined for each distinct geotechnical unit from a minimum of test as
specified in EN ISO 22477-5, either:
— when using Test Method 1, three investigation or suitability tests; or
— when using Test Method 3, two investigation tests and three suitability tests.
For non-grouted anchor types, the minimum number of tests shall comply with (4) unless otherwise
specified by the relevant authority or, where not specified, as agreed for a specific project by the
relevant parties.
The measured value of the geotechnical resistance of a grouted anchor at the ultimate limit state
(Ram,ULS) shall be obtained from the results of an anchor test using:
𝑅𝑅am,ULS = min�𝑅𝑅am,αULS ; 𝑃𝑃P � (8. 2)
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where
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Ram,αULS is the measured value of the anchor’s geotechnical resistance complying with the
ultimate limit state criterion, αULS;
αULS creep rate that defines the geotechnical resistance of an anchor at the ultimate limit
state (determined from the displacement per log cycle of time at constant anchor load,
as defined in EN ISO 24477-5, as given in 8.9.1; and
PP is the proof load.
For grouted anchors, the ultimate limit state criterion αULS in Formula (8.2) shall be the creep rate:
— α1 for Test Method 1; or
— α3 for Test Method 3.
NOTE 1 The values of α1 and α3 are given in Table 8.4 (NDP) unless the National Annex gives different values.
NOTE 2 The load relating to the physical pull-out resistance can be higher than the value of the load
corresponding to the creep rates given above.
The measured value of the geotechnical resistance of a non-grouted anchor at the ultimate limit state
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(Ram,ULS) shall be obtained from the results of anchor test using:
𝑅𝑅am,ULS = min �𝑅𝑅am,CadULS ; 𝑃𝑃P � (8. 3)
where
Ram,CadULS is the measured value of the anchor’s geotechnical resistance complying with the
ultimate limit state criterion, Cad,ULS; and
PP is the proof load.
NOTE For non-grouted anchors, Cad,ULS can be given in the National Annex.
The characteristic value of an anchor’s geotechnical resistance at the ultimate limit state Rak,ULS shall
be determined from:
�𝑅𝑅am,ULS �min
𝑅𝑅ak,ULS = 𝜉𝜉ULS
(8. 4)
where
(Ram,ULS)min is the minimum value of Ram,ULS measured in a number of tests; and
ξULS is a correlation factor taking into account the number of tests.
NOTE The value of ξULS is 1,0 unless the National Annex gives a different value.
The design value of an anchor’s geotechnical ultimate limit state resistance Rad,ULS shall be
determined from:
𝑅𝑅
𝑅𝑅ad,ULS = 𝛾𝛾 ak,ULS (8. 5)
Ra,ULS
where
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Rak,ULS is the characteristic value of the anchor’s geotechnical resistance at the ultimate limit
state; and
γRa,ULS is a partial factor on the anchor’s geotechnical resistance at the ultimate limit state, given
in 8.6.4.
8.6.3 Structural resistance
The design value of the ultimate limit state resistance of the structural elements of an anchor shall
comply with EN 1993-5 and:
𝐸𝐸d ≤ 𝑅𝑅td (8. 6)
where
Ed is the design value of the effects of actions at ultimate limit state (see Formula 8.1);
Rtd is the design value of the tensile resistance of the structural element.
The structural design of steel tendons under a proof load should comply with EN ISO 22477-5.
8.6.4 Partial factors
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Partial factors for the verification of anchors at the ultimate limit state shall be determined according
to EN 1997-1:2024, 4.4.1, using the Resistance Factor Approach in combination with either EN ISO
22477-5:2018 Test Method 1 or Test Method 3.
NOTE 1 The National Annex can specify which Test Method to use.
NOTE 2 The value of γRa,ULS is given in Table 8.2 (NDP) for persistent and transient design situations, unless the
National Annex gives a different value.
Table 8.2 (NDP) — Partial factors for the verification of geotechnical resistance of anchors for
fundamental (persistent and transient) design situations at the ultimate limit state
Verification of Partial factor on Symbol Resistance Factor Approach
Test Method 1 Test Method 3
Geotechnical resistance Geotechnical resistance γRa,ULS 1,1a,b 1,1a
of an anchor at the ultimate limit state
a See Formula (8.5)
b See Formulae (8.12) and (8.14)
8.7 Serviceability limit states
8.7.1 General
EN 1997-1:2024, Clause 9 shall apply to anchors.
If Test Method 3 is used to determine the ultimate limit state resistance of a grouted anchor, then its
geotechnical resistance at the serviceability limit state should be verified in Suitability and
Acceptance Tests against the critical creep load Pc determined in a previous Investigation Test.
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NOTE In Test Method 1, the serviceability limit state of a grouted anchor is implicitly verified by verification of
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the ultimate limit state.
If Test Method 3 is used, the anchor’s design resistance (Rad,SLS) shall comply with:
𝐸𝐸d,SLS ≤ 𝑅𝑅ad,SLS (8. 7)
where
Ed, SLS is the design value of the effect of action of the maximum anchor force, including the lock-
off load, and sufficient to prevent the serviceability limit state in the anchored structure;
and
Rad,SLS is the design value of the anchor’s geotechnical resistance at the serviceability limit state.
8.7.2 Geotechnical resistance
If Test Method 3 is used, the measured serviceability limit state resistance Ram,SLS of an anchor shall
be determined from a minimum of two investigation tests in each geotechnical unit.
The measured geotechnical resistance of a grouted anchor at the serviceability limit state (Ram,SLS)
shall be determined from:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝑅𝑅am,SLS = min�𝑅𝑅am,αSLS ; 𝑃𝑃C ; 𝑃𝑃P � (8. 8)
where
Ram,αSLS is the measured value of the anchor’s geotechnical resistance complying with αSLS;
αSLS is the creep rate that defines the geotechnical resistance of an anchor at the
serviceability limit state (determined from the displacement per log cycle of time at
constant anchor load, as defined in EN ISO 22477-5), given in 8.9.1;
PC is the critical creep load Pc evaluated in Test Method 3 of EN ISO 22477-5:2018; and
PP is the proof load.
The measured geotechnical resistance of a non-grouted anchor at the serviceability limit state
(Ram,SLS) shall be determined from:
𝑅𝑅am,SLS = min�𝑅𝑅am,CadSLS ; 𝑃𝑃C ; 𝑃𝑃P � (8. 9)
where
Ram,CadSLS is the measured value of the anchor’s geotechnical resistance complying with Cad,SLS;
Cad,SLS is the serviceability limit state criterion for non-grouted anchors;
PC is the critical creep load Pc evaluated in Test Method 3 of EN ISO 22477-5:2018; and
PP is the proof load.
For non-grouted anchors, Cad,SLS should be specified by the relevant authority or, where not specified,
as agreed for a specific project by the relevant parties.
NOTE Cad,SLS can be given in the National Annex.
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The characteristic value of the geotechnical resistance of an anchor at the serviceability limit state
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(Rak,SLS) shall be determined from:
𝑅𝑅ak,SLS = �𝑅𝑅am,SLS �min (8. 10)
where
(Ram,SLS)min is the minimum value of Ram,SLS measured in a number of tests.
The design value of the geotechnical resistance of an anchor at the serviceability limit state (Rad,SLS)
shall be determined from:
𝑅𝑅
𝑅𝑅ad,SLS = 𝛾𝛾 ak,SLS (8. 11)
Ra,SLS
where
Rak,SLS is the characteristic value of the anchor’s geotechnical resistance at the serviceability
limit state; and
γRa,SLS is a partial factor on the anchor’s geotechnical resistance at the serviceability limit state,
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
given in 8.7.3.
8.7.3 Partial factors
Partial factors for the verification of anchors at the serviceability limit state shall be determined
according to EN 1997-1:2024, 4.4.1, using the Resistance Factor Approach in combination with
either EN ISO 22477-5:2018 Test Method 1 or Test Method 3.
NOTE Values of the partial factors are given in Table 8.3 (NDP) unless the National Annex gives different values.
Table 8.3 (NDP) — Partial factors for the verification of geotechnical resistance of anchors at the
serviceability limit state
Verification Partial factor on Symbol Resistance Factor Approach
of
Test Method 1 Test Method 3
Geotechnical Resistance of a permanent anchor at γRa,SLS Not used 1,2a
resistance of the serviceability limit state
an anchor
Resistance of a temporary anchor at 1,1a
the serviceability limit state
Suitability Resistance of a permanent anchor at γRa,SLS,test 1,25b
and the serviceability limit state
Acceptance
Tests Resistance of a temporary anchor at 1,15b
the serviceability limit state
a See Formula (8.11)
b See Formulae (8.13) and (8.15)
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8.8 Implementation of design
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8.8.1 General
EN 1997-1:2024, Clause 10 shall apply to anchors.
Execution, supervision, inspection and monitoring of grouted anchors shall comply with EN 1537.
Execution of non-grouted anchors should be as specified by the relevant authority or, where not
specified, as agreed for a specific project by the relevant parties.
In addition to (2) and (3), the specifications shall be reported in the Geotechnical Design Report and
in the execution specification.
Prior to their usage, it should be demonstrated that the anchor components have the required
performance and durability as specified by the relevant authority or, where not specified, as agreed
for a specific project by the relevant parties.
8.8.2 Inspection
EN 1997-1:2024, 10.3 shall apply to anchors.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
8.8.3 Monitoring
EN 1997-1:2024, 10.4 shall apply to anchors.
8.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to anchors.
8.9 Testing
8.9.1 General
EN 1997-1:2024, Clause 11 shall apply to anchors.
Testing of grouted anchors shall comply with either Test Method 1 or Test Method 3, as given in
EN ISO 22477-5:2018.
NOTE 1 The test method to be used can be specified in the National Annex.
NOTE 2 Limiting values for creep rate in investigation, suitability and acceptance tests are given in Table 8.4
(NDP) unless the National Annex gives different values.
Table 8.4 (NDP) — Limiting criteria for investigation, suitability and acceptance tests at the
ultimate and serviceability states
Test Parametera Anchor Investigation Suitability test Acceptance test
method type test αULS αSLS αULS αSLS
αULS (8.12)b (8.13)b (8.14)b (8.15)b
1 α1 All 2 mm 2 mm Not used 2 mm Not used
Temporary 1,2 mm 2,5 mm
3 α3 5 mm Not used Not used
Permanent 1,0 mm 1,5 mm
a Creep rate per log cycle of time
b Reference to applicable formula
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Testing of non-grouted anchors should be carried out in accordance with EN ISO 22477-5, unless
specified otherwise by the relevant authority or, where not specified, as agreed for a specific project
by the relevant parties.
8.9.2 Investigation tests
The proof load in investigation tests shall be estimated from the expected geotechnical resistance of
the anchor at the ultimate limit state.
NOTE Limit values for creep rate at the proof load in investigation tests are given in 8.9.1.
Grouted anchors with fixed anchor lengths spaced less than 1,5 m centre to centre should be tested
in groups of three anchors unless comparable experience has shown that the interaction has no
quantifiable adverse effects.
Grouted anchors for investigation tests should comply with EN ISO 22477-5.
8.9.3 Suitability tests
Suitability tests shall be used to verify that specified criteria are not exceeded at a proof load, PP,
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
given for Test Method 1 by:
𝑃𝑃P ≥ 𝜉𝜉a,ULS,test ∙ 𝛾𝛾Ra,ULS ∙ 𝐸𝐸d (8. 12)
or, for Test Method 3, by:
𝑃𝑃P ≥ 𝜉𝜉a,SLS,test ∙ 𝛾𝛾Ra,SLS,test ∙ 𝐸𝐸d,SLS (8. 13)
where
Ed is the design value of the effects of actions at the ultimate limit state (see Formula
8.2);
Ed,SLS is the design value of the maximum anchor force, including the lock-off load, and
sufficient to prevent the serviceability limit state of the anchored structure;
γRa,ULS is a partial factor on the anchor’s geotechnical resistance at the ultimate limit state,
given in 8.6.4;
γRa,SLS,test is a partial factor on the anchor’s geotechnical resistance in suitability and
acceptance tests at the serviceability limit state, given in 8.7.3; and
ξa,ULS,test, are correlation factors, taking account of the number of suitability tests.
ξa,SLS,test
NOTE 1 The values of ξa,ULS,test and ξa,SLS,test are 1,0 unless the National Annex gives different values.
NOTE 2 Limit values for creep rate in suitability tests are given in 8.9.1.
Unless comparable experience has shown that the interaction has no quantifiable adverse effects,
grouted anchors with fixed anchor lengths spaced at less than 1,5 m centre to centre should be tested
in groups of three anchors.
Grouted anchors for suitability tests shall comply with EN ISO 22477-5.
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The apparent free anchor length of a grouted anchor shall comply with EN 1537.
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8.9.4 Acceptance tests
Acceptance tests shall be carried out on all anchors prior to their lock off and before they become
operational.
Acceptance tests shall be used to verify that specified limiting criteria are not exceeded at the proof
load, PP, given for Test Method 1 by:
𝑃𝑃P = 𝛾𝛾Ra,ULS ∙ 𝐸𝐸d (8. 14)
or, for Test Method 3, by:
𝑃𝑃P = 𝛾𝛾Ra,SLS,test ∙ 𝐸𝐸d,SLS (8. 15)
γRa,ULS is a partial factor on the anchor’s geotechnical resistance at the ultimate limit state,
given in 8.6.4; and
γRa,SLS,test is a partial factor on the anchor’s geotechnical resistance in suitability and acceptance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
tests at the serviceability limit state, given in 8.7.3.
NOTE Limit values for creep rate in acceptance tests are given in 8.9.1.
The apparent free anchor length of a grouted anchor shall comply with EN 1537.
For grouted anchors, where fixed anchor lengths of a group of anchors cross at spacings less than
1,5 m (centre to centre), the pre-stress should be checked on selected anchors after completion of
the lock-off process.
8.9.5 Testing of grout
The compressive strength of grout used for load transfer should be verified by testing prior to the
use of grout for anchor installation.
The methods and frequency of testing of grout properties should be specified, taking into account
the characteristics of the project, the grouting method, grout material, and site conditions.
8.10 Reporting
EN 1997-1:2024, Clause 12, shall apply to anchors.
In addition to EN 1997-1:2024, Clause 12, reporting for grouted anchors should comply with
EN 1537 and EN ISO 22477-5.
In addition to EN 1997-1:2024, Clause 12, reporting for non-grouted anchors should be as specified
by the relevant authority or, where not specified, as agreed for a specific project by the relevant
parties.
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9 Reinforced fill structures
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9.1 Scope and field of application
This clause shall apply to reinforced fill structures.
NOTE 1 Reinforced fill structures include those in Figure 9.1.
NOTE 2 Earthwork structures without reinforcing elements are covered by Clause 4.
NOTE 3 Design of asphalt reinforcement of pavements is not covered by this standard.
NOTE 4 Geotextile encased columns are covered in Clause 12.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
A reinforced wall and abutments
B reinforced slope
C basal reinforcement for embankments (including load transfer platforms over inclusions and areas
prone to development of voids)
D Veneer reinforcement
−-− reinforcing element
Figure 9.1 — Reinforced fill structures within the scope of Clause 9
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9.2 Basis of design
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9.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to reinforced fill structures.
9.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to reinforced fill structures.
If the design of a reinforced fill structure is sensitive to deviations in the locations of the reinforcing
or facings elements, the design value of those locations should be determined according to EN
1990:2023, 8.3.7 or 8.4.6, as appropriate for the limit state being verified.
NOTE 1 The sensitivity depends on the types of reinforcing elements and facing used and on the chosen design
method.
NOTE 2 Guidance for facing systems can be found in EN 14475:2006, Tables C.1 to C.12.
9.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to reinforced fill structures.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
9.2.4 Actions and environmental influences
9.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to reinforced fill structures.
9.2.4.2 Permanent and variable actions
The design value of the force in the reinforcing elements shall be obtained from verification of limit
states for the reinforced structure.
Variable actions arising from traffic loads shall comply with EN 1991-2:2023, 6.9 and 8.10.
Seepage forces due to different groundwater levels behind and in front of a reinforced structure shall
be considered as actions, in accordance with 9.4.
9.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to reinforced fill structures.
9.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to reinforced fill structures.
Chemical components of ground or groundwater that can adversely affect the durability of the
reinforcing element or the resistance at the ground/reinforcing element interface shall be
considered.
The effects of temperature on the durability due to chemical degradation of geosynthetic reinforcing
elements shall be determined using the equivalent constant in-soil temperature, Teq.
The effects of temperature on the creep of geosynthetic reinforcing elements shall be determined
using the equivalent constant in-soil temperature, Teq.
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The value of Teq may be specified by the relevant authority or, where not specified, agreed for a
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specific project by the relevant parties.
In the absence of a specified temperature or site-specific in-soil temperature data, the value of Teq
should be taken as either:
— a temperature midway between the average yearly air temperature and the average daily air
temperature for the hottest month at the site; or
— a temperature derived from a validated temperature-dependent kinetic degradation model applied
to site-specific in-soil temperature range and variations.
Measures should be taken to avoid adverse swelling or expansion of frost susceptible soils in the
ground near the surface of reinforced structures.
NOTE Potential measures include selection of backfill material that is not frost susceptible, or inclusion of
drainage, or insulation.
Potential degradation of geosynthetic reinforcing elements by ultra violet exposure shall be
considered.
9.2.5 Limit states
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
9.2.5.1 Ultimate limit states
It shall be verified that a reinforced fill structures will not exceed any of the following potential
ultimate limit states caused by:
— failure due to loss of overall stability, determined in accordance with Clause 4;
— failure by loss of bearing resistance determined in accordance with Clause 5;
— failure by sliding determined in accordance with Clause 5; and
— failure by loss of static equilibrium determined in accordance with Clause 7.
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states related to internal
and compound stability shall be verified for all reinforced fill structures:
— rupture of the reinforcing element;
— rupture of any connection between a reinforcing element and a facing element of the structures,
caused by failure of one or a combination of the following elements:
— reinforcing element at the connection, facing element at the connection, connector if any;
— rupture of any seam or joint between the reinforcing elements themselves;
— failure along slip surfaces that pass wholly or partially through the reinforced block, either through
the fill or along a reinforcing element;
— failure at the interface between the fill and the reinforcing element beyond the assumed slip surface
(pull-out);
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— failure at the interface between the fill and the reinforcing element within the active zone of the
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assumed slip surface ('stripping');
— failure by sliding between the ground and the bottom reinforcing element;
— failure by sliding between the reinforced block and its foundation;
— excessive deformation of the reinforced fill structure that causes failure of a nearby structure;
— bearing failure of the ground; and
— extrusion of any weak foundation soils.
NOTE Examples of ultimate limit states for internal failure mechanisms for reinforced fill structures are shown
in Figure 9.2.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
−-− reinforcing element
Figure 9.2 — Examples of ultimate limit states for internal failure mechanisms for reinforced fill
structures: (a) tensile failure, (b) pull-out of reinforcing elements, and (c) sliding along the
interface between fill and reinforcing elements.
The following potential ultimate limit states shall be verified for the facing system and all its
connections:
— structural failure of the facing element;
— equilibrium failure of the facing element;
— connection failure between reinforcing elements and facing units if they are structurally connected
(Figure 9.3 a);
— shear failure between face elements, i.e. bulging (Figure 9.3 b);
— shear failure between face elements and reinforcing elements (Figure 9.3 c);
— toppling of top facing elements not connected to reinforcing elements (Figure 9.3 d); and
— rotation of large facing elements connected to reinforcing elements at one elevation only
(Figure 9.3 e).
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Key
−-− reinforcing element
Figure 9.3 — Examples of ultimate limit states for reinforced fill structures involving internal
failure mechanisms: (a) connection rupture, (b) shear failure between face elements (bulging),
(c) shear failure between facing elements and reinforcing elements, (d) toppling of top facing
elements not connected to reinforcing elements and (e) rotation of large facing elements
connected to reinforcing elements at one elevation only
Potential ultimate limit states other than those given (2) and (3) should be verified.
9.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified for all reinforced structures:
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— deformations of the reinforced fill structure itself;
— differential settlement along the facing due to subsoil deformation;
— differential movement between facing and reinforcing element;
— deformation of the reinforced fill structure, which can cause serviceability limit states of nearby
structures or services that rely on it;
— bulging and deformation of the face; and
— cracking or spalling of precast facing elements due to differential settlement or movement.
Potential serviceability limit states other than those given in (1) should be verified.
9.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to reinforced fill structures.
9.2.7 Ground investigation
9.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to reinforced fill structures.
Chemical properties of ground, engineered fill, groundwater and infiltrating water in contact with
the reinforced fill structure should be determined to allow assessment of the durability of its
structural elements (including any reinforcing elements, seams and joints, and facing elements and
their connectors).
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9.2.7.2 Minimum extent of field investigation
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In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for reinforced fill
structure shall be determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 9.1 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
Table 9.1 (NDP) — Minimum depth of field investigation for reinforced fill structures
Application Minimum depth
Vertical or near vertical reinforced fill structures and abutments As given in 7.2.7.2 for
gravity walls
Reinforced slope, basal reinforcement, and reinforced embankments As given in 4.2.7.2
9.2.8 Geotechnical reliability
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EN 1997-1:2024, 4.1.2 shall apply to reinforced fill structures.
9.3 Materials
9.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to ground behind and beneath reinforced fill structures.
9.3.2 Engineered fill
EN 1997-1:2024, 5.2 shall apply for engineered fill in reinforced fill structures.
NOTE For classification of fill, see EN 16907-2.
9.3.3 Geosynthetics
In addition to EN 1997-1:2024, 5.3, geosynthetic reinforcing elements shall comply with EN 13251.
The characteristic tensile strength of geosynthetic reinforcing elements, Tk should be determined in
accordance with EN ISO 10319.
A reduction factor ηgs shall be applied to the tensile strength of geosynthetic reinforcing elements to
account for loss of strength.
The representative tensile resistance Rt,el,rep of a geosynthetic reinforcing element shall be
determined from:
𝑅𝑅t,el,rep = ηgs 𝑇𝑇k (9. 1)
where
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Tk is the characteristic tensile strength of the reinforcing element see (2); and
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ηgs is a reduction factor accounting for anticipated loss of strength with time and other
influences.
The reduction factor ηgs should account for the adverse effect of:
— tensile creep rupture or excessive deformation due to sustained static load over the design service
life of the structure at the design temperature;
— mechanical damage during transportation, installation and execution;
— weathering;
— chemical and biological degradation of the reinforcing element over the design service life of the
structure at the design temperature;
— intense and repeated loading over the design service life of the structure (fatigue); and
— joints and seams between geosynthetic reinforcing elements.
The value of the reduction factor for the tensile strength of geosynthetic reinforcing elements, ηgs
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
shall be determined from:
𝜂𝜂gs = 𝜂𝜂cr ∙ 𝜂𝜂dmg ∙ 𝜂𝜂w ∙ 𝜂𝜂ch ∙ 𝜂𝜂dyn ∙ 𝜂𝜂js (9. 2)
where
ηcr is a conversion factor accounting for the adverse effect of tensile creep due to sustained
static load over the design service life of the structure at the design temperature;
ηdmg is a conversion factor accounting for the adverse effects of mechanical damage during
transportation, installation and execution;
ηw is a conversion factor accounting for the adverse effects of weathering;
ηch is a conversion factor accounting for the adverse effects of chemical and biological
degradation of the reinforcing element over the design service life of the structure at the
design temperature;
ηdyn Is a conversion factor accounting for the adverse effects of intense and repeated loading
over the design service life of the structure (fatigue); and
ηjs is a conversion factor accounting for the adverse effects of joints and seams between
reinforcing elements.
NOTE 1 The values of ηcr, ηdmg, ηw, and ηch are the reciprocals of the reduction factors specified in ISO/TS 20432,
as FR,CR, FR,ID, FR,W, and FR,CH, respectively.
NOTE 2 The value of ηdyn is the reciprocal of the reduction factor specified in EBGEO as A5.
NOTE 3 The value of ηjs is the reciprocal of the reduction factor specified in EBGEO as A3, based on tests
complying with EN ISO 10321.
NOTE 4 Guidance for the determination of values of ηcr, ηdmg, ηw, and ηch are given in ISO/TS 20432 and values
of ηdyn are given in EBGEO, unless the National Annex gives different values.
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The value of ηcr may be modified to allow for the nature of short term or rapid loading or to limit
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total or post-construction elongation.
NOTE Guidance on the magnitude of these modifications is given in ISO/TS 20432.
When the elongation of a geosynthetic material is limited to a specified value over a certain time
period, its characteristic tensile strength Tk shall be determined from isochronous creep curves.
NOTE 1 In voids overbridging application, elongation over time can be related to post construction elongation
for a specified design service life.
NOTE 2 Guidance on determining isochronous creep curves is given in ISO/TS 20432.
If Tk is determined according to (8) the value of ηcr shall be 1,0.
EN 1997-1:2024, 4.1.6 shall apply to reinforcing elements in reinforced fill structures.
Determination of the loss of strength of reinforcing elements in fills shall, for the structure’s design
service life, take account of the long-term effects of sustained load in the reinforcing elements (creep)
and long-term changes in fill properties.
9.3.4 Steel
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Reinforcing elements in the form of strips, bars or rods, welded wire ladders and meshes shall
comply with EN 10025-2, EN 10025-3, EN 10025-4 or EN 10080, as appropriate for the type of steel
used.
Non polymeric-coated steel wire meshes complying with EN 10223-3 shall not be used for a design
service life more than 1 year.
Non polymeric-coated steel wire meshes complying with EN 10223-3 shall only be used for a design
service life less than 1 year if appropriate tests or comparable experience as ground reinforcing
elements are provided.
The nominal yield strength fy for unprotected steel used in reinforced fill structures shall be not more
than 500 MPa.
The nominal yield strength fy for protected (galvanized) steel used in reinforced fill structures shall
be not more than 600 MPa.
NOTE Strengths of steels are limited for durability reasons and the risk of embrittlement. The susceptibility of
steel to hydrogen embrittlement and stress corrosion cracking is influenced by the microstructure of the steel as
well as the strength of the steel.
The provisions on ductility of EN 1993-1-1:2022, 5.2.2, shall apply to all elements.
As an alternative to (6), reinforcing steel manufactured to EN 10080 may be used provided it
complies with the requirements of Class B of EN 1992-1-1:2023, Table 5.5.
NOTE Typical steels used that meet the requirements of this document are given in F.7.
If a steel reinforcing element is galvanised, the hot dip galvanized coating shall comply with
EN ISO 1461.
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Reinforcing elements made from stainless steel or aluminium alloys shall only be used if they comply
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with a standard specified by the relevant authority or, where not specified, agreed for a specific
project by appropriate parties.
The design tensile resistance of steel reinforcing elements in reinforced fill structures Rt,el,d shall be
determined from:
𝑅𝑅t,el,d = 𝐴𝐴r 𝑓𝑓yd (9. 3)
where
fyd is the design yield strength of the steel:
for structural steel complying with EN 10025 (all parts), fyd = fy /γM0, where fy is the
yield strength of the steel and γM0 is a partial factor; and
for reinforcing steel complying with EN 10080, fyd = f0.2k / γS where f0.2k is the
characteristic proof strength at 0,2 % strain of the steel and γS is a partial factor;
Ar is the reduced gross cross-sectional area of the reinforcing element at the weakest
section, allowing for the effects of potential corrosion.
NOTE Values of γM0 and γS are given in 9.6.7.
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The design tensile resistance of steel reinforcing elements at terminations and connections Rt,con,d in
reinforced fill structures shall be determined from:
𝑅𝑅t,con,d = min�𝑘𝑘t 𝐴𝐴s,con 𝑓𝑓ud ; 𝐴𝐴r 𝑓𝑓yd � (9. 4)
where
fud is the design tensile strength of the steel;
for structural steel complying with EN 10025 (all parts), fud = fu / γM2 where fu is the
ultimate tensile strength of the steel and γM2 is a partial factor; and
for reinforcing steel complying with EN 10080, fud = ftk / γt where ftk is the characteristic
tensile strength of the steel and γt is a partial factor;
As,con is the net reduced cross-sectional area of the reinforcing element, allowing for the
effects of potential corrosion, at the termination or connection; and
kt (≤ 1) is a calibration factor accounting for the influence of the termination on the
measured breaking strength of the element.
NOTE 1 Values of γM0 and γt are given in 9.6.7.
NOTE 2 Values of fu are given in EN 1993-1-1.
NOTE 3 Values of ftk are given in EN 1992-1-1.
The ultimate resistance of terminations and connections shall comply with EN 1993-1-8.
The value of kt should be determined by testing that is certified by a Technical Assessment Body.
In the absence of a value determined by testing, the value of kt in Formula (9.4) may be taken as:
— for sections with smooth holes (i.e. holes without notches), including holes fabricated by drilling or
water jet cutting, kt = 1,0;
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— for sections with rough holes (i.e. holes with notches), including holes fabricated by punching or
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flame cutting, kt = 0,9; or
— for sections with threads, kt = 0,9.
The cross-sectional area of steel reinforcing elements shall be reduced by an amount based on the
potential average loss of thickness ∆e around the exposed surface caused by corrosion in the ground,
as shown in Figure 9.4.
Key
1 original section
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
2 section after corrosion
Figure 9.4 — Loss of thickness due to corrosion resulting in reduced cross-sectional area
For soils and fills that comply with the electro-chemical properties of Table B.1 of EN 14475:2006,
the value of ∆e shall be determined from:
Δ𝑒𝑒 = 𝑘𝑘cc max{𝐴𝐴 ∙ 𝑇𝑇 𝑛𝑛 − 𝑒𝑒z ; 0} (9. 5)
where
A is the loss of metal (including zinc) per face over the first year;
T is the design service life of the structure in years;
n is an exponent accounting for reduction in corrosion rate in time;
ez is the initial local zinc coating thickness (minimum 70 µm); and
kcc is a corrosion concentration factor, accounting for concentrated areas of corrosion and
depending on the steel manufacturing process.
NOTE 1
Table 9.2 (NDP) unless the National Annex gives different values.
NOTE 2 The value of kcc is given in Table 9.3 (NDP) unless the National Annex gives a different value.
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Table 9.2 (NDP) — Corrosion parameters for fill steel reinforcing elements
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A (µm) n
Steel
Land-based Fresh water Land-baseda Fresh waterb
Galvanizedc 0,65 0,60
25 40
Non-galvanized 0,80 0,75
a Land-based = without influence of groundwater or surface water.
b Fresh water = installed fresh water or regularly submerged, see EN 14475.
c Hot-dip galvanisation per EN ISO 1461, with a minimum local coating thickness of 70µm.
Table 9.3 (NDP) — Corrosion concentration factor, kcc
Steel Strip thicknessa Bar diameter Corrosion concentration factor kccb,c
(mm) (mm) For steel reinforcing elements (depending on
the strength distribution across its section)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Uniform strength Non-uniform (or unknown)
distribution strength distribution
Galvanized 4-6 6-18 1,7 2,0
> 12 > 40 1,0 1,0
Non-galvanized 4-6 6-18 2,5 3,0
> 12 > 40 1,0 1,0
a For strips 6 mm to 12 mm thick and bars 18 mm to 40 mm in diameter, interpolate between the values given.
b Some manufacturing methods result in steel properties varying across the section with higher strengths towards the outer
surface. This can affect tensile resistance disproportionally.
c See Annex F.7 for examples of steels with uniform and non-uniform strength distributions.
The values of A and n may be determined by testing, provided the test data is certified by a Technical
Assessment Body and their values are not less than those given in (16).
The value of kcc may be determined by testing, provided the test data is certified by a Technical
Assessment Body and its value is not less than that given for steel with a uniform strength
distribution.
For soils and fills that do not comply with the electro-chemical properties of Table B.1 of
EN 14475:2006, the value of ∆e shall be determined by tests in the specific ground conditions and
the obtained value shall not be less than that derived from Formula (9.5).
The reduced cross-sectional area of a steel reinforcing element Ar shall not be less than 50 % of its
initial cross-sectional area.
EN 1997-1:2024, 4.1.6 shall apply to reinforcing elements in reinforced fill structures.
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Determination of the loss of strength of reinforcing elements in reinforced fill structures shall, for
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the structures design service life, take account of the long-term effects of sustained load in the
reinforcing element (creep) and long-term changes in fill properties.
In addition to (21), potential damage of reinforcing elements during transport, storage and
installation shall be considered.
9.3.5 Polymeric coated steel woven wire meshes
Reinforcing elements in the form of polymeric coated steel woven wire mesh should comply with
EN 10223-3.
Uncoated steel woven wire meshes shall comply with 9.3.4.
Polymeric coated steel woven wire meshes should be treated with a zinc-aluminium alloy coating
(Zn95Al5 or Zn90Al10) conforming to EN 10244-2.
The minimum coating unit weight shall comply with EN 10244-2 and be further protected by a:
— PVC coating conforming to EN 10245-2;
— PE coating conforming to EN 10245-3;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— PET coating conforming to EN 10245-4; or
— PA coating conforming to EN 10245-5.
The characteristic tensile strength of polymeric coated steel woven wire mesh reinforcing elements
shall be determined in accordance with EN ISO 10319.
The representative tensile resistance Rt,el,rep of a polymeric coated woven wire mesh reinforcing
element shall be determined from:
𝑅𝑅t,el,rep = ηpwm 𝑇𝑇k (9. 6)
where
Tk is the characteristic tensile strength of the reinforcing element; and
ηpwm is a reduction factor accounting for anticipated loss of strength with time and other
influences.
The value of the reduction factor for tensile strength of steel woven wire meshes ηpwm shall be
determined from:
𝜂𝜂pwm = 𝜂𝜂dmg 𝜂𝜂cor (9. 7)
where
ηdmg is a reduction factor accounting for the adverse effects of mechanical damage to the steel
during transportation, installation, and execution; and
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ηcor is a reduction factor accounting for the adverse effects of degradation of the element by
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corrosion over the design service life of the structure, see (8) and (9).
NOTE 1 The value of ηdmg can be assessed by testing in accordance with EN 17738, as the ratio of the tensile
strength of damaged specimens divided by the tensile strength of the undamaged specimens.
NOTE 2 The value of ηdmg can have a value lower than 1,0 if the steel wires get damaged during execution.
The determination of ηcor shall account for the long term effect of corrosion of the steel wires due to
the local loss of protection caused by mechanical and chemical damage to the polymeric coatings,
exposing the wires (with or without zinc-aluminium alloy coating) to the surrounding environment.
NOTE The polymeric and a zinc-aluminium alloy coating have no structural function, since their only purpose
is to protect the metallic wires.
The value of ηcor may be determined by testing steel wires with damaged coatings according to
EN 17738.
NOTE The value of ηcor is determined based on the residual strength of the product ignoring the wires that are
exposed and assumed to be ineffective due to loss of polymeric coating. This assumes that the coating does not
degrade chemically such that its protective function is lost over the design service life.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 1997-1:2024, 4.1.6 shall apply to reinforcing elements in reinforced fill structures.
Determination of the loss of strength of reinforcing elements in reinforced fill structures shall, for
the structures intended design service life, take account of the long-term effects of sustained load in
the reinforcing element (creep) and long-term changes in fill properties.
9.3.6 Facing material
The structural resistance of facing elements of concrete, steel, masonry, and timber shall comply with
EN 1992 (all parts), EN 1993 (all parts), EN 1996 (all parts) and EN 1995 (all parts), respectively.
The design strength of facing elements may also be determined by testing.
EN 206 shall apply to concrete facing panels.
EN 771-3 shall apply to concrete facing blocks.
EN 14487-1 shall apply to sprayed concrete.
EN 10080 shall apply to reinforcing steel mesh used in or as a facing.
EN 10079 and EN 10080 shall apply to welded wire mesh used as a facing.
EN 10218-2 and EN 10223-3 shall apply to woven wire mesh used as a facing.
EN ISO 1461 or EN 10244-2 shall apply to any galvanizing of the facing.
EN 10245 (all parts) shall apply to any organic coating of the wire mesh.
EN 13251 shall apply for any geosynthetic materials used as a facing.
Depending on the facing system, the long term strength of the facing system, facing element, and
connector shall be determined taking into account the material and the surrounding environment.
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NOTE 1 Examples of the device or assembly connecting the reinforcing elements to the facing elements include
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steel plates and bolts; steel rods; polymeric bodkins, combs, or pins; and polymeric loops and toggles.
NOTE 2 Depending on the materials, the facing elements can be affected by mechanical damage (abrasion, etc.)
or environmental damage (ultra violet radiation on polymers, corrosion on steel, etc.).
The durability of the facing material and all connections should be considered over the design
service life.
9.3.7 Other materials
Materials other than those specified in 9.3.2 to 9.3.6 may be used provided they comply with a
relevant material standard.
NOTE The relevant standard can be specified in the National Annex.
9.4 Groundwater
9.4.1 General
EN 1997-1:2024, Clause 6, shall apply to reinforced fill structures.
9.4.2 Groundwater control measures
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Clause 13 shall apply to reinforced fill structures.
9.5 Geotechnical analysis
9.5.1 General
EN 1997-1:2024, Clause 7 shall apply to reinforced fill structures.
External and compound failure mechanisms of a reinforced fill structure, shall be analysed according
to Clauses 4, 5, or 7, taking into account the beneficial effect of any reinforcing elements.
Internal failure mechanisms in a reinforced fill structure shall be analysed according to the type of
reinforced fill structure.
Horizontal and vertical deformations of a reinforced fill structure should be analysed including
differential displacements between the reinforced fill and the facing system (rigid, semi-flexible and
flexible facing systems, see EN 14475).
Compound failure mechanisms in reinforced slopes, walls, and bridge abutments may be verified
using a method not given in 9.5.2.1(1) provided it has been validated in accordance with EN 1997-
1:2024, 7.1.1.
9.5.2 Modes of failure of reinforced fill structures
9.5.2.1 Reinforced slopes, walls, and bridge abutments
Internal failure mechanisms in reinforced slopes, walls, and bridge abutments should be verified
using one or more of the following:
— coherent gravity method;
— tie-back wedge method;
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— multiple wedge method; or
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— slope stability methods.
NOTE References for some of these methods are given in Annex F.3.
As an alternative to (1), a numerical method may be used provided it has been calibrated for the
specific reinforced fill system and validated for the specific design situation.
Methods other than those given in (1) may be used, provided they have been validated in accordance
with EN 1997-1:2024, 7.1.1.
As part of the verification of internal failure mechanisms, the local stability of the facing system of
reinforced slopes, walls, and bridge abutments should be verified using a method specific to the
reinforced fill system.
In addition to (4), the local stability of the facing system may be verified using a numerical method
provided the method has been calibrated for the specific reinforced fill system and validated for the
specific design situation.
9.5.2.2 Basal reinforcement for embankments
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
When analysing potential excessive deformation of the embankment, resistance to foundation
extrusion shall be verified.
Potential excessive deformation due to consolidation or creep of soil should be verified.
Resistance to horizontal sliding over the basal reinforcement shall be verified.
NOTE More information is given in Annex F.4.
Temporary roads and/or working platforms with basal reinforcement over low strength fine and
organic soil should be analysed as low height embankments.
If the load on an embankment causes a significant increase in loading at its base, local bearing
resistance shall be verified according to Clause 5 taking account of the beneficial effects of any basal
reinforcement.
9.5.2.3 Load transfer platforms over discrete ground improvement
Load transfer platforms may be used over discrete inclusions to allow larger spacing and limit
differential deformation on embankment surface.
Discrete ground improvement shall be designed according to Clause 12.
When analysing embankment edges outside the zone with discrete ground improvement, analyses
in accordance with 9.5.2.2 shall be performed.
The load distribution from an embankment through the load transfer platform should be analysed
using one or more of the following methods:
— Hewlett and Randolph method;
— EBGEO method;
— Concentric Arches method; or
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— ASIRI method.
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NOTE Details of these methods are given in I.5.
As an alternative to (4), a numerical method may be used provided it has been calibrated for the
specific reinforced fill system and validated for the specific design situation.
Load transfer through a load transfer platform may be analysed using a method not given in (4),
provided it has been validated in accordance with EN 1997-1:2024, 7.1.1.
9.5.2.4 Overbridging systems
Overbridging systems that include reinforcing elements may be used to limit deformation at the
ground surface caused by potential subsidence or development of voids.
The structure shall be designed to identify the location of any new void readily and quickly and to
ensure the void can be remediated within the specified short-term design period.
In persistent design situations, it shall be verified that the reinforcing elements satisfy the long-term
strain criteria required to ensure that the surface deformations remain within the limiting design
value of deformation and that the supporting ground around the void remains stable for the design
service life of the structure.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Loads in reinforcing elements should be determined assuming that the following failure
mechanisms, depending on the ratio of the structure’s height above the void (H) to the diameter of
the void (D):
— failure of the bridging zone without lateral support, which generally applies to H/D ≤ 1;
— failure of the bridging zone with lateral support, which generally applies to H/D > 1;
— failure below an arch that develops in stabilised soil, which generally applies to permanent design
situations.
NOTE Details of these calculation models are given in F.5.
9.5.2.5 Veneer stability
It shall be verified that the resistance of reinforcing elements along the underlying slope is greater
than the load effect generated by the cover soil sliding over the weakest linear slip surface.
NOTE The reinforcing elements are in direct contact with the cover soil and the active soil mass.
The loads shall be determined using the plane of least frictional resistance in the veneer cover
package.
The stability of the veneer layer subject to traffic load shall be verified for a transient design situation.
The stability of the anchorage at the top of the veneer, and any intermediate anchorages down the
slope, shall be verified.
The stability of the veneer shall be verified considering the formation of a water table inside the
veneer soil.
NOTE Further details are given in F.6.
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9.5.3 Tensile resistance of reinforcing elements
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The determination of the tensile strength of reinforcing elements shall comply with 9.3.
Where a reinforcing element carries shear loads, its structural resistance to shear shall be
determined according to the relevant Eurocode for combined axial, shear, and bending actions.
9.5.4 Pull-out resistance
9.5.4.1 General
The resistance of a reinforcing element to pull-out from the fill shall be verified both at the point of
maximum tension and at the intersection between the reinforcing element and the verified failure
line, towards non-connected ends.
The pull-out resistance (Rpo) of a reinforcing element shall be determined from:
𝐿𝐿
𝑅𝑅po = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po (𝑥𝑥) ∙ 𝑑𝑑𝑑𝑑 (9. 8)
where
P(x) is the perimeter of the reinforcing element at distance x;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
τpo(x) is the representative shear resistance against pull-out along the interface between the
soil and the reinforcing element at distance x;
x is the distance along the length of the reinforcing element; and
Lpo is the length of the reinforcing element beyond the failure surface (or line of maximum
tension) where pull-out stresses are mobilized (the pull-out resistance length).
NOTE Pull-out resistance can be influenced by dynamic action.
The interaction between multiple layers should be considered.
If the reinforcing element is situated between two different soils the properties of the weaker should
be used for determination for the representative pull-out resistance.
NOTE Figure 9.5 gives an example of pull-out analysis of the reinforcing element embedded in the resistant
zone.
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Key
1 potential failure surface or assumed location of maximum tension in reinforcing elements
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Rpo pull-out resistance
τpo shear resistance against pull-out of the reinforcing element
Lpo length of the reinforcing element in the resisting zone beyond the failure surface
σ'n normal effective stress acting on the reinforcing element
−-− reinforcing element
Figure 9.5 — Example of pull-out analysis at the embedded end of reinforcing elements
The pull-out resistance of geotextiles and geotextile related products shall be determined according
to EN 13738.
The pull-out resistance of other reinforcing elements shall be determined from documented tests in
comparable situations or from project-specific tests.
The pull-out resistance from the face of the structure should be determined considering any
mechanical connection resistance between the facing and the reinforcing element as determined
according to 9.5.6.
9.5.4.2 Sheet reinforcing elements for fill
For sheet reinforcing elements (geogrids and geotextiles), the value of τpo at a distance x in Formula
(9.8) shall be determined from:
𝜏𝜏po (𝑥𝑥) = 𝑘𝑘po σ′ n (x)tan 𝜑𝜑 (9. 9)
where
ϕ is the angle of friction of the surrounding ground or engineering fill;
σ′n(x) is the normal effective stress acting on the reinforcing element at a distance x;
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x is the distance along the length of the reinforcing element; and
kpo is a pull-out factor determined in laboratory pull-out tests in representative conditions,
from comparable experience, or from field tests.
If validated by comparable experience, effective cohesion may be added to Formula (9.9).
9.5.4.3 Discrete fill reinforcing elements
For discrete fill reinforcing elements (strips and ladders), the value of τpo(x) in Formula (9.8) shall be
determined from:
𝜏𝜏po (𝑥𝑥) = 𝜇𝜇po 𝜎𝜎 ′ n (𝑥𝑥) (9. 10)
where, in addition to the symbols given for Formula (9.9)
µpo is the coefficient of interaction determined in laboratory tests in representative
conditions, from field tests or comparable experience.
If validated by comparable experience, effective cohesion and passive resistance may be added to
Formula (9.10).
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
9.5.5 Resistance in direct shear
The resistance to direct shear (Rds) shall be determined from:
𝐿𝐿 𝐿𝐿
𝑅𝑅ds = 𝐵𝐵 ∫0 ds 𝜏𝜏ds (𝑥𝑥) ∙ d𝑥𝑥 = 𝐵𝐵 ∫0 ds 𝑓𝑓ds 𝜎𝜎 ′ n (𝑥𝑥) ∙ d𝑥𝑥 (9. 11)
where
B is the breadth of the reinforcing element;
τds(x) is the resistance to direct shear along the soil-reinforcing element interface;
x is the distance along the length of the reinforcing element;
Lds is the total length of the reinforcing element along which direct shear stresses are
mobilized;
fds is a direct shear factor determined from direct shear tests or comparable experience;
and
σ′n(x) is the normal effective stress acting on the reinforcing element at distance x.
NOTE The vertical effective stress is a good approximation for the normal effective stress provided the
inclination of the reinforcing element is less than 10° from horizontal.
If validated by comparable experience, effective cohesion may be added to Formula (9.11).
NOTE Figure 9.6 gives an example of horizontal sliding analysis of a reinforced fill structure. The symbols are
defined in Formula (9.11).
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Key
1 potential failure surface
Rds
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
resistance to direct shear
−-− reinforcing element
Figure 9.6 — Example of horizontal sliding analysis of a reinforced fill structure
Laboratory determination of the interface shear strength between fill and geosynthetic or polymeric-
coated steel woven wire mesh reinforcing elements should comply with EN ISO 12957 (all parts)
with respect to the position of the reinforcing element in the reinforced structure.
The value of fds for geosynthetic and polymeric coated steel woven wire meshes reinforcing elements
shall comply with EN ISO 12957-1 for direct shear or EN ISO 12957-2 for shear along an inclined
plane.
Mobilized resistance between the base of the reinforced fill structure and the subsoil shall be
determined according to Clause 5.
9.5.6 Resistance of connections between reinforcing elements and the facing
The resistance of the connection between the facing and a reinforcing element shall be determined
by testing the specific connection or by calculation.
If determined by calculation, the tensile resistance of the mechanical connection between each
reinforcing element and the facing (Rcon) shall be determined from:
𝑅𝑅con = 𝜂𝜂con 𝑇𝑇 (9. 12)
where
T is the tensile strength of the reinforcing element; and
η con is a reduction factor accounting for anticipated loss of strength with time and from other
influences at the connection.
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The reduction factor η con shall be calculated for geosynthetics from:
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𝜂𝜂con = 𝜂𝜂gs 𝜂𝜂con,dmg (9. 13)
or, for polymeric steel woven wire meshes, from:
𝜂𝜂con = 𝜂𝜂pwm 𝜂𝜂con,dmg (9. 14)
where
ηcon,dmg is a reduction factor accounting for the reduction of resistance due to damage of the
connection; and
ηgs, ηpwm are reduction factors accounting for the durability of the material.
NOTE Values of ηgs and ηpwm are given in 9.3.3. and 9.3.5 respectively.
For steel reinforcing elements, if the determination is by calculation, Rcon shall comply with
EN 1993-1-8.
The reduction factor ηcon,dmg should take into account the following potential sources of strength
reduction:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— local mechanical damage;
— local environmental damage; and
— modification of the reinforcing element to accommodate the connection system.
For connector components, Rcon shall be determined according to the Eurocode relevant to the
material used in the component.
For the resistance of the facing element at the connection point, Rcon shall be determined according to
the relevant Eurocode to the material used in the facing.
When the resistance is limited by pull-out or direct shear capacity between the reinforcing element
and a facing element or facing block, Rcon shall be determined by testing.
Where the reinforcing element is assumed to carry shear loads, the shear resistance of connection
between facing and reinforcing element shall be determined according to the relevant Eurocode for
combined axial, shear, and bending actions.
9.6 Ultimate limit states
9.6.1 General
EN 1997-1:2024, Clause 8 shall apply to reinforced fill structures.
It shall be verified that the design value of the effect of actions in each reinforcing element Eel,d (see
9.2.4) complies with:
𝐸𝐸el,d ≤ min�𝑅𝑅t,el,d ; 𝑅𝑅po,d ; 𝑅𝑅ds,d � (9. 15)
where
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Rt,el,d
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is the design value of the structural resistance of the reinforcing element, including
connections between reinforcing element sections (see 9.6.2);
Rpo,d is the design value of interface resistance between the fill and the reinforcing element
(pull-out, see 9.6.3); and
𝑅𝑅ds,d is the design value of direct shear mobilised along the interface between the fill or
ground and the reinforcing element (see 9.6.4).
It shall be verified that the design value of the effect of actions at the connection between each
reinforcing element and the facing Econ,d (see 9.2.4) complies with:
𝐸𝐸con,d ≤ 𝑅𝑅con,d (9. 16)
where
Rcon,d is the design value of the resistance at the connection, see 9.6.5.
The structural resistance of facing elements shall comply with 9.6.6.
9.6.2 Tensile resistance
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9.6.2.1 Geosynthetics
The design tensile resistance (Rt,el,d) of a geosynthetic reinforcing element shall be determined from:
𝑅𝑅t,el,rep
𝑅𝑅t,el,d = 𝛾𝛾 (9. 17)
Rd,gs 𝛾𝛾M,gs
where
Rt,el,rep, is the representative tensile resistance of the reinforcing element;
γM,gs is a partial factor, given in 9.6.7; and
γRd,gs is a model factor.
NOTE The value of γRd,gs is equal to the value of fs given in ISO/TS 20432, unless the National Annex gives a
different value.
9.6.2.2 Steel
The design resistance of steel reinforcing elements shall comply with 9.3.4.
9.6.2.3 Polymeric coated steel woven wire mesh
The design tensile resistance (Rt,el,d) of polymeric-coated woven wire mesh reinforcing elements shall
be determined from:
𝑅𝑅t,el,rep
𝑅𝑅t,el,d = 𝛾𝛾 (9. 18)
Rd,pwm 𝛾𝛾M,pwm
where
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Rt,el,rep
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is the representative tensile resistance of the reinforcing element;
γM,pwm is a partial factor, given in 9.6.7; and
γRd,pwm is a model factor.
NOTE The value of γRd,pwm is equal to 1,0 unless the National Annex gives a different value.
9.6.3 Pull-out resistance
When the Material Factor Approach is used, the design pull-out resistance (Rpo,d) of a reinforcing
element shall be determined for sheet reinforcement from:
𝐿𝐿 𝐿𝐿 tan 𝜑𝜑rep
𝑅𝑅po,d = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po,d (𝑥𝑥) ∙ d𝑥𝑥 = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝑘𝑘po ∙ 𝛾𝛾tanφ
∙ 𝜎𝜎 ′ n (x) ∙ d𝑥𝑥 (9. 19)
or for discrete reinforcement, from:
𝐿𝐿 𝐿𝐿 𝜇𝜇po,rep
𝑅𝑅po,d = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po,d (𝑥𝑥) ∙ d𝑥𝑥 = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝛾𝛾tanφ
∙ 𝜎𝜎 ′ n (x) ∙ d𝑥𝑥 (9. 20)
where, in addition to the symbols defined in Formulae (9.8), (9.9) and (9.10):
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
τpo,d is the design shear resistance against pull-out along interface between the ground and
the reinforcing element; and
γtanϕ is a partial factor, given in EN 1997-1:2024, 4.4.1.3.
When the Resistance Factor Approach is used, the design pull-out resistance (Rpo,d) of a reinforcing
element shall be determined from:
𝑅𝑅po,rep
𝑅𝑅po,d = (9. 21)
𝛾𝛾R,po
where
Rpo,rep is the representative pull-out resistance of the reinforcing element; and
γR,po is a partial factor, given in 9.6.7.
9.6.4 Sliding resistance along the interface between the reinforcing element and the ground
When the Material Factor Approach is used, the design resistance to direct shear along the interface
between the fill or ground and the reinforcing element (Rds,d) shall be determined from:
𝐿𝐿 𝐿𝐿 ⬚ 𝑓𝑓ds
𝑅𝑅ds,d = 𝐵𝐵 ∫0 ds 𝜏𝜏ds,d (𝑥𝑥) ∙ d𝑥𝑥 = 𝐵𝐵 ∫0 ds∙ 𝛾𝛾tanφ
∙ 𝜎𝜎 ′ n (x) ∙ d𝑥𝑥 (9. 22)
where, in addition to the symbols defined in Formula (9.11):
τds,d is the design resistance to direct shear along the interface between the ground and the
reinforcing element; and
γtanϕ is a partial factor, given in EN 1997-1:2024, 4.4.1.3.
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When the Resistance Factor Approach is used, the design resistance to direct shear along the interface
between the fill or ground and the reinforcing element (Rds,d) shall be determined from:
𝑅𝑅ds,rep
𝑅𝑅ds,d = 𝛾𝛾R,ds
(9. 23)
where
Rds,rep is the representative resistance to direct shear; and
γR,ds is a partial factor, given in 9.6.7.
9.6.5 Structural resistance of the connections between reinforcing elements and the facing
The design tensile resistance of the structural elements forming the connection with the facing (Rcon,d)
shall be determined from:
𝑅𝑅con,el,rep 𝑅𝑅con,c,rep 𝑅𝑅con,f,rep
𝑅𝑅con,d = min � 𝛾𝛾R,con,el
; 𝛾𝛾R,con,c
; 𝛾𝛾R,con,f
� (9. 24)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
where
Rcon,x,rep is the representative tensile resistance at the connection of component 'x',
where:
'el' denotes the reinforcing element at the connection to the facing;
'c' denotes the connector (steel plates and bolts, steel rods, polymeric bodkins,
combs, pins, polymeric loops and toggles, etc.) at the connection; and
'f' denotes the facing element at the connection.
γR,con,el, γR,con,c, are partial factors, given in 9.6.7.
γR,con,f
For steel reinforcing elements, if the resistance is determined by calculation, Rcon,d shall comply with
EN 1993-1-8.
9.6.6 Structural resistance of facings
The bending and shear resistance to bulging between facing elements shall be verified to prevent
bulging of the facing between the reinforcing elements and facing connections.
NOTE Facings are not normally designed to resist impact forces in accidental design situations. The structure
relies on inertia of the mass fill alone to resist these forces.
When the connection relies purely on friction, the shear resistance between facing elements and
reinforcing elements shall be verified.
The stability against toppling of the facing elements not connected to reinforcing elements above the
top layer of reinforcing elements shall be verified.
Facing elements shall conform to the standard relevant to the material they are made from.
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The durability of the facing material itself and all connections for the design service life shall be
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verified.
NOTE 1 The connection strength of mechanical connections between facing elements and reinforcing elements,
and/or between consecutive facing elements depends on the type and material of the connection and on the tensile
load distribution along the reinforcing element.
NOTE 2 The stability of a frictional connection between facing elements and reinforcing elements and/or
between consecutive facing elements depends on the shear resistance between facing elements and reinforcing
elements and between consecutive facing elements.
9.6.7 Partial factors
Partial factors for the verification of reinforced fill structures at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.1, using either the Material Factor Approach or the
Resistance Factor Approach.
NOTE 1 The National Annex can specify which factor approach to use.
NOTE 2 Values of the partial factors are given in Table 9.4 (NDP) for persistent and transient design situations
unless the National Annex gives different values.
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Table 9.4 (NDP) — Partial factors for the verification of resistance of reinforced fill structures
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for fundamental (persistent and transient) design situations
Verification Partial factor on Symbol Material Resistance
of Factor Factor
Approach Approach
Overall and See Clause 4
compound
failure
mechanisms
Bearing See Clause 5
resistance
and sliding
Overturning See Clause 7
Internal Actions, Effect of actions γF, γE VC3a VC1 a
failure
mechanisms
Ground properties γM M2b Not factored
Pull-out and Pull-out resistance of reinforcing γR,po Not factored 1,25
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
direct shear elements
Resistance to direct shear along γR,ds Not factored 1,25
interface
Rupture of Tensile geosynthetic reinforcing
γ 1,25
reinforcing resistance elements
M,gs
elements of
structural steel per γM0 specified in EN 1993-1-1
EN 10025-2 or EN 10025-
4 γM2 specified in EN 1993-1-1
reinforcing steel per γS specified in EN 1992-1-1
EN 10080
γt 1,25
polymeric coated steel
wire mesh reinforcing γ M,pwm 1,25
elements
Tensile Reinforcing elements γR,con,el As specified above for rupture
resistance of reinforcing elements
Rupture of at γR,con,c As specified in the relevant
Connectors
connections connection material Eurocode
to facing
Facing elements γR,con,f As specified in the relevant
material Eurocode
a
b
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9.7 Serviceability limit states
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9.7.1 General
EN 1997-1:2024, Clause 9 shall apply to reinforced fill structures.
Verification of serviceability limit state due to loading of the geotechnical structure (reinforced fill
structure, subsoil and retained ground) should comply with Clauses 4, 5 and 7.
It shall be verified that the deformation of the geotechnical structure and its components (both
separately and in combination) is within the limiting values.
NOTE The type of facing, if any, often determines the amount of deformation that the structure can withstand.
Guidance for typical values for different facing types is given in EN 14475.
In accordance with EN 1990:2023, 5.1(2), if there are no explicit serviceability criteria, then the
verification of serviceability limit states of reinforced fill structures may be omitted provided
ultimate limit states are verified.
9.7.2 Elongation of reinforcing elements
Elongation of the reinforcing elements both in the short and long term shall comply with specified
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
limiting values when elongation affects the serviceability of the structure.
9.7.3 Deformation and movement of facing elements
Post-construction horizontal movements and deformations of the facing of structures, both in the
short and long term, shall comply with the limiting values given in the product specification.
NOTE EN 14475 provides guidance on facing compressibility and compatibility with differential settlements.
The bulging of segmental block and flexible facing systems shall be limited to ensure compliance with
the product specification.
The deformations of the structure face shall be limited to avoid spalling and cracking of facing panels,
blocks, or sprayed concrete.
Bulging at the toe of a reinforced veneer system shall be limited to values given in the product
specification.
9.8 Implementation of design
9.8.1 General
EN 1997-1:2024, Clause 10 shall apply to reinforced fill structures.
The execution and control of reinforced fill structures shall comply with EN 14475.
The execution specification shall include the level of excavation and construction tolerances.
Groundwater control measures shall be specified in accordance with Clause 13.
The execution specification shall state any requirements for the properties of the fill that need to be
fulfilled to satisfy the verification of the limit states.
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9.8.2 Inspection
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In addition to EN 1997-1:2024, 10.3, the Inspection Plan shall include, but is not limited to,
verification of:
— the quality of foundation ground, including as necessary placement of a concrete screed or a properly
compacted drainage layer;
— excavation levels within the specified tolerances;
— the proper compaction of fill, if used;
— the type, number, and arrangement of reinforcing elements;
— the quality of the assembly (seams and joints) of parts of the reinforcing elements;
— facing system alignment/reinforcing element connections;
— connections of reinforcing elements with facing elements;
— position and spacing of reinforcing elements; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— adequate performance of any drainage system installed.
9.8.3 Monitoring
In addition to EN 1997-1:2024, 10.4, the Monitoring Plan should include, but is not limited to:
— behaviour of temporary support systems;
— monitoring of the behaviour of reinforcing elements and/or facing system; and
— lateral and vertical displacements and distortions.
9.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to reinforced fill structures.
9.9 Testing
EN 1997-1:2024, Clause 11 shall apply to reinforced fill structures.
9.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to reinforced fill structures.
The Geotechnical Design Report shall state requirements on properties of the fill needed to fulfil the
verification of the limit states.
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10 Soil nailed structures
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10.1 Scope and field of application
This clause shall apply to the design of soil nailed structures.
NOTE 1 Soil nailed structures in this clause include soil nails and facing (sprayed concrete, wire mesh, and other
facing elements).
NOTE 2 Soil nails consist of different types of components according to the method of construction, such as solid
steel bars, hollow bars, head plates, expansion shells with grout or resin.
NOTE 3 Soil nails are normally not prestressed, however, a nominal amount of torque can be applied to the load
bearing nut to preload the nail, headplate or to tension facing mesh.
10.2 Basis of design
10.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to soil nailed structures.
10.2.2 Geometrical properties
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 1997-1:2024, 4.3.3 shall apply to soil nailed structures.
Soil nail spacing should be close enough to ensure the structure works as a monolith.
10.2.3 Zone of Influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to soil nailed structures.
10.2.4 Actions and environmental influences
10.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to soil nailed structures.
10.2.4.2 Permanent and variable actions
EN 1997-1:2024, 4.3.1.2 shall apply to soil nailed structures.
Forces in soil nails shall be determined from the analysis of the soil nailed structure.
Seepage forces due to differences in groundwater levels behind and in front of a soil nailed structure
shall be considered as actions.
10.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to soil nailed structures.
10.2.4.4 Environmental influences
EN 1997-1:2024, 4.3.1.4 shall apply to soil nailed structures.
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Chemical or mineral components of ground or groundwater that can adversely affect the durability
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of the soil nails, facings, or the resistance at the ground/grout interface shall be accounted for in the
verification of durability.
10.2.5 Limit states
10.2.5.1 Ultimate limit states
It shall be verified that a soil nailed structure will not exceed any of the following potential ultimate
limit states caused by:
— failure due to loss of overall or local stability, determined in accordance with Clause 4;
— failure by loss of bearing resistance determined in accordance with Clause 5;
— failure by sliding determined in accordance with Clause 5;
— failure by loss of static equilibrium determined in accordance with Clause 7; and
— failure by loss of stability of the facing.
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— rupture of the soil nail;
— failure at the interface between the ground and the soil nail (pull-out);
— failure at the interface between the soil nail and the grout (if present);
— structural failure of any facing element;
— rupture of the connection between a soil nail and its head plate (punching or tearing);
— bearing failure beneath a head plate;
— failure of the head plate due to bending and shear caused by actions from the soil nail, wire mesh,
sprayed concrete, or other facing element;
— loss of force or resistance by displacement of the soil nail due to creep;
— loss of force or resistance by deformation or loss of ground behind the soil nailed structure or ground
below a head plate;
— erosion or weathering resulting in reduction of ground strength at the face of the structure;
— bending and shear resistance between facing elements to prevent bulging of the facing between
reinforcement/facing connections;
— stability against toppling of facing elements not connected to ground reinforcements above the top
layer of reinforcement;
— punching resistance of the facing; and
— flexural resistance of concrete, steel, and other hard facing.
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Potential ultimate limit states other than those given in (2) should be verified.
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10.2.5.2 Serviceability limit states
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified:
— bulging and deformation of the facing;
— deformation adversely affecting the function or appearance of the structure;
— deformation causing damage to existing structures; and
— cracking or spalling of any concrete facing panels, blocks, or sprayed concrete.
Potential serviceability limit state other than those given in (1) should be verified.
10.2.6 Robustness
EN 1997-1:2024, 4.1.4, shall apply to soil nailed structures.
Specification of measures to enhance robustness of a soil nailed structure should include limits to
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
unsupported excavated bench heights and lengths along the slope during top-down installation of
soil nail rows and facing elements.
A progressive failure of the structure due to failure of one or more soil nails shall be prevented.
10.2.7 Ground investigation
10.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to soil nailed structures.
Chemical properties of ground and groundwater in contact with the soil nailed structure should be
determined to allow assessment of their durability.
10.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the depth of field investigation for soil nailed structures shall
be determined.
The minimum depth dmin of ground investigation for a soil nailed structure shall comply with 4.2.7.2,
7.2.7.2 and 8.2.7.2.
10.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2.3 shall apply to soil nailed structures.
10.3 Materials
10.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to soil nailed structures.
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10.3.2 Steel
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10.3.2.1 General
EN 1997-1:2024, 5.6 and EN 1993-1-1:2022, 5.1 and 5.2 shall apply to soil nails.
Material properties of reinforcing steels and prestressing steels shall comply with EN 1997-1:2024,
5.5 and EN 1992-1-1:2023, 5.2 and 5.3.
In addition to (1), steel used as tension elements in grouted soil nails shall comply with
EN 1992-1-1:2023, 5.2.
Steel grades produced according to the following standards may be used for soil nails:
— EN 10025 (all parts);
— EN 10080;
— prEN 10138 (all parts);
— EN 10210 (all parts); or
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— EN 10219 (all parts).
NOTE Not all steel grades in EN 10080 and EN 10318 are suitable or commercially available. Typical
reinforcing and prestressing steel grades used as soil nails that comply are given in prEN 1993-5:2023, Annex F.
The provisions on ductility of EN 1993-1-1:2022, 5.2.2 shall apply to soil nails.
NOTE Reinforcing steel satisfying the requirements of Class B of EN 1992-1-1:2023, Table 5.5 meets this
requirement.
For tension elements used in prestressed applications, the ductility requirements of prEN 10138 (all
parts) should apply.
10.3.2.2 Durability
EN 1997-1:2024, 4.1.6 shall apply to soil nails.
Steel soil nails shall be protected against corrosion in accordance with EN 14490, taking into account
the ground and groundwater conditions and exposure classes.
NOTE 1 Soil aggressivity conditions can be assessed using other classification systems than those recommended
in EN 14490, e.g. exposure classes according to EN 206.
NOTE 2 Corrosion protection measures can be specified in the National Annex.
The design service life for steel soil nails shall be achieved by using one or more of the following
measures:
— use of additional steel thickness as corrosion allowance;
— grout, mortar or concrete protection;
— grouted duct;
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— protective surface coating;
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— use of stainless steel (see EN 1993-1-4).
For soil nails made of different steel grades in direct contact, and when there is a risk of stray currents
or potential oxyreduction, electrical isolation between the contacting elements should be
considered.
If the required design service life is longer than the duration of the protective effect of a coating, the
loss of thickness occurring during the remaining design service life should be taken into account in
verification of ultimate and serviceability limit state.
Galvanic steel corrosion of different connecting elements shall be prevented.
For connections, the corrosion protection shall be continuous and at least equivalent to the other
steel elements.
If a soil nail is galvanised, the hot dip galvanized coating shall comply with EN ISO 1461.
A combination of different protective measures may be applied to obtain the required design service
life.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE The whole protective system can be defined taking into account the design of the structure and of the
protective coating as well as the feasibility of inspection and maintenance.
Where the corrosion protection is provided by allowing a sacrificial thickness, ground-specific loss
of steel thickness (∆e) should be determined according to EN 1993-5.
NOTE 1 Values of ∆e/2 for black steel elements without any corrosion protection measures for different service
lives are given in prEN 1993-5:2023, Tables 6.3.
NOTE 2 The values given in EN 1993-5 are values of uniform corrosion for steel without the grout or concrete
cover and do not consider potential localised corrosion for carbon steels nor potential pitting corrosion.
The loss of thickness due to corrosion may be neglected for a design service life of less than 2 years,
unless a different period is specified by the relevant authority or, where not specified, is agreed for
a specific project by the relevant parties.
If steel with yield strength fy > 600 MPa is used for soil nails, the corrosion protection shall comply
with EN 1537.
NOTE The susceptibility of a steel to hydrogen embrittlement and stress corrosion cracking is influenced by
the microstructure of the steel as well as strength of the steel.
Where sacrificial steel is used as a corrosion protection measure, potential variation in strength
across the section should be considered.
NOTE Some manufacturing methods of reinforcing steel result in steel properties varying across the section
with higher strengths towards the outer surface. This can affect durability particularly if high sacrificial rates are
being considered.
10.3.3 Grout
EN 1997-1:2024, 5.4 shall apply to soil nailed structures.
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10.3.4 Plain and reinforced concrete
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EN 1997-1:2024, 5.5 shall apply to soil nailed structures.
10.3.5 Sprayed concrete
Sprayed concrete shall comply with EN 1997-1:2024, 5.5.
For the specification and conformity of sprayed concrete EN 14487-1 should apply.
Steel fibres in sprayed concrete should comply with EN 14487-1.
10.3.6 Coatings
For steel soil nails, the hot dip galvanized coating to steel shall comply with EN ISO 1461.
For a zinc-aluminium alloy coated steel welded wire meshes the coating shall comply with
EN 10244-2.
Epoxy coating shall comply with EN 13438.
Polymeric coated steel shall comply with EN 10245 (all parts).
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE Non-metallic coatings can suffer from abrasion that effects the durability of the soil nail.
10.3.7 Steel wire mesh facings
10.3.7.1 General
Facing elements made of hexagonal woven steel wire mesh (polymeric coated or not) shall comply
with EN 10223-3.
NOTE EAD 230008-00-0106 is available for the assessment and determination of properties of hexagonal
woven steel wire meshes (polymeric coated or not) reinforced with ropes during manufacturing.
Facing elements made of welded wire mesh shall comply with EN 10223-8.
Facing elements made of rhomboidal woven steel wire meshes shall comply with EN 10223-6.
NOTE EAD 230025-00-0106 is available for the assessment of flexible facings of rhomboidal wire mesh.
The characteristic tensile strength Tk of hexagonal steel woven wire mesh (polymeric coated or not)
shall be determined in accordance with EN ISO 10319.
NOTE EAD 230008-00-0106 Annex B is available for the assessment of the characteristic tensile strength Tk of
hexagonal steel woven wire mesh (polymeric coated or not) facings reinforced with ropes during manufacturing.
The characteristic tensile strength Tk of rhomboidal woven steel wire meshes shall comply with
EN 10223-6.
NOTE EAD 230025-00-0106 Annex B is available for the assessment of characteristic tensile strength Tk of
rhomboidal wire mesh.
The characteristic tensile strength of welded wire mesh Tk shall be determined in accordance with
EN 10218-1.
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The characteristic tensile strength of steel wire ropes Tk shall be determined according to EN 12385.
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When reinforcing ropes are applied during the construction, the characteristic tensile strength Tk of
steel woven wire meshes (polymeric coated or not) and ropes shall be determined independently
according to according to EN 10223-3 for hexagonal steel meshes, EN 10223-6 for rhomboidal steel
meshes, and EN 12385 for ropes.
NOTE 1 EAD 230008-00-0106 Annexes A and B are available for the assessment of the characteristic tensile
strength of hexagonal steel woven wire meshes (polymeric coated or not) reinforced or not with ropes during
manufacturing.
NOTE 2 EAD 230025-00-0106 Annex B is available for the assessment of the characteristic tensile strength of
rhomboidal wire mesh.
NOTE 3 The characteristic tensile strength of the system of the wire mesh reinforced with ropes applied during
the construction is determined in accordance with a standard specified by the relevant authority or, where not
specified, as agreed for a specific project by the appropriate parties.
The coating of the wire mesh facing elements should account for the exposure conditions, including
the possibility of oxidation-reduction (redox) phenomena in the soil.
As an alternative to the coating in (9), stainless steel may be used.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The representative tensile resistance Rt,wm,rep of wire mesh shall be determined from:
𝑅𝑅t,wm,rep = 𝜂𝜂dmg 𝜂𝜂cor 𝑇𝑇k (10. 1)
where
ηdmg is a reduction factor accounting for the adverse effects of mechanical damage during
transportation, installation, and execution;
ηcor is a reduction factor accounting for the adverse effects of degradation of the wire mesh
by
corrosion over the design service life of the structure; and
Tk is the characteristic tensile strength of the wire mesh, see (4) to (8).
NOTE 1 The values of 𝜂𝜂dmg and 𝜂𝜂cor are specific for the type of mesh and are given in the relevant product
standard.
NOTE 2 The value 𝜂𝜂dmg is 1,0 when no mechanical damage to the coating or wire occurs during execution unless
the National Annex gives another value.
NOTE 3 The value 𝜂𝜂cor is 1,0 within the design service life of the product, provided it complies with the
appropriate standard or EAD, unless the National Annex gives another value.
10.3.7.2 Durability
EN 1997-1:2024, 4.1.6 shall apply to wire meshes.
The durability of the facing material itself and its connections shall be verified for the entire design
service life.
For woven steel wire meshes exposed to the air, the selection of the metallic and/or polymeric
coating to achieve the required design service life shall account for the environmental aggressivity
of the site.
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NOTE Corrosion by chemical or electrochemical action can lead to the deterioration of metal when directly
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exposed to the air.
The design service life of hexagonal wire mesh products may be determined according to EN 10223-3
as a function of both the adopted coating and the site environmental level (as defined in
EN ISO 9223:2012, Table 1).
The design service life of rhomboidal wire mesh products may be determined according to
EN 10223-6 as a function of both the adopted coating and the site environmental level (as defined in
EN ISO 9223:2012, Table 1).
The design service life of other wire meshes may be determined using EN ISO 9223.
For welded steel wire meshes exposed to the air, the selection of the metallic/polymeric coating to
achieve the required design service life shall be made on the basis of the environmental aggressivity
of the site (see EN 10223-8).
For other type of wire mesh the selection of the metallic/polymeric coating to achieve the required
design service life shall be made on the basis of the environmental aggressivity of the site in
accordance with the relevant specification.
NOTE 1 EAD 230008-00-0106 is available for the selection of an appropriate coating for hexagonal steel wire
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
mesh reinforced (or not) with ropes during manufacturing.
NOTE 2 EAD 230025-00-0106 is available for the selection of an appropriate coating for rhomboidal steel wire
mesh.
A metallic or polymeric coating shall be applied to wire meshes to achieve the required design
service life, accounting for the site environmental level (as defined in EN ISO 9223:2012, Table 1).
10.3.8 Other facing materials
Concrete facing panels should comply with EN 1992-1-1.
Precast products should comply with EN 15258.
Concrete facing blocks shall comply with EN 771-3.
Facing elements made of geosynthetics shall comply with the standards specified in 9.3.
Facing elements of steel, masonry, or timber shall comply with EN 1993-1-1, EN 1996-1-1, and
EN 1995-1-1, respectively.
10.3.9 Other materials
Materials other than those specified in 10.3.2 to 10.3.8 may be used provided they comply with a
relevant material standard.
NOTE The relevant standard can be specified in the National Annex.
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10.4 Groundwater
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10.4.1 General
EN 1997-1:2024, Clause 6 shall apply to soil nailed structures.
Soil nailed structures shall be designed to withstand potential water pressures or freeze-thaw forces.
10.4.2 Groundwater control measures
Clause 13 shall apply to soil nailed structures.
EN 14490 shall apply to drainage systems in soil nailed structures.
10.5 Geotechnical analysis
10.5.1 General
EN 1997-1:2024, Clause 7 shall apply to soil nailed structures.
The stability of a soil nailed structure shall be verified according to Clauses 4, 5, or 7, as appropriate,
taking into account the beneficial effect of any soil nails.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The spacing of soil nails should be limited to prevent the actions applied to individual soil nails
exceeding their resistance.
NOTE The spacing varies according to the ground conditions, slope geometry, and type of facing and is usually
not greater than 3 m.
(4) The verification of the soil nailed structure should account for actions that are transferred from the
facing to the nails.
(5) The stability of a soil nailed structure should be verified using one or more of the following methods:
— limit equilibrium method (slope stability or multiple wedge method); or
— numerical models according to EN 1997-1:2024, 7.1.4.
(6) The selected method in (5) shall adequately address all potential limit states in 10.2.5.
(7) The verification may be performed using one design method, provided that this method adequately
addresses all relevant limit states in 10.2.5 implicitly and demonstrates that the relevant limit state
is not exceeded.
(8) Methods other than those given in (5) may be used, provided they have been validated in accordance
with EN 1997-1:2024, 7.1.1.
(9) The resistance of the facing of the soil nailed structure and its connections to soil nails shall be
analysed.
10.5.2 Pull-out resistance of soil nails
The resistance of a soil nail due to pull-out from the ground shall be verified for both the part of the
length of nail in front and the length behind the potential critical failure surface.
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NOTE Figure 10.1 gives an illustration of a soil nailed structure.
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Key
1 total length of soil nail
2 length of soil nails in the active zone
3 length of soil nails in the passive zone
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
4 connection to facing
5 connection (for long nails only)
Figure 10.1 — Example of a soil nailed structure.
The pull-out resistance (Rpo) of a soil nail shall be determined from
𝐿𝐿
𝑅𝑅po = ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po (𝑥𝑥) ∙ d𝑥𝑥 (10. 2)
where
P(x) is the length of the perimeter of the soil nail along the pull-out length of the soil nail;
x is the distance along the soil nail from the facing;
τpo is the interface shear resistance against pull-out along the ground-soil nail interface; and
Lpo is the total length of the soil nail in the zone, where pull-out resistance is mobilised.
NOTE 1 Pull-out resistance can be influenced by dynamic actions.
NOTE 2 The interface shear resistance can vary along the nail depending on the ground conditions.
The pull-out resistance between the steel bar of the soil nail and the grouted body shall be
determined.
Failure between the steel bar and the grouted body may be neglected for soil nails with a threaded
bar fulfilling the minimum relative rib thread according to EN 1992-1-1.
The perimeter of the soil nail should be determined as a nominal value with consideration of nail
type and ground properties.
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The perimeter of a grouted soil nail may be determined as a nominal value of the perimeter of the
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drilled hole for installation.
The pull-out resistance shall be determined from investigation tests and verified by suitability tests
or by calculation.
NOTE1 Investigation tests are used to determine the ultimate resistance of the soil nail in the passive zone, active
zone or the entire length of the nail. It can be used to estimate the interface shear resistance τpo.
NOTE 2 Lower bound values for the interface shear resistance τpo are obtained from suitability tests where the
soil nail has not been tested to failure.
For effective stress analysis of a soil nailed structure, the value of τpo in Formula (10.2) may be
determined from:
𝜏𝜏po = 𝜇𝜇po 𝜎𝜎′r (10. 3)
where
σ'r is the radial effective stress acting on the soil nail; and
µpo is the coefficient of friction determined from field tests or comparable experience.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The value of radial effective stress σ′r in Formula (10.3) may be calculated from:
𝜎𝜎′r = 0,25(3 + 𝑘𝑘a )𝜎𝜎′v (10. 4)
where
ka is the active pressure coefficient; and
σ'v is the vertical effective stress acting on the soil nail.
For total stress analysis of a soil nailed structure, the value of τpo in Formula (10.2) may be
determined from:
𝜏𝜏po = 𝛼𝛼 ∙ 𝑐𝑐u (10. 5)
where
cu is the soil's undrained shear strength; and
α is an adhesion factor determined from field tests or comparable experience.
As alternative to (8) to (10), the value of τpo in Formula (10.2) may be determined from comparable
experience.
For soil nails in Geotechnical Category 3, the pull-out resistance shall be determined from
investigation tests and verified by suitability tests with a frequency that complies with 10.9.
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Where the representative interface shear resistance value τpo is derived in accordance with (8) to
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(11), the resistance should be verified by suitability tests with a test frequency that complies with
10.9.
The performance of the production soil nails should be demonstrated by acceptance tests, see 10.9.
The pull-out resistance in the active zone may be increased by the forces mobilized at the connection
to the facing.
10.5.3 Tensile and puncture resistance of wire mesh
Wire mesh solutions may be used to support ground in combination with geotextile or other
membranes.
(2) The resistance of the wires, ropes and connections of the wires in the wire mesh Rt,el shall be verified.
NOTE Guidance on the calculation of the loads acting on the wire mesh can be found in BS 8006-2 or FHWA
manuals.
(3) The allowance of any small rock piece or debris to fall through the mesh opening shall define the
type of mesh and size of mesh aperture.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(4) The resistance of the connection to adjacent wire mesh panels and to soil nails Rcon shall be
determined.
(5) If the wire mesh is connected to soil nails, the head plates shall be appropriately sized with respect
to the size of the mesh aperture and load transmission.
(6) The shear resistance of the wire mesh around the head plate shall be verified.
10.5.4 Structural resistance of sprayed concrete
(1) The thickness, concrete strength class and reinforcement of the sprayed concrete shall be defined
according to the pressure and deformation imposed by the ground, to prevent the relevant limit
states listed in 10.2.5.
(2) The sprayed concrete shall be designed to resist the earth pressure and the head plate load.
(3) The earth pressures eah acting on a sprayed concrete facing of a soil nailed structure may be
determined from:
𝑁𝑁head
𝑒𝑒ah = 𝑠𝑠h∙ 𝑠𝑠v
(10. 6)
where
Nhead is the force in the nail head;
sh is the horizontal spacing of the soil nails; and
sv is the vertical spacing of the soil nails.
NOTE Guidance on the calculation of loads acting on a facing can be found in BS 8006-2 or FHWA manuals.
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(4) The minimum thickness of the sprayed concrete should be determined taking into account any
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execution restrictions, geometrical tolerances, and variations in the evenness of the surface.
10.6 Ultimate limit states
10.6.1 General
EN 1997-1:2024, Clause 8 shall apply to soil nailed structures.
EN 1997-1:2024, 4.2 shall apply to soil nailed structures.
Soil nailed structures may be verified by the partial factor method according to EN 1997-1:2024, 4.4.
NOTE Guidance on the verification by the partial factor method is given in Annex G.
Soil nailed structures may be verified using prescriptive rules according to EN 1997-1:2024, 4.5.
If prescriptive rules are used for verification, the inspection plan shall include measures to ensure
that the installed soil nails, wire mesh, sprayed concrete or other facing system fulfils the limitations
specified for the prescriptive rule.
Soil nailed structures may be verified by testing according to EN 1997-1:2024, 4.6.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Soil nailed structures may be verified using the Observational Method according to EN 1997-1:2024,
4.7.
It shall be verified that the design value of the effect of actions in each soil nail Eel,d (see 10.2.4.2)
complies with:
𝐸𝐸el,d ≤ min�𝑅𝑅po,d ; 𝑅𝑅t,el,d � (10. 7)
where
Rpo,d is the design value of the soil nail’s pull-out resistance (see 10.6.2); and
Rt,el,d is the design structural resistance of the soil nail including any connections between soil nail
sections (see 10.6.3).
NOTE The sstructural resistance of a soil nail depends on the tensile stresses and potential shear stresses
(dowel effect) in the nail.
It shall be verified that the design value of the effect of actions at the connection between each soil
nail and the facing Econ,d (see 10.2.4.2) complies with:
𝐸𝐸con,d ≤ 𝑅𝑅con,d (10. 8)
where
Rcon,d is the design structural resistance of the connection between the soil nail and the facing (see
10.6.4).
It shall be verified that the design value of the effect of actions in the facing Efac,d complies with:
𝐸𝐸fac,d ≤ 𝑅𝑅fac,d (10. 9)
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where
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Rfac,d is the design structural resistance of the facing (see 10.6.5 and 10.6.6).
10.6.2 Pull-out resistance of soil nails
When the Material Factor Approach is used to determine Rpo,d, it shall only be used in combination
with the Ground Model Method.
NOTE Guidance on Ground Model Method is given in Clause 6.
When the Material Factor Approach is used Rpo,d shall be determined, for effective stress analysis,
from:
1 𝐿𝐿 1 𝐿𝐿 𝜇𝜇po
𝑅𝑅po,d = ∫ po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po,d (𝑥𝑥) ∙
𝛾𝛾Rd,nail 0
d𝑥𝑥 = 𝛾𝛾 ∫0 po 𝑃𝑃(𝑥𝑥) ∙ 𝛾𝛾 ∙ 𝜎𝜎′r (x) ∙ d𝑥𝑥 (10. 10)
Rd,nail tanφ
or, for total stress analysis, from:
1 𝐿𝐿 1 𝐿𝐿 𝑐𝑐
𝑅𝑅po,d = ∫ po 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏po,d (𝑥𝑥) ∙ d𝑥𝑥 = 𝛾𝛾 ∫0 po 𝑃𝑃(𝑥𝑥) ∙ α ∙ 𝛾𝛾 u ∙ d𝑥𝑥 (10. 11)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝛾𝛾Rd,nail 0 Rd,nail cu
where
P is the length of the perimeter of the soil nail at distance x along the pull-out length of the soil
nail;
τpo,d(x) is the design shear resistance against pull-out along the ground-soil nail interface at distance
x;
Lpo is the total length of the soil nail in the zone where pull-out resistance is mobilised;
µpo is the coefficient of friction determined from field tests or comparable experience;
γtanϕ is a partial factor, given in EN 1997-1:2024, 4.4.1.3;
σ'r(x) is the radial effective stress acting on the soil nail at distance x;
α is an adhesion factor determined from field tests or comparable experience;
cu is the soil's undrained shear strength;
γcu is a partial factor, given in EN 1997-1:2024, 4.4.1.3; and
γRd,nail is a model factor accounting for uncertainty in the pull-out resistance of soil nails.
NOTE The value of γRd,nail is given in Table 10.1 (NDP) unless the National Annex gives a different value.
When the Resistance Factor Approach is used, Rpo,d shall be determined from:
𝑅𝑅po,rep
𝑅𝑅𝑝𝑝𝑝𝑝,𝑑𝑑 = 𝛾𝛾 (10. 12)
R,po ×𝛾𝛾Rd,nail
where
Rpo,rep is the representative pull-out resistance of the soil nail;
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γR,po
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is a partial factor; and
γRd,nail is a model factor accounting for uncertainty in the pull-out resistance of soil nails.
NOTE 1 The value of γR,po is given in 10.6.7.
NOTE 2 The value of γRd,nail is given in Table 10.1 (NDP) unless the National Annex gives a different value.
For design by calculation using the Ground Model Method in combination with the Resistance Factor
Approach, Rpo,rep shall be determined from Formula (10.2), using representative values.
For design by calculation based on comparable experience in combination with the Resistance Factor
Approach, Formula (10.12) in combination with Formula (10.2) shall be used.
Table 10.1 (NDP) — Model factor γRd,nail for verification of the pull-out resistance of soil nails by
calculation or testing
Verification of soil nail pull-out resistance by Model factor
γRd,nail
Testing onlya 1,0
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Calculation based on ground Confirmed by suitability tests 1,2
properties determined from field
and laboratory tests Extensive comparable experience c,d 1,4
without site-specific suitability tests
Ground Model Methodb Limited comparabled experience, no
1,6
testing
Calculation based on ground Pressuremeter test 1,4
resistance profiles determined
from correlations with field test Cone penetration test 1,4
results or ground properties from
field or laboratory tests
Profiles of ground properties based on
1,4
Model Pile Methodb other field or laboratory tests
a Refer to 6.6.2.4.3 for the determination of the representative pull-out resistance designed by testing (Rrep = Rtest)
b Refer to 6.5.3.1 for a description of the Ground Model Method and Model Pile Method which can be used for determination
of representative soil nail pull-out resistance designed by calculation (Rrep = Rcalc)
c Comparable experience assumes documented records (or database) of soil nail load test results conducted
on soil nails, in similar ground conditions, under similar loading conditions from a certain number of sites n. Extensive
comparable experience assumes n ≥ 10
d For calculation based on comparable experience using the Resistance Factor Approach, use Formula (10.12) in
combination with Formula (10.2)
For design by calculation using the Model Pile Method, the representative value of resistance of a
single nail Rpo,rep shall be determined from:
𝑅𝑅calc,mean 𝑅𝑅calc,min
𝑅𝑅po,rep = min � 𝜉𝜉mean
; 𝜉𝜉min
� (10. 13)
where
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Rcalc,mean is the mean pull-out resistance calculated for a set of profiles of field test results;
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Rcalc,min is the minimum pull-out resistance calculated for a set of profiles of field test results;
𝜉𝜉mean is a correlation factor for the mean of the calculated values; and
𝜉𝜉min is a correlation factor for the minimum of the calculated values.
NOTE Values of ξmean and ξmin are given in Table 10.2 (NDP) unless the National Annex gives different values.
For design by testing, the representative value of resistance of a single nail Rpo,rep shall be determined
from:
𝑅𝑅test,mean 𝑅𝑅test,min
𝑅𝑅po,rep = min � 𝜉𝜉mean
; 𝜉𝜉min
� (10. 14)
where
Rtest,mean is the mean pull-out resistance measured for a set of investigation tests;
Rtest,min is the minimum pull-out resistance measured for a set of investigation tests;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝜉𝜉mean is the correlation factor for the mean of the calculated values obtained by investigation tests;
and
𝜉𝜉min is the correlation factor for the minimum of the calculated values obtained by investigation
tests.
NOTE Values of ξmean and ξmin are given in Table 10.2 (NDP) unless the National Annex gives different values.
Table 10.2 (NDP) — Correlation factor for soil nails
Correlation Number of profiles or tests
factor
1 2 3 4 ≥5
ξmean 1,4 1,3 1,2 1,1 1,05
ξmin 1,4 1,2 1,05 1,0 1,0
Results of soil nails load tests shall only be considered as a single data set if they relate to similar soil
nail types, geometry, loading conditions and ground conditions.
The design pull-out resistance should be verified by suitability tests according to 10.9.
10.6.3 Structural resistance of soil nails, including connections between soil nail sections
The design tensile resistance (Rt,el,d) of steel soil nails shall comply with prEN 1993-5:2023, 8.11
considering any anticipated loss of strength with time.
The design shear resistance (Rs,el,d) of steel soil nails shall comply with EN 1993-1-1:2022, Clause 8,
considering any anticipated loss of strength with time.
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When the design includes shear and bending effects of the soil nail, the structural resistance shall be
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determined according to the EN 1993-1-1:2022, 8.2.10 for combined axial, shear, and bending
actions.
If it can be proven, with comparable experience, that the contribution from the shear resistance of
the nail to the total resistance of the soil nail is significant, the shear resistance may be added as
contribution.
The structural design of steel bars used in investigation, suitability or acceptance tests shall comply
with the proof load value determined according to10.9.
10.6.4 Structural resistance of connections between soil nails and the facing
The design structural resistance of a connection between each soil nail and the facing Rcon,d shall be
determined from:
𝑅𝑅con,rep
𝑅𝑅con,d = (10. 15)
𝛾𝛾R,con
where
Rcon,rep is the representative structural resistance of the connection between the soil nail and the
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
facing; and
γR,con is a partial factor, given in 10.6.7.
For steel soil nails, Rcon,d shall comply with EN 1993-1-1:2022, Clause 8.
10.6.5 Structural resistance of steel wire mesh facings
The design structural resistance of a wire mesh facing shall be determined from:
𝑅𝑅fac,d = min�𝑅𝑅t,wm,d ; 𝑅𝑅p,wm,d � (10. 16)
where
Rt,wm,d is the design value tensile resistance of the wire mesh and any internal connections that are
part of it; and
Rp,wm,d is the design punching resistance of the wire mesh and any internal connections that are part
of it.
Partial factors for the verification of wire mesh at the ultimate limit state shall be determined
according to EN 1997-1:2024, 4.4.1, using the Resistance Factor Approach.
The design tensile resistance Rt,wm,d of wire mesh shall be determined from:
𝑅𝑅t,wm,rep
𝑅𝑅t,wm,d = 𝛾𝛾 (10. 17)
Rd,wm ∙𝛾𝛾M,wm
where
Rt,wm,rep is the representative tensile resistance of the wire mesh (see 10.3.8);
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γM,wm
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is a partial factor, given in 10.6.7; and
γ Rd,wm
is a model factor accounting for additional uncertainty owing to extrapolation of measured
strengths to the design service life.
NOTE The value of γRd,wm is 1,1 unless the National Annex gives a different value.
(4) The design puncture resistance Rp,ewm,d of wire mesh shall be determined from:.
𝑅𝑅p,wm,rep
𝑅𝑅p,wm,d = 𝛾𝛾 (10. 18)
Rd,wm ∙𝛾𝛾M,wm
where, in addition to the symbols defined for Formula (10.16):
Rp,el,rep is the representative puncture resistance of the wire mesh (see 10.3.8).
10.6.6 Structural resistance of other facings
For verification of reinforced sprayed concrete, EN 1992 (all parts) shall apply.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 1997-1:2024, 4.2 shall apply to facing elements other than wire mesh and sprayed concrete.
The structural resistance of geosynthetic facing elements shall comply with 9.6.2.5.
The structural resistance of facing elements of concrete, steel, masonry, and timber shall comply with
EN 1992 (all parts), EN 1993 (all parts), EN 1996 (all parts) and EN 1995 (all parts), respectively.
The design strength of facing elements may be determined by testing.
NOTE Guidance about design assisted by testing is given in EN 1990:2023, Annex D.
10.6.7 Partial factors
Partial factors for the verification of soil nailed structures at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.1, using either the Material Factor Approach or the
Resistance Factor Approach.
NOTE 1 The National Annex can specify which factor approach is to be used.
NOTE 2 Values of the partial factors are given in Table 10.3 (NDP) for persistent and transient design situations
unless the National Annex gives different values.
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Table 10.3 (NDP) — Partial factors for the verification of resistance of soil nailed structures for
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fundamental (persistent and transient) design situations
Material Resistance
Verification of Partial factor on Symbol Factor Factor
Approach Approach
Overall and
compound failure See Clause 4
mechanisms
Bearing
resistance and See Clause 5
sliding
Overturning See Clause 7
Internal failure Actions, Effects of Actions γF, γE VC3a VC1a
mechanisms and
Ground and fill properties γM M2b Not factored
facings
Geotechnical
resistance,
mobilised at the
Pull-out resistance γR,po Not factored 1,25
interface between
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
soil nail and
ground
Structural steel per EN 10025,
Structural γM0, γM2 As specified in EN 1993-1-1
EN 10210, EN 10219
resistance soil
Reinforcing steel per
nail and any
EN 10080, pre-stressing steel γs As specified in EN 1992-1-1
connections
per prEN 10138 (all parts)
Tensile resistance of steel
As specified in EN 1993-1-1
wires or ropes
Tensile and puncture
γM,wm 1,25
Wire mesh resistance of wire mesh
Connection of adjacent wire
1,25
mesh panels γR,con
Connection to soil nails c As specified in EN 1993-1-1
Structural resistance of
Sprayed concrete As specified in EN 1992-1-1
sprayed and any connections
Structural resistance of other
Other facing As specified in relevant
facing elements and any
elements standard
connections
a Values of the partial factors for Verification Cases (VCs) 1 and 3 are given in EN 1990:2023, Annex A
b Values of the partial factors for Set M2 are given in EN 1997-1:2024, 4.4.1.3
c See EN 1993-1-1 for the verification of shearing and punching resistance at the interface of the head plate and the
wire mesh
10.7 Serviceability limit states
EN 1997-1:2024, Clause 9 shall apply to soil nailed structures.
Verification of serviceability limit state of the soil nailed structure including the ground within the
zone of influence should comply with Clauses 4, 5 and 7.
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In accordance with EN 1990:2023, 5.1(2), if there are no explicit serviceability criteria, then the
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verification of serviceability limit states of soil nailed structures may be omitted provided ultimate
limit states are verified.
The strain in the steel soil nail, both in the short and long term shall comply with the specified
limiting values.
The bulging of the facing systems shall comply with the specified limiting values.
The deformations of the structure face shall be limited to avoid spalling and extensive cracking of
concrete facing panels, blocks, or sprayed concrete.
10.8 Implementation of design
10.8.1 General
In addition to EN 1997-1:2024, Clause 10 and EN 14490 shall apply to soil nailed structures.
Seepages or ground water flow from exposed faces should be controlled in accordance with
Clause 13.
If the wire mesh is connected to the soil nails, the bearing plates shall be visually inspected to ensure
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
that they are fully connected to the mesh and bearing on the ground surface.
If the wire mesh cannot be pressed firmly to the ground, further inspection and assessment measures
should be considered.
If the wire mesh is embedded in sprayed concrete, the requirements specified for sprayed concrete
shall apply.
The ground surface shall be checked for adhesion bond between the ground and sprayed concrete.
Sprayed concrete should be specified to be installed in dry or controlled water conditions to avoid
reduction of adhesion.
Other measures may be implemented to compensate any adverse effect on adhesion between ground
and sprayed concrete.
NOTE EN 14490 gives specific guidance regarding sprayed concrete and drainage installation.
Seepage of water in exposed faces should be considered before execution of sprayed concrete.
Preparation of the ground surface according to (7) and (8) may be omitted in transient design
situations if sprayed concrete is applied immediately.
10.8.2 Inspection
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should include, but is not limited to,
verification of:
— the sequence of works, and control of ground excavation levels and excavated face within the
specified tolerances;
— temporarily applied loads behind the soil nailed structure;
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— the type, number, and arrangement of soil nails;
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— the quality of the assembly of the soil nails;
— the connections of soil nail with facing;
— adequate performance of any drainage system installed; and
— adequate adhesion between ground and sprayed concrete.
10.8.3 Monitoring
In addition to EN 1997-1:2024, 10.4, the Monitoring Plan should include, but is not limited to:
— monitoring of the behaviour of the soil nails and facing systems;
— lateral and vertical displacements and distortions of the soil nailed structure; and
— adequate performance of any drainage system installed.
10.9 Testing
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
10.9.1 General
EN 1997-1:2024, Clause 11 shall apply to soil nailed structures.
The pull-out resistance of a soil nail should be tested using one or more of the following:
— investigation test (see 10.9.2);
— suitability test (see 10.9.2); or
— acceptance test (see 10.9.2).
The type of test to be performed shall comply with the requirements in 10.5, 10.6 and 10.7.
The minimum number of investigation, suitability and acceptance tests for soil nails shall be
determined according to the Geotechnical Category.
NOTE The minimum number of investigation, suitability and acceptance tests is given in Table 10.4 (NDP),
unless the National Annex gives different numbers.
Table 10.4 (NDP) — Minimum number of investigation, suitability and acceptance tests for soil
nails
Geotechnical Category Investigation and suitability tests Acceptance tests
GC2 Minimum 1 test per distinct Minimum 2 % of the production
geotechnical unit, with a total of nails, with a minimum of 3 nails.
minimum 3 test per site.
GC3 Minimum 2 test per distinct Minimum 3 % of the production
geotechnical unit, with a total of nails, with a minimum of 5 nails.
minimum 5 test per site.
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If the soil nails fail before the proof load Pp is achieved in load tests on production nails, then the pull-
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out resistance of those nails shall be downgraded.
NOTE Additional soil nails can be installed to provide sufficient resistance and long-term stability.
10.9.2 Investigation, suitability and acceptance tests for soil nails
(1) Investigation, suitability and acceptance tests on soil nails should comply with EN 14490:2010,
Annex C.
NOTE 1 EN ISO 22477-6 which will present rules for testing of soil nails, is under development.
NOTE 2 In EN 14490, investigation tests are termed ‘sacrificial nail tests’ and acceptance tests ‘production nail
tests’.
NOTE 3 The type of test can be specified in the National Annex or, where not specified, agreed for a specific
project by the relevant parties.
NOTE 4 Acceptance criteria for investigation, suitability, and acceptance tests are given in Table 10.5 (NDP),
unless the National Annex gives different criteria.
Table 10.5 (NDP) — Acceptance criterion for investigation, suitability and acceptance tests on
soil nails
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Test Acceptance criteria Investigation test Suitability test Acceptance test
methode
A Creep rate a at αA = 2 mm αA = 2 mm αA = 2 mm c
maximum proof
load, Pp
Creep rate α ≤ αA
Bd Variation of load (ΔP/P)/ΔsB = (ΔP/P)/ΔsB = (ΔP/P)/ΔsB =
(ΔP/P)/Δs ≥ 1%/mm 1%/mm 1%/mm
(ΔP/P)/ΔsB
All Maximum measured ≥ the elastic ≥ the elastic ≥ the elastic
methods extension of the extension of Ldbb extension of Ldbb extension of Ldbb
head of the test nail
at the proof load, Pp
a The creep rate is defined as (s2 - s1)/log(t2/t1), where s1 and s2 are the measured nail displacements at times 1 and 2
respectively (t2 > t1).
b Ldb is the debonded length of the nail. If no specific part is debonded, the length Ldb denotes the equivalent elastic length
of the nail.
c The creep rate is related to the proof load Pp.
d (ΔP/P)/Δs is the ratio of relative increase of applied load to displacement. Its limiting value for Test Method B is denoted
(ΔP/P)/ΔsB and is equal to a 1 % relative increase of applied load per mm.
e Tests according to EN ISO 22477-6, see also the NOTE 1 to 10.9.2(1).
(2) When the value of the proof load Pp is less than the representative value of the pull-out resistance
Rpo,rep, a lower value of the creep rate acceptance criterion αA should be considered.
(3) For investigation tests on soil nails, the proof load should be determined using:
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𝐿𝐿
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𝑃𝑃p ≥ 𝑅𝑅r = 𝑃𝑃 ∫0 b 𝜏𝜏f d𝑥𝑥 (10. 19)
where
Rr is the pull-out resistance;
τf is the interface resistance along the soil nail, soil nail-grout, soil nail-soil, or grout-soil
interface;
P is the length of the perimeter of the interface area, either drilled hole or the soil nail; and
Lb is the grouted length of the steel bar.
(4) The measured pull-out resistance is determined as the maximum test load in the investigation test,
where the acceptance criteria does not exceed the limiting values (see Table 10.5).
(5) The acceptance criteria of the creep rate may be adjusted to a smaller value in the design.
(6) Investigation tests should be performed for the part of the soil nail that provides the pull-out
resistance.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(7) Suitability tests may be performed on the fully grouted production nails, without debonding a
specific test part of the nail.
(8) For suitability tests on soil nails, the proof load Pp should be determined using either of:
𝑃𝑃p ≥ 𝜉𝜉 ∙ 𝛾𝛾test ∙ 𝐸𝐸d + 𝐷𝐷add (10. 20)
𝐿𝐿
𝑃𝑃p ≥ 𝜉𝜉 ∙ 𝛾𝛾test ∙ 𝑃𝑃 ∫0 b 𝜏𝜏p0,d ∙ d𝑥𝑥 (10. 21)
where
𝜉𝜉 is the correlation factor (if any) used in the verification of designed pull-out resistance;
𝛾𝛾test is a partial factor;
𝐸𝐸d is the design value of the effects of actions at the ultimate limit state;
𝐷𝐷add is the representative additional resistance to be taken into account, or additional pull-out
resistance in the active zone;
τpo,d is the design value of the shear resistance at the soil nail-ground interface; and
P is the perimeter of the soil nail.
NOTE 1 The value of γtest is 1,0 in Formula (10.20) and 1,25 in Formula (10.21) unless the National Annex gives
different values.
NOTE 2 The value of 𝜉𝜉 is 1,0 unless the National Annex gives a different value.
(9) The test nails should be evenly distributed throughout the structure.
(10) For acceptance tests on soil nails, the proof load Pp should be determined using:
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𝑃𝑃p ≥ 𝜉𝜉 ∙ 𝛾𝛾test ∙ 𝐸𝐸d (10. 22)
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where the symbols are as given for Formula (10.19) and (10.20).
NOTE 1 The value of γtest is 1,0 unless the National Annex gives a different value.
NOTE 2 The value of 𝜉𝜉 is 1,0 unless the National Annex gives a different value.
10.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to soil nailed structures.
11 Rock bolts and rock surface support
11.1 Scope and field of application
This clause shall apply to the design of rock bolts and rock surface support for slopes, cuttings, spread
foundations, and retaining structures.
NOTE This clause does not cover stand-alone rockfall netting (e.g. drape mesh), rockfall protection barriers,
rockfall attenuators, flexible rockfall protection nets, debris flow protection barriers, snow nets, snow rakes or snow
bridges.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
11.2 Basis of design
11.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to rock bolts and rock surface support.
11.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to rock bolts and rock surface support.
11.2.3 Zone of Influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to rock bolts and rock surface support.
11.2.4 Actions and environmental influences
11.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to rock bolts and rock surface support.
11.2.4.2 Permanent and variable actions
EN 1997-1:2024, 4.3.1.2 shall apply to rock bolts and rock surface support.
Actions in rock bolts and rock surface support shall be obtained from structural analysis of the
supported rock structure.
When prescriptive rules are used to design rock surface support, determination of the actions on the
rock surface support may be omitted.
11.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to rock bolts and rock surface support.
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11.2.4.4 Environmental influences
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EN 1997-1:2024, 4.3.1.4 shall apply to rock bolts and rock surface support.
Chemical or mineral components of ground or groundwater that can adversely affect the durability
of rock bolt or rock surface support, or the resistance at the ground/element interface, shall be
accounted for in the verification of durability.
11.2.5 Limit states
11.2.5.1 Ultimate limit states
It shall be verified that structures supported by rock bolts or rock surface support will not exceed
any of the following potential ultimate limit states caused by:
— failure due to loss of overall or local stability determined in accordance with Clause 4;
— failure by loss of bearing resistance determined in accordance with Clause 5;
— failure by sliding determined in accordance with Clause 5; and
— failure by loss of equilibrium determined in accordance with Clause 7.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified:
— for rock bolts:
— rupture of cross-section of the rock bolt;
— failure at the interface between the ground and a non-grouted rock bolt;
— failure at the interface between the ground and the grout or between the grout and a grouted
rock bolt;
— rupture of the connection between the rock bolt and its head plate or the head plate itself; and
— loss of force in the bolt owing to deformation or loss of ground behind the head plate or in the
anchoring part.
— for rock surface support:
— rupture of the rock surface support;
— rupture of the connection between the rock surface support and its fixing into or onto the rock
mass;
— loss of force by displacement of the rock support elements due to creep or fall out of rock behind
the head plate; and
— loss of ground behind the rock surface support.
Potential ultimate limit states other than those given in (2) should be verified.
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11.2.5.2 Serviceability limit states
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In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified:
— deformation of the rock bolt or rock surface support that adversely affects the function or appearance
of the supported structure; and
— deformation of the rock bolt or rock surface support that causes damage to existing structures,
utilities, or ground in the zone of influence of the supported structure.
Potential serviceability limit states other than those given in (1) should be verified.
11.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to rock bolts and rock surface support.
Progressive failure of the supported structure due to the collapse of a single rock bolt or local failure
of the rock surface support shall be prevented.
11.2.7 Ground investigation
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
11.2.7.1 General
EN 1997-2:2024, Clause 5 shall apply to rock bolts and rock surface support.
Chemical properties of ground and groundwater in contact with rock bolts or rock surface support
should be determined to allow assessment of their durability.
11.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the depth of field investigation for rock bolts and rock surface
support shall be determined.
The minimum depth dmin of field investigation for rock bolts and rock surface support shall comply
with 4.2.7.2, 7.2.7.2 and 8.2.7.2.
11.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to rock bolts and rock surface support.
11.3 Materials
11.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to rock bolts and rock surface support.
11.3.2 Grout
EN 1997-1:2024, 5.4 shall apply to grout in rock bolts.
11.3.3 Steel
11.3.3.1 General
EN 1997-1:2024, 5.6 shall apply to steel rock bolts and rock surface support.
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NOTE The provisions of EN 1997-1:2024, 5.6 do not apply to steel used in proprietary inflatable or cable steel
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bolt systems. Reference for those cases is made to 10.3.2.
Steel grades produced according to the following standards may be used for steel rock bolts:
— EN 10025 (all parts);
— EN 10080;
— prEN 10138 (all parts);
— EN 10210 (all parts); and
— EN 10219 (all parts).
The provisions on ductility of EN 1993-1-1:2022, 5.2.2 shall apply to rock bolts and rock surface
support.
NOTE Class B reinforcing steel (as defined in EN 1992-1-1:2023, Table 5.5) meets this requirement.
For tension elements used in prestressed applications, the ductility requirements of prEN 10138 (all
parts) should apply.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Steel used in grouted rock bolts shall conform to EN 1992-1-1:2023, 5.2.
11.3.3.2 Durability
EN 1997-1:2024, 4.1.6 shall apply to rock bolts and rock surface support.
prEN 1993-5:2023, 6.1 and 6.3 shall apply to steel rock bolts, except as specified in this sub-clause.
The design service life for rock bolts made of steel shall be achieved by one or more of the following
corrosion protection measures:
— surface coating;
— cover of appropriate grout, mortar, concrete or resin;
— sacrificial thickness allowance;
— corrugated duct with grout;
— the use of low corrosion steel grades.
NOTE Corrosion protection measures can be specified in the National Annex.
Bimetallic corrosion of different connecting elements shall be prevented.
For connecting elements, the corrosion protection shall be at least equivalent to that of the other
steel elements.
Continuity of corrosion protection at connecting elements shall be provided.
Where the corrosion protection is provided by a sacrificial thickness allowance, loss of steel
thickness specific to the ground shall be considered.
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NOTE Guidance on loss of steel thickness can be found in EN 1993-5.
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The corrosion protection of steel rock bolts with yield strength fy > fy,bolt shall comply with EN 1537.
NOTE The value of fy,bolt is 600 MPa, unless the National Annex gives a different value.
11.3.4 Sprayed concrete
Sprayed concrete used for rock surface support shall comply with EN 1997-1:2024, 5.5.
11.3.5 Other materials
Materials that are not specified in 11.3.2 to 11.3.4 may be used provided they comply with a relevant
material standard.
NOTE The relevant standard can be specified in the National Annex.
11.4 Groundwater
11.4.1 General
EN 1997-1:2024, Clause 6 shall apply to rock bolts and rock surface support.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
11.4.2 Groundwater control measures
Clause 13 shall apply to rock bolts and rock surface support.
11.5 Geotechnical analysis
11.5.1 General
The geotechnical analysis of rock bolts should include, but is not limited to:
— type of element (material, strength and dimensions);
— connection to an external structure (where relevant);
— specification of grout;
— rock bolt head and head plate; and
— effects of corrosion and corrosion protection requirements.
The orientation of the rock bolt shall be determined relative to the geometrical properties of the
discontinuities and weathered zones in the ground and to the direction of the action imposed on the
bolted structure.
The length, spacing, type, and diameter of rock bolts shall be verified based on analysis of the
interaction between the rock bolts and the rock mass, geometrical properties and environmental
influences of the geotechnical structures including any discontinuities or the occurrence of
weathered zones.
NOTE Figures 11.1 and 11.2 illustrate typical rock bolts applications.
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 supported rock mass 4 pick up length
2 head plate 5 anchoring length
3 short pick-up length strengthened with a head plate
NOTE The direction of the bolt depends on the geometrical properties of the rock mass. The direction of the
bolts shown in the figure is therefore indicative.
Figure 11.1 — Example of support of a rock slope with rock bolts working mainly in tension
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Key
1 total length of the bolt 6 head plate
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
2 pick-up length 7 rock bolt
3 anchoring length 8 pick-up length (short pick-up length strengthened
with head plate)
4 rock column 9 tendon subject to tension and shear stress
5 supporting rock mass
Figure 11.2 — Example of a rock column supported by rock bolts working mainly in shear
(dowel effect)
Rock bolts may be pre-stressed.
NOTE Pre-stressing of rock bolts in weak rock can lead to failure of the rock.
In addition to EN 1992-1-1:2023, 4.2.1.4, prescriptive rules may be used to account for ground-
structure interaction in the verification of a concrete rock surface support.
The shear strength of rock discontinuities should be determined according to EN 1997-2:2024, 8.3.2.
11.5.2 Interface resistance of rock bolts
The interface of the rock bolt shall have sufficient resistance to transfer the force into the rock bolt
pick up length and prevent pull out of the anchoring length.
NOTE See Figures 11.1 and 11.2.
The pick-up resistance may be increased by the forces mobilized at the connection to the facing or
head plate.
The pick-up and anchoring resistances Rri and Rro should both be determined from:
𝑅𝑅ri 𝐿𝐿
� = ∫0 𝑃𝑃(𝑥𝑥) ∙ 𝜏𝜏f (𝑥𝑥) ∙ d𝑥𝑥 (11. 1)
𝑅𝑅ro
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where
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P(x) is the perimeter of the interface area, either drilled hole or the rock bolt;
τf is the interface resistance along the bolt-grout, bolt-rock or grout-rock interface; and
L is the length of the pick-up part or anchoring part.
The perimeter P of the contact between the rock bolt and the rock mass should be determined taking
into account the rock bolt type and the rock mass properties.
The perimeter of a grouted rock bolt may be determined as a nominal value of the perimeter of the
drilled hole before installation.
For rock-bolt supported structures in Geotechnical Category 3, the interface resistance τf should be
determined directly from investigation tests or verified by suitability tests.
NOTE From suitability tests, a lower bound of the interface resistance is obtained, as the rock bolt is usually
not tested to failure.
For rock-bolt supported structures in Geotechnical Categories 1 or 2, the interface resistance τf may
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
be determined from comparable experience.
11.6 Ultimate limit states
11.6.1 General
EN 1997-1:2024, Clause 8 shall apply to rock bolts and rock surface support.
EN 1997-1:2024, 4.2 shall apply to rock bolts and rock surface support.
The verification of the ultimate limit states shall be based on:
— for rock bolts:
— calculation according to 11.6.2; or
— testing according to 11.6.3, or
— prescriptive rules according to EN 1997-1:2024, 4.5, provided the rock bolts comply with the
control tests specified in 11.9;
— for rock surface support:
— prescriptive rules according to EN 1997-1:2024, 4.5.
NOTE Guidance for the verification of rock bolts by the partial factor method and by testing is given in Annex H.
The design of rock bolts that support geotechnical structures in Geotechnical Category 3 should be
based on calculations.
For rock bolts, it shall be verified that the design value of the effects of actions Ed (from the supported
block) satisfies:
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𝐸𝐸d ≤ min{𝑅𝑅ri,d ; 𝑅𝑅el,d ; 𝑅𝑅ro,d } (11. 2)
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where
Rri,d is the design value of a rock bolt interface resistance for the pick-up part (the pick-up
resistance);
Rel,d is the design value of the structural resistance of the bolt and any connections that are
part of it; and
Rro,d is the design value of a rock bolts interface resistance (pull-out of the anchoring
part/anchoring resistance).
NOTE Structural resistance of material depends on acting shear stresses (dowel effect) and tensile stresses in
the bolt.
The structural resistance of steel bars, Rel,d shall comply with EN 1993-1-1:2022, 8.2.10, making
appropriate allowance for corrosion.
The structural design of the steel bar under a proof load should comply with 11.9.
11.6.2 Interface resistance of rock bolts (by calculation)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(1) When designing by calculation, the design values of the pick-up and anchoring resistances Rri,d and
Rro,d shall be determined from:
𝑅𝑅ri,d 𝑅𝑅r,rep,calc
� = 𝛾𝛾 ∙𝛾𝛾 (11. 3)
𝑅𝑅ro,d Rr Rd,bolt
where
Rr,rep,calc is the representative value of the interface resistance determined by calculation, using
Formula (11.1);
γRr is a partial factor, given in 11.6.5; and
γRd,bolt is a model factor accounting for uncertainty in the interface model for rock bolts.
NOTE The value of γRd,bolt is 1,5 unless the National Annex gives a different value.
11.6.3 Interface resistance of rock bolts (by testing)
(1) When designing by testing, the design values of the pick-up and anchoring resistances Rri,d and Rro,d
may be determined from:
𝑅𝑅ri,d 𝑅𝑅r,rep,test 1 𝑅𝑅 𝑅𝑅
� = 𝛾𝛾 = min � 𝜉𝜉r,mean , 𝜉𝜉r,min � (11. 4)
𝑅𝑅ro,d Rr 𝛾𝛾Rr mean min
where
Rr,mean is the mean interface resistance measured for a set of investigation or suitability tests;
Rr,min is the minimum interface resistance measured for a set of investigation or suitability tests;
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ξmean is the correlation factor for the mean of the calculated values obtained by investigation
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tests or suitability tests;
ξmin is the correlation factor for the minimum of the calculated values obtained by investigation
tests or suitability tests; and
γRr is a partial factor, given in 11.6.5.
NOTE Values of ξmean and ξmin are given in Table 11.1 (NDP) unless the National Annex gives different values.
Table 11.1 (NDP) — Correlation factor for rock bolts
Correlation Number of tests
factor
1 2 3 4 ≥5
ξmean 1,4 1,3 1,2 1,1 1,05
ξmin 1,4 1,2 1,05 1,0 1,0
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(2) Results of rock bolt tests shall only be considered as a single data set if they relate to similar rock
bolt types, geometries, and levels, loading conditions and ground conditions.
(3) The tests shall be performed in the same rock formation as the production rock bolts.
(4) Investigation, suitability and acceptance tests on rock bolts should comply with 11.9.2.
11.6.4 Interface resistance of rock bolts (by prescriptive rules)
When designing using prescriptive rules, EN 1997-1:2024, 4.5 shall apply to rock bolts.
Prescriptive rules shall only be used if the rock bolts comply with the control tests specified in 11.9.
When prescriptive rules are used, the Inspection Plan shall include measures to ensure that the
installed elements fulfil the requirements of the prescriptive rules.
11.6.5 Partial factors
Partial factors for the verification of rock bolts at the ultimate limit state shall be determined
according to EN 1997-1:2024, 4.4.1, using the Resistance Factor Approach.
NOTE Values of the partial factors are given in Table 11.2 (NDP) for persistent and transient design situations
unless the National Annex gives different values.
Table 11.2 (NDP) — Partial factors for the verification of resistance of rock bolts for
fundamental (persistent and transient) design situations
Resistance Factor
Verification of Partial factor on Symbol
Approach
Geotechnical resistance, mobilised at the
Resistance γRr 1,25
interface between rock bolt /grout or ground
Structural resistance of steel bar Tensile resistance γM0 See EN 1993-1-1
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11.7 Serviceability limit states
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EN 1997-1:2024, Clause 9 shall apply to rock bolts and rock surface support.
The design resistance of a rock bolt at the serviceability limit state shall not exceed the proof load
used in an acceptance test on that rock bolt.
11.8 Implementation of design
11.8.1 General
EN 1997-1:2024, Clause 10 shall apply to rock bolts and rock surface support.
Grouted rock bolts without head plates shall be grouted over their full length.
Grouted rock bolts should not be installed in rock masses where groundwater is uncontrolled, unless
measures are taken to ensure that grout is not weakened by the presence of groundwater.
Groundwater flow from exposed rock faces or boreholes drilled for installation of rock bolts should
be controlled in accordance with Clause 13.
11.8.2 Inspection
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should include, but is not limited to,
verification of:
— the type, number, and arrangement of rock bolts;
— the quality of the assembly of the rock bolts;
— rock surface support;
— connections between the rock bolt and rock surface support;
— adequate performance of any drainage system installed; and
— the inclination of the rock bolt.
Visual inspection shall be undertaken to confirm that the hole is filled with grout.
11.8.3 Monitoring
EN 1997-1:2024, 10.4 shall apply to rock bolts and rock surface support.
11.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to rock bolts and rock surface support.
11.9 Testing
11.9.1 General
EN 1997-1:2024, Clause 11 shall apply to rock bolts and rock surface support.
Rock bolts should be tested using one or more of the following:
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— investigation tests (see 11.9.2);
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— suitability tests (see 11.9.2);
— acceptance tests (see 11.9.2); or
— control tests (see 11.9.3).
Rock surface support shall be tested using control tests (see 11.9.3).
The minimum number of investigation, suitability, acceptance, and control tests for rock bolts shall
be determined according to the type, size, Geotechnical Category, and condition of the supported
structure.
NOTE The minimum number of tests is given in Table 11.3 (NDP), unless the National Annex gives different
numbers.
Table 11.3 (NDP) — Minimum number of tests for rock bolts
Acceptance tests
Geotechnical Investigation and Control tests
Category suitability tests
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
GC2 minimum of 3 minimum 1 %, with a Minimum 75 % of the
minimum of 3 production bolts
GC3 minimum of 5 minimum 2 %, with a 100 % of the production
minimum of 5 bolts
11.9.2 Investigation, suitability, and acceptance tests for rock bolts
(1) Investigation, suitability and acceptance tests on rock bolts may comply with EN 14490:2010, Annex
C.
NOTE 1 EN ISO 22477-6 which will present rules for testing of rock bolts, is under development.
NOTE 2 The type of test can be specified in the National Annex or, where not specified, agreed for a specific
project by the relevant parties.
NOTE 3 Acceptance criteria for investigation, suitability, and acceptance tests are given in Table 11.4 (NDP),
unless the National Annex gives different criteria.
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Table 11.4 (NDP) — Acceptance criteria for static tension load testing of rock bolts
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Test Acceptance Investigation Suitability test Acceptance test
methoda criteria test
A Creep rateb, c αA = 2 mm αA = 2 mm αA = 2 mm
α ≤ αA
Bd Variation of load (ΔP/P)/ΔsB (ΔP/P)/ΔsB (ΔP/P)/ΔsB
(ΔP/P)/Δs ≥ = = =
(ΔP/P)/ΔsB
1%/mm 1%/mm 1%/mm
a Tests according to EN ISO 22477-6, see also note to 11.9.2(1).
b
The creep rate is defined as (s2 – s1)/log(t2/t1), where s1 and s2 are the measured bolt displacement at times 1 and
2 respectively (t2 > t1).
c The creep rate is related to the proof load Pp; for values of Pp smaller than Rpo,rep, a lower value of creep rate
acceptance criterion can be considered.
d (ΔP/P)/Δs is the ratio of relative increase of applied load to displacement. Its limiting value for Test Method B is
denoted (ΔP/P)/ΔsB and is equal to a 1 % relative increase of applied load per mm.
(2) Tested rock bolts should be evenly distributed throughout the supported structure.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
(3) For investigation tests on rock bolts, the proof load Pp should be determined using:
𝐿𝐿
𝑃𝑃p ≥ 𝑅𝑅r = 𝑃𝑃 ∫0 b 𝜏𝜏f d𝑥𝑥 (11. 5)
where
Rr is the pull-out resistance;
τf is the interface resistance along the bolt-grout, bolt-rock, or grout-rock interface;
P is the perimeter of the interface area, either drilled hole or the rock bolt; and
Lb is the grouted length of the steel bar.
(4) For suitability tests, the proof load Pp should be determined using either of:
𝑃𝑃p ≥ 𝜉𝜉𝛾𝛾test 𝐸𝐸d + 𝑅𝑅ri (11. 6)
or;
𝐿𝐿
𝑃𝑃p ≥ 𝜉𝜉𝛾𝛾test 𝑃𝑃 ∫0 b 𝜏𝜏f d𝑥𝑥 (11. 7)
where, in addition to the symbols given for Formula (11.5):
ξ is the correlation factor (if any) used in the verification of designed pull-out resistance
γtest is a partial factor;
Ed is the design value of the effects of actions at the ultimate limit state; and
Rri is the additional pull-out resistance from the pick-up length.
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NOTE The value of γtest is 1,0 in Formula (11.6) and 1,25 in Formula (11.7) unless the National Annex gives
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different values.
NOTE The value of 𝜉𝜉 is 1,0 unless the National Annex gives a different value.
(5) For acceptance tests, the proof load Pp should be determined using:
𝑃𝑃p ≥ 𝜉𝜉𝛾𝛾test 𝐸𝐸𝑑𝑑 (11. 8)
where the symbols are as given for Formulae (11.6) and (11.7).
NOTE The value of γtest is 1,0 in Formula (11.8) unless the National Annex gives a different value.
NOTE The value of 𝜉𝜉 is 1,0 unless the National Annex gives a different value.
11.9.3 Control test
Control tests on rock bolts and rock surface support shall comply with EN 1997-1:2024, 11.5.
NOTE 1 Control tests for rock bolts and rock surface support can be specified in the National Annex or, where
not specified, agreed for a specific project by the relevant parties.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 2 Examples of control tests include visual inspection of grout and grouting process, acoustic or ultrasonic
testing of the rock bolt, or use of a Rock Bolt Tester.
11.10 Reporting
(1) EN 1997-1:2024, Clause 12 shall apply to rock bolts and rock surface support.
12 Ground improvement
12.1 Scope and field of application
This clause shall apply to ground improvement for the following geotechnical structures:
— slopes, cuttings, and embankments (see Clause 4);
— spread foundations (see Clause 5);
— retaining structures (see Clause 7); and
— reinforced fill structures (see Clause 9).
Ground improvement shall be classified according to Table 12.1:
— diffused ground improvement (Classes AI and AII); or
— discrete ground improvement (Classes BI and BII).
NOTE 1 Examples of ground improvement techniques for these classes are given in Annex I.
NOTE 2 Groundwater control measures are given in Clause 13.
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Table 12.1 — Classification of ground improvement
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Class A – Diffused B – Discrete
I AI – Diffused with no measurable BI – Discrete with non-rigid inclusions
unconfined compressive strength Inclusions, installed in the ground, with
The improved ground has an increased higher shear capacity and stiffness
shear strength or stiffness higher than that compared to the surrounding ground. The
of the original ground. The improved unconfined compressive strength of the
ground can be modelled as a ground with inclusion is not measurable.
improved properties.
II AII – Ground improvement zone with BII – Discrete with rigid inclusions
measurable unconfined compressive Rigid inclusions, installed in the ground,
strength with unconfined compressive strength and
The improved ground is modified from its significantly higher stiffness than the
original natural state, has a measurable surrounding ground. The inclusions can be
unconfined compressive strength and is an engineered material such as timber,
significantly stiffer than the surrounding concrete/grout or steel or a composite of a
ground. Usually, it comprises a composite of binder and ground.
a binder and ground.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
For techniques belonging to Class BII, one of the following conditions should be satisfied:
— structural loads are transferred from the slab and spread foundations or embankment through a load
transfer platform into the improved ground (see Figure 12.1 a and Figure 12.1 b); or
— in absence of a load transfer platform, there is no structural connection between the rigid inclusions
and the slab or spread foundation (see Figure 12.1 c).
NOTE Class BII includes concepts described in Figure 12.1.
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A B C
Key
1 rigid inclusions 6 load
2 optional caps 7 working platform
3 optional basal reinforcement 8 weak soil
4 load transfer platform 9 load bearing ground
5 embankment 10 slab or spread foundation
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
11 no structural connection between 1 and 10 (Figure 11c)
A embankment
B slab or spread foundation with a load transfer platform
C slab or spread foundation without a load transfer platform
Figure 12.1 — Class BII concepts covered by Clause 12
In the absence of a load transfer platform, additional verifications may be considered according to
the design situations.
NOTE Examples verifications include stress concentrations at the top of the inclusions and internal forces
within the slab or spread foundation.
In the absence of a load transfer platform, a single rigid inclusion used to support the foundation
shall comply with Clause 6, except when it is used for settlement reduction only.
12.2 Basis of design
12.2.1 Design situations
EN 1997-1:2024, 4.2.2 shall apply to ground improvement.
The design service life of ground improvement shall take into account potential deterioration of the
ground improvement over time.
NOTE An example would be the use of some chemical grouts which deteriorate relatively quickly.
12.2.2 Geometrical properties
In addition to EN 1990:2023, 6.3 and 8.3.7, and EN 1997-1:2024, 4.3.3, acceptable deviations ∆a of
the geometrical properties shall be considered in ground improvement design.
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Acceptable deviations of the geometrical properties of the ground improvement shall be as specified
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in the relevant execution standard.
NOTE 1 In the absence of a relevant execution standard, acceptable deviations of the geometrical properties can
be specified in the National Annex.
NOTE 2 When no national choices are made, the values of acceptable deviations of the geometrical properties
can be specified by a relevant authority.
12.2.3 Zone of influence
EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to ground improvement.
12.2.4 Actions and environmental influences
12.2.4.1 General
EN 1997-1:2024, 4.3.1 shall apply to ground improvement.
In addition to (1), relevant clauses of this document shall apply to ground improvement.
The ground improvement technique should be selected considering the following:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— the design situation and load variation;
— thickness and properties of the ground or fill material;
— water pressure in the various strata;
— nature, size and position of the structure to be supported by the ground;
— prevention of damage to adjacent structures or services during execution;
— whether the ground improvement is temporary or permanent;
— in terms of anticipated deformations, the relationship between the ground improvement technique
and the construction sequence;
— the effects on the environment including pollution by deleterious substances or changes in
groundwater level or properties;
— the durability of the improved ground; and
— any long term deterioration of the ground.
12.2.4.2 Permanent and variable actions
EN 1997-1:2024, 4.3.1.2 shall apply to ground improvement.
12.2.4.3 Cyclic and dynamic actions
EN 1997-1:2024, 4.3.1.3 shall apply to ground improvement.
Sub-clause 6.2.4.3 shall apply to Class BII ground improvement.
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EN 1997-3:2025 (E)
12.2.4.4 Actions due to ground displacement
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12.2.4.4.1 General
The adverse effects of vertical and horizontal ground movement on the improved ground shall be
considered.
A sensitivity analysis should be carried out to determine for each design situation whether the upper
or lower representative improved ground property is the less favourable.
12.2.4.4.2 Downdrag
Downdrag shall be considered at the perimeter of the ground improvement zone.
The calculation of the maximum drag force shall consider the following:
— the shear resistance at the interface between the soil and the ground improvement zone;
— downward movement of the ground due to self-weight compression;
— any surface load around the ground improvement zone; or
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— changes in groundwater levels.
An upper bound to the drag force on a ground improvement zone may be determined from the
weight of the surcharge or change in groundwater level causing the movement, considering any
changes in groundwater pressure due to groundwater lowering, consolidation or execution.
Interaction calculations should consider the displacement of the ground improvement zone relative
to the surrounding moving ground.
NOTE Guidance on determining the drag force is given in 6.5.2.2.
12.2.4.4.3 Heave
Where heave of the ground results in transfer of load to the improved ground zone, it shall be
considered as an action.
If the improved ground zone is subject to heave that results in tensile forces or stresses, the
installation of reinforcement should be considered.
12.2.4.4.4 Transverse loading
Transverse actions originating from ground movements, vehicles, or other sources around or above
a ground improvement zone shall be included in the verification of limit states.
The effect of the transverse loading on the ground improvement zone of Class BII ground
improvement should be evaluated by considering the interaction between the ground improvement
inclusion, treated as stiff or flexible beams, and the moving soil mass.
If the improved ground zone is subject to transverse loading that results in tensile forces or stresses
exceeding the material’s tensile strength, the installation of reinforcement should be considered.
Potential extrusion of low strength fine and or organic soil around or between Class B ground
improvement should be considered.
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EN 1997-3:2025 (E)
12.2.4.5 Environmental influences
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EN 1997-1:2024, 4.3.1.4 shall apply to ground improvement.
12.2.5 Limit states
12.2.5.1 Ultimate limit states
Ultimate limit states for ground improvement shall be verified as defined for:
— slopes, cuttings, and embankments (see Clause 4);
— spread foundations (see Clause 5); and
— retaining structures (see Clause 7).
In addition to EN 1997-1:2024, 8.1, the following potential ultimate limit states shall be verified:
— bearing resistance failure below the ground improvement inclusion or zone;
— uplift or insufficient tensile resistance of the ground improvement zone;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— failure in the ground due to transverse loading of the ground improvement zone;
— failure of the ground improvement inclusion or zone in compression, tension, bending, buckling or
shear;
— combined failure in the ground and in ground improvement inclusion or ground improvement zone;
— failure at the edges of the ground improvement zone;
— limit states in load transfer platforms caused by change of load distribution in time in case of cyclic
or dynamic loading; and
— limit states caused by changes in groundwater conditions or groundwater pressure.
Potential ultimate limit states other than those given in (2) should be verified.
12.2.5.2 Serviceability limit states
Serviceability limit states for ground improvement shall be verified as defined for:
— slopes, cuttings, and embankments (see Clause 4);
— spread foundations (see Clause 5); and
— retaining structures (see Clause 7).
In addition to EN 1997-1:2024, Clause 9, the following potential serviceability limit states shall be
verified:
— ground improvement zone or inclusion settlement and differential settlements;
— heave;
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EN 1997-3:2025 (E)
— transverse movement; and
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— movement or distortion of the supported structure caused by ground improvement zone movement.
Potential serviceability limit states other than those given in (2) should be verified.
12.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to ground improvement.
12.2.7 Ground investigation
12.2.7.1 General
EN 1997-2:2024, 5 shall apply to ground improvement.
12.2.7.2 Minimum extent of field testing
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for ground
improvement shall be determined.
NOTE 1 The minimum depth dmin of field investigation for ground improvement is given in Table 12.2 (NDP)
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
unless the National Annex gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
ground conditions.
Table 12.2 (NDP) — Minimum depth of field investigation for ground improvement
Ground Improvement Class Minimum depth, dmin
AI treatment depth + 5 m
AII treatment depth + 5 m
BI treatment depth + max{5 m; 3Bi}
BII treatment depth + max{5 m; 3Bri}
dmin is the minimum depth of field investigation from the ground surface
Bi is the equivalent diameter of a non-rigid inclusion (Class BI)
Bri is the equivalent diameter of a rigid inclusion (Class BII)
The equivalent diameter of an inclusion is determined from, B = 2 �𝐴𝐴/𝜋𝜋, where A is its horizontal cross
sectional area.
The minimum depth may be reduced if a shallower investigation combined with comparable local
experience allows the ground properties to be determined below the treatment depth in accordance
with EN 1997-2:2024, 5.4.3(4).
12.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to ground improvement.
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EN 1997-3:2025 (E)
Ground improvement shall be classified as either Geotechnical Category 2 or 3.
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12.3 Materials
12.3.1 Ground
EN 1997-2:2024, Clauses 7 to 12 shall apply to ground improvement.
Ground improvement parameters shall be adjusted to account for potential deterioration of the
ground properties over its design service life.
12.3.2 Improved ground
The determination of the representative values of the improved ground properties shall comply with
EN 1997-1:2024, 4.3.2.
NOTE The representative value of an improved ground property can be determined according to 12.5.4(3)
from a nominal value, representing a cautious estimate of the value of that property based on comparable
experience.
Representative values of the improved ground properties shall be verified by comparison with
values determined from tests, see 12.9.2, based on the computational procedure given in 12.5.4.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Material used shall be sufficiently durable in the anticipated ground and groundwater conditions
during the entire design service life.
The specification of a coarse material for Class BI inclusions should allow it to be compacted to form
a dense inclusion fully interlocked with the surrounding ground.
The modified weight density of Class A ground improvement should be estimated from empirical
data, comparable experience, reduction in volume or field testing.
The weight density of Class A ground improvement should be verified by testing, see 12.9.
The weight density of Class B ground improvement should be determined as the weight density of
the untreated soil or be based on comparable experience or testing.
12.3.3 Concrete
Values of the properties of concrete inclusions shall comply with EN 1997-1:2024, 5.5 and EN 1992-
1-1.
12.3.4 Steel
Values of the properties of steel inclusions shall comply with EN 1997-1:2024, 5.6 and EN 1993-1-1.
12.3.5 Timber
Values of the properties of timber inclusions shall comply with EN 1997-1:2024, 5.7 and EN 1995-1-
1.
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12.4 Groundwater
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12.4.1 General
EN 1997-1:2024, Clause 6 shall apply to ground improvement.
12.4.2 Groundwater control measures
Clause 13 shall apply to ground improvement.
12.5 Geotechnical analysis
12.5.1 General
An analysis of the interaction between structure, improved ground and ground should be carried out
to verify that the ultimate and serviceability limit states are not exceeded.
For material of Class II ground improvement, ultimate limit states shall be verified by demonstrating
that design effects of actions do not exceed the stress envelope of the material used.
NOTE See I.4 for further guidance.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
12.5.2 Resistance of diffused (Class A) ground improvement
For Class A ground improvement, the resulting improved ground or material properties should be
used in the verification of limit states for the corresponding structure in accordance with:
— slopes, cuttings, and embankments (see Clause 4);
— spread foundations (see Clause 5);
— retaining structures (see Clause 7); and
— reinforced fill structures (see Clause 9).
NOTE 1 Design of slopes, cuttings and embankments, spread foundations and retaining structures with the use
of Class A ground improvement is similar to the design of these geotechnical structures without the use of any
ground improvement technique. Different sets of ground or material properties are used for the improved ground.
NOTE 2 For Class AI ground improvement, the behaviour of the improved ground can be conveniently modelled
by conventional ground models. In this method, the change of ground properties (e.g. effective cohesion, friction
angle, permeability, etc.) is evaluated and “improved representative values” of these properties are determined.
12.5.3 Resistance of discrete (Class B) ground improvement
Where Class B ground improvement is used to support or retain a structure, the calculation model
shall include:
— the consideration of the interaction effects between the ground, discrete inclusions, and the overlying
structure, embankment, or load transfer platform; and
— for Class BII ground improvement a verification of the structural resistance of the individual
inclusions.
NOTE Interaction effects relevant to Class BII ground improvement are given in Figure 12.2.
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Where Class B ground improvement is used to support a structure, an interaction calculation model
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shall include:
— the derivation of the distribution ratio to determine the proportion of the load applied to individual
discrete inclusions; and
— for Class BII ground improvement, the derivation of the neutral plane corresponding to the point
where the inclusion settlement equals the ground settlement (see Figure 12.2).
The method of analysis selected should consider the stiffness ratio of Class B ground improvement
inclusions to the surrounding ground.
The buckling resistance of Class BII inclusions subject to compression shall be verified.
NOTE Guidance on buckling is given in Annex C.13.
When one of the following conditions is met, verification of buckling of Class BII inclusions may be
omitted:
— the diameter of the inclusions Bri is greater than Bref;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— the thickness of any layers where cu is less than cu,ref is smaller than href.
NOTE The value of Bref is 0,3 m, the value of cu,ref is 15 kPa and the value of href is 1,0 m unless the National
Annex gives different values.
The structural resistance of Class BII rigid inclusions shall be verified according to the relevant
standard for the installed material.
If no such standard exists, for materials with unconfined compressive strength, ultimate limit states
may be verified by demonstrating that design effects of actions (stresses) do not exceed the
material's stress envelope.
NOTE See I.4 for further guidance.
Analysis of inclusions may be based on numerical modelling including a nonlinear stress-strain
model for the ground and the interactions between ground and inclusions.
When verifying the stability of the embankment edges that are outside the improved zone, analyses
shall be performed according to 9.5.2.2.
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EN 1997-3:2025 (E)
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
X1 settlement 6 settlement of the ground
X2 inclusion axial force 7 neutral plane
Y depth 8 settlement of the inclusion
1 embankment 9 positive skin friction
2 load transmitted to the inclusion 10 inclusion
3 load transmitted to the ground 11 load transfer platform
4 negative skin friction 12 structure (e.g. slab and spread foundation)
5 differential settlement σs mobilised shaft friction along the inclusion
σb mobilised tip resistance of the inclusion
Figure 12.2 — Interaction effects of a ground improvement with rigid inclusions
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12.5.4 Unconfined compressive strength of Class II material
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For materials not covered in 12.3.3, 12.3.4, and 12.3.5, this sub-clause applies.
Provided that at least N samples are tested, the representative value of the unconfined compressive
strength (qu,rep,imp) of Class II ground improvement material shall be determined from:
𝑞𝑞u,imp,rep = 𝜂𝜂c 𝜂𝜂t 𝑞𝑞u,imp,k (12. 1)
where
qu,imp,k is the characteristic value of the unconfined compressive strength of the Class II
ground improvement material, given in (5);
ηc is a conversion factor accounting for long term effects; and
ηt is a conversion factor accounting for the difference in time between testing (typically
28 days) and when the Class II ground improvement material is exposed to the
designed stresses.
NOTE 1 The value of N is 10 unless the National Annex gives a different value.
NOTE 2 The conversion factor ηc is based on ktc from EN 1992-1-1:2023, 5.1.6.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 3 For hydraulic binders and cement-based materials, the value of ηc is 0.85 for geotechnical structures and
1,0 for temporary geotechnical structures (see EN 1997-1:2024, 4.1.5) unless the National Annex gives a different
value.
NOTE 4 The value of ηt is given in (4).
If fewer than N samples are tested, qu,imp,rep shall be determined from:
𝑞𝑞u,imp,rep = 𝜂𝜂c 𝜂𝜂t 𝑞𝑞u,imp,nom (12. 2)
where, in addition to Formula (12.1)
qu,imp,nom, is the nominal value of the unconfined compressive strength of the Class II ground
improvement material, given in (6).
The value of ηt should be determined directly from testing for the specific type of Class II ground
improvement material, the specific ground and the specific hydraulic binder or cement-based material.
NOTE 1 The conversion factor ηt is based on the coefficient βcc(t) given in EN 1992-1-1:2023, B.4.
NOTE 2 At 28 days, the value of ηt is 1,0.
NOTE 3 An indicative range for ηt as a function of time is given in I.6.
NOTE 4 An increase of strength beyond 28 days is possible.
The characteristic value of the unconfined compressive strength qu,imp,k should be determined,
according to EN 1997-1:2024, 4.3.2.2, as the P fractile of the dataset of the relevant statistical distribution.
NOTE 1 The value of P is 10 % unless the National Annex gives a different value.
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NOTE 2 The characteristic value can be determined from the cumulative frequency curve of the dataset. The
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datasets for soils treated with binders typically correlate with the lognormal distribution.
The nominal value of the unconfined compressive strength qu,imp,nom should be determined as the
minimum of the following values:
— the minimum value of the unconfined compressive strength qu measured in all the unconfined
compressive strength (UCS) tests;
— the arithmetic average value of all results of the UCS tests multiplied by a reduction factor k; and
— a maximum value qu,max.
NOTE 1 The value of k is 0,7, unless the National Annex gives a different value.
NOTE 2 The value of qu,max is 12 MPa, unless the National Annex gives a different value.
12.6 Ultimate limit states
12.6.1 General
EN 1997-1:2024, Clause 8 shall apply to ground improvement.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Methods used to verify ultimate limit states for different classes of ground improvement should be
selected according to Table 12.3.
NOTE Table 12.3 (NDP) gives appropriate verification methods unless the National Annex gives different
methods.
Table 12.3 (NDP) — Methods used to verify ultimate limit states of ground improvement
Class A – Diffused B – Discrete
I 1. Determine improved ground properties 1. Determine properties of non-rigid (Class
according to 12.3.2 and EN 1997-1:2024, BI) inclusions according to 12.3.2 and EN
4.3.2 1997-1:2024, 4.3.2
2. Verify ULS according to 12.2.5.1, 12.5.2 2. Verify ULS of the system using separate
and the appropriate clauses in this ground and inclusion properties;
document 3. Verify ULS according to 12.2.5.1, 12.5.3
and the appropriate clauses in this
document
4. Verify compression and shear resistance
in inclusions and the ground
5. For geotextile encased inclusions,
determine the strength of the reinforcing
element according to 9.6
II 1. Determine properties of Class AII 1. Determine properties of Class BII
improved ground according to12.3.2 inclusions according to 12.3.2.
2. Verify ULS according to12.2.5.1, 12.5.2 2. Verify ULS according to 12.2.5.1, 12.5.3
and 12.5.4 and the appropriate clauses in and 12.5.4 and the appropriate clauses in
this document. this document.
3. Verify structural resistance 3. Verify structural resistance of the rigid
inclusions
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The ground improvement zone shall be verified using the partial factors given in 12.6.6.
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12.6.2 Resistance of diffused (Class A) ground improvement
(1) The design resistance of Class A ground improvement shall be determined in accordance with
Clauses 4, 5, 7, or 9, as appropriate.
12.6.3 Resistance of discrete (Class B) ground improvement
The design resistance of Class BI ground improvement (Rsys,d) may be determined from:
𝑅𝑅sys,rep
𝑅𝑅sys,d = 𝛾𝛾R,sys 𝛾𝛾Rd,sys
(12. 3)
where
Rsys,rep is the representative value of the total resistance of the ground improvement system
with inclusions;
γR,sys is a partial factor for the inclusion system, given in 12.6.6; and
γRd,sys is a model factor.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE The value of γRd,sys is 1,0 unless the National Annex gives a different value.
(2) The design of Class BII ground improvement shall consider all interactions between the components
of the ground improvement system.
(3) Considering the compatibility of the displacements of the inclusions and the ground, the design
resistance of Class BII ground improvement (Rsys,d) may be determined from:
∑𝑛𝑛
𝑖𝑖 𝑅𝑅ri,i 𝑅𝑅g
𝑅𝑅sys,d = + (12. 4)
𝛾𝛾Rd,ri 𝛾𝛾R,ri 𝛾𝛾Rg
where
Rri,i is the representative value of the vertical resistance of the i-th rigid inclusion;
Rg is the representative value of the vertical resistance of the ground after installation of
inclusions;
γRd,ri is a model factor;
γR,ri is a partial resistance factor for the rigid inclusion system given in 12.6.6; and
γRg is a partial factor for the ground after treatment given in 12.6.6.
NOTE 1 The value of γRd,ri is equal to γRd,group for a pile group, as given in 6.6.3(4).
NOTE 2 The value of γR,ri is comparable with γR,group for a pile group, as given in 6.6.4.2.
(4) The representative resistance of a rigid inclusion Rri shall be determined according to 6.5.3 to 6.5.5,
depending on the technique used to install the rigid inclusion.
NOTE Relevant testing for Class BII ground improvement is given in 12.9.
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(5) The verification of geotechnical limit states for individual inclusions may be omitted provided it is
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verified that the system is able to redistribute loads without itself exceeding an ultimate or
serviceability limit state.
NOTE The ultimate geotechnical resistance of a group of rigid inclusions is not the same as the sum of that of
the individual inclusions, because group effects and further interaction effects, as shown in Figure 12.2, can alter
the overall resistance.
12.6.4 Unconfined compressive strength of Class II material
(1) For material not covered in 12.3.3, 12.3.4 and 12.3.5, this sub-clause applies.
(2) The design value of the unconfined compressive strength (qu,imp,d) of Class II ground improvement
material shall be determined from:
𝑞𝑞u,imp,rep
𝑞𝑞u,imp,d = 𝛾𝛾M
(12. 5)
where
qu,imp,rep is the representative value of the unconfined compressive strength of the Class II
ground improvement material; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
γM is a partial material factor given in 12.6.6.
12.6.5 Resistance of load transfer platforms
Verification of ultimate limit states may be omitted for a load transfer platform where it can be
demonstrated that the loads can be redistributed within the confined system and provided that the
load transfer platform does not fail at its edges.
NOTE A confined system can be assumed inside a grid of inclusions in a ground improvement zone.
For reinforced load transfer platforms, the tensile resistance of the reinforcements should be verified
according to Clause 9.
12.6.6 Partial factors
Partial factors for the verification of ground improvement at the ultimate limit state shall be
determined according to EN 1997-1:2024, 4.4.1, using either the Material Factor Approach or the
Resistance Factor Approach.
NOTE 1 The National Annex can specify which factor approach to use.
NOTE 2 Values of the partial factors for ground improvement are given in Table 12.4 (NDP) for persistent and
transient design situations unless the National Annex gives different values.
The design strength of concrete, steel, and timber inclusions shall be determined in accordance with
EN 1992-1-1, EN 1993-1-1 and EN 1995-1-1, respectively.
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Table 12.4 (NDP) — Partial factors for the verification of ultimate resistance of ground
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improvement for fundamental (persistent and transient) design situations
Verification of Partial factor on Symbol Material Factor Resistance Factor
Approach, Approach
both
combinations (a)
and (b)
(a) (b)
Overall stability See Clause 4
Compressive and Actions, Effects of
γ F, γ E
transverse actionsa
resistance of Refer to other clauses as appropriate
diffused (Class A)
Ground propertiesb γM
ground
improvement
UCS of Class II materials γM 1,5
UCS of concrete, steel,
γM EN 1992-1-1, EN 1993-1-1 and EN 1995-1-1
and timber
Compressive and Actions, Effects of VC1 or
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
γF , γE VC3 VC1 or VC4c
transverse actionsa VC4
resistance of
Ground properties b, γM M1 M2 Not factored
discrete (Class B)
ground UCS of Class II materials γM 1,5
improvement
UCS of concrete, steel,
γM EN 1992-1-1, EN 1993-1-1 and EN 1995-1-1
and timber
Overall system resistance
γR,sys Not factored 1,4
(Class BI)
Resistance of rigid
inclusion system γR,ri Not factored 1,4
(Class BII)
Resistance of treated
γRg Not factored 1,4
ground (Class BII)
Refer to other clauses as
Transverse resistance γRt Not factored
appropriate
a Values of the partial factors for Verification Cases (VCs) 1, 3, and 4 are given in EN 1990:2023, Annex A
b Values of the partial factors for Sets M1 and M2 are given in EN 1997-1:2024, 4.4.1.3
c Always use VC1 except for the computation of the effects on actions due to an embankment
12.7 Serviceability limit states
EN 1997-1:2024, Clause 9 shall apply to ground improvement.
Serviceability limit states of geotechnical structures on improved ground shall be verified according
to all relevant clauses of this document.
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12.8 Implementation of design
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12.8.1 General
EN 1997-1:2024, Clause 10 shall apply to ground improvement.
The execution of ground improvement techniques shall comply with an appropriate standard, as
specified by the relevant authority or, where not specified, as agreed for a specific project by the
relevant parties.
NOTE Guidance on relevant execution standards for different ground improvement techniques are given in I.3.
Where no execution standard exists, the method of execution control shall be specified in the
execution specification.
12.8.2 Inspection
EN 1997-1:2024, 10.3 shall apply to ground improvement.
Where ground improvement is to be installed within ground that contains chemicals or materials,
that might prevent improvement of the ground properties, inspection tests shall be carried out to
ensure that the required properties of the improved ground are achieved.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Inspection tests may be based on:
— laboratory testing of samples of the improved ground;
— laboratory testing of binders utilising groundwater;
— other testing to determine specific properties.
Where materials are to be used for which there is no European testing standard available, inspection
tests shall be carried out as specified by the relevant authority or, where not specified, as agreed for
a specific project by the relevant parties.
Installation parameters for the ground improvement should be monitored and recorded either in
real time using bespoke instrumentation or manually by site personnel in agreement with the
corresponding execution standard.
12.8.3 Monitoring
EN 1997-1:2024, 10.4 shall apply to ground improvement.
12.8.4 Maintenance
EN 1997-1:2024, 10.5 shall apply to ground improvement.
When ground improvement is exposed to environmental effects that can cause deterioration and
loss of resistance over time, maintenance shall be specified to protect the ground improvement
against those effects.
NOTE Some ground improvement, e.g. jet grouted or soil mixed retaining walls can be adversely affected by
freezing/thawing and wetting/drying cycles and need to be protected.
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12.9 Testing
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12.9.1 General
EN 1997-1:2024, Clause 11 shall apply to ground improvement.
The types of testing should be determined according to the ground improvement technique.
NOTE Execution standards usually contain lists of typical tests relevant to the specific techniques.
Tests before or at the beginning of execution may be conducted, comprising:
— extraction and testing of ground samples to verify the suitability of the foreseen ground treatment;
or
— extraction and testing of treated ground samples; or
— execution of trial elements for verification of their geometry; or
— execution of trial elements with extraction and testing of samples of treated ground; or
— trial execution and verification by field testing or load testing.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Typical control tests may include:
— For Class AI: ground investigation of treated ground in accordance with EN 1997-2:2024 to verify
ground properties including the use of monitoring;
— For Class AII: testing on extracted treated ground samples to verify unconfined compressive strength
and other properties;
— for Class BI: field testing inside and/or in between inclusions, dummy foundation test on improved
ground (individual inclusion and surrounding ground), zone load test on a group of inclusions (group
of inclusions and surrounding ground);
— for Class BII: load test on isolated rigid inclusions, zone load test on a group of inclusions (group of
rigid inclusions and surrounding ground,) UCS tests of inclusion material.
NOTE Monitoring is suitable for Class AI ground improvement such as surcharge and vertical drainage.
The minimum frequency and type of control test should be given by the relevant execution standard
or, where no relevant execution standard is available, by the relevant authority or, where not
specified, as agreed by the relevant parties for a specific project.
12.9.2 Material control tests
12.9.2.1 General
Material control tests shall be performed to verify that representative properties of the improved
ground are achieved.
NOTE The minimum frequencies for material control test for each ground improvement class are given in Table
12.5 (NDP) unless the National Annex gives different values.
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Table 12.5 (NDP) Testing frequency for ground improvement (control tests)
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Class Type of test Number of tests
Field and laboratory testing to the full
AI As per EN 1997-2:2024, 5.4.2 and 5.4.3
depth of the zone of treatment
In the absence of a material standard that
specifies otherwise:
UCS tests on extracted samples of
AII 1 test per 125 m³ (minimum 4 tests) per treated
treated-ground
geotechnical unit, conducted on samples
representative of the whole treatment depth.
Field and laboratory testing to the full
depth of the ground improvement
BI As per EN 1997-2:2024, 5.4.2 and 5.4.3
zone, inside the inclusions and/or in-
between
In the absence of a material standard that
specifies otherwise:
UCS test on extracted samples of
BII 1 test per 125 m³ (minimum 4 tests) of rigid
treated ground or installed material
inclusion volume, conducted on samples
representative of the whole treatment depth.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The minimum number of control tests should be determined based on local experience, ground
conditions and the applied ground improvement technique.
Sampling should be performed according to relevant execution standards.
If undisturbed sampling is impractical, the strength may be determined by documented correlations
from other in situ tests.
The stiffness of ground improvement materials should be determined either from laboratory tests
on undisturbed samples, documented correlations, or by monitoring of deformations.
The achieved properties of improved ground including the coefficient of variation shall be
documented.
12.9.2.2 Unconfined compressive strength
The unconfined compressive strength should be determined on undisturbed cylindrical samples
with a height to diameter ratio of two.
Where the sample dimensions differ, the unconfined compressive strength may be multiplied by a
scale factor kUCS.
NOTE For prisms and cylinders with height to diameter ratio of one, the value of kUCS is 0,8, unless the National
Annex gives a different value.
After conducting all UCS tests on suitable samples, the results of the test specimens with unmixed
soil inclusions larger than one-sixth of the diameter of the test specimen may be excluded.
In addition, no more than 15 % of the UCS results from the tested specimens from one specific site
may be excluded.
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NOTE Based on results of all non-excluded test specimen, the representative value of the UCS can be estimated
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from 12.5.4.
12.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to ground improvement.
13 Groundwater control measures
13.1 Scope and field of application
This clause shall apply to groundwater control measures, aiming to prevent limit states in a
geotechnical structure within the zone of influence.
This clause should apply to dams and levees but excludes the verification of water retention for those
structures.
NOTE For dams and levees additional provisions are needed.
Measures for groundwater control should be classified according to Table 13.1.
NOTE Examples of ground water control measures for these classes are given in Annex J.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Table 13.1 — Classification of groundwater control measures
Class Objective Measures
1 Prevent (i.e. cut off) the water flow Impermeable barriers a
2 Reduce water flow through ground Reduction of hydraulic conductivity
3 Control the flow of groundwater and/or Dewatering/infiltration
surface water
a The term “impermeable” is project specific. A project-defined low value of hydraulic conductivity is considered
impermeable.
13.2 Basis of design
13.2.1 Design situation
In addition to EN 1997-1:2024, 4.2.2, the design situations for groundwater control measures shall
include, but are not limited to:
— temporary or permanent nature of the groundwater control; and
— impact within the zone-of-influence due to the groundwater control measures.
13.2.2 Geometrical properties
EN 1997-1:2024, 4.3.3 shall apply to groundwater control measures.
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13.2.3 Zone of influence
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EN 1997-1:2024, 4.1.2.1 and 4.2.5 shall apply to groundwater control measures.
13.2.4 Actions and environmental influences
EN 1997-1:2024, 4.3.1 shall apply to groundwater control measures.
13.2.5 Limit states
13.2.5.1 Ultimate limit states
The impact on the ultimate limit states of the geotechnical structure and the environment due to
execution of the groundwater control measures shall be analysed.
13.2.5.2 Serviceability limit states
EN 1990:2023, 8.4.1 shall apply to groundwater control measures.
It shall be verified that the groundwater control measures fulfill their intended purpose as defined
by the limiting design serviceability criteria.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The impact on the serviceability limit states of a geotechnical structure and the environment due to
execution of groundwater control measures shall be analysed.
13.2.6 Robustness
EN 1997-1:2024, 4.1.4 shall apply to groundwater control measures.
13.2.7 Ground investigation
13.2.7.1 General
In addition to EN 1997-2:2024, Clause 5, the provisions for groundwater and geohydraulic
properties given in EN 1997-2:2024, Clause 11, shall apply.
The extent of the ground investigation shall include the zone of influence of the groundwater control
measures.
Ground investigations should provide, but not be limited to providing the following parameters:
— grain size distribution of the soil;
— geometry of cavities and fractures in the rock mass;
— strength and stiffness parameters of the ground;
— groundwater and piezometric levels;
— hydraulic conductivity of the ground;
— chemical content of groundwater;
— geometrical properties of discontinuities and weak zones in rock mass;
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— depth of aquitard or bedrock; and
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— presence of karstic rock.
Long term measurement of groundwater and surface level within the zone of influence should be
performed.
In the absence of reliable values of hydraulic conductivity within the zone of influence, pumping
tests, and geophysical (flow) logging may be performed as a part of the ground investigation.
Based on ground investigation, the Ground Model shall distinguish between aquifers and aquitards,
where present.
13.2.7.2 Minimum extent of field investigation
In addition to EN 1997-2:2024, 5.4.3, the minimum depth of field investigation for groundwater
control measures shall be determined.
NOTE 1 The minimum depth dmin of field investigation is given in Table 13.2 (NDP) unless the National Annex
gives another value.
NOTE 2 EN 1997-2:2024, 5.4.3(3) and (4) give provisions for increasing or decreasing dmin depending on the
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
ground conditions.
Table 13.2 (NDP) — Minimum depth of field investigation for groundwater control measures
Application Minimum depth Illustration
Prevention of water flow dmin = 2 m below the surface of the
layer with very low conductivity
beneath the proposed barrier
Reduction of water flow dmin = 2 m below the layer, which
hydraulic conductivity is to be
adjusted
Control of water flow dmin = 2 m into the aquitard, beneath
the aquifer
13.2.8 Geotechnical reliability
EN 1997-1:2024, 4.1.2 shall apply to groundwater control measures.
13.3 Materials
EN 1997-2:2024, Clauses 7 to 12 shall apply to groundwater control measures.
EN 1538 should apply to diaphragm walls.
In addition to EN 1997-1:2024, 5.3, ISO/TS 13434 may be applied for geomembrane, geosynthetic
or plastic barriers.
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Materials that are not specified in (1) to (3) may be used provided they comply with a relevant
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material standard.
NOTE The relevant material standard can be specified in the National Annex.
13.4 Groundwater
EN 1997-1:2024, Clause 6 shall apply to groundwater control measures.
13.5 Geotechnical analysis
13.5.1 General
Appropriate groundwater control measures shall be selected based on:
— the design service life;
— the duration and boundary conditions of the design situation;
— groundwater conditions;
— their suitability for the ground conditions;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— their impact within the zone of influence;
— environmental influences;
— potential inspection and maintenance; and
— chemical content.
The impact of the execution shall be considered in the design and selection of the groundwater
control measures.
NOTE The installation of geotechnical structures and barriers can affect the groundwater levels and
groundwater flow.
Potential adverse effects of groundwater drawdown should be considered.
NOTE 1 Examples of adverse effects include settlements and decomposition of wooden piles.
NOTE 2 Monitoring of the drawdown is essential during the groundwater control measures service life.
13.5.2 Prevention of water flow
The design of impermeable barriers should consider, but is not limited to, the following:
— groundwater chemistry;
— climate and rainfall;
— extent and other details of the excavation;
— risk of flooding;
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— ground stability;
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— environmental influences;
— any transition zone below the impermeable barrier;
— installation technique; and
— risk of leakage.
The selected type of the barrier, execution technique and potential maintenance measures during
the design service life shall be documented.
13.5.3 Reduction of water flow
The design of measures to reduce hydraulic conductivity should consider, but is not limited to, the
following:
— time related properties;
— potential spread of grout to the ground surface or an adjacent structure;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— penetrability of the grout;
— aggressiveness of groundwater;
— potential jacking; and
— chemical ingredients and their effect on the environment.
The selected grouting technique, construction sequence and potential maintenance measures during
the design service life shall be documented.
The suitability of grout or other injection material for the penetration into the ground shall be
documented.
13.5.4 Control of water flow
The design of dewatering or infiltration systems should consider, but is not limited to, the following:
— groundwater chemistry;
— climate and rainfall;
— extent and other details of the excavation;
— risk of flooding;
— ground stability;
— availability of back-up systems;
— availability of well and filter materials;
— condition of the structures in the zone of influence; and
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— environmental influences.
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The selected dewatering or infiltration technique, installation specification and operation details
including maintenance measures during the design service life shall be documented.
As the zone of influence of dewatering is controlled by the ground hydraulic conductivity with lateral
and vertical variability, an investigation and monitoring system to mitigate against these variabilities
should be implemented.
13.6 Ultimate limit states
Clauses 4 to 11 shall apply to the verification of ultimate limit states of geotechnical structures that
rely on groundwater control measures.
13.7 Serviceability limit states
Serviceability criteria for geotechnical structures that rely on groundwater control measures shall
be determined according to EN 1997-1:2024, 9.2 and 9.5.
It shall be verified, throughout the zone of influence, that the groundwater control measures comply
with:
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
𝐶𝐶d,SLS,min ≤ 𝐸𝐸d ≤ 𝐶𝐶d,SLSmax (13. 1)
where
Ed is the effect of actions caused by the groundwater, after application of the measures for
groundwater control;
Cd, SLS,min is the minimum design value of the relevant serviceability criterion for the considered
geotechnical structure within the zone of influence; and
Cd, SLS,max is the maximum design value of the relevant serviceability criterion for the considered
geotechnical structure within the zone of influence.
NOTE 1 The effect of actions caused by groundwater Ed, after application of the groundwater control measures
can be expressed as, for example:
— groundwater or surface water pressure;
— hydraulic conductivity;
— rate of flow of water.
NOTE 2 The limiting design value, Cd,SLS of the relevant geotechnical structures serviceability criterion can be
expressed as, for example:
— minimum or maximum groundwater or surface water pressure;
— minimum or maximum hydraulic conductivity; or
— minimum or maximum rate of flow of water.
NOTE 3 In many design situations, only one of the two serviceability criteria (Cd,SLS,min or Cd,SLS,max) is applied.
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Verification of (2) should be done by either the Observational Method, in accordance with EN 1997-
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1:2024, 4.7 or by testing in accordance with EN 1997-1:2024, 4.6.
Verification of geotechnical structure in Geotechnical Category 1 may be performed using calculation
in accordance with EN 1997-1:2024, 4.4 or using prescriptive rules, in accordance with EN 1997-
1:2024, 4.5.
13.8 Implementation of design
13.8.1 General
EN 1997-1:2024, 10.6 shall apply to the application of the Observational Method during execution.
Where the ultimate and serviceability limit states of a geotechnical structure depend on the
successful performance of a groundwater control system, one or more of the following measures
should be taken:
— inspection and maintenance of the system, which should be specified in the Maintenance Plan, see
EN 1997-1:2024, 10.5; and
— installing a secondary (“backup”) system.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Execution of grouting shall comply with EN 12715.
Execution of jet-grouting shall comply with EN 12716.
Execution of barriers by diaphragm walls shall comply with EN 1538.
Execution of sheet pile walls shall comply with EN 12063.
Execution standards other than those specified in (3) to (6) should only be used if they are specified
by the relevant authority or, where not specified, are agreed for a specific project by the appropriate
parties.
13.8.2 Inspection
13.8.2.1 General
EN 1997-1:2024, 10.3 shall apply to measures for groundwater control.
Inspection of groundwater control system shall include, but not be limited, to the following items:
— adequacy of systems to ensure control of groundwater pressures;
— disposal of water from dewatering systems;
— lowering of groundwater table throughout entire excavation; and
— diversion and removal of rainfall or other surface water.
13.8.2.2 Prevention of water flow
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should specify measures to check:
— performance of installed barriers;
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— ground stability during installation; and
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— control to avoid disturbance of adjoining structures.
The groundwater levels on both sides of the barrier shall be monitored and inspected.
13.8.2.3 Reduction of water flow
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should specify measures to check:
— wear of equipment, hoses and packers;
— clogging of pumps and mixer;
— leakage of grout to ground surface;
— leakage of grout to other grout holes; and
— functionality of pressure devices.
NOTE For inspection issues relating to grouting (e.g. grouting sequences, time, pressure, flow and mass), see
EN 12715.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
13.8.2.4 Control of water flow
In addition to EN 1997-1:2024, 10.3, the Inspection Plan should specify measures to check:
— efficient and effective operation of dewatering or infiltration systems throughout the entire
construction period;
— wear in pumps;
— clogging of filters and pumps;
— control of dewatering and infiltration to avoid disturbance of adjoining structures or areas;
— effectiveness, operation and maintenance of water recharge systems, if installed;
— effectiveness of any drainage system; and
— standby equipment to maintain groundwater controls in case of pumping or power failure.
When pumps are installed, the pumped amounts and content of fine ground material shall be
monitored and inspected.
The functioning of all drainage systems should be tested.
NOTE Testing can be performed for example by rinsing or flushing after installation.
13.8.3 Monitoring
In addition to EN 1997-1:2024, 10.4 the Monitoring Plan should, as applicable, include monitoring
of groundwater conditions within the zone of influence.
NOTE 1 Legislation can necessitate additional requirements.
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NOTE 2 Table 13.3 (NDP) gives measures to check the groundwater conditions within the zone of influence,
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unless the National Annex gives different measures.
Table 13.3 (NDP) — Measures for checking groundwater conditions within the zone of influence
Geotechnical Measures / measurements
Category
GC3 All the items given below for GC2 and, in addition:
- more detailed examination that includes additional measurements and
observations.
GC2 All the items given below for GC1 and, in addition:
- measurements of groundwater levels and groundwater pressures;
- measurements of groundwater flow and chemistry, if they affect the method
of construction or the performance of the structure.
GC1 All the items given below:
- direct observations;
- documented comparable experience;
- any other relevant evidence.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The results of monitoring should, as applicable, define the necessity and steer the implementation of
further groundwater control.
Groundwater level monitoring should be conducted continuously or semi-continuously in adequate
intervals.
Groundwater level monitoring should be conducted prior, during and after groundwater control
works and works affecting groundwater levels.
13.9 Testing
EN 1997-1:2024, Clause 11 shall apply to groundwater control measure.
NOTE For determination of groundwater and geohydraulic properties see EN 1997-2:2024, Clause 11.
Testing of grout material properties shall be conducted.
One or more of the following testing methods should be used for design and verification of rock
grouting:
— hydrostatic pressure build-up testing in the borehole;
— water leakage measurements from the rock mass into the borehole; and
— water loss measurements from the bore hole into the rock mass.
13.10 Reporting
EN 1997-1:2024, Clause 12 shall apply to groundwater control measure.
The execution specification should include, but is not limited to:
— threshold values and limiting values for the groundwater control;
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— type and use of equipment;
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— material requirements; and
— timing in relation with excavation phases;
— other execution activities that could cause drainage; and
— required checking and verification of system.
In addition to (2), the execution specification for grouting should include, but is not limited to:
— required grout penetration depth or spread;
— geometry of the grouting holes, including location, length, direction, overlap and frequency;
— grouting pressures, flows and volumes;
— depth of packers in relation with the grouting pressure and failure due to the grouting pressure; and
— sequence or sequences of grouting of the holes.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The execution specification for grouting should include on-site verification and stop-criteria, based
on pressure, flow, time or mass regulation.
In addition to (2), the execution specification of impermeable barriers should include, but is not
limited to:
— installation technique; and
— geometry of barriers.
In addition to (2), the execution specification of dewatering and infiltration systems should include,
but is not limited to:
— installation technique;
— geometry of the wells and pipes, including location, length, direction, overlap and frequency; and
— pumping capacity.
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Annex A
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(informative)
Slopes, cuttings, and embankments
A.1 Use of this annex
This informative annex provides complementary guidance to Clause 4 regarding slopes, cuttings, and
embankments.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
A.2 Scope and field of application
This informative annex covers calculation methods for the stability of slopes, cuttings and
embankments in soil, fill and rock.
A.3 Calculation models for analysing the stability of soil and fill
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
The calculation model for analysing the stability of soils and fills should be appropriate for the
Ground Model, potential failure surface, and loading conditions.
NOTE 1 Table A.1 provides a non-exhaustive list of calculation models based on limiting equilibrium and limit
analysis.
NOTE 2 Procedures for numerical models are given in EN 1997-1:2024, 8.2.
NOTE 3 Calculation methods presented in Table A1 can be based on different types of assumptions (see
Morgenstern, 1964).
Three-dimensional effects may be considered in design verification when using a two-dimensional
calculation model, provided the adjustment is on the safe side and the model is validated.
When choosing a calculation model for analysing the stability, the following should be included in
the Geotechnical Design Model, but is not limited to:
— the self-weight of the ground, determined according to the single source principle, see EN 1990:2023,
6.1.1(3);
— soil layering;
— occurrence and orientation of zones or layers of low strength;
— seepage and groundwater pressure distribution;
— drained or undrained behaviour or a combination;
— creep deformations due to shear;
— type of anticipated failure;
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— possibility of progressive failure along the slip surface (strain compatibility);
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— external actions, their duration and direction;
— use of stabilizing measures;
— adjacent or intersecting structures;
— strength anisotropy; and
— interface with underlying rock.
Table A.1 — Calculation models for analysing the stability of soil and fill
Calculation modelc Type of method Special design Comments and
and assumed conditions/limitations assumptions
failurea,b
Bishop Not recommended with Simplified ignores interslice
1 (simplified and Slices, circular arc external horizontal shear forces when interslice
rigorous) loads forces are horizontal
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Generalized
Slices, any shape of
2 limit ---
surface
equilibrium
Janbu Location of interslice
3 generalized Applicable with all normal force is assumed by
(modified) slope geometries and a line of thrust
Slices, circular arc, soil profiles
Morgenstern- non-circular, Direction of interslice forces
4
Price polyline by variable user function
Constant interslice forces
5 Spencer
function
Seismic loading, critical
Can include non-vertical
acceleration. Static
6 Sarma Slices, polyline slices and multi-wedge
conditions: horizontal
failure mechanisms
load set to zero
Multiple body,
Kinematical
blocks, circular, Based on the compatibility
7 approach of ---
planar or of velocity fields
limit analysis
logarithmic spiral
Earth-pressure can be used
Pre-defined planar as driving and resisting
Block/wedge Multiple body,
8 failure surface. Divided force. Rotational failure
method polyline
into three segments (assessed by moment
equilibrium) not considered
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Calculation modelc Type of method Special design Comments and
and assumed conditions/limitations assumptions
failurea,b
Multiple body,
Multiple wedge
9 blocks, wedges, ---
method
plane surfaces Rotational failure (assessed
10 Infinite slope Long shallow slopes by moment equilibrium) not
Single body, plane considered
Culmann, surface Steep slopes, drained
11
finite slope analysis
Rotational failure (assessed
Logarithmic Single body; Homogeneous soil,
12 by moment equilibrium)
spiral logarithmic spiral drained analysis
only considered
a Where ground or embankment material is relatively homogeneous and isotropic, circular failure surfaces can
normally be assumed, except when high external loads are present.
b Polyline includes interconnected plane surfaces.
c See 1) Bishop (1965); 2) Fredlund and Krahn (1977); 3) Janbu (1954); 4) Morgenstern and Price (1965); 5)
Spencer (1967); 6) Sarma (1979); 8) and 9) DIN 4084:2009-01; 11) Coulomb (1776), adapted by Cullman (1866);
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
12) Froelich (1953).
A.4 Calculation models for analysing the stability of rock mass
The calculation model for analysing the stability of rock mass should be appropriate for the Ground
Model, potential failure surface, and loading conditions.
NOTE 1 Table A.2 provides a non-exhaustive list of failure types to be considered that can be addressed using a
range of calculation models including limiting equilibrium, Finite Element, Finite Difference and Discrete Element
Methods. See Poisel and Preh (2004) and Wyllie (2017).
NOTE 2 Procedures for numerical models are given in EN 1997-1:2024, 8.2.
When choosing a calculation model for analysing the stability of rock masses, the following should
be included in the Geotechnical Design Model, but is not limited to:
— weight density;
— rock layering, weakness zones and discontinuities;
— Interfaces with soil and soil layers on top;
— geometrical properties of weakness zones and discontinuities;
— infill of weakness zones and discontinuities;
— seepage and groundwater pressure distribution;
— types of anticipated failure;
— external actions and their duration and direction;
— use of stabilizing measures; and
— adjacent or intersecting structures;
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Table A.2 — Calculation models and considerations for analysing the stability of rock masses
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No. Type of method Special design Comments and assumptions
and assumed conditions/limitations
failurea
1 Circular failure
Blocky or weathered rock massc Method of slices, circular (see
Large slope Table A4.1)
Tension crack with or without water
deformationsb
2 Plane failure Tension crack with or without water Plane surface, blocks
3 Wedge failure Tension crack with or without water Wedge
4 Block toppling --- Blocks
5 Flexure toppling --- Columns
6 Block-flexure
--- Blocks and columns
toppling
7 Secondary
--- ---
toppling
8 Block trajectories, bounce heights,
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Rock falld Blocks
velocities, energies, run out distances
a All methods for 1 to 7 can address circular and plane failure.
b Without formation of a sliding plane, i.e. without detachment of rock mass (e.g. slope creep, kink band
slumping).
c Only valid for failure not controlled by discontinuities.
d Rock fall is the result of types 2 to 7, but type 8 addresses the consequence of rock fall to an underlying
structure.
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Annex B
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(informative)
Spread foundations
B.1 Use of this annex
This informative annex provides complementary guidance to Clause 5 regarding spread foundations.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
B.2 Scope and field of application
This informative annex covers:
— checklists;
— calculation models for bearing resistance; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— calculation models for foundation settlement.
B.3 Checklists
The following features may affect the resistance of a bearing stratum:
— depth of the adequate bearing stratum;
— inclination of the adequate bearing stratum;
— depth of the groundwater level;
— depth above which shrinkage and swelling of clay soils, due to seasonal weather changes, or to trees
and shrubs, can cause appreciable movements;
— depth above which frost damage, including heave due to groundwater freezing, can occur;
— excavation below the level of the water table in the ground;
— ground movements and reductions in the resistance of the bearing stratum by seepage or climatic
effects or by construction procedures;
— liquefaction caused by cyclic or dynamic loading;
— excavations for services close to the foundation potentially causing bearing failure or foundation
movement beyond a serviceability limit state;
— high or low temperatures transmitted from the building, causing desiccation and settlement or
groundwater freezing and heave;
— scour;
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— variation of water content due to long periods of drought, and subsequent periods of rain, on the
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properties of volume-unstable soils in arid climatic areas;
— the presence of existing voids formed by geological processes of prior human activities;
— blasting;
— heavy public traffic or traffic on site;
— the presence of soluble materials, e.g. limestone, claystone, gypsum, salt rocks; and
— the presence of existing voids formed by geological processes or prior human activities.
The following features of rock may affect the design of spread foundations on rock:
— deformability and strength of the rock mass and the permissible settlement of the supported
structure;
— presence of any weak layers, for example dissolution features or fault zones, beneath the foundation;
— presence of bedding joints and other discontinuities and their characteristics (for example: filling,
continuity, width, spacing);
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— state of weathering, decomposition and fracturing of the rock; and
— disturbance of the natural state of the rock caused by construction activities, such as, for example,
underground works or slope excavation, being near to the foundation.
B.4 Calculation model for bearing resistance using soil parameters
The undrained bearing resistance factor in Formula (5.1) may be determined from:
𝑁𝑁cu = 𝜋𝜋 + 2 (B.1)
The following non-dimensional factors may be used in Formula (5.1):
— base factor bcu;
— depth factor dcu;
— ground inclination factor gcu;
— load inclination factor icu; and
— shape factor scu.
The non-dimensional factors in (2) may be determined from:
2𝛼𝛼 𝐷𝐷
𝑏𝑏cu = 1 − 𝑑𝑑cu = 1 + 0,33tan−1 � f �
𝜋𝜋+2 𝐵𝐵
2𝛽𝛽 1 𝑇𝑇
𝑔𝑔cu = max �1 − , 0� 𝑖𝑖cu = �1 + �1 − 𝐴𝐴′𝑐𝑐 � , 𝑇𝑇 ≤ 𝐴𝐴′𝑐𝑐u (B.2)
𝜋𝜋+2 2 u
𝐵𝐵′
𝑠𝑠cu = 1 + 0,2 � ′ � for a rectangular foundation or 1,2 for circular foundation
𝐿𝐿
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where
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α is the inclination of the foundation base (in radians);
Df is the embedment depth;
B is the breadth of the foundation;
β is the inclination of the ground surface (in radians), downwards from the edge of the foundation;
B′ is the effective width of the foundation;
L′ is the effective length of the foundation;
T is the force applied tangentially to the base of the foundation;
A′ is the foundation’s effective area on plan; and
cu is the soil undrained shear strength,
NOTE dcu can be taken as 1,0 when the strength of the soil above the embedment depth Df is less than that at
the foundation level.
The drained bearing resistance factors in Formula (5.5) may be determined from:
𝜑𝜑′
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𝑁𝑁q = 𝑒𝑒 𝜋𝜋tan𝜑𝜑′ tan2 �45 + �
2
𝑁𝑁c = �𝑁𝑁q − 1�cot𝜑𝜑′ (B.3)
𝑁𝑁γ = 2�𝑁𝑁q + 1�tan𝜑𝜑′ for a rough base (i. e. δ ≥ ϕ′/2)
where
ϕ′ is the effective angle of friction (in degrees); and
δ is the angle of interface friction between the foundation and the ground.
The following non-dimensional factors may be used in Formula (5.5):
— base factors bc, bq, and bγ;
— depth factors dc, dq, and dγ;
— ground inclination factors gc, gq, and gγ;
— load inclination factors ic, iq, and iγ; and
— shape factors sc, sq, and sγ.
The non-dimensional factors in Formula (5.5) may be calculated from:
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1−𝑏𝑏q
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𝑏𝑏c = 𝑏𝑏q − �𝑁𝑁 ′ � ; 𝑏𝑏q = 𝑏𝑏γ = (1 − 𝛼𝛼 tan 𝜑𝜑 ′ )2
c tan 𝜑𝜑
1−𝑑𝑑q
𝑑𝑑c = 𝑑𝑑q − � � ; 𝑑𝑑γ = 1
𝑁𝑁c tan 𝜑𝜑′
𝑑𝑑q = 1 + 2 tan 𝜑𝜑 ′ (1 − sin 𝜑𝜑′ )2 (𝐷𝐷f ⁄𝐵𝐵′) for 𝐷𝐷f /𝐵𝐵′ ≤ 1.0
𝑑𝑑q = 1 + 2 tan 𝜑𝜑′ (1 − sin 𝜑𝜑′)2 tan−1 (𝐷𝐷f ⁄𝐵𝐵′) for 𝐷𝐷f /𝐵𝐵′ > 1.0
1−𝑔𝑔q 𝑔𝑔q 𝑁𝑁q −1
𝑔𝑔c = 𝑔𝑔q − �𝑁𝑁 tan 𝜑𝜑′ � = � 𝑁𝑁 −1 � ; 𝑔𝑔q = 𝑔𝑔γ = (1 − tan 𝛽𝛽)2
c q
1−𝑖𝑖q 𝑖𝑖q 𝑁𝑁q −1 𝑇𝑇 𝑚𝑚 𝑇𝑇 𝑚𝑚+1
𝑖𝑖c = 𝑖𝑖q − � ′� = � � ; 𝑖𝑖q = �1 − � ; 𝑖𝑖γ = �1 − �
𝑁𝑁c tan 𝜑𝜑 𝑁𝑁q −1 𝑁𝑁 𝑁𝑁
2+(𝐵𝐵′⁄𝐿𝐿′)
(B.4)
𝑚𝑚 = 𝑚𝑚𝐵𝐵 = 1+(𝐵𝐵′⁄𝐿𝐿′)
when 𝑇𝑇 acts in the direction of 𝐵𝐵′
2+(𝐿𝐿′⁄𝐵𝐵′)
𝑚𝑚 = 𝑚𝑚𝐿𝐿 = 1+(𝐿𝐿′⁄𝐵𝐵′)
when 𝑇𝑇 acts in the direction of 𝐿𝐿′
𝑚𝑚 = 𝑚𝑚𝜃𝜃 = 𝑚𝑚𝐿𝐿 cos 𝜃𝜃 + 𝑚𝑚𝐵𝐵 sin2 𝜃𝜃 for other loading directions
2
𝑠𝑠q 𝑁𝑁q −1
𝑠𝑠c = � �
𝑁𝑁q −1
𝐵𝐵′
𝑠𝑠q = 1 + � ′ � sin 𝜑𝜑′ for a rectangular or circular (𝐵𝐵′ = 𝐿𝐿′) foundation
𝐿𝐿
𝐵𝐵′
𝑠𝑠γ = 1 − 0.3 � ′ � for a rectangular or circular (𝐵𝐵′ = 𝐿𝐿′) foundation
𝐿𝐿
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where, in addition to the symbols defined for Formula (B.3)
ϕ′ is the effective angle of friction;
N is the force applied normally to the base of the foundation; and
θ is the angle on plan between the L' axis and the direction of T.
NOTE 1 dc, dq, and dγ can be taken as 1,0 when the strength of the soil above the embedmendt depth Df is less
than that at foundation level.
NOTE 2 gc, gq and gγ can be taken as 1,0 when the distance between the slope and the closest side of the
foundation to the slope is greater than 6 to 8 times B.
To account for the effect of groundwater level on the overburden pressures q' in Formula (5.5), the
following values for q′ and γ* may be adopted for situations without seepage:
— for groundwater level at ground surface:
q′ = (γsat – γw)Df and γ* = (γsat – γw)
— for groundwater level at a depth Dw below the ground surface but above the foundation level:
q′ = γDw + (γsat – γw)(Df – Dw) and γ* = (γsat – γw)
— for groundwater at the foundation level:
q′ = γDf and γ* = (γsat – γw)
— for groundwater at a depth exceeding 1,5 B below the foundation level:
q′ = γDf and γ*= γ.
The depth of the failure zone, ze, in homogenous ground, may be determined depending on the
effective angle of friction ϕ' and the ratio of the transverse (parallel) and normal load T/N.
NOTE 1 The depth of the failure zone is given in Figure B.1.
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NOTE 2 A method is given in Figure B.2 for the determination of the depth of the failure zone. Linear
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interpolation between T/N = 0 and T/N = 1 is assumed.
Key
B' width of the smallest side of the effective foundation area
ze depth of the failure zone in homogenous ground
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Figure B.1 — Depth of failure zone
Key
Y ze/B' 1 T/N = 0
X ϕ′rep 2 T/N = 1
Figure B.2 — Determination of depth of failure zone
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B.5 Calculation model for bearing resistance on ground underlain by a weaker
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layer
In total stress analysis, the bearing resistance RNu of a rectangular or circular spread foundation
founded on a stronger fine soil layer above a weaker fine soil layer, as shown in Figure B.3, may be
determined from Formula (5.1) substituting cu with k1cu1 for situations with B'>2D1, where k1 may
be determined from:
𝑅𝑅Nu = 𝐴𝐴′(𝑘𝑘1 𝑐𝑐u1 𝑁𝑁cu 𝑏𝑏cu 𝑠𝑠cu 𝑖𝑖cu + 𝑞𝑞) (B.5)
𝑐𝑐 𝐷𝐷 𝐷𝐷1
with 𝑘𝑘1 = min �𝑐𝑐u2 �1 + 𝐵𝐵′1 � �1 + 𝐿𝐿′
� ; 1,0�
u1
where, in addition to the symbols defined in Figure B.3:
L' is the length of the foundation.
NOTE Figure B.3 illustrates foundation on a stronger layer over a weaker layer.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 stronger layer
2 weaker layer
B' effective width of the foundation
D1 thickness of the upper layer below the base of the foundation
cu1 shear strength in total stress analyses in upper (stronger) layer
cu2 shear strength in total stress analyses in lower (weaker) layer
Figure B.3 — Foundation on a stronger layer over a weaker layer
The bearing resistance RNu of a rectangular spread foundation founded on a stronger coarse soil layer
above a weaker fine soil layer due to punching shear may be determined from:
0,2𝐵𝐵′ 2𝐷𝐷f 𝐵𝐵′ 𝐾𝐾 tan𝜑𝜑 ′
𝑅𝑅Nu = 𝐴𝐴´ �1 + 𝐿𝐿′
� (𝜋𝜋 + 2)𝑐𝑐u2 + 𝐴𝐴′𝛾𝛾1′ 𝐷𝐷1 2 �1 + 𝐷𝐷1
� �1 + 𝐿𝐿′
� � ps 𝐵𝐵′ 1 � + 𝐴𝐴′𝛾𝛾1 𝐷𝐷f
𝑞𝑞 (𝜋𝜋+2)𝑐𝑐u2 (B.6)
λ = 𝑞𝑞2 = 0,5𝛾𝛾′ ′
1 1 𝐵𝐵 𝑁𝑁γ
where
ϕ′1 is the effective angle of friction for upper coarse soil layer;
cu2 is the undrained shear strength of the lower fine soil layer;
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D1 is the thickness of the upper layer;
λ is the ratio of the bearing pressure in the lower layer (q2) to that in the upper layer
(q1);
q2 is the bearing pressure in the lower layer;
γ′ 1 is the effective weight density of the upper layer; and
Kps is a punching shear coefficient given in Table B.1.
Key
1 stronger layer
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2 weaker layer
B' width of the foundation
D1 thickness of the upper layer below the base of the foundation
Df embedment depth
ϕ'1 effective angle of friction in upper (stronger) layer
cu2 shear strength in total stress analyses in lower (weaker) layer
Figure B.4 — Foundation on a stronger coarse layer over a weaker layer
Table B.1 — Values of the punching shear coefficient Kps
λ = q2/q1 Value of Kps for ϕ′1 equal to
30° 35° 40°
0 0,8 1,2 2,1
0,2 1,8 2,7 4,3
0,4 2,8 4,4 6,9
1,0 5,4 7,9 12,4
As an alternative to (2) the bearing resistance RNu against punching shear of a rectangular or circular
spread foundation may be determined conservatively using Formulae (5.1) or (5.5) after projecting
the effective area on top of the weaker fine soil layer, as illustrated in Figure B.5.
NOTE 1 The maximum angle of foundation spread in the stronger coarse layer from the foundation edges is 8°
(see Figure B.5) unless the National Annex gives a different value.
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NOTE 2 Formulae (5.1) and (5.5) are used to check for punching by projecting the effective area on top of the
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weak layer and by assuming that the weak layer extends indefinitely in depth. This is a conservative approach.
Key
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1 overburden
2 stronger coarse layer
3 weaker fine layer
Figure B.5 — Foundation on a stronger layer over a weaker layer
The limit states of temporary working platforms (reinforced or not) may be verified according to
other methods than given in (1) to (3).
NOTE Guidance for the design of temporary working platforms can be found in EFFC-DFI Guide for Working
Platforms (2020) and Temporary Work forum TWf Guide (2019).
B.6 Calculation model for bearing resistance from Ménard pressuremeter test
results
The bearing resistance RN of a spread foundation to normal loads may be determined from the results
of Ménard pressuremeter tests using:
∗ (B.7)
𝑅𝑅N = 𝐴𝐴 𝜎𝜎v0 + 𝐴𝐴′ 𝑘𝑘p 𝑝𝑝LM,e
where
A is the area of the foundation on plan;
A′ is the effective area of the foundation on plan;
σv0 is the total vertical stress at the level of the foundation base (after the execution of the
foundation);
kp is a bearing resistance factor given by graphs according to ground type and foundation
shape in Table B.2;
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p*LM,e is the geometric mean on a thickness of 1,5 B below the foundation base, of the
representative values of the net limit pressure, defined in Formula (B.8);
pLM(z) is the representative value of the Ménard limit pressure at a depth z;
p0(z) is the total (initial) stress at a depth z, defined in Formula (B.9);
K0 is the at-rest earth pressure coefficient;
σv(z) is the total vertical stress at the level of the Ménard pressuremeter test at a depth z; and
u(z) is the groundwater pressure at the level of the Ménard pressuremeter test at a depth z.
∗
𝑝𝑝LM,e = 𝑛𝑛�∏𝑛𝑛𝑖𝑖=1 𝑝𝑝LM
∗
= 𝑛𝑛�∏𝑛𝑛𝑖𝑖=1(𝑝𝑝LM (𝑧𝑧i ) − 𝑝𝑝0 (𝑧𝑧i )) (B.8)
𝑝𝑝0 (𝑧𝑧) = 𝐾𝐾0 �𝜎𝜎v (𝑧𝑧) − 𝑢𝑢(𝑧𝑧)� + 𝑢𝑢(𝑧𝑧) (B.9)
NOTE 1 The effect of the load inclination is considered by an additional parameter applied on kp.
NOTE 2 This method is described in NFP 94-261.
NOTE 3 Figure B.6 gives the resistance factor kp for different ground and foundation shapes.
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Key
X De/B with De equivalent embedment depth and B width of foundation
Y kp bearing resistance factor
1 to 8 Q1 to Q8 correlation curves according to Table B.2
Figure B.6 — Bearing resistance factor kp versus equivalent embedment depth De divided by
foundation width B for ground types and foundation shapes given in Table B.2
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Weak ground above the foundation level should not be accounted for in the assessment of the
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equivalent embedment depth, De, defined as the thickness of ground above the foundation level
having a similar limit pressure as the ground below the foundation.
Table B.2 — Correlations for deriving the bearing resistance factor kp for spread foundations
Ground type Correlation curves from Figure B.6 to obtain the bearing
resistance factor kp
Strip foundation Square pad
Clay and silt Q1 Q2
Sand and gravel Q3 Q4
Chalk Q5 Q6
Marl and weathered rock Q7 Q8
B.7 Calculation model for settlement evaluation based on elasticity
The total settlement s of a spread foundation in homogenous ground may be determined from:
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𝑝𝑝rep 𝐵𝐵�1−𝜐𝜐2 �𝐼𝐼s
𝑠𝑠 = (B.10)
𝐸𝐸m,rep
where
prep is the representative value of the bearing pressure linearly distributed on the base of the
foundation;
B is the width of the foundation;
Is is an influence factor;
Em,rep is the representative value of the ground elasticity modulus (see also (4) for rocks); and
υ is Poisson’s ratio of the ground.
NOTE 1 The value of Is depends on the stiffness and shape of the foundation area, the thickness of the
compressible formation, the distribution of the bearing pressure and the point for which the settlement is
determined.
NOTE 2 For circular foundations B is replaced by D in Formula B.10 and L/B = 1.
NOTE 3 Values of Is are calculated for a uniform elastic semi-infinite half-space.
NOTE 4 Values of Is to calculate the average settlement of a spread foundation on a deep elastic soil are given in
Table B.3.
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Table B.3 — Values of the influence factor Is
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Foundation Value of the influence factor Is for foundation shape
stiffness
Circle Rectangle with L/B equal to
1 2 3 4 5 10
Flexible middle 1,00 middle 1,12 1,53 1,78 1,96 2,10 2,54
edge 0,64 corner 0,56 0,77 0,89 0,98 1,05 1,27
average 0,85 average 0,95 1,3 1,53 1,7 1,83 2,25
Rigid 0,79 0,83 1,21 1,43 1,59 1,72 2,13
If reliable settlement results, measured on nearby similar structures in similar ground conditions
are not available, the representative drained modulus Em,rep of the deforming stratum may be
estimated from the results of laboratory or in situ tests.
This method should only be used if no significant yielding occurs in the ground and the ground's
stress-strain behaviour is considered to be linear.
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NOTE Great caution is needed when using this method in the case of non-homogeneous ground.
For the case of a spread foundation on rock mass, the representative value of Em,rep may be
determined from:
𝐸𝐸m,rep = 𝐸𝐸rm,rep (B.11)
where
Erm,rep is the representative value of the rock mass modulus.
NOTE 1 Erm,rep can be determined from rock mass classification.
NOTE 2 See EN 1997-2:2024, Table 9.1 for test methods to assist in determination of Erm.
B.8 Calculation model for settlement evaluation based on the stress-strain
method
The total settlement of a spread foundation on fine or coarse soil may be evaluated using the stress-
strain method as follows:
— computing the stress distribution in the ground due to the loading from the foundation:
— this may be determined on the basis of elasticity theory, generally assuming homogeneous
isotropic soil and a linear distribution of bearing pressure;
— computing the strain in the ground from the stresses using stiffness moduli values or other stress-
strain relationships determined from laboratory tests (preferably calibrated against field tests), or
field tests; and
— integrating the vertical strains to find the settlements:
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— stresses and strains are computed at a sufficient number of points within the ground beneath
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the foundation.
B.9 Calculation model for settlements without drainage
The short-term components of settlement of a foundation on fine soil, which occur without drainage,
may be evaluated using either the stress-strain method or the adjusted elasticity method.
The values adopted for the stiffness properties should represent undrained behaviour with υ = υu =
0,5.
B.10 Calculation model for settlements caused by consolidation
To calculate the settlement of a spread foundation caused by consolidation, a confined one-
dimensional deformation of the soil in an oedometer test may be assumed and the consolidation test
curve used.
Empirical corrections may be applied to the addition of settlements in the undrained and
consolidation state to avoid overestimation of the total settlement.
B.11 Calculation model for time-settlement behaviour
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With fine soils the rate of consolidation settlement before the end of the consolidation may be
estimated by using consolidation parameters obtained from a laboratory compression test.
The rate of consolidation settlement should be obtained using permeability values obtained from in
situ tests.
B.12 Calculation model for settlement evaluation using pressuremeter test
results
The settlement of a spread foundation may be determined from the results of Ménard pressuremeter
tests from:
2𝐵𝐵 𝜆𝜆d 𝐵𝐵 𝛼𝛼𝑟𝑟 𝛼𝛼 𝜆𝜆 𝐵𝐵
𝑠𝑠 = (𝑞𝑞 − 𝜎𝜎v0 ) �9𝐸𝐸0 � � + r c �
𝐵𝐵0 9𝐸𝐸c
1 0.25 0.3
d
0.25 0.1 0.1
(B.12)
= + + + +
𝐸𝐸d 𝐸𝐸1 𝐸𝐸2 𝐸𝐸3↔5 𝐸𝐸6↔8 𝐸𝐸9↔16
where
B is the width of the foundation;
Bo is a reference width of 0,6 m;
Ec is the value of EM measured in a ground of thickness B/2 immediately below the foundation;
Ed is the weighted harmonic mean of EM measured in ground of thickness 8B below the
foundation;
EM is the Ménard modulus;
Ei↔j is the harmonic mean value of EM for layers i to j (measured in layers B/2 thick, counted
from 1 below the foundation down to 16 as a depth of 8B);
q is the design normal pressure applied on the foundation;
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αr is a rheological factor depending on the nature of ground and the ratio pLM/EM, as given in
Table B.5;
λd, λc are shape coefficients depending on the ratio L/B, as given in Table B.4; and
σv0 is the total (initial) vertical stress at the level of the foundation base.
NOTE Formula (B.12) is only applicable for rigid foundations.
Table B.4 — Shape coefficients for settlement of spread foundations
L/B Circle Square 2 3 5 20
λd 1 1,12 1,53 1,78 2,14 2,65
λc 1 1,1 1,2 1,3 1,4 1,5
Table B.5 — Correlations for deriving the rheological factor αr for spread foundations
Type of ground Description EM/pLM αr
Peat 1,00
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Clay Over-consolidated > 16 1,00
Normally consolidated 9 – 16 0,67
Remoulded 7–9 0,50
Silt Over-consolidated > 14 0,67
Normally consolidated 5 – 14 0,50
Sand --- > 12 0,50
5 – 12 0,33
Sand and gravel --- > 10 0,33
6 – 10 0,25
Rock Highly weathered rock 0,67
Highly fractured rock mass --- 0,33
Normally fractured rock mass 0,50
Very blocky rock mass 0,67
B.13 Calculation model for settlement evaluation using cone penetration test
results
The settlement of a spread foundation on coarse soil under load pressure (q) may be determined
from the results of cone penetration tests using:
′ ) ∑n 𝐼𝐼𝑧𝑧
𝑠𝑠 = 𝐶𝐶1 𝐶𝐶2 (𝑞𝑞 − 𝜎𝜎v0 i 𝐶𝐶 𝐸𝐸 ′
d𝑧𝑧 (B.13)
3
where
C1 is equal to 1 – 0,5 × [σ’v0/(q – σ’v0)];
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C2 is equal to 1 - 0,2 log(10 t);
C3 is the correction factor for the shape of the spread foundation
1,25 for square foundations; and
1,75 for strip foundations with L > 10 B;
t is the time, in years;
σ’v0 is the initial effective vertical stress at the level of the foundation;
n is the number of soil layers with averaged cone penetration resistance (qc) within the zone
of strain influence (2 B for a square or circular foundation and 4 B for a strip foundation),
see Figure B.7;
E’ is the modulus of elasticity derived from the cone penetration resistance (qc), calculated
from E’ = 2,5 to 3,5 qc for normally consolidated sand; E’ = 3,5 to 6,0 qc for aged normally
consolidated sand; and E’ > 6,0 qc for over consolidated sand; and
Iz is a strain influence factor whose distribution (Iz) is given for axisymmetric (circular and
square) spread foundations and for plane strain (strip spread foundations) in Figure B.7,
with a maximum equal to Iz,max.
NOTE Figure B.7 gives the influence factor for the calculation model published by Schmertmann (1970) and
Schmertmann et al. (1978).
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Key
x rigid spread foundation vertical strain influence 3 Iz,max
factor Iz
y relative depth below spread foundation 4 B/2 for a square or circular foundation and B for
a strip foundation
1 plane strain (L/B > 10) 5 Level of σ'vp
2 axi-symmetric (L/B=1)
Figure B.7 — Strain influence factor diagrams
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The maximum value of the strain influence factor Iz,max may be determined from:
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𝑞𝑞−𝜎𝜎´v0
𝐼𝐼z,max = 0,5 + 0,1� 𝜎𝜎´vp
(B.14)
where
𝐼𝐼z,max is the maximum value of Iz, see Figure B.7;
q is the applied vertical pressure;
σ''vo is the initial effective vertical stress at foundation level (before application of the load
or possible excavation); and
σ´vp is the initial vertical effective stress (before application of the load or possible
excavation) at the depth of Iz,max, which is at B/2 for a square or circular foundation and
B for a strip foundation.
B.14 Relative stiffness of a spread foundation and subgrade modulus
The relative stiffness Ks of a rectangular spread foundation may be determined assuming elastic
behaviour for the foundation and the ground from:
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𝐸𝐸 �1−𝜐𝜐g2 � 𝐵𝐵 0,5 𝑡𝑡f 3
𝐾𝐾s = 5,57 �𝐸𝐸 f � 2 � � � 𝐿𝐿 � (B.15)
g �1−𝜐𝜐f � 𝐿𝐿
where
Ef is the modulus of elasticity of the foundation material;
Eg is the representative value of the modulus of elasticity of the ground beneath the foundation
(i.e. the value at a depth equal to the radius of a circular spread foundation or half the
foundation width);
νg is the ground's Poisson’s ratio;
νf is Poisson’s ratio of the foundation material;
B is the foundation width;
L is the foundation length; and
tf is the foundation thickness.
A foundation may be assumed to be rigid when Ks is greater than 10 and flexible when Ks is less than
0,05.
NOTE For Ks values between these values the relative deflection and the bending moments in the foundation
are a function of Ks.
When designing a spread foundation as a beam resting on a series of springs, the coefficient of
subgrade reaction ksubgrade may be determined from:
0,65𝐸𝐸 ′
𝑘𝑘subgrade = 𝐵𝐵(1−𝜐𝜐2 ) (B.16)
where
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E′ is the modulus of elasticity of the ground;
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υ is the ground's Poisson’s ratio; and
B is the foundation width.
B.15 Linear elastic spring stiffnesses of surface foundation
Ground reaction may be represented by springs for all degrees of freedom.
NOTE 1 In general, the springs are non-linear and frequency dependent.
NOTE 2 A rigid foundation on deformable ground has six degrees of freedom, three translational (in x, y, z
directions) and three rotational (rx, ry, rz about the x, y, and z axes).
For certain foundation shapes (circle, strip, rectangle) and ground profiles (for example,
homogeneous half-space and soil layer on rock), the stiffness coefficients may be obtained from
available solutions based on linear elasticity.
The linear elastic spring stiffnesses of a rectangular foundation on the surface of a homogeneous
half-space may be calculated using:
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𝐺𝐺𝐺𝐺 𝐵𝐵 0,85
𝐾𝐾yy = �2 + 2,5 � 𝐿𝐿 � � (B.17)
2−𝜐𝜐
𝐺𝐺𝐺𝐺 𝐿𝐿 0,65
𝐾𝐾xx = �1,2 + 3,3 �𝐵𝐵� � (B.18)
2−𝜐𝜐
𝐺𝐺𝐺𝐺 𝐵𝐵 0,75
𝐾𝐾zz = �0,73 + 1,54 � 𝐿𝐿 � � (B.19)
1−𝜐𝜐
𝐺𝐺𝐵𝐵3 𝐿𝐿
𝐾𝐾rx = 8(1−𝜐𝜐) �0,4 + 3,2 � �� (B.20)
𝐵𝐵
𝐺𝐺𝐵𝐵3 𝐿𝐿 2,4
𝐾𝐾ry = 8(1−𝜐𝜐) �3,6 � � � (B.21)
𝐵𝐵
𝐺𝐺𝐵𝐵3 𝐿𝐿 2,45
𝐾𝐾rz = 8
�4,1 + 4,2 �𝐵𝐵� � (B.22)
where
G is the ground shear modulus;
B is the foundation width (smallest dimension);
L is the foundation length (largest dimension);
Kxx is the stiffness coefficient in the direction of the x axis;
Kyy is the stiffness coefficient in the direction of the y axis;
Kzz is the stiffness coefficient in the direction of the z axis;
Krx is the rocking stiffness coefficient about the x axis;
Kry is the rocking stiffness coefficient about the y axis;
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Krz is the torsional stiffness coefficient about the z axis; and
υ is the ground's Poisson’s ratio.
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Key
B width of the foundation
L length of the foundation
Figure B.8 — Definition of the degrees of freedom
B.16 Calculation model for bearing resistance on rock mass based on wedge
equilibrium
The bearing resistance of a spread foundation lying on the horizontal rock mass may be determined
using the mechanism shown in Figure B.9, assuming the rock mass acts as a continuous medium.
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Figure B.9 — Bearing resistance for spread foundation on horizontal surface of rock mass
Based on (1), using the Hoek-Brown failure envelope, the bearing resistance RN normal to the base
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of the foundation may be determined from:
𝑎𝑎
𝑅𝑅N = 𝐴𝐴′ ∙ 𝐶𝐶f1 ∙ 𝑠𝑠 𝑎𝑎 ∙ 𝜎𝜎ci ∙ ��𝑚𝑚b ∙ 𝑠𝑠 (𝑎𝑎−1) + 1� + 1� (B.23)
where
Cf1 is a shape corrective factor given in Table B.6;
A' is the effective area of the foundation;
σci is the uniaxial compressive strength of intact rock; and
mb, s, and a are the Hoek-Brown envelope parameters for the rock mass.
Table B.6 — Shape corrective factor for spread foundations on rock
Foundation Strip (L/B>6) Rectangular Rectangular Square Circular
shape (L/B=5) (L/B=2)
Cf1 1,0 1,05 1,12 1,25 1,2
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Annex C
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(informative)
Piled foundations
C.1 Use of this annex
This informative annex provides complementary guidance to Clause 6 regarding piled foundations.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
C.2 Scope and field of application
This informative annex provides an example of pile classification based on Table 6.1 and calculation
models for:
— axial pile resistance based on:
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— ground parameters;
— CPT profiles;
— MPM profiles;
— empirical tables;
— downdrag due to vertical ground movements;
— pile groups subject to axial tension;
— single pile settlement and lateral displacement using load transfer functions;
— buckling and second order effects;
— axial pile resistance under cyclic loading.
C.3 Pile classification
NOTE Table C.1 gives examples of piles classified according to Table 6.1.
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Table C.1 — Examples of piles in different classes
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Pile type Class Example
Displacement Full Driven cast-in-place concrete piles
piles displacement Solid section precast concrete piles
Driven closed-ended tubular steel piles
Driven closed-ended tubular precast concrete piles
Driven open-ended tubular steel piles (plugged)
Driven open-ended tubular precast concrete piles (plugged)
Driven steel H-section piles (plugged)
Driven timber piles
Cast-in-place concrete screw piles
Partial Driven open-ended tubular steel piles (unplugged)
displacement Driven steel H-section piles (unplugged)
Driven and grouted steel H-section piles
Driven steel sheet piles
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Cast-in-place concrete screw piles
Continuous (flight auger) helical displacement piles
Displacement auger piles
Steel helical piles
Replacement Replacement Bored cast-in-place concrete piles installed using continuous flight
piles auger
Cased continuous flight auger piles
Bored piles with permanent casing
Bored piles with temporary casing
Bored piles with slurry or polymer support
Bored piles excavated without support
Bored or drilled steel tubular piles
Bored ribbed piles
Micropiles
Caissons excavated by hand or by machine
Barrettes
Diaphragm walls
Grouted piles
Concrete or grouted barrettes
Piles not listed above Compressed-air driven piles
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C.4 Pile shaft resistance based on ground parameters
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For total stress analysis, the representative value of unit shaft resistance, qs,rep in fine soils and fills
may be derived from:
𝑞𝑞s,rep = 𝛼𝛼𝑐𝑐u,rep (C.1)
where
cu,rep is the representative undrained shear strength of the ground; and
α is an adhesion factor for piles in soil.
NOTE 1 The adhesion factor α is an empirical coefficient that depends on the strength of the soil, effective
overburden pressure, pile type, and method of execution.
NOTE 2 The value of α typically ranges between 0,4 and 1,0 for low strength normally consolidated fine soils,
and between 0,4 and 0,75 for high strength over-consolidated fine soils.
The value of qs,rep in weak and medium strong rock masses may be derived from:
𝑞𝑞s,rep 𝑞𝑞u,rep 𝑘𝑘2
= 𝑘𝑘1 � � (C.2)
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𝑝𝑝ref 𝑝𝑝ref
where
qu,rep is the representative unconfined compressive strength of the rock mass (in kPa);
pref is a reference pressure (= 100 kPa); and
k1, k2 are empirical coefficients.
NOTE 1 The value of k1 typically varies between 0,7 and 2,1 for cemented rocks and 1,0 to 1,29 for soft rocks.
NOTE 2 The value of k2 typically varies between 0,57 and 0,61 but is commonly taken as 0,5.
In case of effective stress analyses, the value of qs,rep in coarse and fine soils, fills, and rock mass may
be derived from:
𝑞𝑞s,rep = 𝐾𝐾s ����
������� σ′v tan𝛿𝛿rep = 𝛽𝛽����
σ′v (C.3)
where
σ′v is the vertical effective stress at the depth being considered;
Ks is an earth pressure coefficient;
δrep is the representative angle of interface friction between the pile and the ground;
β is an empirical coefficient (= Ks tanδrep); and
− denotes the average value along the pile shaft.
NOTE 1 The earth pressure coefficient depends on the strength of the soil, pile type, method of execution, and
distance above the pile base.
NOTE 2 The value of Ks for sandy soils typically ranges between 0,5 and 0,9 for replacement piles and between
0,8 and 1,2 (or higher) for displacement piles.
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NOTE 3 The value of δrep is typically taken as ϕrep for cast-in-place concrete piles and between 0,67ϕrep and
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0,75ϕrep for precast concrete and steel piles, where ϕrep is the representative value of soil friction.
NOTE 4 For fine soils or fills, β is typically between 0,2 and 0,3. For coarse soils and fills, β increases with density
index and is typically between 0,5 and 2,0.
C.5 Pile base resistance based on ground parameters
For total stress analysis, the representative value of unit base resistance qb,rep in fine soils and fills
may be derived from:
𝑞𝑞b,rep = 𝑁𝑁c 𝑐𝑐ub,rep + 𝜎𝜎vb (C.4)
where
cub,rep is the representative undrained shear strength of the ground at the pile base;
Nc is a bearing factor; and
σvb is the total overburden pressure at the depth of the pile base.
NOTE The value of Nc typically ranges between 6 and 10, although Nc = 9 is commonly used.
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When the self-weight of the pile is not included as a separate action, the term σvb in Formula (C.4)
should be omitted.
The value of qb,rep in very weak and weak fine-grained rock masses may be derived from:
𝑞𝑞b,rep 𝑞𝑞u,rep 𝑘𝑘4
= 𝑘𝑘3 � � (C.5)
𝑝𝑝ref 𝑝𝑝ref
where
qu,rep is the representative unconfined compressive strength of the rock mass (in kPa);
pref is a reference pressure (= 100 kPa); and
k3, k4 are empirical coefficients that depends on the type of rock.
NOTE 1 The value of k3 typically about 15 for cemented rocks.
NOTE 2 The value of k4 typically varies between 0,4 and 0,6 but is commonly taken as 0,5.
For effective stress analysis, the value of qb,rep may be derived from:
′
𝑞𝑞b,rep = 𝑞𝑞′b,rep + 𝑢𝑢b = �𝑁𝑁𝑞𝑞 − 1�𝜎𝜎𝑣𝑣b + (𝜎𝜎′vb + 𝑢𝑢b ) = �𝑁𝑁𝑞𝑞 − 1�σ′vb + 𝜎𝜎vb (C.6)
where
σ′vb is the vertical effective stress at the depth of the pile base;
σvb is the vertical total stress at the depth of the pile base;
Nq is a bearing factor; and
ub is the pore water pressure at the depth of the pile base.
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NOTE The bearing factor depends on the angle of internal friction of the ground, density index, and vertical
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effective stress at the pile base.
When the self-weight of the pile is not included as a separate action, the term (σ′vb + ub) in Formula
(C.6) should be omitted.
C.6 Axial pile resistance based on CPT profiles
The representative value of unit shaft resistance, qs,rep may be derived from:
𝑞𝑞s,rep = 𝑐𝑐s 𝑞𝑞c (C.7)
where
qc is the measured cone resistance; and
cs is an empirical cone factor for shaft resistance.
NOTE 1 If qc ≥ 15 MPa over a continuous depth interval ≥ 1m, then qc is limited to 15 MPa over this interval. If qc
≥ 12 MPa over an interval < 1 m, then qc is limited to 12 MPa.
NOTE 2 The empirical factor cs depends on ground and pile types (see Tables C.2 and C.3).
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Unit shaft resistance qs,rep may be limited to soil layers between the pile base level and the bottom of
the overlying soil layer that has qc < 2 MPa.
The representative value of unit base resistance qb,rep in coarse soils and fills may be derived from:
𝑞𝑞c,I,mean +𝑞𝑞c,II,mean
𝑞𝑞b,rep = 0,5𝑐𝑐b 𝑘𝑘shape � + 𝑞𝑞c,III,mean � < 15 MPa (C.8)
2
where
qc,X,mean is the mean measured cone resistance in zone X (= I, II, or III), as defined in Figure C.1;
cb is an empirical cone factor for base resistance; and
kshape is a factor (see Figure C.2) that accounts for the relative size of the pile base Bb,eq and
shaft Bs,eq and the thickness h of any base plate (see Figure C.3)
NOTE 1 The empirical factor cb depends on ground and pile types (see Table C.2).
NOTE 2 Figure C.1 gives the definition for zones I, II, and III and Figure C.2 a chart to determine kshape.
NOTE 3 A chart to determine h is given in Figure C.3.
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Table C.2 — Typical values of cs and cb for coarse soils and fills
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Pile type cb cs
Driven precast concrete pile or closed ended steel pipe pile 0,70 0,010a
Cast-in-place piles made by driving a steel tube with a closed end, 0,70 0,014a
with the steel tube being extracted during concreting
Driven open ended steel tube or H-pile 0,70 0,006a
Cast-in-place with temporary casing on top of a screw pile-tip, with 0,63 0,009a
the casing being removed and the screw tip remaining in the
ground
Continuous flight auger pile 0,56 0,006a
Bored pile 0,35 0,006a
a Values given for fine to coarse sands. In case of driven or vibrated piles, for very coarse sands, reduce the
values by 25 % and for gravels by 50 %.
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Table C.3 — Typical values of cs for piles in clays, silts, and peats
Soil type Cone resistance qc (MPa) cs
Clay ≥ 2,5 0,03
2,0-2,5 0,02 (qc – 1,0)a
< 2,0 0,02
Silt --- max{fr, 0,025}b
Peat --- 0
a qc entered in MPa.
b fr is the measured (uncorrected) friction ratio.
NOTE In this calculation method, it is assumed that piles are installed with pile tip into coarse soils to avoid settlements.
Therefore no values for cb are provided for clays, silts or peats.
265
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
3
2
1
Y
X
Key
266
z (m)
Zone I
Zone II
Zone III
qc (MPa)
EN 1997-3:2025 (E)
6
5
4
Bb,eq
8 Bb,eq
0,7 to 4 Bb,eq
pile base level
NBN EN 1997-3:2025
equivalent pile diameter
Figure C.1 — Definition of zones I, II, and III
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
2
1
Y
X
Key
h/Bb,eq
kshape = 0,9
kshape = 1,0
Bb,eq2/Bs,eq2
5
4
3
kshape = 0,6
kshape = 0,7
kshape = 0,8
NBN EN 1997-3:2025
Figure C.2 — Chart to determine kshape
EN 1997-3:2025 (E)
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 pile base level
Figure C.3 — Chart to determine h
For piles installed by driving or vibration into over-consolidated soils, the value of qc in Formulae
(C.7) and (C.8) should be multiplied by √(1/OCR), where OCR is the overconsolidation ratio of the
soil.
For piles installed from an excavated depth that is deeper than that from which the cone penetration
tests were executed, the value of qc in in Formulae (C.7) and (C.8) should be reduced accordingly.
C.7 Axial pile resistance from Ménard pressuremeter profiles
The representative value of unit shaft resistance qs,rep may be derived from:
∗ ∗
𝑞𝑞s,rep = 𝑚𝑚𝑚𝑚𝑚𝑚 �𝑘𝑘s,PMT (𝑎𝑎PMT 𝑝𝑝LM + 𝑏𝑏PMT )�1 − 𝑒𝑒 −𝑐𝑐PMT 𝑝𝑝LM �; 𝑞𝑞s,max � (C.9)
where
ks,PMT is a dimensionless parameter that depends on pile type and ground type;
p*LM is the MPM net limit pressure (in MPa) at a depth z;
aPMT, bPMT, are parameters that depend on ground type; and
cPMT
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qs,max is the maximum unit shaft resistance.
NOTE 1 Values of ks,PMT are given in Table C.4 for selected pile types.
NOTE 2 Values of aPMT, bPMT, and cPMT are given in Table C.5 for selected pile types.
NOTE 3 Values of qs,max are given in Table C.4 for selected pile types.
Table C.4 — Values of ks,PMT for selected pile types
Class Installation technique Ground type
Fine soil Coarse Chalk Marl/marly Weathered
soil limestone rock
masses
1 Slurry bored 1,25 1,4 1,8 1,5 1,6
piles/barrettes
Bored (temporary 1,25 1,4 1,7 1,4 ___
casing)
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2 Continuous flight auger 1,5 1,8 2,1 1,6 1,6
bored
3 Cast-in-place screwed 1,9 2,1 1,7 1,7 ___
4 Driven precast or 1,1 1,4 1,0 0,9 ___
prestressed concrete
Closed-ended driven 0,8 1,2 0,4 0,9 ___
steel
5 Open-ended driven 1,2 0,7 0,5 1,0 1,0
steel
6 Driven H-shaped 1,1 1,0 0,4 1,0 0,9
7 Driven sheet piles 0,9 0,8 0,4 1,2 1,2
8 Injected pile/micro-pile 2,7 2,9 2,4 2,4 2,4
Table C.5 — Values of aPMT, bPMT, and cPMT for selected pile types
Parameter Ground type
Fine soil Coarse soil Chalk Marl/marly Weathered
limestone rock masses
aPMT 0,003 0,010 0,007 0,008 0,010
bPMT (MPa) 0,04 0,06 0,07 0,08 0,08
cPMT (1/MPa) 3,5 1,2 1,3 3,0 3,0
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Table C.6 — Values of qs,max (in kPa) for selected pile types
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Class Installation Ground type
technique/
parameter
Fine soil Coarse Chalk Marl/marly Weathered
soil limestone rock
masses
1 Mud bored 90 90 200 170 200
piles/barrettes
Bored (temporary 90 90 170 170 -
casing)
2 Continuous flight auger 90 170 200 200 200
bored
3 Cast-in-place screwed 130 200 170 170 -
4 Driven precast or 130 130 90 90 -
prestressed concrete
Closed-ended driven 90 90 50 90 -
steel
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5 Open-ended driven 90 50 50 90 90
steel
6 Driven H-shaped 90 130 50 90 90
7 Driven sheet piles 90 50 50 90 90
8 Injected pile/micro-pile 200 380 320 320 320
The representative value of unit base resistance qb,rep may be derived from:
1 3𝑧𝑧
𝑞𝑞b,rep = 𝑘𝑘b,PMT ∫ 2 𝑝𝑝∗ (𝑧𝑧)𝑑𝑑𝑑𝑑
𝑧𝑧1 +3𝑧𝑧2 −𝑧𝑧1 LM
(C.10)
where
kb,PMT is a dimensionless parameter that depends on pile type and ground type;
p*LM(z) is the net MPM limit pressure at a depth z;
z1 is a depth equal to min{z2, h};
z2 is a depth equal to min{Db/2, 0,5 m};
Db is the base diameter of the pile; and
h is the embedment depth of the pile in the bearing geotechnical unit.
NOTE Values of kb,PMT are given in Table C.7 for selected pile types.
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Table C.7 — Values of kb,PMT for selected pile types
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Class Installation technique Ground type
Fine soil Coarse Chalk Marl/marly Weathered
soil limestone rock
masses
1 Bored 1,15 1,1 1,45 1,45 1,45
2 Continuous flight auger 1,3 1,65 1,6 1,6 2,0
3 Cast-in-place screwed 1,55 3,2 2,35 2,10 2,10
4 Closed-ended driven 1,35 3,1 2,30 2,30 2,30
5 Open-ended driven 1,0 1,9 1,4 1,4 1,2
6 Driven (H-shaped) 1,20 3,10 1,7 2,2 1,5
7 Driven (sheet) 1,0 1,0 1,0 1,0 1,2
8 Micropilea 1,15 1,1 1,45 1,45 1,45
a For micropiles, base resistance is usually not taken into account.
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C.8 Axial pile resistance based on empirical tables
The representative value of unit shaft resistance qs,rep for bored piles in soils may be determined from
Table C.8.
NOTE The values of qs,rep and qb,rep given in this sub-clause are based on an empirical database of results from
predominantly static pile load tests. The lower bound of the ranges specified is a 10 % quantile whereas the upper
bound is a 50 % quantile.
The 10 % quantile values given in Table C.8 should be used, unless site-specific pile load testing
confirms the use of the 50 % quantile values.
Table C.8 — Representative values of unit shaft resistance qs,rep for bored piles in soils
Fine soils Coarse soils
Undrained shear qs,rep (kPa)a, b Mean cone qs,rep (kPa)a,b
strength cu (kPa) resistance qc (MPa)
60 30-40 7,5 55-80
150 50-65 15 105-140
≥ 250 65-85 ≥ 25 130-170
a The lower value represents the 10 % quantile and the upper value the 50 % quantile.
b Intermediate values can be obtained by linear interpolation.
The values given in Table C.9 should be reduced by 25 % for bored piles with enlarged bases.
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Table C.9 — Representative values of unit base resistance qb,rep for bored piles in soils
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Fine soils Coarse soils
cu (kPa) qb,rep (kPa)a,b for s/D equal to…c qc qb,rep (kPa)a,b for s/D equal to …c
(MPa)
2% 3% 10 % 2% 3% 10 %
100 350-450 450-550 800-1000 7.5 550-800 700-1050 1600-2300
150 600-750 700-900 1200-1500 15 1050-1400 1350-1800 3000-4000
≥ 250 950-1200 1200-1450 1600-2000 ≥ 25 1750-2300 2250-2950 4000-5300
a The lower value represents the 10 % quantile and the upper value the 50 % quantile.
b Intermediate values can be obtained by linear interpolation.
c s = pile head settlement; D = pile diameter.
The load-settlement curve for bored piles in soils may be determined from Figure C.4, with the
settlement ssg given by:
𝑠𝑠sg = min�𝑘𝑘sg 𝑅𝑅sk + 5 mm; 30 mm� ⬚ (C.11)
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where
Rsk is the shaft resistance calculated from Table C.8; and
ksg is a factor equal to 5 mm/MN.
NOTE Figure C.4 gives load-displacement curves for bored piles.
Key
X pile capacity
Y pile head settlement s
Figure C.4 — Load-displacement curves for bored piles
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C.9 Downdrag due to vertical ground movements
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C.9.1 General
The drag force caused by downdrag should be classified as a permanent action.
NOTE 1 ‘Downdrag’ is the term used to describe relative movement between settling ground and the pile shaft.
A drag force occurs where the ground settlement exceeds the pile settlement.
NOTE 2 Pile settlement due to downdrag continues until the combination of imposed actions from the structure
and the drag force come into equilibrium with the mobilised pile resistance.
Potential downdrag should be included in the verification of serviceability limit states.
Potential downdrag should be included in the verification of ultimate limit states when the drag force
exceeds any variable compressive actions applied to the pile.
C.9.2 Rigorous interaction model for downdrag
The calculation model shown in Figure C.5 may be used to calculate the drag force owing to potential
downdrag.
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NOTE 1 In this model, the neutral point marks the boundary between forces that act downwards and upwards
acting along the pile shaft. The neutral point differs between ULS and SLS conditions.
NOTE 2 Figure C.5 illustrated the force distribution for assessment of drag force on a pile subjected to downdrag.
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Key
Xa spile Fa action at the pile head (SLS)
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Xb sground Fb action at the pile head (ULS)
Y depth
𝑠𝑠pile,ULS = 𝑓𝑓 �� 𝛾𝛾G,i 𝐺𝐺k,i + � 𝛾𝛾Q,j 𝜓𝜓0,j 𝑄𝑄k,j �
1 2 𝑠𝑠pile,SLS = 𝑓𝑓 �� 𝐺𝐺k,i + � 𝜓𝜓2,j 𝑄𝑄k,j �
i≥1 j≥1
i≥1 j≥1
3 neutral point (ULS) 4 neutral point (SLS)
Figure C.5 — Force distribution for assessment of drag force on a pile subject to downdrag
NOTE 3 The neutral point will be at a different level for SLS or ULS conditions, but in both cases, corresponds to
the level at which the settlement of the pile spile and the surrounding ground sground are equal. For the ULS case, the
neutral point will be at a higher level compared to that for the SLS case.
The settlement of the ground at any particular time sground should be estimated from anticipated
changes in effective stress, ground stiffness, and depth of compressible ground.
The ground settlement should include immediate deformation and consolidation, together with
potential creep.
The settlement of the pile spile may be estimated using analytical models, empirical relationships,
numerical analysis, or other suitable method that take account of the stress distribution.
As an alternative to (2) and (4), the values of sground and spile may be determined by an interaction
analysis to find the depth of the neutral point Ldd where spile = sground.
In addition to EN 1990:2023, 8.4.3.4, the design value of the compressive action applied to the pile
at the serviceability limit state should be determined from:
∑i≥1 𝐺𝐺k,i + 𝑄𝑄k,1 + ∑j>1 𝜓𝜓2,j 𝑄𝑄k,j
𝐹𝐹cd,SLS = max � (C.12)
∑i≥1 𝐺𝐺k,i + 𝐷𝐷rep,SLS + ∑j≥1 𝜓𝜓2,j 𝑄𝑄k,j
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where
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Gk,i is the i-th characteristic permanent action;
Qk,1 is the leading characteristic variable action;
Qk,j is the j-th accompanying characteristic variable action;
Drep,SLS is the representative drag force at the serviceability limit state; and
ψ2,j is a combination value for accompanying variable actions.
NOTE Formula (C.12) is a modification of the quasi-permanent combination of actions given in EN 1990.
In addition to EN 1990:2023, 8.4.3.2, the design value of the compressive action applied to the pile
at the ultimate limit state should be determined from:
∑i≥1 𝛾𝛾G,i 𝐺𝐺k,i + 𝛾𝛾Q 𝑄𝑄k,1 + ∑j>1 𝛾𝛾Q,j 𝜓𝜓0,j 𝑄𝑄k,j
𝐹𝐹cd,ULS = max � (C.13)
∑i≥1 𝛾𝛾G,i 𝐺𝐺k,i + 𝛾𝛾F,drag 𝐷𝐷rep,ULS + ∑j≥1 𝛾𝛾Q,j 𝜓𝜓0,j 𝑄𝑄k,j
Drep,ULS is the representative drag force over the depth of ground above the neutral plane
under ultimate conditions;
γG,i, γQ,j
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are partial factors applied to permanent and variable actions, respectively;
ψo,j is a combination factor for accompanying variable actions; and
γF,drag is a partial factor dependent on the assumptions regarding ground parameters and
the particular method of analysis used to determine Drep,ULS.
C.9.3 Simplified approach for calculating downdrag
For simple cases, approximate approaches may be used.
If the pile settlement spile at the ultimate limit state is greater than the settlement of the surrounding
soil or fill sground, the neutral point may be assumed to be located at the ground surface.
If (2) is fulfilled the drag force may be disregarded in the verification of the ultimate limit state.
If the pile settlement spile at the ultimate limit state is much smaller than the settlement of the
surrounding soil or fill sground, the neutral point may be assumed to be located at the base of the settling
soil or fill layer.
If (4) is fulfilled the representative value of the drag force Drep may be taken as an upper (superior)
value determined for the full thickness of the settling soil or fill.
At the serviceability limit state, the neutral plane may be assumed to be located at the base of the
settling fill or soil layer.
Representative values for the drag force Drep should be determined for the full thickness of the settling
soil or fill.
C.9.4 Representative downdrag
The representative value of downdrag within the settling ground may be determined from C.4, C.6,
C.7 and C.8 using upper (superior) values of ground strength properties.
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C.10 Pile groups subject to axial tension
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NOTE Possible mechanisms for groups of tension piles in layered ground are illustrated in Figure C.6.
Key
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A pull-out from ground 1 sand
B lift-off a block of ground 2 clay
C combined pull-out and lift-off
Figure C.6 — Possible mechanisms for groups of tension piles in layered soils
For the evaluation of the block failure, the representative weight of the ground block surrounding an
single pile Wblock,rep (see Figure C.7) may be determined from:
1 2
𝑊𝑊block,rep = 𝑛𝑛z �𝑠𝑠x 𝑠𝑠y �𝐿𝐿 − ��𝑠𝑠x 2 + 𝑠𝑠y � cot 𝜑𝜑rep �� 𝜂𝜂𝑧𝑧 𝛾𝛾 (C.14)
3
where
L is the embedded depth of the pile;
sx, sy are the grid spacings of the piles in the group;
nz is the number of piles in the group;
φ is the representative value of the internal friction angle of the ground block;
ηz is a coefficient commonly taken as 0,8; and
γ is the weight density of the ground block.
NOTE Figure C.7 illustrates block failure of single pile.
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Key
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
sx, sy are the grid spacings of the piles in the group
φ is the representative value of the internal friction angle of the soil block
Figure C.7 — Block failure of a single pile under tension as part of a pile group
C.11 Calculation model for single pile settlement using load transfer functions
Settlement of single piles may be determined using load transfer functions.
NOTE Examples of load transfer functions are given in Table C.10.
Load transfer functions used for the assessment of pile settlement should be calibrated with
comparable experience.
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Table C.10 — Example load transfer functions
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Curve Cubic root Hyperbolic
Shaft Base Shaft Base
Shape
Ya = qs Yb = qb Yc = qs Yd = qb
Xa = Ss Xb = Sb Xc = Ss Xd = Sb
1= Ss,max 2 = Sb,lim
3 𝑠𝑠s 3 𝑠𝑠b 𝑠𝑠s 𝑠𝑠b
q/qult � �
𝑠𝑠s,max 𝑠𝑠b,max 𝑀𝑀s 𝐵𝐵 + 𝑠𝑠s 𝑀𝑀b 𝐵𝐵 + 𝑠𝑠b
Deformation sb,max, depending Ms Mb
ss,max
parameter on diameter
qs,ult/MsB qb,ult/MbB
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Initial slope ∞ ∞
C.12 Calculation model for single pile lateral displacement using load transfer
functions
C.12.1 General
The behaviour of transversely loaded piles may be considered by a bilinear model, representing the
non-linear soil resistance as shown in Figure C.8.
NOTE Figure C.8 illustration of the bilinear model for transversely loaded piles.
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
y transverse deflection of the pile
p lateral pressure
pf lateral pressure of the ground at failure
pfd design value of the ultimate transverse ground resistance
yf, transverse deflection of the pile at failure
k subgrade reaction modulus of the soil (= pf/yf);
kd design value of k (= pfd/yf)
--- dashed curve line is actual soil resistance
−− solid straight line is representative soil resistance defined by Formula (C.15)
--- dashed straight line is design soil resistance
Figure C.8 — Model of soil resistance as a function of the transverse deflection of a pile
The lateral pressure may be determined by:
𝑦𝑦
𝑝𝑝 = min �𝑝𝑝f ; 𝑝𝑝f � (C.15)
𝑦𝑦f
where the symbols are defined in Figure C.8.
Specific non-linear soil models may be used for buckling.
NOTE A non-linear soil model is given in EN ISO 19901-4 and provides information about the soil resistance p
at small transverse deflections y.
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For design situations where seismic loading potentially results in loss of shear strength in soils
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susceptible to liquefaction, pf should be assumed to be equal to zero.
NOTE Examples of soils susceptible to liquefaction include loose saturated sands and collapsible fine soils.
C.12.2 P-y curves from undrained soil properties
The design value of the ultimate transverse ground resistance during short-term loading in
undrained situations, pfd may be determined from:
𝑝𝑝fd = 9 ∙ 𝑐𝑐ud (C.16)
where
cud is the design undrained shear strength of the ground.
To account for long-term deformations resulting from creep of a highly viscous soil, pfd may be taken
as:
𝑝𝑝fd = 6 ∙ 𝑐𝑐ud (C.17)
NOTE Examples of highly viscous soils is low strength clay or organic clay.
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A weighted average of the undrained soil response may be applied in the case of combined long-term
and short-term loads.
To account for limited ground resistance close to the ground surface, pfd may be determined from:
2 𝑧𝑧
𝑝𝑝fd = 𝑐𝑐ud ∙ �2 + ∙ � + 𝜎𝜎′z (C.18)
3 𝐵𝐵
where, in addition to the symbols defined in Figure C.8:
cud is the design undrained shear strength of the ground;
σ'z is the effective vertical stress of the soil at the depth z;
B is the pile diameter; and
z is the depth below the ground surface.
C.12.3 P-y curves from drained soil properties
For drained soil conditions the ultimate transverse ground resistance may be determined from:
𝑝𝑝fd = 𝐾𝐾qd ∙ 𝜎𝜎′z + 𝐾𝐾cd ∙ 𝑐𝑐′d (C.19)
where, in addition to the symbols defined in Figure C.8 and for Formula C.16:
c’d is the design effective cohesion of the ground; and
Kqd, Kcd are coefficients for calculation of the ultimate transvers ground resistance.
Figure C.9 may be used for calculating the ultimate drained ground resistance.
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NOTE 1 These graphs, according to Brinch Hansen (1961), are applicable primarily for shallow depths,
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specifically those less than 20 times the pile width (B or D), measured from the ground level. Below z = 20 D, pfd can
be considered constant and equal to pfd at z = 20 D.
NOTE 2 When assessing pile buckling according to Annex C.13, the depth is measured to the middle of the
buckling length.
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A B
Key
Y is in Figure A Kqd and in Figure B Kcd
X is z/D in both Figures
ϕd is the design angle of friction
z is the depth below ground level
D=B is the shaft diameter or width of the pile in contact with the ground
Figure C.9 — Coefficients Kqd and Kcd for calculating the ultimate drained soil resistance
C.12.4 Deflection yf at ultimate ground resistance
If a bilinear ground model according to Formula (C.15) is used for the soil resistance, the necessary
transverse deflection y resulting from the flexural buckling of the pile to mobilize p , may be assumed
according to Table C.11.
Table C.11 — Values of transverse deflection yf
Soil conditions yf
Coarse soils 0,1 B
Fine soils, long-term loading 0,12 B
Fine soils, short-term loading 0,05 B
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C.12.5 P-y curves from other field tests
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A bilinear ground model as shown in Figure C.8 derived from cone penetration test or pressuremeter
test measurements may be used.
C.13 Buckling and second order effects
C.13.1 General
The axial compression design load NEd on a pile shall satisfy:
𝑁𝑁Ed ≤ 𝑁𝑁Rd = min�𝑁𝑁b,Rd ; 𝑁𝑁M,Rd � (C.20)
where
NRd is the pile's structural design resistance;
Nb,Rd is the pile's design buckling resistance, see 13.3.2; and
NM,Rd is the pile's axial resistance corresponding to a particular bending moment
according to the N-M diagram.
The N-M-diagram for the cross section of the pile is determined according to the relevant structural
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE 1
Eurocode.
NOTE 2 Both Nb,Rd and NM,Rd can be influenced by second order effects.
The buckling resistance of a slender pile under compression and embedded in soil should be
determined by a validated model, either analytic or numerical, according to second order theory
considering the support of the soil.
NOTE 1 The mobilization of the ground resistance is dependent on the transverse deflection of the pile (see
Figure C.11). The ground resistance is limited by different failure mechanisms which are dependent on the subsoil
conditions as well as on the foundation geometry.
NOTE 2 The differential equation in Formula (C.21) is a validated calculation model for buckling of a uniform
axially loaded pile in homogeneous soil:
d4 𝑦𝑦 d2 𝑦𝑦
𝐸𝐸𝐸𝐸 ∙ + 𝑁𝑁 ∙ + 𝑘𝑘 ∙ 𝐵𝐵 ∙ 𝑦𝑦 = 0 (C.21)
d𝑥𝑥 4 d𝑥𝑥 2
where
x is the distance along the pile axis;
y is the transverse deflection of the pile;
EI is the bending (flexural) stiffness of the pile;
k is the subgrade reaction modulus;
B is the shaft diameter or width of the pile in contact with the ground; and
N is the axial load applied to the pile.
The ultimate structural resistance and the deformation of piles shall be verified in accordance with
EN 1992-1-1 for concrete piles, EN 1993-1-1 and EN 1993-5 for steel piles, EN 1994-1-1 for
composite steel and concrete piles and EN 1995-1 for timber piles.
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For closely spaced piles, where the centre-to-centre distance is less than 3B, a reduction in the
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transverse resistance shall be considered.
C.13.2 Verification of the buckling resistance by numerical methods
The numerical method shall consider the second order moment caused by the transverse deflection
during the axial loading of the pile.
NOTE 1 Numerical methods can be used for heterogeneous ground conditions and for piles with non-uniform
cross section along the pile length.
NOTE 2 Numerical methods are usually based on Formula (C.21) for which the eigenvalues correspond to the
buckling forces.
An initial deformation of the pile according to C.13.3.3 should be applied, using values that are
proportional to the buckling eigenmodes.
C.13.3 Buckling resistance by analytical methods
C.13.3.1 Buckling length
The design value of the buckling length 𝐿𝐿bd of a fully embedded pile should be determined from:
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4 (𝐸𝐸𝐸𝐸)𝑑𝑑
𝐿𝐿bd = 𝜋𝜋 · � (C.22)
𝑘𝑘 d ∙𝐵𝐵
where
(EI)d is the design value of the bending (flexural) stiffness of the pile, according to the
structural Eurocodes;
kd is the design value of the subgrade reaction modulus (pfd/yf), see C.12.1; and
𝐵𝐵 is the shaft diameter or width of the pile in contact with the ground.
NOTE 1 For layered soils and soils with variable undrained strength over the buckling length 𝐿𝐿bd , a weighted
average value of 𝑝𝑝f and 𝑦𝑦f can be used.
NOTE 2 For a pile with a length 𝐿𝐿 < 𝐿𝐿bd and where the pile top and base are pinned but free to rotate, 𝐿𝐿bd = 𝐿𝐿
can be assumed.
C.13.3.2 Buckling resistance
The design value of buckling resistance 𝑁𝑁b,Rd of a fully embedded pile may be determined from:
𝑦𝑦 𝜋𝜋2 𝑦𝑦f
𝑁𝑁b,Rd = 𝑁𝑁cr,d �𝑦𝑦 +𝑒𝑒f � = 2 (𝐸𝐸𝐸𝐸)d 𝐿𝐿bd 2 𝑦𝑦f +𝑒𝑒0d
(C.23)
f 0d
where in addition to Formula (C.22)
𝑒𝑒0d is the maximum transverse deflection of the initial curvature over the buckling length,
design value, see C.13.3.3 and C.13.4, Figure C.10;
yf is the transverse deflection of the pile at ground failure; see C.12.1, Figure C.1;
Ncr,d is the critical buckling load for a fully embedded straight pile;
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(𝐸𝐸𝐸𝐸)d is the design value of the bending (flexural) stiffness of the pile, according to the
structural Eurocodes; and
Lbd is the design value of the buckling length.
The buckling resistance may also be determined for y > yf provided it can be verified that the soil
does not undergo strain softening.
NOTE Determination of the buckling resistance when part of the soil along the buckling length reaches plastic
state, i.e. y > yf, can be solved by an elastoplastic finite element calculation or alternatively, by an analytical linear
calculation model with a reduced equivalent subgrade reaction modulus giving the same overall transverse ground
resistance as the bilinear model. See C.12.1, Figure C.8.
C.13.3.3 Initial transverse deflection
An initial deflection of the pile shall be applied, considering production imperfections, installation
method and effects, bending stiffness of pile, ground conditions and angular distortion of joints.
If no information about geometrical imperfections for a pile embedded in soil is known, the design
initial deflection e0d within the buckling length may be assumed according to Table C.13.1.
NOTE e0d given in Table C.13.1 unless the National Annex gives different values.
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— 𝒆𝒆𝟎𝟎𝟎𝟎
Pile type no joints one jointa
bored (drilled) steel and composite steel-concrete Lbd/400 Lbd /200
piles
driven steel and composite steel-concrete piles Lbd/300 Lbd /150
precast concrete piles Lbd/300 Lbd /150
cast-in-place concrete piles Lbd/150 n.a.
timber piles Lbd/100 Lbd /50
a within the buckling length
In case of piles with B < 150 mm and for driven piles encountering boulders or heavily inclined
bedrock, measurements of initial deflection should be made.
If measurements are not possible, the values in Table C.13.1 should be multiplied by a factor fe0d.
NOTE The value of fe0d is 2, unless the National Annex gives a different value.
If the curvature of a pile is measured, the parameter 𝑒𝑒0d may be determined using:
(𝐿𝐿bd )2
𝑒𝑒0d = 8∙𝑅𝑅0m
(C.24)
where
Rom is the measured radius curvature; and
Lbd is the design value of the buckling length, see (C.3).
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C.13.4 Corresponding bending moment
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Cross-sectional checks shall be performed according to the appropriate Eurocode taking into to
account the corresponding second order moment during axial loading.
For a pile of length equal to or greater than Lbd according to Formula (C.22), the corresponding
moment during axial loading MN,Ed may be accounted for by using:
𝑁𝑁Ed
𝑦𝑦 = 𝑁𝑁 𝑒𝑒0d (C.25)
cr,d −𝑁𝑁Ed
𝑒𝑒0d +𝑦𝑦 𝑁𝑁Ed 𝑒𝑒0d
𝑀𝑀N,Ed = 𝑁𝑁Ed · = 𝑁𝑁 (C.26)
2 2�1− Ed �
𝑁𝑁cr,d
where
NEd is the applied axial load, NEd ≤ Nb,Rd;
Ncr,d is the critical buckling load for a fully embedded straight pile, see C.13.3.2;
y is the transverse deflection caused by the axial force (y ≤ yf), see Figure C.10; and
e0d is the maximum transverse deformation of the initial curvature over the buckling length,
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design value, see C.13.3.3 and C.13.4, Figure C.10.
NOTE Figure C.10 illustrates the transverse deflection of a pile caused by a compressive axial load.
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Key
y transverse displacement beyond the initial deformation
z depth
1 surface
2 buckling mode NEd ≤ Nbd
3 axis of imperfect pile for NEd the initial deformation with a maximum of e0 at z* = Lbd/2
4 straight axis
5 ground resistance p
Figure C.10 — Transverse deflection of a pile caused by an axial load.
The intersection point between the buckling curve and the N-M curve of the cross section may be
determined from:
𝑁𝑁cr,d
𝑁𝑁Ed,lim = 𝑁𝑁cr,d ∙𝑒𝑒0d (C.27)
1+
2𝑀𝑀N,Rd
where
MN,Rd is the bending resistance corresponding to a particular axial load NM,Rd according to the
N-M diagram;
NEd,lim is the limited value of NEd for which MN,Rd = MN,Ed; both NM,Rd and the corresponding value
of MN,Rd can be found by iteration until NEd,lim equals NM,Rd;
Ncr,d is the critical buckling load for a fully embedded straight pile, see C.13.3.2; and
NOTE If NEd,lim (= NM,Rd) < Nb,Rd, the pile cross section will yield before buckling.
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C.13.5 Material specific criteria
C.13.5.1 Slenderness
The slenderness ratio λ of a fully embedded pile should be determined from:
𝐿𝐿0 𝐿𝐿bd
𝜆𝜆 = 𝑖𝑖
= (C.28)
�2∙𝐼𝐼⁄𝐴𝐴
where
L0 is the effective length for a fully embedded pile;
𝑖𝑖 is the radius of gyration = �𝐼𝐼/𝐴𝐴;
𝐿𝐿bd is the buckling length calculated according to Formula (C.22);
𝐴𝐴 is the cross-sectional area of the pile; and
I is the moment of inertia of the cross section of the pile.
C.13.5.2 Concrete piles
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Second order effects may be neglected for precast or cast-in-place concrete piles if the slenderness
ratio λ of the pile is smaller than a limiting value λlim.
NOTE The value of λlim is given in EN 1992-1-1:2023 as O,6.
At least half of the cross-sectional area of an unreinforced pile should be subjected to compression.
C.13.5.3 Steel piles
Second order effects may be neglected for non-sway buckling mode of steel piles if NEd/Ncr ≤ 0,1 see
7.2(5).
The manufacturing residual stresses shall be considered in the verification of the structural
resistance.
Manufacturing residual stresses may be considered by adding a fictional deflection e0f to the initial
deflection e0d and reducing the modulus of elasticity E.
NOTE 1 The fictional deflection e0f and reduction of E depends on the type of profile, material thickness and
method of manufacturing.
NOTE 2 Other cross-section types used for piling can be given in National Annex.
NOTE 3 The modulus of elasticity E is reduced by 10 % unless otherwise stated in the National Annex.
NOTE 4 The value of e0f is given in Table C.13.2 unless the National Annex gives a different value.
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— e0f
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Type of cross-section used for piles e0f /Lbd
Hot rolled, non-stress relief annealed hollow sections, t ≤ 40 mm 0,0003
Cold formed, longitudinally or spirally welded hollow sections, t ≤ 40 mm 0,0013
Rolled I- or H-sections, h/b > 1,2 and tf < 40 mm 0,0003
Rolled I- or H-sections, h/b < 1,2 and tf < 40 mm 0,0013
Rolled I- or H-sections, tf ≥ 40 mm 0,0025
Rolled solid sections 0,0013
t is the wall thickness of the cross-section
tf is the thickness of the flange
h is the height of the cross-section
b is the width of the cross-section
As an alternative to application of a fictional deflection e0f to e0d, the manufacturing residual stresses
may be accounted for by applying a reduction factor kred to the structural resistance.
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NOTE The reduction factor kred is 0,9 unless otherwise stated in the National Annex.
C.13.5.4 Composite steel-concrete piles
Second order effects may be neglected for composite steel-concrete piles if NEd/Ncr ≤ 0,10 according
to EN 1994-1-1:2024, 7.2.1(3) referring to EN 1993-1-1:2022, 7.2.1(5).
NOTE Ncr is calculated according to C.13.3.2 with the effective flexural stiffness (EI)eff according to
prEN 1994-1-1:2024, 8.8.3.4(2).
C.13.5.5 Timber piles
Second order effects for timber piles may be neglected in the design if the relative slenderness ratio
λrel of the pile is smaller than 0,3 as specified in prEN 1995-1-1:2023, 8.2.2.2(1).
The relative slenderness may be determined from:
𝜆𝜆 𝑓𝑓
𝜆𝜆rel = · � 𝐸𝐸c,0,k,sat (C.29)
𝜋𝜋 c,0,sat
where
λ is the slenderness ratio of a fully embedded pile, see C.13.5.1;
fc,0,k,sat is the characteristic compressive strength parallel to the grain of the timber pile in
fully saturated condition according to prEN 1995-1-1:2023, 4.2; and
Ec,0,k,sat is the characteristic compressive modulus of elasticity parallel to the grain of the
timber pile in fully saturated condition according to prEN 1995-1-1:2023, 4.3.
The tapering of the pile shall be considered according to prEN 1995-1-1:2023, 7.3(3).
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C.13.6 Partial factors
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Superior or inferior representative values should be adopted for the ground stiffness and ground
strength depending on which is critical.
NOTE High values are sometimes critical when transverse loads, e.g. from settling soil, are present.
Partial factors on the ultimate transverse ground resistance pf,rep derived from ground strength
parameters shall be in accordance with EN 1997-1.
NOTE The values of the partial factors are given in EN 1997-1:2024, Table 4.8 (NDP) for Set M2.
When the ultimate transverse resistance pf is measured a partial factor γpf equal to γcu should be
applied.
𝑝𝑝f,rep
𝑝𝑝fd = 𝛾𝛾pf
(C.30)
where
pf,rep is the (measured) representative transverse resistance; and
γpf is a partial factor.
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NOTE The values of γpf is equal to γcu as given in EN 1997-1:2024, Table 4.8 (NDP) for Set M2.
C.14 Determination of axial pile resistance under cyclic loading
The concept of stability diagram may be used to determine whether the axial cyclic loads applied at
the pile head can induce any degradation effects to reduce the axial pile resistance.
NOTE Figure C.11 gives an example of a stability diagram.
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Key
X Gave,rep/Rc
Y ∆Qrep/Rc
Rc axial compressive resistance
Gave,rep representative value of the average load applied on the pile
∆Qrep representative value of the half amplitude variable load
1 unstable domain: significant cyclic effects inducing strong reduction of the pile
resistance
2 metastable domain: Limited cyclic effects inducing low reduction of the pile bearing
resistance with limited displacements
3 stable domain: no cyclic effects. No reduction of pile resistance
Figure C.11 — Principle of cyclic stability diagram for axially loaded piles.
Stability diagram should be developed considering specific ground conditions, nature of loading
(frequency, duration, number of cycles) and pile types.
NOTE Examples of stability diagrams can be found in the literature.
When a representative cyclic stability diagram leads to identify a metastable domain or an unstable
domain for specific ground conditions and pile types, more detailed verifications should be
conducted to assess the impact of the cyclic loads for both the SLS (cumulative pile head
displacements) and ULS (degradation of ultimate resistance).
NOTE Detailed cyclic pile design procedures have been developed by the offshore industry (EN ISO 19901-4).
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Annex D
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(informative)
Retaining structures
D.1 Use of this Annex
This informative annex provides complementary guidance to that given in Clause 7, retaining
structures.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
D.2 Scope and field of application
This informative annex covers:
— limit values of earth pressures;
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— at rest values of earth pressures;
— compaction effects;
— additional earth pressures induced by thermal effects for integral bridges;
— general principles and application of calculation models: limit equilibrium, beam on springs,
numerical models;
— vertical equilibrium of embedded walls;
— basal heave; and
— interaction between anchors and retaining structures.
D.3 Calculation model to determine limit values of earth pressures on vertical
walls
D.3.1 Introduction
The active and passive earth pressures σ′a and σ′p at point X in Figure D.1 in may be calculated, for
static conditions, from:
𝜎𝜎′a = 𝐾𝐾aγ (𝜎𝜎va − 𝑢𝑢a ) + 𝐾𝐾aq 𝑞𝑞 − 𝐾𝐾ac 𝑐𝑐´a (D.1)
𝜎𝜎′𝑝𝑝 = 𝐾𝐾pγ �𝜎𝜎vp − 𝑢𝑢p � + 𝐾𝐾pq 𝑞𝑞 + 𝐾𝐾pc 𝑐𝑐´𝑝𝑝 (D.2)
where
a and p are subscripts denoting the active and passive sides of the wall, respectively;
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Kaγ and Kpγ are active and passive earth pressure coefficients for weighted ground conditions;
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Kaq and Kpq are active and passive earth pressure coefficients for weightless ground conditions;
Kac and Kpc are active and passive earth pressure coefficients for cohesive ground;
σva and σvp are the total vertical stresses at point X on the active and passive sides, given by γaza and γpzp,
respectively;
γa and γp are the average weight densities of the ground above point X on the active and passive sides;
za and zp are the depths of point X from the point where the ground surface contacts the wall on the
active and passive sides;
ua and up are the groundwater pressures at point X on the active and passive sides;
qa and qp are surcharge pressures applied at ground surface on the active and passive sides; and
c′a and c′p are the effective cohesions of the ground on the active and passive sides.
NOTE In Figure D.1, the angle of inclination δ of the earth pressure is usually positive for active conditions and
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negative for passive conditions.
d
Key
X is a point along the wall;
α is the inclination of the surcharge to the normal to the ground surface;
β is the inclination of the ground surface;
δ is the inclination of the effective earth pressure to the normal to the wall;
λ is the inclination of the wall;
z is the depth of point X from the point where the ground surface meets the wall.
Figure D.1 — Orientation for angles α, β, δ, and λ
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The coefficients Kaγ, Kpγ, Kaq, Kpq, Kac, and Kpc may be determined by analytical models (see D.3.2) or
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log spiral models (see D.3.3).
D.3.2 Analytical models
The coefficients Kaq and Kpq may be determined from:
cos 𝛿𝛿−sin 𝜑𝜑 cos 𝜔𝜔δ
𝐾𝐾aq = � � 𝑒𝑒 −2𝜓𝜓a tan 𝜙𝜙 (D.1)
cos 𝛼𝛼+sin 𝜑𝜑 cos 𝜔𝜔α
cos 𝛿𝛿+sin 𝜑𝜑 cos 𝜔𝜔
𝐾𝐾pq = �cos 𝛼𝛼−sin 𝜑𝜑 cos 𝜔𝜔δ � 𝑒𝑒 2𝜓𝜓p tan 𝜙𝜙 (D.2)
α
sin 𝛿𝛿
sin 𝜔𝜔δ = (D.3)
sin 𝜑𝜑
sin 𝛼𝛼
sin 𝜔𝜔α = (D.4)
sin 𝜑𝜑
(𝜔𝜔α +𝛼𝛼) (𝜔𝜔δ −𝛿𝛿)
𝜓𝜓a = 2
+ 2
+ 𝛽𝛽 − 𝜆𝜆 (D.5)
(−𝜔𝜔α +𝛼𝛼) (𝜔𝜔δ +𝛿𝛿)
𝜓𝜓p = 2
− 2
+ 𝛽𝛽 − 𝜆𝜆 (D.6)
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NOTE 1 When the surcharge q is vertical, 𝛼𝛼 = −𝛽𝛽.
NOTE 2 The values of angles in the formulae for Kaq and Kpq are in radians.
NOTE 3 This analytical model is derived from L’Herminier and Absi (1962) and Lancelotta (2002).
The coefficients Kac and Kpc may be determined from:
1 1
𝐾𝐾ac = � − 𝐾𝐾aq,0 � (D.7)
tan𝜑𝜑 cos𝛿𝛿
1 1
𝐾𝐾pc = �𝐾𝐾pq,0 − � (D.8)
tan𝜑𝜑 cos𝛿𝛿
where
Kaq,0 is the value of Kaq calculated with α = 0; and
Kpq,0 is the value of Kpq calculated with α = 0.
NOTE These expressions are based on the assumption that a/c = (tan δ)/(tan ϕ), where a is the adhesion
between the ground and wall.
When ϕ = 0 and λ = β = 0, the values of Kac (= Kac,u) and Kpc (= Kpc,u) may be determined from:
𝑎𝑎 𝑎𝑎
𝐾𝐾ac,u = 𝐾𝐾pc,u = 1 + sin−1 � � + cos �sin−1 � �� (D.9)
𝑐𝑐 𝑐𝑐
where
a is the adhesion between the ground and wall; and
c is the effective cohesion of the ground.
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The coefficients Kaγ and Kpγ may be determined from:
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𝐾𝐾aγ = 𝐾𝐾aq,−β × cos(𝛽𝛽 − 𝜆𝜆) (D.10)
𝐾𝐾pγ = 𝐾𝐾pq,−β × 𝑐𝑐os(𝛽𝛽 − 𝜆𝜆) (D.11)
where
Kaq,–β is the value of Kaq calculated with α = –β; and
Kpq,–β is the value of Kpq calculated with α = –β.
NOTE The angle of inclination of earth pressure is usually positive for active conditions and negative for
passive conditions.
The horizontal components of earth pressure are given by:
𝐾𝐾aqh = 𝐾𝐾aq cos(𝛿𝛿 + 𝜆𝜆) (D.12)
𝐾𝐾pqh = 𝐾𝐾pq cos(𝛿𝛿 + 𝜆𝜆) (D.13)
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𝐾𝐾ach = 𝐾𝐾ac cos(𝛿𝛿 + 𝜆𝜆) (D.14)
𝐾𝐾pch = 𝐾𝐾pc cos(𝛿𝛿 + 𝜆𝜆) (D.15)
𝐾𝐾aγh = 𝐾𝐾aγ cos(𝛿𝛿 + 𝜆𝜆) (D.16)
𝐾𝐾pγh = 𝐾𝐾pγ cos(𝛿𝛿 + 𝜆𝜆) (D.17)
D.3.3 Other models
Values of the horizontal earth pressure coefficients Kaγh and Kpγh may be determined from Figure D.2
and D.3.
NOTE The values given in these figures are taken from Kerisel and Absi (1990).
294
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Y
X
Key
NOTE
ϕ angle of friction
Contours give values of β/ϕ
Kaγh active earth pressure (horizontal component)
NBN EN 1997-3:2025
retained surface (δ/ϕ′ = 0,66)
Figure D.2 — Coefficients of active earth pressure Kaγh (horizontal component) with inclined
EN 1997-3:2025 (E)
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EN 1997-3:2025 (E)
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
X ϕ, angle of friction
Y Kpγh effective passive earth pressure (horizontal component)
NOTE Contours give values of β/ϕ
Figure D.3 — Coefficients of effective passive earth pressure Kpγh (horizontal component) with
inclined retained surface (δ/ϕ′ = 0,66)
D.4 Calculation model to determine at-rest values of earth pressure
In addition to 7.5.4, the at-rest earth pressure coefficient K0 in soils may be determined only for
unloading stress paths from:
𝐾𝐾0 = (1 − sin𝜑𝜑)√𝑂𝑂𝑂𝑂𝑂𝑂 × (1 + sin𝛽𝛽) ≤ 𝐾𝐾pγ (D.18)
where
ϕ is the soil’s angle of friction;
OCR is the over-consolidation ratio at depth z0 (equal to σ′v,max / σ′v);
σ′v,max is the maximum effective overburden pressure at depth z0;
σ′v is the current effective overburden pressure at depth z0;
β is the inclination of the ground surface above the horizontal; and
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Kpγ is the passive earth pressure coefficient.
NOTE Formula (D.10) can lead to unrealistic values of K0 close to the ground surface, where the vertical stress
is low.
Formula (D.10) should not be used for very high values of OCR or in circumstances involving
geological reloading.
The direction of the resulting force should be assumed to be parallel to the ground surface.
A distinction may be made between:
— K0, the earth pressure coefficient in the initial stage before the works begin;
— Ki, the earth pressure coefficient in the initial stage after completion of the retaining wall but before
the start of excavation; and
— Kd, the ratio between variations in horizontal and vertical stresses during excavation assuming at-
rest conditions, that is without horizontal displacement of the retaining wall.
NOTE 1 Assuming linear elastic behaviour and considering reloading stress paths, where υ is Poisson’s ratio of
the soil, Kd can be determined from:
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𝐾𝐾𝑑𝑑 = 𝜐𝜐⁄(1 − 𝜐𝜐) (D.19)
NOTE 2 In practice, due to the poor knowledge about reliable values for Ki and Kd, it is typically assumed that K0
= Ki = Kd.
NOTE 3 For overconsolidated cohesive soils, in which excavation can lead to a significant stress relief, Ki is
smaller than K0.
D.5 Earth pressures due to compaction
The effective compaction earth pressure normal to the wall face (p′c) at a depth (z) below ground
surface may be determined from:
𝐾𝐾pγ 𝛾𝛾�c z for 𝑧𝑧 ≤ 𝑧𝑧c,min
𝑝𝑝′c = �𝑝𝑝′c,max for 𝑧𝑧c,min ≤ 𝑧𝑧 ≤ 𝑧𝑧c,max (D.20)
𝐾𝐾0 𝛾𝛾�c z for 𝑧𝑧 ≥ 𝑧𝑧c,max
𝑝𝑝′c,max
𝑧𝑧c,min = ���𝐾𝐾
𝛾𝛾c pγ
(D.21)
𝑝𝑝′c,max
𝑧𝑧c,max = ���𝐾𝐾
𝛾𝛾c 0
(D.22)
where
p′c,max is the maximum horizontal earth pressure due to compaction;
𝛾𝛾�c is the average weight density of the ground over depth zc,max;
Kpγ,0 is the passive earth pressure coefficient (with wall friction equal to zero);
K0 is the at-rest earth pressure coefficient;
zc,min is the minimum depth at which p′c applies; and
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zc,max is the maximum depth at which p′c applies.
NOTE Measurements indicate that additional pressures depend on the applied compaction energy, the soil
moisture content, the thickness of the compacted layers and the travel pattern of the compaction machinery.
Horizontal pressure normal to the wall in a layer can be reduced when the next layer is placed and compacted. When
backfilling is complete, the additional pressure normally acts only on the upper part of the wall.
For non-yielding walls, compaction pressure may be represented by the bi-linear profile shown in
Figure D.4B.
NOTE Compaction pressures from soil placement in layers, more realistically produces a distribution similar
to that shown in Figure D.4A.
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A B C
Key
A compaction earth pressure
B simplified profile for non-yielding
C yielding wall
1 Ko line
Figure D.4 — Distribution of compaction earth pressure (A), simplified profile for non-yielding
wall (B) and yielding wall (C)
The value of the maximum compaction earth pressure p′c,max may be taken from Table D.1.
For yielding walls, the simplified depth profile shown in Figure D.4C may be adopted.
In case the wall displacement is associated with earth pressures between active and at-rest
conditions, interpolated values may be used.
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Table D.1 — Values of the maximum compaction earth pressure p'c,max (kPa)
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Wall Intensive compaction Light compaction (vibratory
Width b of backfilled space compactor mass ≤ 250 kg)
b ≤ 1.0 m b ≥ 2.5 m
Non-yielding 40 25 15
Yielding 25 (z = 2,0 m) 15 (z = 2,0 m)
NOTE Use interpolation for intermediate values of b
D.6 Earth pressures caused by cyclic thermal movement for integral bridges
The earth pressure on a structural element subjected to cyclic thermal movements should be
calculated based on the thermal movement range as well as the direction (expansion or contraction)
and actual amount of the relative movements.
Earth pressures caused by cyclic thermal movements may be assessed by soil-structure interaction
methods calibrated against comparable experience, laboratory modelling and/or case history data
experience.
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Maximum and minimum values of the earth pressure applicable to structural design should be
considered coincident with the values of the effects (temperature, creep, shrinkage) causing the
expansion or contraction, respectively.
The value of the enhanced pressure coefficient K* for a given value of the maximum expansion should
be determined based on a recognized method.
NOTE The enhanced pressure is bounded by the earth pressure mobilised by the maximum thermal expansion
(lower limit) and the full passive earth pressure (upper limit).
D.7 Basal heave
Mechanical heave due to excavation is generally associated with settlements outside and should be
considered as part of overall stability mechanisms.
Specific models may be used to deal with the following situations:
— conventional models for overall stability calculation;
NOTE 1 These models do not take account of specific geometry (narrow and deep excavation for instance).
— concentration of vertical hydraulic gradients along the embedded part of the retaining wall; and
NOTE 2 These models can locally initiate an instability process for which rigid block mechanisms cannot be
considered as realistic enough.
— mechanical extrusion of soft clay that occurs simultaneously with excavation at depth.
NOTE 3 These models cannot be realistically compensated by external shear resistance, as conventional rigid
block mechanisms would assume.
Shear resistance may be considered.
NOTE Figure D.5 illustrates verification against basal heave.
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Figure D.5 — Verification against basal heave
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Simplified models may be used for fine or coarse soils in which the external and internal shear
resistance above the toe level of the retaining wall is neglected and the same mechanisms as for
bearing capacity of shallow foundations are considered.
In such conditions, the limit value of the effective vertical stress that can be applied at toe level
outside the excavation σ'v,outside may be determined from:
𝛾𝛾𝛾𝛾
𝜎𝜎′v,outside = 𝑁𝑁 + 𝜎𝜎′v,inside 𝑁𝑁q + 𝑐𝑐′𝑁𝑁c (D.23)
2 γ
where
Nγ, Nq, and Nc are bearing capacity factors (see Clause 5);
γ is the unit weight of soil under the wall;
B is the width to consider outside the excavation;
c' is the effective cohesion; and
σ'v,inside is the effective vertical stress at toe level inside the excavation.
Mechanical heave during excavation in fine soils may be analysed assuming undrained conditions
and total stress analysis, using Nγ = 0.
Mechanical heave in coarse soils may be analysed assuming hydraulic gradients are concentrated
within a narrow area very close to the wall, allowing the width B to be neglected.
Verification of resistance to mechanical heave caused by hydraulic gradients in coarse soils should
be based on an effective stress analysis, considering effective cohesion c′, as well as effective stresses
σ′v,inside and σ′v, outside.
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The values of σ′v,inside and σ′v, outside in Formula (D.23) should consider weight densities (γ′ + i1γw) and
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(γ′ - i2γw), where i1 is the average gradient along the retained side of the wall and i2 the average
gradient along the wall on the excavated side.
In addition to (9), hydraulic gradients and unit weights also shall be evaluated and considered for
the calculation of the retaining wall itself.
It should be verified that the resistance to mechanical heave during excavation in fine soils satisfies:
𝛾𝛾𝐻𝐻e + 𝑞𝑞a ≤ 𝑁𝑁c 𝑐𝑐𝑢𝑢 (D.24)
𝐻𝐻e 𝐵𝐵 𝐻𝐻e
𝑁𝑁c = 5 �1 + 0,2 𝐵𝐵
� �1 + 0,2 � 𝑖𝑖𝑖𝑖 ≤ 2,5 (D.25)
𝐿𝐿 𝐵𝐵
𝐵𝐵 𝐻𝐻e
𝑁𝑁c = 7,5 �1 + 0,2 � 𝑖𝑖𝑖𝑖 > 2,5 (D.26)
𝐿𝐿 𝐵𝐵
where
Ηe depth of the excavation;
qa surface load;
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cu undrained shear strength; and
Nc a shape factor depending on the length and the width of the excavation.
NOTE 1 For more details, see Bjerrum and Eide (1956).
NOTE 2 Figure D.6 illustrates basal heave in fine soils.
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Key
He depth of excavation
B width of excavation
qs surface load
A, B, C, D, E, F, volume of the ground subjected to the basal heave mechanism
Figure D.6 — Basal heave in fine soils (Bjerrum and Eide, 1956)
D.8 Limit equilibrium models
Limit equilibrium models may be used both for:
— gravity walls; and
— embedded retaining walls to estimate the minimum embedment length and support reactions
necessary to prevent rotational failure (see 7.6.3).
NOTE 1 Limit equilibrium models consist of analysing horizontal stability of embedded retaining walls by
assuming that limiting values of earth pressures are reached on both sides of the wall.
NOTE 2 Earth pressure envelopes, which can be used for walls with multiple supports, can be found in the
literature. For only partially compliant walls a weighted average of active pressure and earth pressure at rest is
commonly assumed.
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NOTE 3 Limit equilibrium models are simplified models that do not provide information relative to
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displacements; they are generally used for the design of flexible embedded walls and stiff single propped walls.
These models ignore construction sequences, and structural stiffness or prestressing effects.
When limit equilibrium models are used to justify plastic hinges in metallic structures accordingly
with EN 1993-5, limit displacements associated with limit earth pressures may be estimated based
on conventional order of magnitude, traditionally expressed as a proportion λa of the wall height on
the retained side, and λp of the embedded depth on the excavated side.
NOTE The values of λa and λp are 0,1 to 0,3 % and 1 to 5 %, respectively, unless different values are given in
the National Annex.
D.9 Beam-on-spring models
Beam-on-springs models may be used to check the following limit states, in accordance with 7.6 and
7.7:
— serviceability limit states involving horizontal displacements, within the limits given in D.7;
— structural limit states; and
— rotational resistance, see 7.6.3.
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Unless additional effects are introduced into the calculation, limit equilibrium and beam-on-springs
models should not be used to determine: slope instability, interaction between the retaining
structure and rear anchors, or interaction between front and rear quay walls.
NOTE Wall displacements are usually calculated relative to the ground surface, ignoring any displacement of
the ground surface.
Intermediate values of earth horizontal pressures may be determined by use of the subgrade
reaction coefficient, k = ∆σ / ∆y, where ∆σ is the variation of earth pressure associated with a
variation of horizontal wall displacement ∆y.
NOTE 1 This is a simplification that assimilates the ground to independent springs.
NOTE 2 Due to its empirical nature, values of the coefficient of subgrade reaction can be determined from
comparable experience in similar conditions. Guidance is provided in D.10.
NOTE 3 Spring stiffness values are very software specific.
When redistribution of earth pressure due to arching effects caused by the compliance of the earth
retaining structure is likely to occur, limit and intermediate values of earth pressure on the retained
side should be determined from methods that take account of such redistribution.
NOTE 1 Such methods include empirical and continuum numerical models.
NOTE 2 Relative movements within the retained ground can cause redistribution, for example when rigidities of
different support layers significantly differ from each other or when high spans exist between adjacent rigid
supports.
NOTE 3 Beam-on-springs models are able to consider increased earth pressures behind rigid supports when
they are prestressed.
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Empirical relationships based on past experience may be used to derive soil settlements behind the
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wall from its horizontal displacement.
NOTE Ratios between maximum vertical and maximum horizontal displacements usually lie between 0,5 and
1.
D.10 Calculation model to determine intermediate values of earth pressure
D.10.1 General
The value of the subgrade reaction coefficient k may be estimated from:
𝐸𝐸s
𝑘𝑘 = 𝑑𝑑
(D.27)
where
Es is the ground's secant modulus of elasticity; and
d is the interaction length.
The interaction length d should be determined taking into account the following:
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— d cannot be larger than the total embedment length D of the wall;
— d is normally less than < 2/3 D;
— during intermediate excavation stages d = 1.5 l0, where l0 = (4EI / k)1/4, and EI is the bending stiffness
of the wall per linear metre; and
— in specific circumstances where the embedded length is determined by hydraulic considerations
rather than by the mechanical mobilization of passive earth pressure due to excavation, d does not
depend on the wall's bending stiffness, since high differential water pressures affect the total height.
NOTE 1 During intermediate excavation stages, passive earth pressure is only mobilized along a limited part of
the embedded height. The expression d = 1,5 l0 is derived from elastic beam theory and has been confirmed by a
large number of monitoring results.
NOTE 2 Example of hydraulic considerations are pumping phases without excavation, tidal effects on quay walls,
high water head and increased embedded length in order to reach an impervious layer.
NOTE 3 In situations where the interaction height depends on the wall's bending stiffness, k can be estimated
from k = 0,4 Es4/3/(EI)1/3.
NOTE 4 The value of Es is intermediate between the ground's initial loading modulus and its unload-reload
modulus.
As an alternative to (1) and (2), other methods may be used for structures that mobilize passive
pressure in backfill.
NOTE For example, bridge abutments.
Backfill soil reaction forces on bridge abutments should consider the increase in passive earth
pressure with wall movement.
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NOTE For temperature induced seasonal wall movements, the predominant pattern is a combination of
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horizontal translation and rotation about the wall base.
The horizontal component of the mobilised passive earth pressure coefficient Kph,mob along the wall
height may be determined from:
𝑣𝑣(𝑧𝑧)⁄𝑧𝑧
𝐾𝐾ph,mob (𝑧𝑧) = 𝐾𝐾0 + �𝐾𝐾ph − 𝐾𝐾0 � 𝑎𝑎+𝑣𝑣(𝑧𝑧)⁄𝑧𝑧 (D.28)
where
K0 is the coefficient of earth pressure at rest;
Kph is the horizontal component of the coefficient of passive earth pressure;
z is the depth;
v(z) is the horizontal displacement at depth z (positive towards the backfill); for a rigid wall
rotating about its base, v(z) = sh(1 – z/h);
sh is the horizontal displacement at the wall top;
h is the height of the retaining wall; and
a is a backfill-dependent coefficient.
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In the absence of detailed specifications, the value a = 0,02 may be used.
D.10.2 Movements to develop active and passive earth pressures
The horizontal movement va required to develop an active limit state behind a vertical wall retaining
non-cohesive soil of height h should be considered.
NOTE 1 The magnitude of movement depends on the mode of wall movement and the density of the soil.
NOTE 2 Order of magnitude values of va/h are given in Table D.2.
Table D.2 — Order of magnitude values of the ratio va/h
Mode of
A B C D
wall movement
Loose soil
0,4 to 0,5 0,2 0,8 to 1,0 0,4 to 0,5
va/h %
Dense soil
0,1 to 0,2 0,05 to 0,1 0,2 to 0,5 0,1 to 0,2
va/h %
va is the horizontal wall movement required to mobilize active earth pressure
h is the wall's retained height
The values given assume a horizontal ground surface
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(2) The horizontal movement vp required to develop a passive limit state in non-cohesive soil in front of
a vertical wall of retained height h should be considered.
NOTE 1 Order of magnitude of values of vp/h are given in Table D.3 for the development of full passive earth
pressure and for half of the passive earth pressure.
NOTE 2 The movement required to develop passive earth pressure is much larger than that required to develop
active earth pressure.
(3) The values given in Table D.3 should be multiplied by a factor of 1,5 to 2,0 if ground below the water
table is considered.
Table D.3 — Order of magnitudes values of the ratio vp/h
Mode of
A B C
wall movement
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Loose soil
7 (1,5) to 25 (4,0) 5 (0,9) to 10 (1,5) 6 (1,0) to 15 (1,5)
vp/h %
Dense soil
5 (1,1) to 10 (2,0) 3 (0,5) to 6 (1,0) 5 (0,5) to 6 (1,3)
vp/h %
vp is the horizontal wall movement required to mobilize full passive earth pressure
h is the wall's retained height
The values given assume a horizontal ground surface.
Values in brackets are required to mobilize half of the passive earth pressure.
D.11 Numerical continuum models
The most critical geotechnical failure mechanism or combination of failure mechanisms may be
determined by numerical continuum models using shear strength reduction approach.
NOTE Examples of combination of failure mechanisms are overall or base instability, rotational failure and
foundation failure.
Information relative to settlements should be considered carefully when simplified linear elastic
models are used, since such models cannot take account of different soil behaviours during a primary
loading and an excavation.
NOTE 1 In the case of retaining structures, only non-linear models provide relevant information with respect to
both horizontal and vertical displacements within the ground mass.
NOTE 2 Current soil models rarely take account of the anisotropic behaviour of alluvial soils, which is likely to
influence the relationship between horizontal and vertical displacements around a retaining structure.
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In effective stress calculations involving undrained conditions, attention should be given to the
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decrease of groundwater pressures induced by the dilatancy.
D.12 Vertical wall stability
According to 7.6.4, the skin friction needed to ensure vertical equilibrium of an embedded wall, and
the vertical components of active and passive earth pressures needed to ensure its horizontal
equilibrium should be consistent with each other.
Consistency between skin friction (in bearing capacity calculations) and vertical components of
earth pressure (used to justify horizontal equilibrium) should be checked above the depth at which
the shear force applied to the embedded part of the wall is equal to zero (see Figure D.7).
NOTE The depth at which at which the shear force on the embedded part of the wall is equal to zero can be
considered as the point of rotation of the wall.
Earth pressures should not be underestimated on the retained side or overestimated on the
excavated side of the retaining structure.
NOTE 1 Beneath the point of rotation, these under/over-estimates err on the safe side.
NOTE 2 Mobilising skin friction to equilibrate vertical forces changes the inclination of earth pressures δ, that
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tends to increase the active earth pressure earth side if structural forces are exerted downwards, or decrease the
passive earth pressure on the excavated side if structural forces are exerted upwards (e.g. inclined struts resting on
the excavated surface).
NOTE 3 Despite using a negative value of the inclination δ to derive earth pressure on the retained side, the
vertical component can be significantly lower than the friction that could be mobilised without stress relief and, for
this reason, it is often neglected in bearing capacity calculations.
NOTE 4 Figure D.7 illustrates the depth at which shear force applied to embedded wall is zero.
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
X definition for X
Y horizontal displacement of the retaining structure
M bending moment
V shear force
pa active earth pressure applied to the wall
pp passive earth pressure applied to the wall
τs shaft friction mobilized to equilibrate the vertical anchor force
Figure D.7 — Depth at which shear force applied to embedded wall is zero
D.13 Determination of the anchor length to prevent interaction between
anchors and retaining structures
Potential interaction between a retaining structure and any deadman anchors used to stabilize it
may be ignored when the passive wedge mobilized by the anchor does not intersect with the active
wedge acting on the structure.
The model illustrated in Figure D.8 may be used to ensure that grouted anchors do not interfere with
a retaining structure:
— the anchor's reaction is assumed to be balanced by the shear resistance that is mobilised along the
conventional failure surface shown in Figure D.8, so not to increase earth pressures directly acting
on the wall;
— equilibrium of forces acting on the ground between the retaining wall and the anchors provide the
maximum anchor force that can be equilibrated without increasing earth pressures on the wall;
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— interaction is neglected when the ratio between this maximum anchor force, and the applied anchor
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force based on previous calculations of the retaining wall, is higher than 1,5.
NOTE 1 If the condition in Figure D.8 is not met, the shear resistance that the soil mobilizes along the
conventional failure surface is insufficient to dissipate the force applied by the anchor. Consequently, the retaining
structure has to provide more reaction to ensure overall equilibrium of the soil mass that needs to be considered in
the calculation model, or the free length of the anchor has to be increased until it is justified that interaction can be
neglected.
NOTE 2 The stabilizing reaction A1 is equal and opposite to the resulting effective earth pressure considered for
the design of the retaining structure itself.
NOTE 3 The consequence is that the equilibrium of forces applied to the volume ABCD provides a value of the
anchor force, F, that is the maximum one that the anchor can apply within the soil mass without increasing the
resulting earth pressure, A1, that has been considered in the design of the retaining structure.
NOTE 4 Figure D.8 illustrates a model used to determine anchor length to prevent interaction with retaining
structure.
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Key
ABCD volume of soil comprised between the rear face of the retaining wall, AB, the conventional failure
surface, BC, and the vertical surface intercepting the point C where the resulting anchor force is applied,
CD
W effective weight of the volume ABCD
F destabilising force applied by the anchor on the volume ABCD
A2 destabilising earth pressure applied on CD
A1 stabilizing reaction applied by the retaining structure
AAP assumed anchoring point
Rf frictional component of the shear resistance of the soil on the failure surface BC
RC additional shear resistance due to the cohesion
Figure D.8 — Determination of anchor length to prevent interaction with retaining structure
For grouted anchors, the resulting force exerted in the ground may be assumed to act in the middle
of the fixed anchor length.
NOTE This assumption is relevant in standard ground conditions for which friction can be considered as
uniformly distributed along the anchored length.
If micropiles or other anchoring elements without a free length are used, an equivalent free length
shall be determined before applying (2) and (3).
The equivalent free length shall be consistent with the fixed anchor length along which friction is
considered when verifying the bearing capacity of the micropiles according to Clause 6.
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Annex E
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(informative)
Anchors
E.1 Use of this Annex
This informative annex provides complementary guidance to that given in Clause 8 regarding
anchors.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
E.2 Scope and field of application
This informative annex covers layout of anchors.
E.3 General design considerations
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The spacing of anchors is controlled by the geometry of the structure and the available anchor
capacities.
Anchor inclination is influenced by the direction of the required active force and moment together
with the depth of an appropriate founding soil or rock (15° to 40° being optimum inclination to resist
horizontal forces).
NOTE 1 Anchor spacing, inclination, and free length all contribute to the control of the spacing of the grout body
in the fixed anchor.
NOTE 2 Close proximity of grout bodies tend to interact with adjacent anchors but reduce the soil mass mobilised
by the anchor group.
NOTE 3 The soil mass, supplemented by the shear stress along the soil mass pull-out interface, can determine
the overall stability of the anchored structure.
NOTE 4 Design considerations for grouted anchors can be found in Ostermayer and Barley (2003).
E.4 Specific design considerations
A free anchor length of at least 5 m should be provided to ensure that the prestress force is
transmitted into ground as designed and no "short circuit" of force occurs (see Figure E.1, A1 vs A2).
The grout body should be located entirely in one founding stratum (see Figure E.1, B1 vs B2).
With the exception of multiple anchors, installing the grout body in two or more layers with different
shear-strain characteristics or in transition zones should be avoided.
If it is not possible to put the anchor in one stratum, additional measures and suitability tests should
be undertaken to account for potential variations in ground stiffness, strength or hydraulic
conductivity.
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To accommodate potential directional deviations of the boreholes and mutual interactions in
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relation to load capacity and displacements, the anchor's grout bodies should be designed for a
minimum axial clearance of 1,5 m (see Figure E.2, A1 and EN 1537).
Anchors should be spread to improve their distribution and spacing and to increase the mobilised
soil mass (see Figure E.2, B1 and B2).
The spacing between the anchors and existing buildings should not be less than 3m (see Figure E.2,
C1).
Anchor lengths should be staggered beneath structures that are sensitive to settlement to prevent
damage from a concentration of anchor forces and overstraining the ground (see Figure E.2, C2).
Grout bodies should be installed at least 4 m below surface (see Figure E.1, B2).
To mobilize bond capacity, the anchor inclination should be at least 10° to the horizontal or where
ground with variable strength is penetrated, at least 15° to 20°.
The failure or creep of an individual anchor should not threaten the stability of the entire anchoring
system or adjacent structures.
NOTE This risk can be reduced by execution of acceptance or suitability tests in conjunction with the integrity
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
of the corrosion protection system eliminating bond and tendon failure respectively. Alternatively, the structure
itself or a structural waling or capping beam can be designed to ensure that the limit state is not achieved in the
event of an individual anchor failure or that the structure is monitored for movement.
Where external corners are retained by anchors, the anchor distribution and inclination should
ensure adequate clearance between the fixed length grout bodies to eliminate tendon damage in the
free anchor length.
NOTE Drilling methods can ensure directional accuracy, according to EN 1537, taking into account potential
deviations from the design axis. The grout bodies are not put into the active earth pressure wedge belonging to the
retaining wall and parallel to the anchors (see Figure E.3A). Where this cannot be avoided, the active earth pressure
acting on the retaining wall can be increased by considering the additional actions resulting from the force input by
the grouted bodies (see Figure E.3B).
E.5 Layout of anchors
The layout of anchors should consider the proximity of the load-bearing stratum and the execution.
NOTE 1 Examples of the configuration of anchors are given in Figures E.1, E.2 and E.3.
NOTE 2 In Figure E.3A, all grout bodies are outside the active earth pressure wedge. There is no additional earth
pressure to the retaining wall. If the grout bodies are very close to the support (see Figure E.3B), additional earth
pressure would act.
NOTE 3 Examples of design models for anchored structures are given in Annexes A and D.
312
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5
4
3
2
1
Key
silt
Lfixed
gravel
Lfree>5 m
grout input into borehole and gravel
9
8
7
6
ground
NBN EN 1997-3:2025
clay
sand
>4 m
transition zone
Figure E.1 — Examples of good (right side) and bad (left side) anchor configurations in stratified
EN 1997-3:2025 (E)
313
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A2
A1
Key
314
PLAN: wrong
SECTION: wrong
EN 1997-3:2025 (E)
B2
B1
PLAN: right
SECTION: right
NBN EN 1997-3:2025
C2
C1
PLAN: right
SECTION: right
Figure E.2 — Examples of good and bad spreading and staggering of anchors
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
A2
A1
Key
E = Ea
SECTION: E = Ea
B2
B1
PLAN: E > Ea
SECTION: E > Ea
3
2
1
NBN EN 1997-3:2025
Additional Earth pressure
Active earth pressure wedge
Figure E.3 — Examples of anchoring a protruding wall corner
Corner designed to transfer tension
EN 1997-3:2025 (E)
315
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EN 1997-3:2025 (E)
Annex F
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(informative)
Reinforced fill structures
F.1 Use of this annex
This informative annex provides complementary guidance to that given in Clause 9 for reinforced fill
structures.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
F.2 Scope and field of application
This informative annex covers calculation models for reinforced fill structures.
F.3 Calculation models for reinforced fill structures
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
F.3.1 Method of slices for slip surface analysis
Slip surface analysis using the method of slices may be used for verifying stability against internal
and compound failure mechanisms.
NOTE 1 Figure F.1 illustrates implementation of forces from reinforcing element into the method of slices.
NOTE 2 Detailed calculation procedures for this method are given in Clause 4 and Annex A.
Key
1 failure surface
Figure F.1 — Forces from reinforcing elements – implementation in the method of slices
When reinforcing elements intersect the assumed failure surface, the analyses should take account
of horizontal interslice forces.
The force applied in slip surface analysis to account for reinforcing elements should not exceed the
resistance of the reinforcing element.
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EN 1997-3:2025 (E)
The analyses should take into account the distribution along the reinforcing element.
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F.3.2 Coherent gravity method
The coherent gravity method may be used for direct calculation of the load in each layer of
reinforcing elements for checking stability against internal failure mechanisms.
NOTE 1 Figure F.2 illustrates the coherent gravity method.
NOTE 2 Detailed calculation procedure of coherent gravity method can be found in NF P 94 270 and BS 8006-1.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
Hm mechanical height
L width of the reinforced fill block
1 theoretical location of maximum tension load in the reinforcing element
2 lateral earth pressure
Figure F.2 — Coherent gravity method
The coherent gravity method may be used for non-extensible reinforcing elements that develops its
tensile design strength at a strain < 1 %.
The design resistance of each layer of reinforcing elements shall not be less than the design effects
of actions caused by the sum of:
— the self-weight of reinforced fill volume and the earth pressure of the retained ground; and
— any permanent or variable external actions and related earth pressures.
F.3.3 Tie-back wedge method
The tie-back wedge method may be used for direct calculation of the load in each layer of reinforcing
elements for checking the stability against internal failure mechanisms.
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Key
1 active zone
2 resistant zone
H height of construction
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
L width of reinforced fill block
Figure F.3 — Tie-back wedge method
The tie-back wedge method may be used for extensible reinforcing elements that develops its tensile
design strength at a strain > 1 %.
F.3.4 Multi-part wedge method
The multi-part wedge method may be used for checking stability against internal and compound
failure mechanisms.
NOTE 1 Figure F.4 illustrates the two-part wedge method.
NOTE 2 Detailed calculation procedures for this method can be found in BS 8006-1.
Key
1 wedge 1
2 wedge 2
Figure F.4 — Two-part wedge method
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If the potential failure mechanism is assumed to be a two-part wedge, the lower part wedge should
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pass through the reinforced fill structure and the upper part wedge through the retained
(unreinforced material) behind it (see Figure F.4).
The stability of any combination of wedges should be checked accounting for beneficial effect from
the reinforcing elements in each layer cut by the failure plane of any wedge.
F.4 Calculation models for basal reinforcement of embankments on weak soil
F.4.1 Resistance to transverse sliding
The lateral sliding stability of the embankment should be determined by examining any preferential
slip surfaces that pass above the basal reinforcement layers.
The lateral sliding stability of the embankment should be determined by examining the slip surfaces
that pass below the basal reinforcement layer incorporating the effect of the reinforcement layer.
NOTE Detailed calculation procedures for this method can be found in BS 8006-1 and EBGEO.
F.4.2 Resistance to foundation extrusion
Where the thickness of low strength fine and organic soil beneath the foundation of the embankment
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
is relatively small compared to the embankment width, the adverse effects of foundation extrusion
should be determined.
NOTE 1 Figure F.5 illustrates a calculation model to determine resistance to extrusion.
NOTE 2 Detailed calculation procedures can be found in BS 8006-1 and EBGEO.
Key
1 soil foundation
2 embankment
3 fill
4 reinforcement
Figure F.5 — Calculation model to determine resistance to extrusion
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F.5 Calculation models for overbridging systems
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In areas prone to the development of voids or deep depressions reinforcing elements may be used
to avoid sudden collapse.
NOTE 1 Figure F.6 illustrates a scheme for overbridging systems.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 embankment
2 reinforcing element
ds depression at surface
d depression at reinforcement
H height of the material over the geosynthetic layer
D void diameter at the reinforcing element level
Ds void diameter at ground surface
Figure F.6 — Scheme for basal reinforcement over voids
The design void diameter should be assumed based on comparable experience.
The maximum differential settlement of the ground surface above a void should be as specified by
the relevant authority or, where not specified, as agreed for a specific project by the relevant parties.
F.6 Veneer reinforcement
The stability of a soil veneer above a potential sliding plane should be determined by assuming a
tension crack at the top of the slope and a resistant passive wedge at the toe.
NOTE 1 Figure F.7 illustrates a scheme for veneer reinforcement. Veneer systems can be made up of multiple
synthetic and mineral layers with different frictional characteristics.
NOTE 2 Further details can be found in EBGEO, Rimoldi (2018), and NF G38067.
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Key
Ed design value of the actions RB,d design resistance of the reinforcement
Rt,d design value of the friction resistance 1 reinforcing element
Figure F.7 — Scheme for veneer reinforcement
The contribution of friction down the slope should take the value of the lowest frictional interaction
between the multiple layers that form the veneer system.
NOTE Veneer systems can be made up of multiple synthetic and mineral layers with different frictional
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
characteristics.
F.7 Typical grades of steel used for reinforcing elements
F.7.1 General
This clause provides complementary guidance to 9.3.4 for typical grades of steel used for tension
elements in reinforced fill structures and applies to tension elements for reinforced structures only.
F.7.2 Grades of steel used for tension elements
Tension elements may be made using any of the steel grades given in Table F.1.
Other grades of steel may be used, provided they comply with the provisions of 9.3.4.
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Table F.1 — Typical grades of steels used for tension elements
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Type of steel Relevant Steel Name Yield strengtha Tensile Strength
standard strength distribution
symbol N/mm2 symbol N/mm2 across section
Hot-rolled EN 10025-2 S235 fy 235 fu 360- uniform
strips 510
S355 fy 355 fu 470-
630
S460 fy 460 fu 550-
720
Reinforcing EN 10080 B400Bb f0.2k 400 ftk ≥432 non-uniform
steel (unless
B450Bb f0.2k 450 ftk ≥486 otherwise
demonstrated
B500Bb f0.2k 500 ftk ≥542
by testing)
B550Bb f0.2k 550 ftk ≥594
B600Bb f0.2k 600 ftk ≥648
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
a Values stated are minimum where f0.2k = Rp0.2 (specified proof strength at 0.2 % strain) and ftk = Rm (specified tensile
strength) in accordance with EN 10080.
b Minimum ductility Class B according to EN 1992-1-1:2023, Table 5.5.
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EN 1997-3:2025 (E)
Annex G
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(informative)
Soil nailed structures
G.1 Use of this annex
This informative annex provides complementary guidance to that given in Clause 10 for soil nailed
structures.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
G.2 Scope and field of application
This informative annex gives guidance on verification of pull-out resistance for soil nails.
G.3 Guidance on verification of pull-out resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE Guidance on verification of pull-out resistance for soil nails is given in Table G.1.
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EN 1997-3:2025 (E)
Table G.1 — Guidance on ultimate limit state verification of pull-out resistance for soil nails
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Method Approach for ULS Verification Factors Testing requirements Comment
Verification Material Factor Approach for effective stress For material ULS verification by In the Ground Model Method the representative
by analysis see 10.6.2, Formula 10.10. factorsγtanϕ and γcu, suitability tests is value of µpo or cu is determined over (part of) a
calculation see EN 1997-1:2024, recommended. project site.
using the Material Factor Approach for total stress analysis 4.4.1.3. Alternatively, the representative value of the
Ground see 10.6.2, Formula 10.11 For structures in interface shear resistance τpo can be
Model For resistance factors Geotechnical Category 3: determined from comparable experience.
Method Rpo,d shall be determined
Or γR,po, see 10.6.7. When using the Material Factor Approach, the
from investigation tests representative values of µpo and cu are divided
and verified by by partial material factor γtanϕ and γcu
Resistance factor approach for effective stress For model factor suitability tests.
γRd,nail see 10.6.2. respectively.
analysis (see 10.6.2, Formulae 10.12 and 10.5.2,
Formulae 10.2 and 10.3): When using the Resistance Factor Approach,
Acceptance tests are the representative value of the pull-out
Resistance Factor Approach for total stress recommended. resistance (calculated using representative
analysis (see 10.6.2, Formula 10.12 and 10.5.2,
values of µpo or cu) is divided by the partial
Formulae 10.2 and 10.5)
resistance factor for pull-out γR,po.
Or
A model factor γRd is applied for both approaches
Resistance Factor Approach using comparable
depending on available tests and experience
experience for values of 𝜏𝜏po (see 10.6.2, Formula
10.12 and 10.5.2, Formulae 10.2 and 10.3)
Verification Resistance Factor Approach (10.6.2, Formula For correlation ULS verification by In the Model Pile Method, the total interface
by 10.13): factors ξmean and ξmin, suitability tests is shear resistance of the soil nail Rcalc is
calculation see 10.6.2. recommended. calculated directly, for instance through a
using the correlation with the CPT cone resistance. This
Ground For resistance factors For structures in calculation is done for each of n test profiles to
Model 𝛾𝛾R,po , see 10.6.7. Geotechnical Category 3: obtain n results of the calculated pull-out
Method Rpo,d shall be resistance values over the project site.
determined from The average and the lowest value of the n
For the model factor results are determined, which are then divided
investigation tests and
γRd,nail, see 10.6.2. verified by suitability by correlation factors ξmean and ξmin
tests respectively to obtain the representative value.
The design value is obtained by division of the
Acceptance tests are representative value by a model factor 𝛾𝛾Rd and a
recommended. partial resistance factor 𝛾𝛾R,po
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EN 1997-3:2025 (E)
Method Approach for ULS Verification Factors Testing requirements Comment
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Verification Resistance factor approach (see 10.6.2, Formula For correlation Design by testing is Design by testing is based on investigation tests
by testing 10.14): factors ξmean and ξmin, based on investigation (approach similar to piles or anchors design).
see 10.6.2. tests. The total interface shear resistance of the soil
nail Rtest is determined for each of n tests to
For Resistance Acceptance tests are obtain n test results of the pull-out resistance
recommended. values over the project site.
factors γR,po see
10.6.7. The average and the lowest value of the n test
results is determined, which are then divided
by correlation factors ξmean and ξmin
For model
respectively to obtain the representative value.
factorγRd,nail see
The design value is obtained by division of the
10.6.2.
representative value by a model factor γRd and a
partial resistance factor γR,po
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EN 1997-3:2025 (E)
Annex H
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(informative)
Rock bolts and rock surface support
H.1 Use of this annex
This informative annex provides complementary guidance to that given in Clause 11 for rock bolts
and rock surface support.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
H.2 Scope and field of application
This informative annex gives guidance on verification of pull-out resistance for rock bolts.
H.3 Guidance on verification of pull out resistance
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE Guidance on verification of pull-out resistance for rock bolts is given in Table H.1.
326
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EN 1997-3:2025 (E)
Table H.1 — Guidance on ultimate limit state verification of pull-out resistance for rock bolts
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Method Approach for ULS Verification Factors Testing requirements Comment
For structures in 𝜏𝜏f is taken as a representative (low) value
Geotechnical Category 3: of the interface resistance along the rock
τf should be determined bolt (in the pick-up or anchoring length).
For resistance factors 𝛾𝛾Rr , from investigation tests
see 11.6.5 and verified by suitability
Verification Resistance Factor Approach (see 11.5.2 tests.
by Formula 11.1 and 11.6.2, Formula 11.3):
calculation For the model factor γRd,bolt
see 11.6.2. For structures in
Geotechnical Category 1
and 2: τf may be
determined from
comparable experience.
For structures in
Geotechnical Category 3:
Rro,d and Rri,d should be
For correlation factors
determined from
Resistance Factor Approach (see 11.6.3 ξmean and ξmin, see 11.6.3. Design by testing is based on
Verification investigation tests and
Formula 11.4): verified by suitability investigation tests (approach similar to
by testing
For resistance factors γRr, tests. piles or anchors design).
see 11.6.5.
Acceptance tests are
recommended.
When using prescriptive rules, the
Verification
Inspection Plan shall include measures to
by Prescriptive rules according to EN Control tests shall be
ensure that the installed elements fulfil
prescriptive 1997-1:2024, 4.5. performed, see Clause 11
the requirements of the prescriptive
rules
rules.
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Annex I
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(informative)
Ground improvement
I.1 Use of this annex
This informative annex provides complementary guidance to that given in Clause 12 for ground
improvement.
NOTE National choice on the application of this informative annex is given in the National Annex. If the National
Annex contains no information on the application of this informative annex, it can be used.
I.2 Scope and field of application
This informative annex:
— gives examples of diffused ground improvement techniques in Table I.1;
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— gives examples of discrete ground improvement techniques in Table I.2;
— indicates which European execution standards (if any) apply to each technique.
I.3 Examples of ground improvement techniques
NOTE 1 Tables I.1 and I.2 give examples of typical ground improvement techniques.
NOTE 2 Some techniques appear in multiple Classes.
Table I.1 — Examples of diffused ground improvement techniques
Method Technique Class Description Execution
Standard
Grouting Permeation AII Replacement of interstitial water or gas of a porous EN 12715
Methods grouting medium with a grout, also known as “impregnation”
grouting. Suitable for a wide range of soils to considerable
depths.
Jet grouting AII Hydraulic disaggregation of soils using high velocity jets. EN 12716
Compaction AI Displacement grouting method which is the injection of a EN 12715
grouting medium/low slump mortar into the soil to
compact/densify it by expansion alone. Suitable for a wide
range of soils to considerable depths.
Grout filling of AII Filling of voids in soils and bedrock, e.g. caused by karst none
Voids limestone, other soluble bedrock minerals, legacy of
historical mining.
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Method Technique Class Description Execution
Standard
Compaction Deep vibration AI Densification of generally coarse soil by the insertion of a EN 14731
Methods vibrating poker. Significant depths of suitable soils can be
treated and marine operation is possible.
Dynamic AI Densification of soil by the impact of heavy weights from None
compaction significant heights. Significant depths of suitable soils can
be treated and marine operation is possible.
Impact roller AI Compaction effort provided by a non-circular roller, None
compaction usually three or four sided. Only shallow depths of
suitable soils can be treated.
Rapid impact AI Compaction effort provided by weight dropping with a None
compaction rapid control mechanism usually mounted on a vertical
arm. Shallow/medium depths of suitable soils can be
treated.
Micro-blasting AI Compaction effort provided by detonating small charges None
of explosive at depths below ground level. The weight and
arrangement of explosive charge is tailored to the depth
and type of soil present. It can be used over water and can
treat considerable depths.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Soil Soil replacement AI Replacement of unsuitable soil with engineered materials None
Replacement with or without geo-reinforcement. Depth limited by the
stability of the excavation.
Thermal Ground freezing AII Freezing of interstitial water within soils to create None
Methods hardened bodies of significant strength and very low
hydraulic conductivity. More suitable for coarse soils but
can be used in cohesive soils with care due to potential
soil expansion.
Ground heating AI The use of thermal methods to generally remove water None
AII from fine grained soils with a resultant increase in
strength. Ultimately with very high temperatures, soil can
be fused in a rock like structure.
Consolidation Surcharge AI Use of additional load in advance of construction, None
Methods generally on soft clays, to force consolidation and reduce
long term residual settlements.
Vertical drains & AI Use of sand or prefabricated geotextile drains in EN 15237
surcharge combination with surcharge to reduce drainage paths
within soft cohesive soils to force accelerated
consolidation and accelerated groundwater pressure
dissipation during construction in order to reduce overall
programme and to reduce residual long-term settlements.
Land and marine based rigs available to considerable
depths.
Dewatering AI Lowering of the ground water table or depressurisation of None
the groundwater pressure within soils to increase
effective strength, force consolidation and reduce long
term residual settlements.
Vacuum AI Use of a vacuum instead of surcharge in advance of EN 15237
consolidation construction, generally on soft cohesive soils, to force
accelerated consolidation and accelerated groundwater
pressure dissipation during construction in order to
reduce overall programme and to reduce residual long-
term settlements.
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Method Technique Class Description Execution
Standard
Mixing Methods Dry methods AI, Mechanical disaggregation of soils while introducing a dry EN 14679
AII binder pneumatically (commonly cement and lime). Most
usually executed in highly compressible fine grained soil.
Land and marine applications possible to considerable
depths.
Wet methods AI Mechanical disaggregation of soils while introducing a EN 14679
fluid binder. Generally more universal than the dry
system, which can be executed in various types of soil.
Land and marine applications possible to considerable
depths.
Jet grouting AII Hydraulic disaggregation of soils using high velocity jets. EN 12716
Table I.2 — Examples of discrete ground improvement techniques
Method Technique Class Description Execution
Standard
Mixing Dry methods BI, Mechanical disaggregation of soils while introducing a dry binder EN 14679
Methods BII pneumatically (commonly cement and lime). Most usually executed in
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
highly compressible fine grained soil. Land and marine application
possible to considerable depths.
Wet methods BI, Mechanical disaggregation of soils while introducing a fluid binder. EN 14679
BII Generally more universal than the dry system, which can be executed
in various types of soil. Land and marine applications possible to
considerable depths.
Jet grouting BII Hydraulic disaggregation of soils using high velocity jets. EN 12716
Coarse Stone BI Compacted stone columns are created in the ground to form a EN 14731
Inclusions columns/ composite ground with the surrounding soil. Most often used in soft
Vibro- cohesive soils but in coarse soils as well to improve strength and
replacement stiffness of the overall system and accelerate drainage with possible
densification of the surrounding soil depending on the soil type. Land
and marine based rigs available to considerable depths.
Sand BI Compacted sand columns are created in the ground to form a EN 14731
columns/ composite ground with the surrounding soil. Most often used in soft
Sand cohesive soils but in coarse soils as well to improve strength and
compaction stiffness of the overall system and accelerate drainage with possible
piles densification of the surrounding soil depending on the soil type. Land
and marine based rigs available to considerable depths.
Dynamic BI The use of dynamic compaction to drive bulbs of coarse material into None
replacement soft soils thereby both improving the soil by the dynamic compaction
and the introduction of competent coarse piers. Most often used in
soft cohesive soils to improve strength and stiffness of the overall
system and accelerate drainage. Land and marine based rigs
available.
Geosynthetics BI Stone or sand columns, encased in a geotextile casing, formed in very None
encased soft soils where the lateral restraint is too small to prevent very
columns significant column bulging. The geotextile casing provides support to
the columns and prevents excessive bulging under load. Land and
marine based rigs available to significant depths.
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Method Technique Class Description Execution
Standard
Steel/Timber Vibrated BII Rigid inclusions of steel or timber vibrated into the ground, with EN 12699
Inclusions possible densification effort to the existing ground, to form a
composite ground and providing support to the structure above
through load distribution between the soil and inclusions. Land and
marine based rigs available to considerable depths.
Bored BII Rigid inclusions of steel or timber are bored into the ground, None
sometimes with associated compaction effort, to form a composite
ground and providing support to the structure above through load
distribution between the soil and inclusions. Land and marine based
rigs available to considerable depths.
Driven BII Rigid inclusions of steel or timber driven into the ground, causing EN 12699
some densification, to form a composite ground and providing
support to the structure above through load distribution between the
soil and inclusions. Land and marine based rigs available to
considerable depths.
Concrete/ Vibrated BII An improvement method whereby columns of concrete or mortar are prEN 14731
Grout concrete backfilled in the ground during withdrawal of a vibrating pipe or
Inclusions columns poker shaft/probe to form a composite ground with various types of
soil, providing support to the structure above through load
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
distribution between the soil and inclusions with possible
densification effort to the existing ground depending on the soil type.
Bored BII An improvement method whereby columns of concrete or mortar are None
backfilled in the ground during withdrawal of a boring auger to form
a composite ground with various type of soil, providing support to the
structure above through load distribution between the soil and
inclusions sometimes with associated compaction effort to the
existing ground.
Displacement BII An improvement method whereby columns of concrete, mortar or None
Auger grout are backfilled in the ground during withdrawal of a
displacement auger to form a composite ground with various types of
soil, providing support to the structure above through load
distribution between the soil and inclusions. The material can be
backfilled mixed with water or as a dry material using the
groundwater for curing and developing strength.
Driven BII An improvement method whereby columns of concrete or mortar are None
backfilled in the ground during withdrawal of a driven pipe to form a
composite ground with various type of soil, providing support to the
structure above through load distribution between the soil and
inclusions and possible densification effort to the existing ground
depending on the soil type.
Grouted BII An improvement method whereby compacted and grouted stone EN 12699
stone columns are created in ground to form a composite ground with the
columns surrounding soil. Providing support to the structure above through
load distribution between the soil and inclusions and possible
densification effort to the existing ground depending on the soil type.
Land and marine based rigs available to considerable depths.
Compaction BII Injection of grout into a host medium or ground in such a manner as EN 12715
grouting to deform, compress, or displace the ground and form an inclusion.
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EN 1997-3:2025 (E)
I.4 Use of stress envelope to determine acceptable limit states
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When the design is based on the explicit calculation of the principal stresses it shall be verified that
the design values of the principal stresses do not exceed the stress envelope defined in Figure I.1.
For Class BII ground improvement inclusions subjected to eccentric loading, resulting stresses
within the cross section shall be verified to be within the stress envelope given in Figure I.1.
When the design is not based on the explicit calculation of principal stresses, the design value of the
normal stresses and of the shear stresses shall not exceed 0,7 qud and 0,2 qud respectively.
NOTE 1 Explicit calculation means that normal stresses and shear stresses are verified together by calculating
the resulting principal stresses and comparing them with the stress envelope.
NOTE 2 Figure I.1 illustrates the allowable stresses in Class II ground improvement material with unconfined
compressive strength.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 envelope for allowed states of stress
2 examples for states of stress σ1, σ3, allowed
3 state of stress in a uniaxial compression test: σ3 = 0, σ1 =qud
ϕd (strengthened soil) = ϕ′d (unimproved soil)
tan ϕd = tan ϕk ⁄ γϕ
Figure I.1 — Allowable stresses in Class II ground improvement material with unconfined
compressive strength
I.5 Calculation models for reinforced load transfer platform over discrete
inclusions
(1) The load transfer platform and the possible reinforcements should be designed to transfer the load
from the structure or the embankment to the improved ground.
NOTE 1 Figure I.2 gives a schematic concept of a load transfer platform over discrete inclusions.
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EN 1997-3:2025 (E)
NOTE 2 Examples of calculation methods are the following:
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— Hewlett and Randolph method (detailed information about the Hewlett and Randolph method can be found in
BS 8006-1);
— EBGEO method (details of the calculation procedure can be found in EBGEO);
— Concentric Arches method (Details of the calculation procedure can be found in CUR 226); and
— ASIRI method (see ASIRI recommendations).
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 load transfer platform
2 arching effect
3 reinforcement (if applicable)
4 cap (if applicable)
5 discrete inclusion
Figure I.2 — Schematic concept of a reinforced load transfer platform over discrete inclusions
I.6 Indicative range for the strength development of Class II improved ground
material over time
NOTE Indicative values of ηt as a function of the time is given in Figure I.3.
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EN 1997-3:2025 (E)
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or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
Key
1 Cement/cement-slag (FHWA Design Manual 2013)
2 EN 1992-1-1 Class CR cement fc,k < 35 MPa
3 EN 1992-1-1 Class CN cement fc,k < 35 MPa
4 EN 1992-1-1 Class CS cement fc,k < 35 MPa
5 Sand-cement (BBRI/SBRCURnet, 2017)
6 Loam-cement (BBRI/SBRCURnet, 2017)
Figure I.3 — Range of strength development of Class II ground improvement material over time
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Annex J
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(informative)
Groundwater control measures
J.1 Use of this annex
This informative annex provides complementary guidance to that given in Clause 13 for
groundwater control measures.
NOTE National choice on the application of this Informative Annex is given in the National Annex. If the
National Annex contains no information on the application of this informative annex, it can be used.
J.2 Scope and field of application
(1) This informative annex gives examples of groundwater control measures.
J.3 Examples of groundwater control measures
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
NOTE Table J.1 gives examples of groundwater control measures.
Table J.1 — Examples of groundwater control measures
Class Measures Examples
1 Impermeable barriers a Sheet pile, grouting, plastic and geosynthetic barriers, ground
freezing, vertical and horizontal diaphragm walls.
2 Reduction of hydraulic Grouting, soil mixing, use of natural clay layer.
conductivity
3 Dewatering/infiltration Drains, wells and other dewatering systems.
a The term “impermeable” is project specific. A project defined low value of the hydrualic conductivity is considered as
impermeable.
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Annex K
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(informative)
Thermoactive geostructures design
K.1 Introduction
Thermoactive geostructures can be used both as geotechnical structures (e.g. deep foundations,
retaining walls or tunnel lining elements) and as heat exchangers.
Thermoactive geostructures can satisfy, fully or partially, both the heating and cooling demand of
buildings and other structures.
Heat exchangers are connected to a ground source heat pump.
A heat exchanger consists of a series of tubes, which are normally:
— fixed on the reinforcing steel cages of the foundation, diaphragm walls, or tunnel lining elements
and embedded in the concrete or grout; and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— directly fixed to steel profiles.
K.2 Design principles
(1) The design of thermoactive geostructures includes thermal, geotechnical, and structural aspects.
(2) Heat transfer between the ground and the thermoactive geostructure is assessed based on the energy
needs (i.e the energy demand for heating and cooling) and includes calculation of the:
— temperature of the ground;
— temperature of the geostructure;
— thermal power exchanged between the ground and the geostructure; and
— inlet and outlet temperature of the heat exchanger.
(3) Assessment of the interaction between the ground and the thermoactive geostructure, owing to
potential alternate heating and cooling phases, involves:
— thermally-induced displacements of the geostructure;
— additional structural forces in the geostructure owing to its movement being constrained by the
surrounding ground and the supported structure; and
— variations in the bearing resistance of piles or the earth pressures against retaining structures.
(4) Measures are normally taken to prevent freezing of the ground around the thermoactive geostructure.
(5) Inherent leakages from heat exchanger tubes can result in a loss of thermal efficiency.
336
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K.3 Ground investigation
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The following ground parameters are used in the design of thermoactive geostructures:
— thermal conductivity;
— volumetric heat capacity; and
— coefficient of thermal expansion, typically in the longitudinal direction.
The following groundwater parameters are used in the design of thermoactive geostructures:
— groundwater flow velocity;
— flow direction; and
— interaction between groundwater and existing structures.
NOTE Many criteria based on the groundwater velocity exist to estimate the potential heat transfer.
In situ and laboratory tests to obtain appropriate ground and groundwater parameters are given in
EN 1997-2:2024, Clause 12.
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
K.4 Thermal design
The thermal design of thermoactive geostructures normally considers conduction but can also
consider advection.
Thermal interactions between a thermoactive geostructure and its environment include interaction
with:
— the atmosphere, especially seasonal temperature variations;
— the surrounding air when one side of the geostructure is not in contact with the ground (for
example, the diaphragm walls of a metro station); and
— adjacent thermally-activated structures and utilities (e.g. district heating pipes, high-voltage power
lines).
337
NBN EN 1997-3:2025
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K.5 Geotechnical and structural design
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Geotechnical structures are potentially subject to a range of thermally-induced effects, including
those listed in Table K.1.
Table K.1 — Typical thermally-induced effects on geotechnical structures
Type of geotechnical Typical thermally-induced effects
structure
Piles and barrettes — additional vertical head displacement
— additional normal force
— mobilized axial resistance (potential mobilised tensile resistance for
piles working in tension)
Diaphragm walls — additional vertical and horizontal displacement of the retaining wall
— additional normal force, shear forces and bending moments
— mobilized passive pressure and axial resistance
— additional forces in connected elements (struts, anchors, slabs, etc.)
Tunnel segments — additional rim force during heating and cooling phases
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
— additional bending moments.
NOTE Thermally induced effects differ according to the mode of heat transfer (heating or cooling).
The mechanical effects induced by the temperature variations into the thermoactive geostructures
are normally calculated by one of two alternative procedures:
— procedure 1, in which temperature variations from the thermal design are considered directly in
the mechanical design; or
— procedure 2, in which temperature variations and their mechanical effects are assessed by
performing a coupled thermo-mechanical calculation, in which the energy needs of the building are
explicitly considered.
Temperature actions can be combined using combination factors given in EN 1990.
Calculation models used to assess the mechanical effects of temperature variations also take into
account soil-structure interaction.
K.6 Execution
Specific procedures are needed to fix heat exchanger tubes onto steel cages or profiles or to embed
the tubes within the energy geostructures.
338
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Bibliography
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References given in recommendations (i.e. “should” clauses)
The following documents are referred to in the text in such a way that some or all of their content
constitutes highly recommended choices or course of action of this document. Subject to national
regulation and/or any relevant contractual provisions, alternative documents could be used/adopted
where technically justified. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.
EBGEO, Recommendations for design and analysis of earth structures using geosynthetic reinforcements,
(English Translation). Deutsche Gesellschaft für Geotechnik, Ernst & Sohn, München, Germany,
2011
prEN 10138 (all parts), Prestressing steels
EN 15237, Execution of special geotechnical works — Vertical drainage
EN 15258, Precast concrete products — Retaining wall elements
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 16907-5, Earthworks — Part 5: Quality control
EN ISO 13793, Thermal performance of buildings — Thermal design of foundations to avoid frost heave
(ISO 13793)
EN ISO 14689, Geotechnical investigation and testing — Identification, description and classification of rock
(ISO 14689)
References given in permissions (i.e. “may” clauses)
The following documents are referred to in the text in such a way that some or all of their content
expresses a course of action permissible within the limits of the Eurocodes. For dated references, only
the edition cited applies. For undated references, the latest edition of the referenced document (including
any amendments) applies.
EN 10210 (all parts), Hot finished steel structural hollow sections
EN 10219 (all parts), Cold formed welded steel structural hollow sections
EN ISO 9223:2012, Corrosion of metals and alloys — Corrosivity of atmospheres - Classification,
determination and estimation (ISO 9223:2012)
ISO/TS 13434, Geosynthetics — Guidelines for the assessment of durability
References given in possibilities (i.e. “can” clauses) and notes
The following documents are cited informatively in the document, for example in “can” clauses and in
notes.
prEN 1990-2, Eurocode — Basis of structural and geotechnical design — Part 2: Assessment of existing
structures
339
NBN EN 1997-3:2025
EN 1997-3:2025 (E)
prEN 1994-1-1:2024, Eurocode 4 — Design of composite steel and concrete structures — Part 1-1: General
©2025 NBN. This document is protected by copyright, and licensed by NBN to Tractebel - India - Shubham AGRAWAL. Tractebel - India - Shubham AGRAWAL undertakes not to reproduce
rules and rules for buildings
EN 1998 (all parts), Eurocode 8 — Design of structures for earthquake resistance
FprEN 1998-5:2024, Eurocode 8 — Design of structures for earthquake resistance — Part 5: Geotechnical
aspects, foundations, retaining and underground structures
ISO 6707-1, Buildings and civil engineering works — Vocabulary — Part 1: General terms
EN 12390-2, Testing hardened concrete — Part 2: Making and curing specimens for strength tests
EN 12504-1, Testing concrete in structures — Part 1: Cored specimens — Taking, examining and testing in
compression
EN ISO 12958-1, Geotextiles and geotextile-related products — Determination of water flow capacity in
their plane — Part 1: Index test (ISO 12958-1)
EN ISO 12958-2, Geotextiles and geotextile-related products — Determination of water flow capacity in
their plane — Part 2: Performance test (ISO 12958-2)
EN 13369, Common rules for precast concrete products
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
EN 14081-1, Timber structures — Strength graded structural timber with rectangular cross section — Part
1: General requirements
EN 14488 (all parts), Testing sprayed concrete
EN 14731, Execution of special geotechnical works — Ground treatment by deep vibration
EN 16907 (all parts), Earthworks
EN ISO 10321, Geosynthetics — Tensile test for joints/seams by wide-width strip method (ISO 10321)
EN ISO 19901-4, Petroleum and natural gas industries — Specific requirements for offshore structures —
Part 4: Geotechnical and foundation design considerations (ISO 19901-4)
prEN ISO 22477-6, Geotechnical investigation and testing — Testing of geotechnical structures — Part 6:
Load testing of soil nails and rock bolts
ISO/TS 20432:2022, Guidelines for the determination of the long-term strength of geosynthetics for soil
reinforcement
ASIRI. (2012), Recommendations for the design, construction and control of rigid inclusion ground
improvements (English Translation), Presse de Ponts. ISBN 978-2859784706
BBRI/SBRCURnet (2017), Handbook – Soil mix walls. Design and execution. CRC Press. ISGN 978-90-5367-
641-7.
Bishop A.W. (1954), The use of the slip circle in the analysis of slopes, Géotechnique, Vol 5, (1965) Proc.
Europ. conf. on stability of earth slopes., Stockholm, Vol. I, pp 1-14
Bjerrum L., Eide O. Stability of strutted excavations in clay. Geotechnique. 1956, 6 (1) pp. 32–47
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EN 1997-3:2025 (E)
Brinch Hansen J. (1961): The Ultimate Resistance of Rigid Piles Against Transversal Forces, Geoteknisk
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Institut, Copenhagen, Bulletin No. 12
BS 8006-1, Code of practice for strengthened/reinforced soils and other fills
BS 8006-2, Code of practice for strengthened/reinforced soils. Soil nail design
Coulomb C.A. Essai sur une application des regles des maximis et minimis a quelquels problemesde
statique relatifs, a la architecture. Mem. Acad. Roy. Div. Sav. 1776, 7 pp. 343–387
Cullman K. Die graphiscehe statik. Verlag van Meyer & Zeller, Zürich, 1866
CUR226 van Eekelen. S.J.M. and Brugman, M.H.A. editors (2016), Design guideline basal reinforced piled
embankments (CUR226). CRC press, Delft, the Netherlands (English translation). ISBN
9789053676240
Goodman R.E., Shi G. Block theory and its application to rock engineering. Prentice-Hall, Englewood Cliffs,
NJ, 1985
DIN 4084:2009-01, Baugrund – Geländebruchberechnungen. Berlin: Beuth Verlag
FHWA (2013), Federal Highway Administration Design Manual: Deep mixing for embankment and
or publish its contents either wholly or partly, nor make it available either temporarily or permanently to third parties.
foundation support. Publication no FHWA-HRT-13-046
Fredlund D.G., Krahn J. Comparison of slope stability methods of analysis. Can. Geotech. J. 1977, 29 (3)
Froelich O.H. The factor of safety with respect to sliding of soil along the arc of a logarithmic spiral. Proc. of
the 3rd ICSMFE Conference, Vol. 2, Switzerland (1953)
Janbu N. Application of composite slip surfaces for stability analysis. Proc. Europ. conf. on stability of earth
Slopes., 1954 Stockholm, Vol. 3, pp 43-49 (1955)
Kérisel J., Absi E. Active and passive earth pressure tables. A.A. Balkema, Rotterdam, Third Edition, 1990
L’Herminier R., Absi E. Equilibre limite d’un coin dans un milieu non pesant Cahier de la Recherche. Eyrolles,
1962
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Morgenstern, (1964) The limit equilibrium method of slope stability analysis. PhD thesis, Imperial College
Morgenstern N.R., Price V.W. The analysis for the stability of general slip surfaces. Geotechnique. 1965, 15
pp. 79–93
NF P 94 270 Calcul géotechnique - Ouvrages de soutènement - Remblais renforcés et massifs en sol cloué.
Poisel, R., and Preh, A. (2004), Rock slope initial failure mechanisms and their mechanical models, Felsbau
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EN 1997-3:2025 (E)
Schmertmann J.H. Static cone to compute static settlement over sand. J. Soil Mech. Found. Div. 1970,
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96 (SM3) pp. 1011–1043
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342
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