Sunteți pe pagina 1din 108

CEN/TC 250

Date: 2017-10

prEN EN 1997-1:2017
CEN/TC 250

Secretariat: NEN

Eurocode 7: Geotechnical design — Part 1: General rules


Eurocode 7: Entwurf, Berechnung und Bemessung in der Geotechnik — — Teil 1: Teil 1: Allgemeine Regeln

Eurocode 7: Calcul géotechnique — — Partie 1 : Partie 1: Régles

ICS:

Document type: European Standard


Document subtype: Working Document
Document stage: v2 30/10/2017
Document language: E
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Contents
Page

Introduction .................................................................................................................................................................... 6
European foreword....................................................................................................................................................... 7
National annex for EN 1997-1 ................................................................................................................................... 8
1 Scope .................................................................................................................................................................... 9
1.1 Scope of EN 1997 ............................................................................................................................................. 9
1.2 Scope of EN 1997 part 1 ................................................................................................................................ 9
1.3 Assumptions................................................................................................................................................... 10
2 Normative references ................................................................................................................................. 11
3 Terms, definitions and symbols .............................................................................................................. 13
3.1 Terms and definitions common to all Eurocodes ............................................................................. 13
3.2 Terms and definitions specific for EN 1997-1 ................................................................................... 13
General ............................................................................................................................................................. 13
Actions and resistance ............................................................................................................................... 15
Verification methods .................................................................................................................................. 15
Analysis and models.................................................................................................................................... 16
Limit states ..................................................................................................................................................... 16
Groundwater.................................................................................................................................................. 17
Execution ......................................................................................................................................................... 17
3.3 Symbols and abbreviations ...................................................................................................................... 19
Latin letters .................................................................................................................................................... 19
Greek letters .................................................................................................................................................. 20
Abbreviations ................................................................................................................................................ 20
4 Basis of design ............................................................................................................................................... 22
4.1 Requirements ................................................................................................................................................ 22
Basic requirements ..................................................................................................................................... 22
Geotechnical reliability .............................................................................................................................. 22
Consequences of failure ............................................................................................................................. 23
Robustness...................................................................................................................................................... 24
Design working life ...................................................................................................................................... 24
Durability ........................................................................................................................................................ 24
Sustainability ................................................................................................................................................. 25
Quality management ................................................................................................................................... 25
4.2 Principles of limit state design ................................................................................................................ 27
General ............................................................................................................................................................. 27
Design situations .......................................................................................................................................... 27
4.3 Basic variables .............................................................................................................................................. 27
Actions and environmental influences................................................................................................. 27
Material and product properties ............................................................................................................ 29
Geometrical data .......................................................................................................................................... 30
4.4 Geotechnical analysis and design assisted by testing ..................................................................... 30
4.5 Verification by the partial factor method............................................................................................ 31
4.6 Verification by prescriptive measures ................................................................................................. 31
4.7 Verification assisted by or directly by testing ................................................................................... 31

2
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

4.8 Verification by the Observational Method .......................................................................................... 32


5 Materials .......................................................................................................................................................... 33
5.1 General ............................................................................................................................................................. 33
5.2 Soils .................................................................................................................................................................... 34
Weight density ............................................................................................................................................... 34
Shear strength................................................................................................................................................ 34
Stiffness, compressibility and swelling................................................................................................. 34
Creep ................................................................................................................................................................. 35
Consolidation ................................................................................................................................................. 36
Permeability ................................................................................................................................................... 36
5.3 Rocks and rock masses ............................................................................................................................... 36
Strength ............................................................................................................................................................ 36
Stiffness ............................................................................................................................................................ 36
Shear strength of joints in rock mass .................................................................................................... 37
Permeability ................................................................................................................................................... 37
5.4 Fill and reconstituted ground .................................................................................................................. 37
5.5 Geotextiles and geosynthetics.................................................................................................................. 38
5.6 Concrete ........................................................................................................................................................... 38
5.7 Grout.................................................................................................................................................................. 38
5.8 Steel ................................................................................................................................................................... 39
5.9 Timber .............................................................................................................................................................. 39
5.10 Masonry............................................................................................................................................................ 39
5.11 Pipes .................................................................................................................................................................. 39
6 Groundwater .................................................................................................................................................. 41
6.1 General ............................................................................................................................................................. 41
Design considerations................................................................................................................................. 41
Density .............................................................................................................................................................. 41
Chemistry......................................................................................................................................................... 42
6.2 Water levels .................................................................................................................................................... 42
6.3 Groundwater pressures ............................................................................................................................. 42
General ............................................................................................................................................................. 42
Characteristic values of groundwater pressures .............................................................................. 42
Design values of groundwater pressures for ultimate limit state design ................................ 42
Design values of groundwater pressures for serviceability limit state design ...................... 43
6.4 Groundwater in freezing conditions...................................................................................................... 44
7 Geotechnical analysis .................................................................................................................................. 46
7.1 Calculation models ....................................................................................................................................... 46
General ............................................................................................................................................................. 46
Empirical models .......................................................................................................................................... 47
Limit equilibrium methods ....................................................................................................................... 47
Limit analysis methods ............................................................................................................................... 47
Numerical methods ...................................................................................................................................... 47
7.2 Model factors .................................................................................................................................................. 50
8 Ultimate limit states .................................................................................................................................... 51
8.1 General ............................................................................................................................................................. 51
8.2 Types of ultimate limit states ................................................................................................................... 51
Failure by rupture ........................................................................................................................................ 51
Failure of ground by excessive deformation ...................................................................................... 52
Loss of static equilibrium of the structure or ground ..................................................................... 52
Hydraulic failure – Seepage of water ..................................................................................................... 53
Failure caused by time-dependent effects........................................................................................... 59

3
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Failure caused by fatigue........................................................................................................................... 59


Other limit states .......................................................................................................................................... 59
8.3 Verification by the partial factor method............................................................................................ 59
General ............................................................................................................................................................. 60
Design cases for geotechnical structures ............................................................................................ 61
Design values of the effects of actions .................................................................................................. 62
Design values of resistance....................................................................................................................... 62
Design values of material properties .................................................................................................... 63
Application of partial factors when using numerical methods ................................................... 65
9 Serviceability limit states .......................................................................................................................... 66
9.1 General ............................................................................................................................................................. 66
9.2 Overall ground movements ...................................................................................................................... 66
9.3 Structural serviceability limit states..................................................................................................... 67
10 Execution ......................................................................................................................................................... 68
10.1 General ............................................................................................................................................................. 68
10.2 Execution Classes ......................................................................................................................................... 68
10.3 Supervision of design implementation during construction ....................................................... 69
General ............................................................................................................................................................. 69
Supervision Plan ........................................................................................................................................... 69
Assessment of the design........................................................................................................................... 70
10.4 Inspection and control of execution ...................................................................................................... 71
10.5 Monitoring ...................................................................................................................................................... 72
10.6 Maintenance ................................................................................................................................................... 74
11 Testing.............................................................................................................................................................. 75
11.1 General ............................................................................................................................................................. 75
11.2 Design verification by testing .................................................................................................................. 75
General ............................................................................................................................................................. 75
Types of tests ................................................................................................................................................. 76
Planning of tests ........................................................................................................................................... 76
Test evaluation.............................................................................................................................................. 76
12 Reporting ........................................................................................................................................................ 77
12.1 General ............................................................................................................................................................. 77
12.2 Ground Investigation Report ................................................................................................................... 77
12.3 Geotechnical Design Report ..................................................................................................................... 78
General information.................................................................................................................................... 78
Ground properties and Geotechnical Design model ....................................................................... 78
Basic parameters.......................................................................................................................................... 80
Verification methods .................................................................................................................................. 80
Plan of supervision, inspection, monitoring, and maintenance .................................................. 80
12.4 Geotechnical Test Report .......................................................................................................................... 81
12.5 Geotechnical Feedback Report................................................................................................................ 81
(Normative) Partial factors for geotechnical structures ............................................................ 83
(Informative) Characteristic value assessment procedures ..................................................... 85
B.1 General ............................................................................................................................................................. 85
B.1.1 Sources of uncertainty affecting geotechnical material properties .......................................... 85
B.1.2 Characteristic value assessment procedures..................................................................................... 86
B.2 Assessment Procedure 1 ........................................................................................................................... 87
B.3 Assessment Procedure 2 ........................................................................................................................... 88
B.4 Assessment Procedure 3 ........................................................................................................................... 89
(Informative) Limiting values of structural deformation and ground movement ............ 91

4
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Informative) Checklist for construction supervision and performance monitoring...... 97


D.1 General ............................................................................................................................................................. 97
D.2 Construction supervision .......................................................................................................................... 98
D.2.1 General items to be included .................................................................................................................... 98
D.2.2 Water flow and pore-water pressures .................................................................................................. 98
D.3 Performance monitoring ........................................................................................................................... 98
(Informative) Reporting, additional guideline ............................................................................ 101
E.1 General .......................................................................................................................................................... 101
E.2 Guideline for minimum content ........................................................................................................... 101
E.3 Ground Investigation Report ................................................................................................................. 102
E.4 Geotechnical Design Report ................................................................................................................... 103
E.5 Geotechnical Test Report ........................................................................................................................ 104
E.6 Geotechnical Feedback Report ............................................................................................................. 104
(Informative) Ground properties...................................................................................................... 105
(Informative) Qualification and professional experience ....................................................... 107

5
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Introduction

This document (prEN 1997-1:20xx) has been prepared by project team M515.SC7.T2.

This document is a working document, which was delivered to NEN on 2017-10-31

Motive/references for the alterations of the text have been submitted in a separate document, dated
2017-10-31. Title: M515.SC7.T2 prEN1997-1:200xx (E) Draft 2017-October Reference.

This separate reference document has the following content:

- Major alterations of the text since the April draft based on received comments.

- Motive/reference for the alteration of the text

- List of deleted clauses from previous version of EN 1997-1

- List of National choices

- List of references to EN 1997-3 and EN 1997-2

A common foreword, structure and content is to be agreed by CEN/TC 250.

<Drafting note: The agreed common foreword will be included in draft schedule for April 2018 >

6
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

European foreword

A common foreword, structure and content is to be agreed by CEN/TC 250.

<Drafting note: The agreed common foreword will be included in the draft scheduled for April 2018. >

7
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

National annex for EN 1997-1

This standard gives values with notes indicating where national choices may be made. Therefore, the
national standard implementing EN XXXX-X-X can have a National annex containing all Nationally
Determined Parameters to be used for the geotechnical aspects of design of buildings and civil
engineering works to be constructed in the relevant country.

National choice is allowed in EN 1997-1 through the following clauses:

<Drafting note: This list is compiled based on the content of the October draft>

4.1.2.3(2), 4.1.3, 4.1.8, 4.3.2 (10), 4.6

6.3.3 (1), 6.3.3 (2),

7.1.1 (7), 7.2 (1)

8.2.3.2 (4), 8.2.4.2.2 (2), 8.2.4.2.2 (5), 8.2.4.3 (4), 8.3.5 (1), 8.3.5 (2), 8.3.5 (3), 8.3.5 (4), 8.3.5 (5), 8.3.5
(6)

9.1 (2)

10.2 (5)

12.3 (4)

B.2 (1), B.2 (2)

G (2)

8
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

1 Scope
1.1 Scope of EN 1997

<Drafting note: This might be replaced by standard text from TC250>

EN 1997 is intended to be used in conjunction with EN 1990, which establishes the principles and
requirements for safety and serviceability, describes the basis of design and verification and gives
guidelines for related aspects of structural reliability. <EN 1997-1 1.1.1(1)>

EN 1997 is intended to be applied to the geotechnical aspects of the design of buildings and civil
engineering works. <EN 1997-1 1.1.1(2)>

EN 1997 is concerned with the requirements for strength, stability, serviceability and durability of
geotechnical structures. <EN 1997-1 1.1.1(3)>

Numerical values of actions on buildings and civil engineering works to be taken into account in
design are provided in EN 1991 for the various types of construction. <EN 1997-1 1.1.1(4)>

Actions imposed by the ground, such as earth pressures, shall be calculated according to the rules
of EN 1997. <EN 1997-1 1.1.1(4)>

Separate European Standards are intended to be used to treat matters of execution and
workmanship. They are denoted in the relevant sections. <EN 1997-1 1.1.1(5)>

In EN 1997 execution is covered to the extent that is necessary to comply with the assumptions of
the design rules. <EN 1997-1 1.1.1(6)>

EN 1997 does not cover the special requirements of seismic design. EN 1998 provides additional
rules for geotechnical seismic design, which complete or adapt the rules of this Standard. <EN
1997-1 1.1.1(7)>

1.2 Scope of EN 1997 part 1


EN 1997-1 includes the general rules to be applied to the geotechnical aspects of the design of
buildings and civil engineering works <EN 1997-1 1.1.2(1):Rephrased>

The following subjects are dealt with in EN 1997-1:


Clause 3: Terms, definitions and symbols
Clause 4: Basis of design
Clause 5: Materials
Clause 6: Groundwater
Clause 7: Geotechnical analysis
Clause 8: Ultimate limit states
Clause 9: Serviceability limit states
Clause 10: Execution
Clause 11: Testing
Clause 12: Reporting. <EN 1997-1 1.2(2)>
<Drafting note: Revised based on latest version from TC 250 document.>

EN 1997-1 is accompanied by Annexes A to G, which provide:


− in A: partial factor values;
− in B to F: supplementary informative guidance <EN 1997-1 1.1.2(3)>

9
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<Drafting note: Annex A might be deleted in the final version>

EN 1997 also includes the following parts:


− EN 1997-2 which provides requirements for assessment of ground properties from ground
investigation.
− EN 1997-3 which provides specific requirements for the design of particular geotechnical
structures. <EN 1997-1 1.1.3(1): Rephrased>

1.3 Assumptions
The assumptions of EN 1990 also apply to EN 1997. <EN 1997-1 1.3(1): Rephrased>

The provisions of this standard are based on the additional assumptions given below:
− data required for design are collected, recorded and interpreted by appropriately qualified and
experienced personnel;
− structures are designed by appropriately qualified and experienced personnel;
− adequate continuity and communication exist between the personnel involved in data-
collection, design and construction;
− adequate supervision and quality control are provided in factories, in plants, and on site;
− execution is carried out according to the relevant standards and specifications by personnel
having the appropriate skill and experience;
− construction materials and products are used as specified in this standard or in the relevant
material or product specifications;
− the structure will be adequately maintained to ensure its safety and serviceability for the
designed service life;
− the structure will be used for the purpose defined for the design. <EN 1997-1 1.3(2)>

<Drafting note: The assumptions above will be reformulated to ensure that they are coherent with the
list in EN 1990. Those assumptions that are in the final draft from EN 1990, will be excluded from EN
1997)

10
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

2 Normative references
<Drafting note: This list of normative references will be updated in the final draft, with the correct titles.

The version included is from previous version of EN 1997 with minor adjustments, such as removing
standards not used in EN 1997-1.>

This European Standard incorporates by dated or undated reference, provisions from other
publications. These normative references are cited at the appropriate places in the text and the
publications are listed hereafter. For dated references, subsequent amendments to or revisions of
any of these publications apply to this European Standard only when incorporated in it by
amendment or revision. For undated references the latest edition of the publication referred to
applies (including amendments). <EN 1997-1 1.2(1)>

NOTE The Eurocodes were published as European Prestandards. The following European Standards which are
published or in preparation are cited in normative clauses
EN 1990 Eurocode: Basis of structural and geotechnical design
EN 1991 Eurocode 1 Actions on structures
EN 1991-4 Eurocode 1 Actions on structures - Part 4 Actions in silos and tanks
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 1997-2 Eurocode 7 Geotechnical design - Part 2: _Ground investigation
EN 1997-3 Eurocode 7 Geotechnical design - Part 3: Design of geotechnical structures
EN 1998 Eurocode 8 Design of structures for earth quake resistance
EN 1999 Eurocode 9 Design of aluminium and aluminium alloy structures
EN 13251:2016 - Geotextiles and geotextile-related products - Characteristics required for use
in earthworks, foundations and retaining structures
ISO 10318-1:2015 Geosynthetics Terms and definitions
ISO 10318-2: 2015 Geosynthetics Symbols and pictograms
prEN 16907 Earthworks (Correct title to be added, check reference)
EN 206 Concrete - Specification, performance, production and conformity
EN 14487 Sprayed concrete (Correct title to be added, check reference)
EN 10080 Steel for the reinforcement of concrete
EN 447 Grout for prestressing tendons – basic requirements
EN 445 Grout for prestressing tendons - Test methods
EN 10025 Hot rolled steel (Correct title to be added, check reference)
EN 10219 Cold formed hollow steel (Correct title to be added, check reference)

11
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

EN 1537 Execution of special geotechnical works - Ground anchors


EN 335 Timber (Correct title to be added, check reference)
EN 350 Timber (Correct title to be added, check reference)
EN 771 Masonry units (Correct title to be added, check reference)
EN 295 Pipes (Correct title to be added, check reference)
EN 1916 Pipes (Correct title to be added, check reference)
EN 1401 Pipes (Correct title to be added, check reference)
EN 1852 Pipes (Correct title to be added, check reference)
EN 12666 Pipes (Correct title to be added, check reference)

12
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

3 Terms, definitions and symbols


3.1 Terms and definitions common to all Eurocodes

(1) The terms and definitions that are common to all Eurocodes are given in EN 1990 3. <EN 1997-1
1.5.1(1)>

3.2 Terms and definitions specific for EN 1997-1


General

3.2.1.1
Ground
Soil, fill and rock in and around the site of the geotechnical structure <EN 1997-1 1.5.2.3: Rephrased>

3.2.1.2
Natural Ground
Soil and rock in and around the site of the geotechnical structure. <New OCT Draft>

3.2.1.3
Fill
anthropogenic soils placed with engineering control<EN ISO 14688>

3.2.1.4
Reconstituted ground
anthropogenic soils placed without engineering control <EN ISO 14688>

<Drafting note: In this October draft PT2 has included the definition of fill from EN ISO 14688, (version
for formal vote). It has however been argued that the definitions from BS8004 is clearer for the
purpose of EN 1997. Opinions on which to include in the final version are appreciated.

Engineered fill
engineered fill is material, that is placed with some degree of control to ensure that its geotechnical
properties conform to a predetermined specification. <BS 8004 Foundation>

Non-engineered fill
non-engineered fill is material that is dumped with little control and in deep lifts. It is often poorly
compacted and thus in a loose state and has varying geotechnical properties, both horizontally and
vertically. <BS 8004 Foundation> >

3.2.1.5
Rock mass
rock including its discontinuities. <New OCT>

3.2.1.6
Geotechnical structure
a structure that includes ground or a structural element that relies on the ground for resistance.

3.2.1.7
Ground properties
ground properties are the values of material parameters of geotechnical units

<Drafting note: this term is used instead of the term geotechnical parameters>

13
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

3.2.1.8
Ground parameters
include both ground properties and ground resistances

3.2.1.9
Derived value
value of a ground parameters obtained by theory, correlation or empiricism from test results <EN 1997-
1 1.5.2.5>

3.2.1.10
Characteristic value of a ground property
The characteristic value of a ground property is a cautious estimate of the value affecting the
occurrence of a limit state with an estimated confidence level of at least 95%.

3.2.1.11
Best estimate value of a ground property
The best estimate value of a ground property is an estimate of the most probable value affecting the
occurrence of a limit state.

3.2.1.12
Zone of influence
volume of ground which is affected, directly or indirectly, by the construction of the structure and that
conversely affects the behaviour of the structure itself.

NOTE to entry Definition derived from EN 1990

3.2.1.13
Geotechnical unit
a geotechnical unit is a volume of ground or a ground layer which is defined as a single material in a
Geotechnical Design Model.

3.2.1.14
Geotechnical Design Model
a Geotechnical Design model declares the geotechnical units present in the zone of influence, with
explicit indication of groundwater conditions, unit boundaries, discontinuities and other geometrical
features.

a Geotechnical Design model is a description of ground information for engineering design purposes,
and forms part of the design. <New: PT2 background paper 4>

NOTE to entry Different Geotechnical Design models can be specified for the same site using the same
information, if the design purpose is different.

3.2.1.15
Geotechnical Complexity Class
classification of a geotechnical structure on the basis of the complexity of the ground and ground-
foundation interaction,

NOTE to entry Different Geotechnical Complexity Class can be assigned to different geotechnical structures
and design situations within the same project.

14
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

3.2.1.16
Comparable experience
documented or other clearly established information related to the ground being considered in design,
involving the same types of ground and for which similar geotechnical behaviour is expected, and
involving similar structures. Information gained in similar geological and geotechnical conditions is
considered to be particularly relevant <EN 1997-1 1.5.2.2: Revised>

3.2.1.17
Overall stability
Failure in the ground by rupture involving a mechanism that comprises the whole geotechnical
structure. <New OCT>

Actions and resistance

3.2.2.1
Geotechnical action
action originating from the self-weight of the ground, or groundwater, or transmitted to the structure
through the ground or groundwater.

NOTE to entry From EN 1990 3.3.7


NOTE to entry an action entering the structural system as a geotechnical action, is a geotechnical action
through the whole system.
3.2.2.2
Ground resistance
capacity of the ground to withstand actions without failure

3.2.2.3
Ground Strength
mechanical property of the ground indicating its ability to resist actions, usually given in units of stress
<New OCT>

Verification methods

3.2.3.1
verification assisted by prescriptive measures
the use of prescribed rules in the design. <New>

NOTE to entry prescribed rules are generally conservative


3.2.3.2
Observational Method
a process of design that establish a preliminary design with designed solutions for expected variation to
be incorporated based on observation or monitoring during construction. <New OCT>

<Drafting note: Several different formulations of the definition have been considered. E.g. the definition
from CIRIA report. Opinions on which to include in the final version are appreciated.

The Observational Method in ground engineering is a continuous, managed, integrated, process of


design, construction control, monitoring and review that enables previously defined modifications to be
incorporated during or after construction as appropriate. All these aspects have to be demonstrably
robust. <New>

NOTE to entry Definition based on CIRIA Report 185, 1999 >

15
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

3.2.3.3
verification assisted by testing
testing of structure or structural element to verify design ground parameters. <New>

NOTE to entry e.g. geotechnical bearing capacity of piles and anchors, shear strength of lime-cement columns

3.3.3.4
verification by testing
testing performed to verify that the performance of the geotechnical structure (or part of the structure)
is within the acceptable limits. <New>

NOTE to entry include full-scale test or reduced scale tests

Analysis and models

3.2.4.1
Geotechnical Analysis
a procedure or algorithm for determination of effects of actions and resistance in the ground. <New>

NOTE to entry definition derived from EN 1990

3.2.4.2
Calculation Model for geotechnical analysis
a model used to transform actions, material properties, and geometry into action-effects and resistance.
<New>

NOTE to entry can be an empirical rule, analytical equation, statistical model or numerical model.

3.2.4.5
Numerical methods
Calculation methods involving numerical approximation to obtain solutions to complicated equations.

Note to entry: numerical methods include, but are not limited to, finite element, finite difference,
boundary element and discrete (distinct) element analysis methods, which typically employ an
incremental approach, and direct methods such as finite element limit analysis, beam-spring
approaches and discontinuity layout optimization. <New>

Limit states

3.2.5.1
Excessive deformation
Ultimate limit state in which the design criteria are expressed in terms of displacements and/or
deformations <New>

<Drafting note: Propose to include in EN 1990>

3.2.5.2
Rupture
Ultimate limit state involving strength exceedance in the ground and/or structural elements. <New>

3.2.5.3
Loss of static equilibrium
Ultimate limit state where the structure moves as a rigid body, where the ground strength is
insignificant in providing resistance. <New>

16
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

3.2.5.4
Hydraulic uplift
Ultimate limit state where at some level in the ground the water pressure below a structure or
impermeable soil layer exceeds the corresponding total vertical stress and the effects of resistances that
are beneficial to hold it down. <New>

3.2.5.5
Hydraulic heave
Ultimate limit state where the upwards groundwater flow seepage forces exceed the resisting weight of
soil, reducing the vertical effective stress to zero. <New>

3.2.5.6
Internal erosion
Ultimate limit state where transport of soil particles occurs usually by water seepage within a soil
stratum, at the interface of soil strata, at the interface between the soil and a structure, or within the
joints of a rock mass, which might result in a collapse of the soil structure <New>

3.2.5.7
Piping
Ultimate limit state, which is a particular form of internal erosion, where erosion begins at the surface,
then regresses until a pipe-shaped discharge tunnel is formed in the soil mass or between the soil and a
foundation or at the interface between cohesive and non-cohesive soil strata, resulting in collapse of the
soil structure when the upstream end of the eroded tunnel reaches the water source. <New>

Note to entry: Piping is sometimes referred to as regressive erosion

Groundwater

3.2.6.1
Free-water level
The free-water level is the level of water above a surface, usually consisting of ground.

3.2.6.2
Groundwater level
The groundwater level is the level of the phreatic surface in the ground or of the free water above the
ground surface.

Note to entry: The groundwater level corresponds to the level at which water would stand in an open
pit. <New>

3.2.6.3
Piezometric level
Piezometric level is the level to which water would rise in a standpipe designed to detect the pressure of water
at a point in the ground. <New>

Execution

3.2.7.1
Limit values
Value of material property, deformation or stress that define the exceedance of the limit state. <New>

17
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

3.2.7.2
Alarm values
Value of material property, deformation or stress that with agreed safety margin define the point at
which agreed action should be taken to avoid exceedance of the limit state. <New>

18
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

3.3 Symbols and abbreviations

<Drafting note: This list of symbols and abbrevations will be updated in the final draft. This list is a
preliminary list, that will be revised.>

For the purpose of EN 1997-1 the following symbols apply. <EN 1997-1 1.6(1)>

Latin letters

ad design value of geometrical data


anom nominal value of geometrical data
∆a change made to nominal geometrical data for particular design purposes
c cohesion intercept
c' cohesion intercept in terms of effective stress
cu undrained shear strength
cu;d design value of undrained shear strength
Ed design value of the effect of actions
Ed;EFA design value of the effect of action from Effect of Action Factoring Approach
Ed;MFA design value of the effect of action from Material Factoring Approach
Estb;d design value of the effect of stabilising actions
Edst;d design value of the effect of destabilising actions
Gdst;d design value of the destabilising permanent actions for uplift verification
Gstb;d design value of the stabilising permanent vertical actions for uplift verification
G´stb;d design value of the stabilising permanent vertical actions for heave verification (submerged
weight)
H horizontal load, or component of total action acting parallel to the foundation base
Hd design value of H
h water level for hydraulic heave
h' height of a soil prism for verifying hydraulic heave
hw;k characteristic value of the hydrostatic water head at the bottom of a soil prism
id is design value of hydraulic gradient
ic;d is design value of critical hydraulic gradient, where soil particles begin to move
K0 coefficient of earth pressure at rest
kn is a coefficient that depends on the number (n) of site-specific data used to estimate Xav
Pd design value of P
Qdst;d design value of the destabilising variable vertical actions for uplift verification
q′v,d is the design value of the overburden pressure at the ground surface (see (3)).
Rd design value of the resistance to an action
Sdst;d design value of the destabilising seepage force in the ground
Sdst;k characteristic value of the destabilising seepage force in the ground
s settlement
u pore-water pressure
udst;d design value of destabilising total pore-water pressure
V vertical load, or component of the total action acting normal to the foundation base
Xav estimate of the average value of the ground property;

19
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Xd design value of a material property


Xk characteristic value of a material property
z vertical distance
n minimum number of investigation and/or suitability tests
∆X estimate of the variability of the ground property

Greek letters

δ structure-ground interface friction angle


δd design value of δ
γ weight density
γc' partial factor for the effective cohesion
γcu partial factor for the undrained shear strength
γσv is a partial factor on the vertical effective stress under hydrostatic conditions;
γF partial factor for an action
γG partial factor for a permanent action
γG;dst partial factor for a permanent destabilising action
γG;stb partial factor for a permanent stabilising action
γ′k is the characteristic value of the effective weight density of the ground under hydrostatic
conditions, i.e. ignoring upward flow
γm partial factor for a soil parameter (material property)
γm;i partial factor for a soil parameter in stratum i
γM partial factor for a soil parameter (material property), also accounting for model uncertainties
γQ partial factor for a variable action
γR partial factor for a resistance
γw weight density of water
γ φ’ partial factor for the angle of shearing resistance (tan φ’)
γγ partial factor for weight density
θ direction angle of H
σ(z) stress normal to a wall at depth z
σv;d design value of the (stabilising) vertical total stress in the impermeable layer
τ(z) stress tangential to a wall at depth z
φ' angle of shearing resistance in terms of effective stress
φ'd design value of φ'
∆X estimate of the variability of the ground property

Abbreviations

OCR over-consolidation ratio


DC Design Case
GC Geotechnical Category
GCC Geotechnical Complexity Class
CC Consequence Class

NOTE 1 The symbols commonly used in all Eurocodes are defined in EN 1990

20
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

NOTE 2 The notation of the symbols used is based on ISO 3898:1997.

(2) For geotechnical calculations, the following units or their multiples are recommended:
− force kN
− mass kg
− moment kNm
− mass density kg/m3
− weight density kN/m3
− stress, pressure, strength and stiffness kPa
− coefficient of permeability m/s
− coefficient of consolidation m2/s
<EN 1997-1 1.6(2)>

21
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

4 Basis of design
4.1 Requirements
Basic requirements

(1) <REQ> Design of geotechnical structures shall comply with the basic requirements for structures
given in EN 1990, 2.1. <New: R1>

Geotechnical reliability

4.1.2.1 Ground Model

<REQ> Processed information from ground investigation and other available data shall be collected
together in a Ground Model. <New: R2>

<REQ> The Ground Investigation Report shall document the contents of the Ground Model. <New:
R2>

NOTE The Ground Investigation Report is defined in 12.2.


4.1.2.2 Geotechnical Design Model

<REQ> A Geotechnical Design Model shall be developed for each geotechnical design situation and
associated limit states. <New OCT: RO1>

<PER> Different Geotechnical Design Models may be developed as simplifications of a more


comprehensive Geotechnical Design Model. <New OCT: RO1>

<REQ> Geotechnical Design Models shall be documented in the Geotechnical Design Report. <New
OCT: RO1>

NOTE The Geotechnical Design Report is defined in 12.3.

4.1.2.3 Geotechnical Complexity Class

<Drafting note: The geotechnical categories of the previous version of EN 1997 mixed consequence of
failure and geotechnical complexity. These aspects are now separated in line with revised version of
EN1990 >

<REQ> Geotechnical structures shall be classified in one of three Geotechnical Complexity Classes
(Lower, Normal, Higher) depending on the complexity of the most critical design situation. <New:
R7>

NOTE 1 Different parts of a structure can be classified in different Geotechnical Complexity Classes.
NOTE 2 It is not necessary to treat the whole structure according to the highest Geotechnical Complexity Class
that is selected.
<REQ> A preliminary Geotechnical Complexity Class shall be established according to the features
listed in Table 4-1. <New: R8>

NOTE 1 The features to be considered are given in Table 4-1 unless the National Annex gives a different table.
<similar to EN 1997-1 2.1(8)P, NOTE>

NOTE 2 Additional features to be considered for specific geotechnical structures are given in EN 1997-3.

22
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Table 4-1 Selection of Geotechnical Complexity Class

Geotechnical
Complexity Complexity General features
Class
All the following conditions apply
GCC 1 Lower • uniform ground conditions and standard construction technique
• isolated shallow foundations are systematically applied in the zone
• well established design methods available for the local conditions
and the planned construction technique
• low complexity of the ground-structure-interaction
GCC 2 Normal Covers everything not contained in the features of GCC 1 and GCC3
Any of the following applies
GCC 3 • difficult soils
Higher
• difficult geomorphologies
• significant thickness of made ground
• sliding ground
• steep soil slopes
• significant geometric variability
• significant sensitivity to groundwater conditions
• significant complexity of the ground-structure interaction
• little experience with calculation models for the current situation

<REQ> The selected Geotechnical Complexity Class shall be reviewed and, if appropriate, changed at
each stage of the design and construction process. < Adapted from EN 1997-1 2.1(11)>

<REQ> The selected Geotechnical Complexity Class (including any change in it and the reasons for
the change) shall be recorded in the Geotechnical Design Report. <New: R9>

Consequences of failure

<RCM> The consequences of failure of a geotechnical structure should be classified according to EN


1990, 5.3. <recommended in EN1990 repetition for readability>

Table 4-2— Examples Consequence Class of geotechnical structures in different Consequence


Classes

Consequence
Class Consequence Examples of geotechnical structures

GCC 1 Lower Examples to be added

CC 2 Normal Covers everything not contained in the features of CC 1 and CC3

CC 3 Higher Examples to be added

23
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<Drafting note: This table has been included. But there is a need for input on relevant geotechnical
structures to be included. A common table in the code is need to allow for NA to add their own examples
of geotechnical structures in different CC >

NOTE 1 Table 4-1 give Geotechnical Structures in consequences classes CC1 to CC3 unless others are given in the
National Annex.
Robustness

<Drafting note: The heading corresponds to the structure in the current draft of EN 1990>

<RCM> A geotechnical structure should be designed to have an adequate level of robustness as


specified in EN 1990, 5.4. <New: reference back to EN 1990>

<REQ> To ensure robustness of geotechnical design, particular attention shall be paid to:
- the interaction between failures of different design elements;
- communication of geotechnical information between different parties involved in the design.
<New: R16>

Design working life

<Drafting note: The heading corresponds to the structure in the current draft of EN 1990>

<REQ> The design working life of a geotechnical structure shall be specified according to EN 1990,
5.5. <New OCT R08>

Durability

<Drafting note: The heading corresponds to the structure in the current draft of EN 1990>

<REQ> The durability of a geotechnical structure shall conform to EN 1990, 5.6. <New: reference
back to EN 1990>

<REQ> The significance of ground environmental conditions in relation to durability of non-


geotechnical materials used in the structure shall be identified at the design stage. <New: R17>

<Drafting note: Adapted from EN 1997-1 2.3(1)P to achieve symmetry with similar statement in EN
1990, 2.5(3). The purpose here is to evaluate ground-mediated environmental influence on non-
geotechnical materials. Protective provisions will be material dependent and are not part of the
geotechnical design of EN 1997. >

<RCM> In geotechnical design, durability provisions for non-geotechnical materials should be made
by reference to relevant design standards and construction materials standards. <EN 1997-1
2.3(3)>

<REQ> Durability requirements given in EN 1997-3 for specific types of geotechnical structures
shall be satisfied. <New: R17>

<REQ> Environmental influences shall be considered when assessing the durability of geotechnical
materials. <New: R17>

NOTE Environmental influences are considered in 4.3.1.5.

24
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<REQ> Reference shall be made to provisions for protection against erosion caused by groundwater
specified in Clause 6, where appropriate. <New: R17>

Sustainability

<RCM> The impact of a geotechnical structure on its environment should be minimized according
to EN 1990, 5.7. <New OCT RO8 >

Quality management

<Drafting note: The heading corresponds to the structure in the current draft of EN 1990>

4.1.8.1 General

<RCM> The quality management measures specified in EN 1990, 5.8 should be implemented for
geotechnical structures. <New OCT RO9 >

<PER> Controls at the stages of design, detailing, execution, use, and maintenance may be
implemented using the Design Check Levels (DCLs) and Design Qualification and Experience Levels
(DQLs) specified in EN 1990, Annex B. <New OCT RO9 >

NOTE 1 EN 1990 Annex B can be used unless the National Annex to EN 1990 states otherwise.
<Drafting note: This sub clause may need modification depending on the content of Annex G. Note 2
may be wrong if the final version of EN 1990 requires direct connection of DCL and DQL to CC.

4.1.8.2 Geotechnical Categories

< Drafting note: A single reference to EN 1990 for general measures to achieve adequate reliability is
made. No need to repeat what is said in EN 1990, only add the additional measures or the ones that are
altered. >

<REQ> Geotechnical structures shall be classified into a Geotechnical Category that combines their
Consequence Class and Geotechnical Complexity Class according to Table 4.3. <NEW OCT RO2>

<Drafting note: New wording from EN1990. Lower, Normal, Higher>

Table 4-3 Geotechnical Categories (GC)

Geotechnical Complexity Class (GCC)


Consequence Class
(CC) Lower Normal Higher
(GCC1) (GCC2) (GCC3)
Higher (CC3) GC2 GC3 GC3
Normal (CC2) GC2 GC2 GC3
Lower (CC1) GC1 GC2 GC2

<REQ> Specification of the following items shall be related to the Geotechnical Category:
− minimum amount of ground investigation (see 4.1.8.3);
− minimum validation of calculation models used in design (see 4.1.8.4);
− minimum amount of monitoring (see 4.1.8.5);
− extent of checking of the design (see 4.1.8.1);

25
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

− execution, supervision and inspection (see Clause 10);


− minimum designer qualifications and experience (see Clause 10 and Annex G)
<New OCT RO3>

NOTE Design check, execution, supervision, inspection and designer qualifications are described in Clause 11.

< Drafting note: At this stage, the last three items are imposed by current draft of EN1990. If draft
EN1990 changes, the draft of EN 1997 might be altered as well>

4.1.8.3 Minimum amount of ground investigation

<REQ> The minimum amount of ground investigation shall be chosen according to the Geotechnical
Category. <New OCT RO4>

<RCM> Ground investigations for Geotechnical Category 1 should include, as a minimum:


- a desk study of the site
- a site inspection <New OCT RO5>

NOTE In certain situations, sufficiently reliable ground properties for Geotechnical Category 1 can be
determined based on the desk study and the inspection without executing a ground
investigation. <New OCT RO5>

<PER> Ground investigations for Geotechnical Category 1 may include documented knowledge from
nearby sites in similar geological conditions. <New OCT RO5>

<RCM> Ground investigations for Geotechnical Category 2 should include all the items given in (2)
and, in addition:
- additional investigations of ground conditions by methods described in EN 1997-2;
- sufficient investigation points so that all critical geotechnical units identified as such in the
Geotechnical Design Model are recognized at various locations;
- determination of relevant ground parameters using different methods. <New OCT RO5>

<RCM> Ground investigations for Geotechnical Category 3 should include all the items given in (2)
and (4) and, in addition:
- sufficient investigations to evaluate the variability of critical ground parameters for all critical
geotechnical units;
- measures to ensure high quality of sampling and testing procedures. <New OCT RO5>

NOTE The extent of ground investigations for specific geotechnical structures is given in EN 1997-3. <New:
R13>
<PER> Ground investigations for Geotechnical Category 3 may also include more advanced
laboratory or in situ tests than are specified in EN 1997-2, using methods adapted to the local
conditions. <New OCT RO5>

4.1.8.4 Minimum validation of calculation models used in the design

<REQ> Calculation models used in geotechnical design shall be validated. <New OCT RO7>

<REQ> The minimum validation of the calculation models shall be chosen according to the
Geotechnical Category. <New OCT RO7>

NOTE 1 Guidance on minimum validation for different Geotechnical Categories can be found in Clause 7.
NOTE 2 Validation ensures that the calculation models used are appropriate for the specific design situation and
applied within their limitations.

26
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

4.1.8.5 Minimum amount of monitoring

<REQ> The amount and quality of monitoring shall be chosen according to the Geotechnical
Category. <New: R15>

NOTE Requirements for monitoring are given in 10.5. <New: R15>

4.2 Principles of limit state design


General

<REQ> Geotechnical structures shall be designed according to the principles of limit state design
given in EN 1990, Clause 6.

<REQ> It shall be verified that no limit state is exceeded in any design situation, either:
- in the ground, or
- in the structure, or
- by combined failure of the ground and the structure. < Adapted from EN 1997-1 2.1(3)>

NOTE Details of limit states for different geotechnical structures are given in EN 1997-3.

Design situations

<REQ> Design situations shall take into account the effect of the new structure on existing
structures, services, and the local environment. < Adapted from EN 1997-1 2.2(2). RCM ->REQ>

NOTE Design situations are described in EN 1990, 6.2.

<RCM> The zone of influence of the structure should be taken into account in the definition of
design situations. <New: R20>

<REQ> The values of ground properties shall be those appropriate to the design situation. <New:
R20>

<RCM> In each design situation, drained or undrained ground parameters should be used, as
appropriate for the permeability of ground and duration of loading. <New: R21>

(6) <REQ> Environmental influences on actions and resistances shall be taken into account when
selecting design situations. <New: R23>

NOTE For environmental influences, see 4.3.1.5.

4.3 Basic variables


Actions and environmental influences

4.3.1.1 Classification of actions

<REQ> Actions shall be classified according to EN 1990, 7.1.1. <EN 1997-1 2.4.2(1), revised>

4.3.1.2 Characteristic values of actions

<REQ> Characteristic values of actions shall be derived according to EN 1990, 7.1.2, and EN 1991.
<EN 1997-1 2.4.5.1(1)P>

27
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

4.3.1.3 Representative values of actions

<REQ> Representative values of actions shall be derived according to EN 1990, 7.1.3. <EN 1997-1
2.4.5.1(1)P>

4.3.1.4 Geotechnical actions

<RCM> The following should be classified as geotechnical actions:


- the weight of soil, rock and groundwater;
- the weight and motion of free water;
- groundwater levels, pressures and flows;
- earth pressure arising from loads imposed on the ground directly or by other structural
elements;
- pre-existing stresses in the ground;
- ground movements caused by environmental influences. <New: R25 revised><see EN 1997-1
2.4.2(4)>

<REQ> Any interaction between the structure and the ground shall be taken into account when
determining geotechnical actions to be adopted in the design. <EN 1997-1 2.4.2(3)P>

<REQ> Geotechnical actions shall be identified for special consideration if they:


- are applied repeatedly,
- have variable intensity,
- produce a dynamic response in the structure or the ground. <EN 1997-1 2.4.2(7)P>

NOTE The possible effect of repeated loading, (such as continuing movements, liquefaction of soils, change of
ground stiffness and strength) are discussed in XX.

<Drafting note: a section XX on high frequency loading and its effects will be added in next draft>

<REQ> The criteria given in Clause 6 shall be followed when evaluating actions due to groundwater.
<New: R26>

4.3.1.5 Environmental influences

<RCM> Environmental influences should be considered in the assessment of:


− design situations;
− geometrical data;
− geotechnical actions;
− material properties. <New: R34>

<PER> Environmental influences may be modelled as indirect geotechnical actions or as changing


geotechnical material properties.

<RCM> The following environmental influences should be considered whenever they are applicable:
− atmospheric interactions leading to changes in water content;
− biological activity, including swelling and shrinkage caused by vegetation;
− freezing and/or thawing of free water;
− freezing and/or thawing of groundwater;
− chemical composition of neighbouring ground and groundwater;
− temperature changes in the ground;
− pre-existing structures (tunnels, mines);
− pre-existing activities at regional scale (dewatering). <New: R34>

28
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<Drafting note: Drafting EN 1997-3 it should be considered that If environmental influences justify it,
prescriptive measures may be used in geotechnical design.>

Material and product properties

<REQ> Characteristic values of ground properties shall be based on the results of laboratory and
field tests, complemented by well-established experience. <EN 1997-1 2.4.5.2(1)P>

NOTE Guidance on the selection of structural material properties is given in the other Eurocodes.
<PER> Values of ground properties may also be obtained by comparing the predicted behaviour of a
geotechnical structure with the results of subsequent monitoring. <New OCt: RO16>

NOTE Examples include field trials of comparable structures in the same geotechnical unit.
<PER> Discontinuities within geotechnical units may be described in probabilistic terms. < MA
Adapted from EN 1997-1 2.4.4(2)P>

<REQ> The selection of characteristic ground properties shall take account of the following:
- geological and other background information, including data from previous projects;
- the variability of the measured property as inferred from its measured values and other
relevant information, including pre-existing knowledge;
- the extent and quality of the field and laboratory investigation;
- the type and number of samples;
- the extent of the zone of ground governing the behaviour of the geotechnical structure at
the limit state being considered;
- the ability of the geotechnical structure to transfer loads from weak to strong zones in the
ground. <EN 1997-1 2.4.5.2(4)P>

<REQ> The data sources used to determine the characteristic value of a ground property shall be
stated in the Geotechnical Design Model. <New: R27>

<REQ> Data that is excluded from analysis shall be reported in the Geotechnical Design Report.
<New: R28>

NOTE Clause 12 gives further guidance on the contents of the Geotechnical Design Report.

<REQ> Any spatial trend in ground properties shall be specified in the Geotechnical Design Model.
<New: R29>

<RCM> The characteristic value of a ground property should be selected as a cautious estimate of
the value affecting the occurrence of the limit state. <EN 1997-1 2.4.5.2(2)P> <REQ> /RCM

<POS> Values affecting the occurrence of limit states can be average, upper (‘superior’), or lower
(‘inferior’) values. <New: R30 revised>

NOTE 1 Guidance on appropriate values for specific geotechnical structures is given in EN 1997-3.

NOTE 2 The average value is equivalent to the 50% fractile of the property’s statistical distribution; the
superior value to the 95% fractile; and the inferior value to the 5 % fractile.

<PER> The characteristic value of a ground property may be determined from: <New OCt:
RO17>

𝑋𝑋𝑘𝑘 = 𝑋𝑋𝑎𝑎𝑎𝑎 [1 ∓ 𝑘𝑘𝑛𝑛 ∆𝑥𝑥 ] (4.1)

where:

29
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Xav is an estimate of the average value of the ground property;


∆X is an estimate of the variability of the ground property;
kn is a coefficient that depends on the number (n) of site-specific data used to estimate Xav;
∓ denotes that kn∆X should be subtracted when a lower value of Xk is critical and added when an
upper value is critical.

NOTE 1 Annex F gives suggested values of Xav and ∆x for some ground types.

NOTE 2 Prescribed values of Xav and ∆x for specific geological formations can be given in the National Annex.

NOTE 3 A procedure used to evaluate the different terms in Formula (4.1) is called the ‘characteristic value
assessment procedure’.

NOTE 4 Annex B give a characteristic value assessment procedure.

<Drafting note: the table in Annex F is given as an example. The table serves as a placeholder for
Nationally determined parameter values.>

Geometrical data

<REQ> The ground surface, free-water and groundwater levels, boundaries between geotechnical
units, and the dimensions of the geotechnical structure shall all be treated as geometrical data.
<New: R24>

<Drafting note: EN 1990 do not longer use the term "characteristic" value of geometrical data, only the
nominal value. However, PT2 has chosen to leave the term for October draft. The term will be changed
in April draft depending on the final draft of EN 1990.>

<RCM> Characteristic values of ground level and dimensions of geotechnical structures or elements
should normally be nominal values. <EN 1997-1 2.4.5.3(2)>

NOTE Characteristic values of groundwater and free-water are defined in Clause 6.


<RCM> Characteristic values of boundaries between geotechnical units should normally be nominal
values. <New: R24>

<PER> Discontinuities within geotechnical units may be treated as ground properties. <New OCT
R10 >

4.4 Geotechnical analysis and design assisted by testing


<REQ> Geotechnical analysis shall be performed according to EN 1990, Clause 8, and this sub-
clause 4.4.

<PER> Geotechnical analysis may use reliability based methods. <New OCT R11 >

<PER> The calculation model may consist of any of the following:


- an analytical model; or
- an empirical model; or
- a numerical model. <EN 1997-1 2.4.1(5)>

30
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<REQ> The use of calculation models shall conform to Clause 7. <New OCT R12 >

<REQ> Any calculation model shall either be sufficiently accurate for its intended purpose or
provide a level of reliability no less than that required by this standard. <EN 1997-1 2.4.1(6)P:
Reworde to match EN 1990>

NOTE Knowledge of the ground and workmanship control are usually more significant in fulfilling the
fundamental requirements than is precision in the calculation models. <EN 1997-1 2.4.1(2): Rephrased>

4.5 Verification by the partial factor method


<RCM> Limit states involving geotechnical structures should normally be verified using the partial
factor method given in EN 1990, Clause 9. <New OCT: R14>

NOTE Alternative methods of verifying limit states involving geotechnical structures are given in 4.6 to 4.8.
<REQ> The design shall specify the controls needed to ensure that all construction activities in and
on the site are executed such that the level of reliability obtained is no less that that assumed in the
design. <EN 1997-1 11.4(6)P Revised> <REQ> <New OCT: R15><

<REQ> Avoidance of limit states shall be ensured by a combination of one or more of the following:
- geotechnical analysis (see 4.4 and Clause 7);
- prescriptive measures (see 4.6);
- testing or assisted by testing (see 4.7);
- the Observational Method (see 4.8). <New: R35><based on EN 1997-1 2.1(4)>

4.6 Verification by prescriptive measures


<PER> Limit states involving geotechnical structures may be verified using prescriptive measures.

<REQ> If limit states involving geotechnical structures are verified using prescriptive measures,
only those measures specified in EN 1997-3 shall be used. <New: R39: revised>

NOTE 1 Limitations and application of prescriptive measures are given in the National Annex to EN 1997-3.
NOTE 2 Recommendations on suitable prescriptive measures can be found in EN 1997-3 or its National Annex.
<Drafting note: Suitable prescriptive measures shall be established with the consideration of
Geotechnical Category>

<Drafting note: The definition of prescriptive measures is in the list of definitions. The QA consideration
previously added in this chapter is now treated in other clauses of this code, so do not need to be added
once more.>

<REQ> Verification by prescriptive measures shall provide a level of reliability no less than that
required by this standard. <New: R40>

4.7 Verification assisted by or directly by testing


Limit states involving geotechnical structures may be verified directly by testing or, if using other
means, may be assisted by testing.

<PER> Testing may be used to determine parameters for design or to determine the performance
of the geotechnical structure (or part of it). <New: R40>

NOTE Methods of verification assisted by or directly by testing are given in EN 1997-3 for relevant geotechnical
structures. <New OCT: R13>

31
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<Drafting note: EN 1997-3 will define application of testing for each type of geotechnical structure. Part
3 will also add recommendation on minimum statistical uncertainty to consider due to limited number
of test.

<REQ> Verification assisted by or directly by testing shall provide a level of reliability no less than
that required by this standard. <New: R40>

4.8 Verification by the Observational Method


<PER> Limit states involving geotechnical structures may be verified using the Observational
Method, according to this sub-clause 4.8. <EN 1997-1 2.7(1):Rephrased>

<PER> An initial design may be based on a best estimate of the geotechnical behaviour. New: R41>

<REQ> All foreseeable and relevant deviations from the geotechnical behaviour assumed for the
initial design shall be assessed. <EN 1997-1 2.7(2)P Rephrased >

<REQ> Variants of the design shall be established which cover the whole range of foreseeable
geotechnical behaviour. <EN 1997-1 2.7(2)P Rephrased >

<REQ> A plan of monitoring, observation, and testing shall be devised that enables the initial design
assumptions (and any variations) to be verified or rejected. <EN 1997-1 2.7(2)P Rephrased >

<REQ> The documentation of the initial design and the design variants shall state ranges of
monitoring, observations, and testing that indicate whether the geotechnical behaviour lies within
the initial design assumptions (and any variations). <EN 1997-1 2.7(2)P Rephrased >

<REQ> The required level of reliability shall be maintained at all times by timely application of the
correct design variant. <EN 1997-1 2.7(2)P Rephrased >

<REQ> The monitoring, observation, and testing program shall be planned so that the frequency of
measurements, observations, and tests – as well as the procedures for reading and analysing the
results – allow for rapid detection of and reaction to changes in geotechnical behaviour. <EN 1997-1
2.7(2)P Rephrased >

<REQ> The results of monitoring, observation, and testing shall be assessed at regular intervals and
planned modifications of the construction works shall be put into operation if the limits of
behaviour for the current design variant are exceeded. <EN 1997-1 2.7(4)P>

<REQ> The monitoring system shall either be replaced or extended if it fails to supply reliable
data of appropriate type or in sufficient quantity. <EN 1997-1 2.7(5)P

<REQ> Verification by the Observational Method shall provide a level of reliability no less than
that required by this standard. <New: R42>

32
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

5 Materials
5.1 General

Drafting note: Content of this chapter might change depending on the content of EN 1997-2

Drafting note: In definitions distinctions have been made between (1) ground properties = material
values and (2) ground parameters = ground properties and ground resistances.

<REQ> Properties of soil and rock shall be obtained from test results (either directly or through
correlation, theory, or empiricism) and from other relevant data. <EN 1997-1 2.4.3(1): Rephrased>

NOTE 1 Fill and manufactured materials such as geosynthetics, concrete, grout, steel, timber, masonry and pipes
are often incorporated into geotechnical structures. These materials can be designed and specified
according to the other Eurocodes. See 5.4 to 5.12.
NOTE 2 For the classification of soil and rock, see EN ISO 14688 and EN ISO 14689, respectively.
NOTE 3 For derivation of property values from laboratory and field tests, see EN 1997-2.
<REQ> Property values obtained from test results and other data shall be interpreted appropriately
for the limit state considered. <EN 1997-1 2.4.3(2): Rephrased>

<REQ> Account shall be taken of the possible differences between the ground properties obtained
from test results and those governing the behaviour of the geotechnical structure. <EN 1997-1
2.4.3(3)P>

<RCM> Consideration should be given to possible differences between the behaviour of the ground
in the test and in the real design situation owing to:
− quality of samples and test procedures and interpretation of results;
− stress level and mode of deformation;
− soil and rock structure;
− time effects;
− fluctuations in temperature;
− effect of moisture content changes;
− effect of static and dynamic actions;
− brittleness or ductility of the ground;
− method of installation of the geotechnical structure;
− influence of workmanship on artificially placed or improved ground;
− effect of construction activities on ground properties. <EN 1997-1 2.4.3(4): Rephrased>

NOTE Soil and rock structure that is relevant here includes fissures and larger discontinuities, laminations, and
large particles.
<RCM> Ground properties shall be determined taking into account the effects on ground behaviour
of stress history (including recent loadings) and the construction sequence. <New :R1>

<RCM> When determining values of ground properties, the following should be considered:
− published and well-recognised information relevant to the use of each type of test in
appropriate ground conditions;
− the value of each ground property compared with relevant published data and local and
general experience;
− variation of ground properties relevant to the design;
− results of any large-scale field trials and measurements from neighbouring constructions;
− correlations between the results from more than one type of test;
− any significant deterioration in ground properties that can occur during the lifetime of the
structure. <EN 1997-1 2.4.3(5)>

33
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

NOTE Suggested values of ground properties are given in Annex F.

5.2 Soils
Weight density

<RCM> The weight density of soil should be determined from specimens taken from undisturbed
samples. <EN1997-1 3.3.3(2): Rephrased>

<PER> The weight density of soil may be derived from well-established or documented
correlations. <EN1997-1 3.3.3(2):Rephrased>

Shear strength

<REQ>When determining the shear strength of soil, the influence of the following shall be
considered:
− imposed stress level;
− anisotropy of strength, especially in clays of low plasticity;
− fissures, especially in stiff clays;
− strain rate effects;
− imposed strain levels in the zone of influence;
− pre-formed slip surfaces;
− time effects;
− sensitivity of cohesive soil;
− degree of saturation. <EN1997-1 3.3.6(1)P>

<RCM> The time period for which a soil is considered undrained should be based on its
permeability and stiffness, the availability of free water, and the proximity of drainage
boundaries. <EN1997-1 3.3.6(3): Rephrased>

<RCM> The values of soil strength parameters should be applied only within the stress-range
over which they are evaluated. <EN1997-1 3.3.6(4): Rephrased. REQ ->RCM>

<PER> The Mohr-Coulomb failure criterion may be used to model the strength of a soil when
using calculation models based on effective stresses. <New :R2>

NOTE The Mohr-Coulomb failure criterion assumes a linear relationship between shear strength and normal
stress, characterized by two parameters: effective cohesion and the coefficient of shearing resistance of
the soil. <New :R2>
<REQ> The greater variance of effective cohesion compared to coefficient of shearing resistance
shall be considered when determining their characteristic values for use in the Mohr-Coulomb
failure criterion. <EN 1997-1 2.4.5.2(3): Rephrased>

<RCM> Undrained shear strength should be used to model the strength of a soil when using
calculation models based on total stresses. <New :R3>

NOTE Total stress conditions only apply when the soil is undrained. <New :R3>
Stiffness, compressibility and swelling

<REQ> When determining soil stiffness, compressibility, and swelling parameters, the following shall
be considered:
− drainage conditions;
− level of mean effective stress;
− natural or artificial over-consolidation;
− level of imposed volumetric and shear strain;

34
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

− stress interval, between the in-situ stress and the final stress level after loading or unloading;
<New :R8>
− time and dynamic effects;
− anisotropy. <EN1997-1 3.3.7(1)>

NOTE Reliable measurements of ground stiffness are often very difficult to obtain from field and laboratory
tests. Laboratory measurements often underestimate the in-situ stiffness of the soil owing to sample
disturbance and other effects.
<RCM> Recorded behaviour of previous similar constructions in comparable ground conditions
should be taken into account when determining stiffness parameters. <EN1997-1 3.3.7(2)> <RCM>

<RCM> Linear stiffness parameters adopted in design should be appropriate for the strain level
present in the ground. <New :R5>

<PER> Non-linear stiffness material models may be used to take account of the variation of ground
stiffness with strain. <New :R6>

NOTE 1 Soil stiffness depends on the level of strain applied to the soil and varies significantly over the typical
strain ranges for common geotechnical structures.
NOTE 2 Figure 5-1 illustrates the relationship between of soil stiffness and imposed strain. . <New :R5>

Ground constructions

Figure 5-1 Typical strain ranges for common geotechnical constructions (solid arrow) and
laboratory test (dashed arrows). [Based on Non-linear soil stiffness in routine design 1, and the
ICE manual of geotechnical engineering (2012) volume II, Chapter 52.

<RCM> When performing non-linear analysis, the stiffness properties selected should take account
of the uncertainties of failure. <New :R4>

Creep

<RCM>When determining creep rate parameters, the following should be considered:


− insitu stress level;
− final stress after loading;
− preconsolidation pressure;
− the soil's over-consolidation ratio. <New :R8>

1 Atkinson, J. H. (2000). Non-linear soil stiffness in routine design. Géotechnique, 50(5), 487-508.

35
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<PER> Materials likely to undergo significant creep strain or stress relaxation may be modelled
explicitly in a non-linear form or in a linear form provided that stiffness values take account of
expected strain levels during the design life of the structure. <New :R8>

Consolidation

<REQ> When determining consolidation parameters, the following effects shall be considered:
− heterogeneity of the soil;
− stress level. <New OCT :R01>

Permeability

<REQ>When determining permeability and consolidation parameters, the following effects shall be
considered:
− heterogeneity;
− anisotropy;
− stress changes under the proposed loading. <EN1997-1 3.3.9.1(1)>

NOTE The accuracy of permeability parameter is normally no greater than one order of magnitude.
<RCM> Permeability parameters should be based on in situ tests which measure average properties
within the zone of influence of the test. <EN1997-1 3.3.9.1(2): Rephrased>

NOTE Permeability measurements on coarse grained soils made on small laboratory samples are not always
representative of in situ conditions. For fine grained uniform soils, laboratory tests can produce
representative values.
<RCM> Consideration should be given to possible changes in permeability with increased effective
stress above the in situ value. <EN1997-1 3.3.9.1(2): Rephrased>

<PER> Permeability may be estimated from knowledge of the soil’s grain size distribution.
<EN1997-1 3.3.9.1(3): Rephrased and RCM -> PER>

5.3 Rocks and rock masses


Strength

<REQ> When determining the strength of rock, the influence of the following shall be considered:
− orientation of the axis of loading with respect to specimen anisotropy, bedding planes, and
foliation;
− method of sampling, storage history, and environment;
− mining or blasting;
− geometry of the tested specimens;
− water content and degree of saturation at time of test;
− test duration and stress rate. <EN1997-1 3.3.8.2(1)>

NOTE An approximation of the strength of rock can be achieved also by rock identification and geological
deformation and age, see EN ISO 14689-1.
Stiffness

<REQ> When determining rock stiffness, the following shall be considered:


− method of determining the Young's modulus and the axial stress level or levels at which it is
determined;
− orientation of the axis of loading with respect to specimen anisotropy, bedding planes, and
foliation;
− geometry of the tested specimens;

36
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

− mining or blasting;
− water content and degree of saturation at time of test. <New OCT :R02>

Shear strength of joints in rock mass

<REQ> When determining the shear strength of joints of rock, the following shall be considered:
− orientation of the joint in the rock test in relation to the assumed direction of actions;
− orientation of the shear test;
− volume of the specimens tested
− dimensions of the sheared area;
− pore-water pressure conditions;
− possibility of progressive failure governing the behaviour of the rock in the ground. <EN1997-1
3.3.8.3(1)>

<RCM> Limit equilibrium analysis of rock masses should be based on shear strength along planes
of weakness in the rock mass. <EN1997-1 3.3.8.3(2): Rephrased>

NOTE Planes of weakness in the rock mass normally coincide with joints or planes of bedding, schistosity or
cleavage, or with the interface between soil and rock or concrete and rock.

Permeability

<REQ> The permeability of a rock mass shall be measured by in situ tests or determined from local
experience. <EN1997-1 3.3.9.2(1): Rephrased>

NOTE The permeability of a rock mass depends mainly on the degree of jointing and the existence of other
discontinuities such as fractures and fissures.

<PER> In situ permeability may be determined by a system of pumping tests combined with flow
logging, with due consideration of the spatial, hydrogeological flow conditions around the structure
and the mapping of the patterns of joints and other discontinuities. <EN1997-1 3.3.9.2(2):
Rephrased RCM->PER>

5.4 Fill and reconstituted ground


<REQ> The criteria for specifying material as suitable for use as fill shall be based on achieving
adequate strength, stiffness, durability, and permeability after compaction. These criteria shall take
account of the purpose of the fill and the requirements of any structure to be placed on it.
<EN1997-1 5.3.2(1)>

NOTE See prEN 16907 for specification of fill for earthworks.


<RCM> Fill should be classified, and an earthworks specification should be provided detailing
acceptability criteria, compliance testing and compaction requirements. <New :R9>

<RCM> The following should be taken into account when specifying fill:
− grading;
− resistance to crushing;
− compactibility;
− permeability;
− plasticity;
− strength of underlying ground;
− organic content;
− chemical aggression;
− pollution effects;
− solubility;

37
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

− susceptibility to volume changes (swelling clays and collapsible materials);


− low temperature and frost susceptibility;
− resistance to weathering;
− effect of excavation, transportation and placement;
− long term mechanical behaviour;
− sensitivity to changes in moisture content;
− possibility of cementation occurring after placement (e.g. blast furnace slags). <EN1997-1
5.3.2(3): Rephrased and REQ->RCM>

<PER> Graded natural coarse-grained materials may be used as fill. <New :R10>

<PER> Fine grained materials shall not be used as fill unless it can be proven that they conform to
the specification. <EN1997-1 5.3.2(2)> <PER>

<PER> Certain waste products and manufactured materials may also be used as fill under some
circumstances. <New :R10>

NOTE 1 Suitable waste products include selected colliery waste and pulverised fuel ash. Suitable manufactured
materials include light aggregate.
NOTE 2 The application of waste products can have an environmental impact, e.g. contamination of ground or
groundwater.
<RCM> The properties of reconstituted ground for earthworks should be determined according to
EN 1997-2, taking into account its random nature. <New:R11 >

NOTE The properties of existing reconstituted ground can be investigated for use as a founding material.

5.5 Geotextiles and geosynthetics


<REQ> Geotextiles and geotextile-related products incorporated into geotechnical structures shall
conform to EN 13251.

<REQ> Geosynthetics incorporated into geotechnical structures shall conform to EN ISO 10318.
<New :R12>

<Drafting note: A reference will be made to additional relevant EN-standard, when available

5.6 Concrete
<REQ> Concrete incorporated into geotechnical structures shall conform to EN 1992 and EN 206,
except where specified otherwise in EN 1997. <New :R13>

<REQ> Sprayed concrete incorporated into geotechnical structures shall conform to EN 14487.

<REQ> The durability of concrete in the ground shall conform to EN 1992 and EN 206. <New :R13>

<REQ> Steel reinforcement for concrete foundations shall conform to EN 10080. <New :R13>

5.7 Grout
<REQ> Grout incorporated into geotechnical structures shall conform to EN 447. <New :R14>

<REQ> Grout incorporated into geotechnical structures shall be tested in accordance with EN 445.
<New :R14>

<Drafting note: This section on Grout will be evaluated in the final version

38
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

5.8 Steel
<REQ> Steel incorporated into geotechnical structures shall conform to EN 1993, except where
specified otherwise in EN 1997. <New :R15>

<REQ> Steel piling shall conform to EN 1993-5.

<RCM> Hot rolled steel products incorporated into geotechnical structures should conform to EN
10025.

<PER> Hot rolled steel products manufactured to a different standard than EN 10025 may be used
if it is demonstrated by additional testing that the products meets the requirements of EN 10025
that are relevant to the geotechnical structure. <New :R15>

<RCM> Cold formed steel products incorporated into geotechnical structures should conform to EN
10219.

<PER> Cold formed steel products manufactured to a different standard than EN 10219 may be
used if it is demonstrated by additional testing that the products meet the requirements of EN
10219 that are relevant to the geotechnical structure. <New :R15>

<REQ> The durability of steel in the ground shall conform to EN 1993. <New :R15>

<REQ> Steel for tendons in anchors shall conform to EN 1537. <New :R15>

<Drafting note: The above have been included in Oct draft, and will be included in final draft depending
on comments on the draft.

(5) might got to EN 1997-3 instead since it is specific for anchors.>

5.9 Timber
<REQ> Timber incorporated into geotechnical structures should conform to EN 1995, EN 335, and
EN 350. <New :R16>

<Drafting note: The above standards applicability for wooden piles need to be further evaluated, before
in cooperated in the final draft of EN 1997-1>

5.10 Masonry
<REQ> Masonry incorporated into geotechnical structures shall conform to EN 1996. <New :R17>

<RCM> Masonry units should conform to the relevant part of EN 771. <New :R17>

5.11 Pipes
<RCM> Pipes used in drainage systems for foundations should conform to one of the following
standards, as appropriate:
− vitrified clay pipes: EN 295; or
− concrete pipes: EN 1916; or
− unplasticised polyvinyl-chloride: EN 1401-1; or
− polypropylene: EN 1852-1; or
− polyethylene: EN 12666-1. <New :R18

39
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

40
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

6 Groundwater
<Drafting note: Previous version of EN1997 had only minor amount of text on this topic. Therefore, the
text has been added based on EG9 work. The chapter is new.>

<Drafting note: The definitions of the groundwater pressures in this clause are likely to change due to
latest definitions in EN1990. Furthermore, the contents of the clause will be discussed with the PT on
Maritime Structures for EN1991. >

6.1 General
Design considerations

<REQ> The chemistry, level, pressure, seepage velocity, hydraulic gradient and phase changes of
groundwater shall be considered in the design of geotechnical structures. <New R1>

NOTE Phase changes include freezing and evaporation.

<REQ> The determination of groundwater pressures, hydraulic gradients, and seepage forces shall
take account of:
- level of the free water surface or the groundwater level;
- favourable or unfavourable effects of drainage, both natural and artificial, taking account of its
future maintenance;
- sensitivity of each limit state to variations in groundwater pressures and levels;
- supply of water by rain, flood, burst water mains or other means;
- changes of water pressures due to the growth or removal of vegetation;
- heterogeneity, scale effects and anisotropy of the ground permeability;
- variations in water levels, water pressure and ground permeability over time;
- artesian groundwater pressure
- construction activities;
- changes in the water catchment and reduced drainage due to blockage, freezing or other causes.
EN1997-1 10.1(3)

(3) <REQ> The effects of the execution process and the completed structure on the groundwater regime
shall be considered in the design. <New OCT: R1>

(4) <RCM> If favourable and unfavourable effects arise simultaneously from a common groundwater
action, they should be treated according to the ‘single-source principle’ defined in EN 1990, 7.1.1.
<New R7>

<RCM> When a single-source of groundwater action produces both favourable and unfavourable
effects, two separate verifications should be performed, one for high and the other for low
groundwater pressure. <New OCT: R2>

Density

<PER> The specific weight of groundwater may be approximated to 10 kN/m3. <New R2>

<REQ> The possibility of higher density shall be considered in cases where groundwater contains
significant quantities of solutes. <New R3>

41
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Chemistry

<REQ> The chemical content of groundwater shall be considered in relation to its effects on
structural materials in contact with the ground and on the ground, itself. <New R4>

<RCM> In situations of water seepage, the possible effects of any change of chemical content of the
groundwater should be considered in relation to the solubility of ground materials. <New R4>

6.2 Water levels


<REQ> Free water levels, groundwater levels, and piezometric levels to be used in design shall be
established. <New R5>

NOTE Where water pressures increase hydrostatically with depth, the piezometric level is the same as the
groundwater level. <New R5>
<PER> Free water levels, groundwater levels, and piezometric levels may be established as a series
of measurements or as levels with corresponding return periods. <New R5>

6.3 Groundwater pressures


General

<RCM> Groundwater pressures should be derived from direct measurement. <New R6>

<PER> In the absence of direct measurement, groundwater pressure may be calculated from the
free-water, groundwater, or piezometric level. <New R6>

<REQ> Where conditions are not hydrostatic, the calculation of water pressures shall take into
account:

− heterogeneity and anisotropy of permeability, including the effects of layering, fissuring and
other heterogeneities;<New R8>
− any geometrical features that could cause flow to concentrate. <New R8>

NOTE Geometrical features that cause flow to concentrate include corners of excavations; narrow, circular, or
rectangular excavations below water level.

Characteristic values of groundwater pressures

<REQ> Characteristic values of free-water levels, groundwater levels or piezometric levels shall be
measured, nominal or estimated upper or lower levels. <New R9>

NOTE In hydrostatic conditions the groundwater pressures are coherent with the piezometric levels.
<REQ> The characteristic values of water pressures shall correspond to a 50% probability of
exceedance for the duration of the design situation for which they are assessed. <New R9>

<PER> Characteristic values of water pressures may be determined by considering hydrological,


hydrogeological, and environmental information, together with suitable statistical data. <New R9>

NOTE 1 A 50% probability of exceedance corresponds to a return period approximately equal to 1.5 times the
duration of the design situation. See also Figure 6.1. <New R9>
Design values of groundwater pressures for ultimate limit state design

<REQ> Ultimate limit state design values of groundwater pressures shall be derived by one of
following methods:
- direct assessment; or

42
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

- applying a deviation to the characteristic piezometric water level, from which the groundwater
pressures are derived; or
- applying a partial factor to characteristic groundwater pressures. <New R10>

NOTE The value of the partial factor is specified in EN 1990. <New R11>

NOTE 2 The partial factor and the applied deviation is given by the National Annex. <New R10>

<REQ> When assessing groundwater pressures directly or by applying a deviation to the


characteristic piezometric water level, the ultimate limit state design values of groundwater
pressures shall have a probability of exceedance Pe within the duration of the design situation.
<New R12>

NOTE The value of Pe is 1 % unless the National Annex give a different value. <New R13>
<RCM> If ultimate limit state design values of water pressure values are derived by direct
assessment or by applying a deviation to the characteristic piezometric water level, and if the free-
water table is restricted by overflowing, the design value of water pressure should be determined
using the overflow level. <New R15>

NOTE Ultimate limit state design values for structural forces and bending moments can also be checked based
on application of partial factors to structural effects of characteristic water pressures or partial factors
on the structural material properties. The value of the partial factor is specified in EN 1990. <New R16>
<PER> Water pressures may be classified as accidental actions when:
- the probability of exceedance is less than that specified in EN 1990, 7.1.4.1;
- they are caused by extreme natural events with a probability of exceedance less than specified
in 6.3.3(2);
- engineered systems fail owing to deficiency in sealing or barrage. <New R17>

<Drafting note: Reference to EN 1990 will be changed depending on the revision of EN 1990>

<RCM> Unless the adequacy of the drainage system can be demonstrated, and its maintenance
ensured, the design groundwater table should be taken as the maximum possible level with the
drainage not functioning. <New R17>

NOTE This design situation can be treated as an accidental situation with the groundwater table at the ground
surface <New R18>
<PER> For accidental design situations, where the groundwater pressures are not governing in the
limit state, the design groundwater pressures may be taken equal to the frequent value. <New
R17>

<PER> For seismic design, the design groundwater pressure may be taken equal to the quasi-static
value. <New R17>

Design values of groundwater pressures for serviceability limit state design

<REQ> For serviceability limit state groundwater pressures, a distinction shall be made between
characteristic, frequent and quasi-permanent combinations of actions according to EN 1990, 9.4.5.
<New OCT RO4>

<REQ> For the characteristic and frequent combinations, upper and lower bound values of water
pressures shall be determined depending on the limit state. <New OCT RO4>

NOTE Design values of groundwater pressure are illustrated in Figure 6.1.

43
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Groundwater pressure

Design Value - high


Characteristic Value - high

Frequent Value - high

Once in 1.5 * Tref

Quasi-permanent
value (mean)

Frequent: 1 % of Tref
Once in 1.5 * Tref

Frequent Value - low

Characteristic Value - low


Design Value - low
Time

Tref = design life period

Figure 6-2 — Definition of characteristic, frequent, and quasi-permanent values (for SLS) and
design value (for ULS) of groundwater pressures

<REQ> Design values of groundwater pressures used in the characteristic combination of actions
(see EN 1990, 9.4.5.2) shall be the characteristic values defined in 6.3.2. <New R19>

NOTE The characteristic combination of actions is defined in EN 1990 for irreversible limit states.
<REQ> Design values of groundwater pressures used in the frequent combination of actions (see
EN 1990, 9.4.5.3) shall correspond to a piezometric water level with a probability of exceedance of
1 % during the structure’s design working life. <New OCT RO4>

NOTE The frequent combination of actions is defined in EN 1990 for reversible limit states.
<REQ> Design values of groundwater pressures used in the quasi-permanent combination of
actions (see EN 1990, 9.4.5.4) shall correspond to a piezometric water level with a probability of
exceedance of 50 % during the structure’s design working life. <New OCT RO4>

NOTE The quasi-permanent combination of actions is defined in EN 1990 for long term effects, e.g. analyses of
long term settlements. The quasi-permanent water level generally equals the mean water level.
6.4 Groundwater in freezing conditions
<REQ> The design shall consider the effect of groundwater in freezing conditions, if all three of the
following criteria are fulfilled:
— there is water available;
— the geotechnical structure is in an area with temperatures below zero;
— the ground includes frost-susceptible soil. <New R20>

NOTE Guidance on the determination of soil frost-susceptibility is given in EN 1997-2.

44
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<RCM> In case of possibility of freezing of groundwater, the following should be considered in the
design:
— frost heave;
— thaw weakening;
— settlements due to frost and subsequent thaw. <New OCT: R3>

45
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

7 Geotechnical analysis
7.1 Calculation models

<Draft note: This chapter is new in EN 1997. All clauses are new, based on EN 1997-1, 2.4.1 or based on
EG 4 findings.>

General

<REQ> Calculation models shall be appropriate for the limit state under consideration. <EN 1997-1
2.4.1(3)> <New: R1>

NOTE Such calculation models are used in both partial factor and reliability methods.
<RCM> Calculation models should account for the geometry and governing geotechnical behaviour
at the relevant limit state and be consistent with the design assumptions. <EN 1997-1 2.4.1(1)>
<New: R1>

<RCM> The assumptions, including idealisations and limitations, of calculation models should be
stated in the Geotechnical Design Report. <New: R2>

NOTE Calculation models for specific geotechnical structures are given in EN 1997-3.
<Drafting note: EN 1997-3 should clearly state assumptions, including idealisations and limitations, of
the reference calculation model that are included>

<REQ> It shall be demonstrated that sufficient ductility exists in ground/structure systems for
calculation models that assume ductile mechanisms. <New: R5>

<RCM> The effects of construction activities on ground behaviour in subsequent construction stages
should be considered. <New: R6>

<REQ> Calculation models shall be reviewed and validated according to the Geotechnical Category.
<New: R7>

<RCM> Validation of the calculation model should be achieved by suitable measures.<New: R7>

NOTE 1 Measures that are suitable for this purpose are given in Table 7-1 unless the National Annex gives
different measures.
NOTE 2 Additional measures for specific geotechnical structures are given in EN 1997-3.

46
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Table 7-1 — Suitable measures for validating the calculation model


Geotechnical Measures for validation depending on GC
Category

GC1 • Literature reference that the calculation model has been used for similar
conditions
• Local experience shows that the calculation model is suitable for the local
conditions
• When using calculation models contained in EN 1997-3, confirmation that the
design falls within the limits of application stated in EN 1997-3.
GC2 • Documentation showing that the assumptions for the calculation model used
are relevant for the specific site and structure
GC3 • Calibration of the calculation model for the specific site
• Sensitivity analyses for all relevant parameters.

NOTE Guidelines on validation measures for specific geotechnical structures is given in EN 1997-3 or National
Annex.
Empirical models

<PER> Empirical models may be used for the verification of limit states, unless otherwise specified
in EN 1997-3. <New: R8>

NOTE Empirical models are often intended for certain ground and site conditions. Therefore, they often have a
narrow range of such conditions for which they are suitable or conservative. <EN 1997-1 2.4.1(10)
Revised>
Limit equilibrium methods

<PER>Limit equilibrium methods may be used for the verification of ultimate limit states, unless
otherwise specified in EN 1997-3. <New: R9>

<RCM> For the verification of serviceability limit states, limit equilibrium methods should only be
used in accordance with 9.1(4) . <New: R10>

Limit analysis methods

<RCM>Limit analysis methods may be used for the verification of ultimate limit states, unless
otherwise specified in EN 1997-3. <New: R11>

<RCM> For the verification of serviceability limit states, limit analysis methods should only be used
in accordance with 9.1(4) .<New: R10>

Numerical methods

7.1.5.1 General

<PER> Numerical methods may be used for the verification of limit states. <New: R12>

NOTE Numerical methods place particularly high demands on the competency of users.
<RCM> The validation level should be consistent with the complexity of the numerical model

NOTE See 4.1.8.4 and 7.1.1. <New: R7>

47
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<RCM> Parametric studies on critical parameters, including geometry, should be performed to


determine the reliability of the results of numerical analaysis. <New: R13>

NOTE A basic parametric study could involve varying each critical parameter in turn by ±1 standard deviation
and observing its effect on calculation outputs.
<PER> Alternatively, lower bound critical parameters may be used where they result in
conservative results. <New: R13>

<RCM> The sensitivity of limit state verifications to the following should be considered:
− discretization of geometry, including discontinuities;
− initial stress states;
− preceding construction stages;
− boundary conditions;
− drainage conditions (including permeability);
− ground constitutive behaviour;
− strength and stiffness of structural elements;
− actions and material parameters that have partial factors associated with them. <New: R13>

NOTE Ground constitutive behaviour includes e.g. stiffness, dilatancy, anisotropy, yield criteria, and flow rules.
7.1.5.2 Serviceability limit state

<PER>Advanced constitutive models may be used to obtain predictions of deformations. <New:


R14>

NOTE 1 Advanced constitutive models include e.g. non-linear stress- and strain-dependent stiffness or creep
behaviour.
NOTE 2 The distinction between best-estimate predictions and the verification of serviceability limit state as
described in 9.1(3) is particularly relevant to numerical methods.
7.1.5.3 Ultimate limit state

<RCM>The ‘material factor approach’ (MFA) should be used to verify geotechnical ultimate limit
state, as described in Figure 7.1. <New: R15, EG4>

NOTE In the material factor approach, all possible geotechnical ultimate limit states are verified by
demonstrating that equilibrium can still be obtained with design values of input parameters, without
excessive deformation or a failure mechanism being activated.
<RCM> The ‘action-effects factor approach’ (EFA) should also be used in addition to the MFA to
calculate design values of structural forces, as described in Figure 7.1.

<RCM> The least favourable outcome from the material (MFA) and action-effects (EFA) factor
approaches should be used in the verification of structural limit states. <New: R16, EG4>

<RCM>Strength reduction (as shown in Figure 7.1) should be used for ground strength factoring.
<New: R17, EG4>

NOTE Different procedures are available to account for stress and strain changes caused by strength reduction
and it is important that a suitable procedure is adopted in order to predict the most critical failure
mechanisms accurately. Standard strength reduction procedures may not be applicable to advanced
constitutive models.

48
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<POS>Alternatively, design values of ground strength may be used as input at the start of a
numerical methods calculation (Figure 7.2), provided that consideration is given to the effect of
using design values throughout the calculation on the accuracy of simulations. <New: R18, EG4>

NOTE The use of design values from the start of a numerical methods calculation can detrimental to the
intended degree of conservatism. The effect can be conservative or non-conservative and can increase
with successive stages of the analysis.

Characteristic ground strength and water levels,


γQ/γG factor on unfav. variable loads

Action effect factor Material factor


approach (EFA) Initial state approach (MFA)
Check output for any
Multiply force outputs by γG to Change to design water
geotechnical failure
obtain design values of structural levels and variable loads
Construction stage 1 ULS stage
forces Ed,EFA and geotechnical Reduce ground strength to Obtain design values of
forces (piles, anchors, etc.) design value structural forces Ed,MFA
If ULS clearly non-critical,
Construction stage 2
no ULS stage necessary
Check output for any
Multiply force outputs by γG to Change to design water geotechnical failure
obtain design values of structural levels and variable loads
forces Ed,EFA and geotechnical Construction stage 3 ULS stage
Reduce ground strength to Obtain design values of
forces (piles, anchors, etc.) design value structural forces Ed,MFA

Continues through any


subsequent stages in
the same way

Figure 7-1 — Dual factoring approach with strength reduction


Characteristic ground strength
and water levels, γQ/γG factor Design ground strength, water
on unfav. variable loads levels and variable loads

Material factor
Actioneffect factor approach (MFA)
approach (EFA) Initial state
Check output for any
Multiply force outputs by γG to geotechnical failure
obtain design values of structural
Construction stage 1
forces Ed,EFA and geotechnical Obtain design values of
forces (piles, anchors, etc.) structural forces Ed,MFA

Construction stage 2
Check output for any
Multiply force outputs by γG to geotechnical failure
obtain design values of structural
Construction stage 3
forces Ed,EFA and geotechnical Obtain design values of
forces (piles, anchors, etc.) structural forces Ed,MFA

Continues through any


subsequent stages in the
same way

Figure 7-2 - Dual factoring approach with design values of ground strength from the start

49
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<PER>Ground strength reduction may be continued beyond the required partial factor value in
order to identify the most critical ground failure mechanism. <New: R19>

<PER>Ground strength reduction may be combined with structural strength or resistance reduction
to help identify potentially critical collapse mechanisms of combined ground and structure failures.
<New: R19, EG4>

NOTE Reducing structural material strength or resistance reduces the effective stiffness of structures.
Therefore, structural forces can be underestimated.
<RCM>Design values of axial force output in axially-loaded, slender structures obtained by the
action-effects factor approach (EFA) should be used to verify adequate resistance in addition to the
material-factor approach (MFA) verification of ground failure. <New: R20, EG4>

NOTE 1 The resistance of axially-loaded, slender structures such as piles, ground anchors and soil nails are
typically derived by direct measurement rather than from in situ ground strength parameters since it is
heavily dependent on the properties of the interface and disturbed ground immediately around such
structures. Consequently, factoring ground strength alone cannot provide a sufficiently reliable means of
verifying the ultimate limit state of such structures under axial loads.

NOTE 2 An additional check is necessary by comparing the governing values of design axial force obtained from
the material and action effect factoring approaches with the corresponding resistance.
<PER> Design values of outputs from geotechnical structure types other than those referred to in
(7) may be compared with geotechnical resistances to assess the reliability against particular failure
mechanisms occurring. <New: R21>

NOTE The material factor approach allows the most critical geotechnical ultimate limit state to be verified but
does not necessarily provide the degree of safety against particular failure mechanisms occurring. If this
is required, it can sometimes be obtained in this way (e.g. comparing the design value of lateral force at
the top of a pile with its corresponding design value of lateral resistance). The resistance value can be
obtained from a separate calculation or by numerical methods in accordance with (9).
<PER> Geotechnical resistances may be calculated by numerical methods by forcing
geotechnical structures to fail by particular mechanisms. <New: R22>

NOTE Geotechnical resistances can be obtained by numerical methods by simulating particular failure forms,
usually separately from the simulation of the construction and normal use of geotechnical structures. For
example, the vertical displacement of a rigid spread foundation can be increased until failure in order to
obtain the bearing resistance from the output of force at failure.
7.2 Model factors
<REC> Model factors should be used to adjust any significant bias and additional uncertainty in a
calculation model compared with the reference model, to ensure that they are sufficiently accurate
for their intended purpose or provide a level of reliability no less than that required by this
standard. <New: R23>

NOTE Reference models are given in EN 1997-3.


NOTE Partial factors for the reference model already include allowance for some bias and uncertainty.
NOTE The value of the model factor is 1.0 unless the National Annex gives a different value for a specific
calculation model.

50
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

8 Ultimate limit states


8.1 General
<REQ> The ultimate limit state design of geotechnical structures shall be performed according to
EN 1990, 6.3 <New: R1 >

<Drafting note: Depending on the final version of EN 1990, we might need to add additional PER/RCM
related to reliability based methods.>

<PER> For geotechnical structures, the selection of characteristic values of resistance for structural
components may be based on the results of field tests, complemented by well-established
experience. <New: R33>

NOTE Guidance on the selection of characteristic resistances from field tests can be found in EN 1997-3.

<Drafting note. We are thinking here of piles, anchorages, nails and such like for which the number and
kind of tests to be performed to assess characteristic resistances is problem dependent.

It has been included hear and not in clause 4, since it according to EN 1990 is not a basic parameter.>

8.2 Types of ultimate limit states


<REQ> The ultimate limit states described in this sub-clause 8.2 shall be verified for geotechnical
structures where they are relevant. <New: R2 >

<Drafting note: the subheadings in this chapter corresponds to the bullet points listed in EN 1990. The
reason for including them here is to add additional recommendation/requirements that are specific for
geotechnical structures. And ensure that they are considered for all design, not only in case of design by
partial factor.

There has been a proposal to rearrange the limit states into two main headings (rupture in ground and
hydraulic failure). This might be considered in the final version, but has not been implanted in this
version>

Failure by rupture

<Drafting note: the clause on rupture have been divided into two separate clauses/sections. One for
rupture and one for excessive deformation>

8.2.1.1 Failure of ground by rupture

<REQ> This sub-clause 8.2.1.1 shall apply to all limits states where failure occurs in the ground.

NOTE Failure includes transformation of the ground into a mechanism.


<REQ> In addition to overall stability, the following types of rupture shall be considered;
− bearing capacity;
− sliding;
− translational and rotational failure of rock blocks or rock mass;
− rock falls. <New: R3>

NOTE Overall stability is considered as a form of slope stability in EN 1997-3.


<Drafting note: Overall stability will be treated in a separate section in EN 1997 part 3

51
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<PER> The overall stability of a site may be checked taking into account comparable experience.
<EN 1997-1 11.4(1): Rephrased>

8.2.1.2 Failure of structural element by rupture

<REQ> Ultimate limit state that involve failure of the structural element shall be verified according to
the other Eurocodes. <New: R4>

<REQ> Account should be taken of specific requirements related to the type of geotechnical
structures according to EN 1997-3. <New: R4>

NOTE 1 Limit states for the geotechnical structure will dictate which structural elements covering the design.
NOTE 2 Limit states in some structural elements do not necessarily implies limit state of the geotechnical
structure.
<Drafting note: In EN 1997-1 a general reference is made to EN 1997-3. In each chapter of EN 1997-3
more specific references to EN 1992 and/or EN 1993 should be made.

Failure of ground by excessive deformation

<REQ> The sub-clause 8.2.2 shall apply when failure occurs in a ductile manner (without rupture)
and thus the limit state is caused by large movements in the ground. <EN 1997-1 11.1(1)
Rephrased>

NOTE The failure includes excessive deformation prior to collapse, reducing the possibility to use, with
retained safety, the geotechnical structure for the intended application.
<RCM> Movements of natural or made ground should be checked taking into account comparable
experience. <EN 1997-1 11.4(1): Rephrased>

Loss of static equilibrium of the structure or ground

8.2.3.1 Loss of static equilibrium due to overturning

<REQ> Verification that loss of static equilibrium due to overturning of the structure does not
occur shall be carried out by checking that the destabilizing design effects of actions are less than
or equal to the stabilizing design effects of actions. <New: R5>

NOTE Tilting, overturning are examples of loss of static equilibrium considering rigid-body.
8.2.3.2 Loss of static equilibrium due to uplift forces from water

<REQ> Verification that uplift of the structure does not occur shall be carried out by checking that
the difference between the destabilizing and stabilizing design vertical effects of actions is less than
or equal to the design resistance to uplift. <EN 1997-1 2.4.7.4(1)P; revised based on EN
1990><NEW Oct – PT1>

NOTE 1 The effects of all actions are compared with the resistances. Therefore, the actions consist of
destabilising (permanent and variable) actions of water pressures and the stabilising actions due to the
weight of the structure. Resistance can be provided by anchors or friction along the sides of the
structure.
NOTE 2 This verification can also be applied for other fluids than water.
<REQ> Verification for uplift shall distinguish two situations:
- the structure can be assumed to be a rigid or impermeable body and the following equation
shall be used (see Figure 8-1 a, d and e):

𝑈𝑈𝑑𝑑𝑑𝑑𝑑𝑑;𝑑𝑑 − 𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠;𝑑𝑑 + 𝑄𝑄𝑑𝑑𝑑𝑑𝑑𝑑;𝑑𝑑 ≤ 𝑅𝑅𝑑𝑑

52
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

- the structure cannot be assumed to be a rigid body and the following equation shall be used
(see Figure 8-1 b and c):

𝑢𝑢𝑑𝑑𝑑𝑑𝑑𝑑;𝑑𝑑 − 𝜎𝜎𝑣𝑣;𝑑𝑑 ≤ 0

where: Udst;d = design value of destabilising (uplift) permanent and variable actions due
to water pressures and permanent destabilising actions not caused by
water pressure.
Gstb;d = design value of stabilising (downward) actions
Qdst,d = design value of variable unfavourable destabilising actions other than
water pressures
Rd = design value of the resistances (anchors, friction)
udst;d = design value of destabilising permanent and variable waterpressures
σv;d = design value of the (stabilising) vertical total stress in the impermeable
layer
NOTE 1 Design values of groundwater pressures are derived according to 6.3.3.
NOTE 2 Partial factors for actions are given in EN 1990. Partial factors for resistances are given in EN 1997-3.
NOTE 3 Examples of design situations involving uplift are given in Figure 8-1 (EN1997-1:2005).
<REQ> Where piles or anchors are used to provide resistance against failure by uplift, the design
shall be checked according to EN 1997-3. <EN 1997-1 10.2(5)P>

<RCM>When additional structural verifications are necessary, they should be carried out according
to 8.2.1 and 8.2.2.

Hydraulic failure – Seepage of water

<Drafting note: this section needs to be further developed considering rock. >

8.2.4.1 General

<REQ> In the presence of flow of groundwater, the following limit states shall be verified for all
ground conditions:
− hydraulic heave;
− internal erosion and piping. <New R6>

<RCM> If an ultimate limit state due to internal erosion or hydraulic failure is not sufficiently
improbable, measures should be adopted to reduce erosion or to avoid hydraulic failure.

NOTE Examples of measures that reduce erosion and the probability of hydraulic failure include:
− modification of the project in order to reduce hydraulic gradient;
− seepage control;
− protective filters;
− avoidance of dispersive clays without adequate filters;
− slope revetments;
− inverted filters;
− relief wells.<New R7>

<RCM> When evaluating internal erosion and hydraulic heave, it should be considered that
construction activities can change the permeability and susceptibility to erosion of the ground at
the interface of structure and ground. <New R8>

53
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Figure 8-1 Examples of situations where uplift might be critical


<Drafting note: A final updated version of this Figure will be included in the April-2018 draft>

54
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

8.2.4.2 Hydraulic heave

8.2.4.2.1 General

<REQ> When considering a limit state of failure by hydraulic heave, it shall be verified that vertical
equilibrium is maintained in the ground by the combination of design values of soil weight, water
pressures, and shear resistance in the ground. < New R9>

NOTE Example of a design situation involving heave is given in Figure 7-2. (EN1997-1:2005).

1 excavation level (left); water table


(right)
2 water
3 sand

Figure 8-2 Example of situation where heave might be critical


<REQ> Components of shear resistance that are affected by water pressure shall not be used in
verifications for hydraulic heave. < New R10>

NOTE In many cases involving homogeneous soils, this means that only effective cohesive strength of the
ground can be used (frictional resistance is excluded). More complicated considerations can apply where soils of
high and low permeability are interlayered. < New R11>
<REQ> Ground subject to potential hydraulic heave shall also be checked for internal erosion, see
8.2.4.3, which will be a more critical condition in some cases. <New R12>

<RCM> For the purpose of safety and serviceability, effective stress greater than zero should
normally be maintained in the ground, except that it will fall to zero at an exposed ground surface.
< New R13>

<RCM> In cases of upward flowing water, it should be verified that sufficient effective stress exists
in the ground to support the self-weight of the ground and any supported structures, vehicles, and
personnel. < New R14>

<RCM> Where a soil stratum is sufficiently impermeable to minimise the flow of groundwater
through it, it should be verified that failure by uplift does not occur according to 8.2.3. <EN 1997-1
10.3(2) >

8.2.4.2.2 Ultimate limit state

<REQ> The design values of water pressures ud used in verifications of ultimate limit states shall be
as defined in 6.3.3. < New R15>

55
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<REQ> The design value of the effective overburden pressure q’v;d that is provided by permeable fill
above the ground surface shall either be assessed directly or shall be calculated from:

𝑞𝑞′v;d = 𝛾𝛾q;stb × 𝑞𝑞′k (8.1)

where:
γq;stb is a partial factor;
q’k is the characteristic value of the effective overburden pressure.

NOTE 1 The value of γq;stb is 0.9 unless the National Annex gives a different value. < New R16>
<REQ> When checking an ultimate limit state of hydraulic heave, it shall be verified at any point in
the ground that:

ue;d ≤ σ’v;d (8.2)

where:
ue;d is the design value of the excess porewater pressure;
σ′v;d is the design value of the vertical effective stress in the ground.

NOTE 1 The requirement of hydraulic heave is verified based on equilibrium using effective stress
NOTE 2 The scheme of one dimensional upward flow is shown in Figure 8-1 (Pane et al, 2014) < New R17>

hw

γw*(hw+z)

Figure 8-1 One dimensional upward flow


(4) <REQ> The design value of the excess porewater pressure ue;d shall be calculated from:

ue;d = ud − γw (z + hw) (8.3)


where:

56
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

ud is the design water pressure at the point in the ground;


γw is the weight density of groundwater;
z is the vertical distance of the point in the ground below the ground surface, i.e. not
including the permeable fill as in (3);
hw is vertical distance from the free-water level to the ground surface. < New R18>

(5) <REQ> The design value of the vertical effective stress σ′v,d shall be calculated from:

σ’v;d = γσv (γ'k z) + q’v;d (8.4)

where:
γσv is a partial factor on the vertical effective stress under hydrostatic conditions;
γ′k is the characteristic value of the effective weight density of the ground under hydrostatic
conditions, i.e. ignoring upward flow;
q′v;d is the design value of the overburden pressure at the ground surface, see (3).
< New R19>

NOTE 1 The value of γσv is 0.6 unless the National Annex gives a different value.
NOTE 2 < New R20> The value of γσv is based on: Katsigiannis, G., Ferreira, P. & Fuentes, R. (2017). HYD
Verifications using numerical methods. Georisk: Assessment and Management of Risk for Engineered
Systems and Geohazards. Taylor & Francis.
𝑧𝑧
NOTE 3 In heterogeneous ground, where γ' varies, the term γ'k z is substituted by the integral ∫0 𝛾𝛾′𝑘𝑘 𝑑𝑑𝑑𝑑 < New
R21>
NOTE 4 For an analysis method for retaining structures in steady state seepage using the equilibrium of a single
soil column, see EN 1997-3.

8.2.4.3 Internal erosion and Piping

<REQ> Where seepage of water occurs through coarse grained soil, as defined in EN-ISO-14688 it
shall be demonstrated that a limit state due to internal erosion or piping can not be exceeded. <
New R22>

<REQ> The design values of hydraulic gradients and seepage velocities shall be calculated on the
basis of the design water pressures specified in 5.3.3. < New R23>

<REQ> It shall be verified that:

id ≤ ic;d (8.6)

where:
id is design value of hydraulic gradient;
ic;d is design value of critical hydraulic gradient, where soil particles begin to move.
< New R24>
<REQ> The critical hydraulic gradient for internal erosion and piping shall be determined taking
into consideration:
− the direction of flow;
− the grain size distribution and shape of grains;
− stratification of the soil. < New R25>

57
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

NOTE 1 The value of ic;d depends on particle size and grading of the coarse grained soil and is 0.5-0.8, unless the
National Annex gives a different value. < New R26>

NOTE 2 Methods for assessing critical hydraulic gradients are given by CIRIA (2013) The International Levee
Handbook. CIRIA Report C731.

<RCM> Exceedance of an ultimate limit state due to internal erosion and piping should be
prevented by measures including:
− filter protection at the free surface of the ground or elsewhere;
− increase of the length of the seepage path;
− reducing the hydraulic gradient. < New R27>

<RCM> Filter protection should generally be provided by use of soil that fulfils adequate design
criteria for filter materials. Where necessary, more than one filter layer should be used to ensure
that the particle size distribution changes in a stepwise fashion to obtain sufficient protection both
for the soil and the filter layers. < New R28>

<PER> Alternatively, geosynthetic filters may be used provided it can be established that they
sufficiently prevent transport of fines without clogging. < New R8>

<REQ> When determining the outflow hydraulic conditions for the verification of failure by piping
or of local slope stability, account shall be taken of the fact that joints or interfaces between the
structure and the ground can become preferred seepage paths. <EN 1997-1 10.5(5)>

<REQ> Where prevailing hydraulic and soil conditions can lead to the occurrence of piping (see
Figure 8-2), and where piping endangers the stability or serviceability of the hydraulic structure,
prescriptive measures shall be taken to prevent the onset of the piping process, either by the
application of filters or by taking structural measures to control or to block the ground-water flow.
<EN 1997-1 10.5(1)>

1 free-water level
2 piezometric level in the permeable subsoil
3 low permeability soil
4 permeable subsoil
5 possible well; starting point for pipe
6 possible pipe

58
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Figure 8-2 Example of conditions that may cause piping

Failure caused by time-dependent effects

<Drafting note: this heading is kept as a place holder. Might be deleted in final draft, if not needed>

Failure caused by fatigue

<Drafting note: this heading is keept as a place holder. Might be deleted in final draft, if not needed.
However it might be relevant for specific loading cases for piles>

Other limit states

<REQ> For geotechnical structures subjected to high frequency loading, it shall be verified that the
loading does not cause any limit state to be exceeded. < New R29>

<REQ> Foundations located within seismic areas shall be verified according to EN 1998-5. < New
R30>

<REQ> For geotechnical structures on saturated frictional soil which are subjected to vibration, it
should be verified that the limit state due to liquefaction is not exceeded. < New R31>

<Drafting note: The topic of limit state due to liquefaction should be further considered by PT6>

8.3 Verification by the partial factor method

<Drafting note: This section has been redrafted based on the latest draft version of EN 1990. (2017-10-
30) Table A1.7 in EN 1990 (draft) has been included below for drafting purposes only. Not included in
final draft. Annex A has been moved to this clause.>

59
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

General

<REQ> When checking ultimate limit states of a geotechnical structure (or part of it), it shall be
verified that:

𝐸𝐸𝑑𝑑 ≤ 𝑅𝑅𝑑𝑑 (8.7)

where:
Ed is the design value of the effect of actions;
Rd is the design value of the corresponding resistance.
NOTE This is a more specific version of EN 1990, 9.3.1(1).

60
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<EN 1997-1 2.4.7.3.1(1): Revised based on EN 1990>

<RCM> When checking ultimate limit states caused by excessive deformation of the ground, it
should be verified that:

𝐸𝐸𝑑𝑑 ≤ 𝐶𝐶𝑑𝑑,𝑈𝑈𝑈𝑈𝑈𝑈 (8.8)

where, in addition to the symbols defined for Formula (8.7):


Cd,ULS is the design value of the excessive deformation that is considered to cause an ultimate
limit state.

NOTE 1 This is a more specific version of EN 1990, 9.3.1(2).


NOTE 2 In Formula (8.8), Ed is a displacement or strain, rather than a force or stress.
NOTE 3 In ductile materials in particlaur, an ultimate limit state of excessive deformation can occur before
rupture of the material.
NOTE 4 Guidance on the selection of Cd,ULS is given in EN 1997-3.
<EN 1997-1 2.4.7.3.1(1): Revised based on EN 1990, divided into two clauses; >

Design cases for geotechnical structures

<Drafting note: This clause has been added in October draft, based on the pre-version of the October
draft of EN1990. It gives the link to A1.7.1 in EN 1990, where the design cases are defined. However,
depending on the final version of EN 1990, it might be necessary to revise this clause. >

<REQ> The avoidance of ultimate limit states for geotechnical structures shall be verified using one
or more of the Design Cases specified in EN 1990, A1.7.1 < New: OCT: R1>

NOTE 1 In Design Case 1, partial factors > 1.0 are applied to unfavourable actions.
NOTE 2 In Design Case 2, which is a combined verification of strength and static equilibrium, partial factors are
applied to actions in two different combinations.
NOTE 3 In Design Case 3, partial factors = 1.0 are applied to most actions (except to variable actions).
NOTE 4 In Design Case 4, partial factors are applied to effects of actions (and not to actions).
NOTE 5 Table 8-1 gives an overview of the applicability of the Design Cases for different ultimate limit states.
<Drafting note: EN 1990 define the DC in relation to actions only. It is up to EN 1997 to define the
application of partial factors to material and resistance, and how the combinations should be defined.
The specific design combination for each geotechnical structure will be defined by EN 1997-3.
Consideration of different limit states for the same geotechnical structure could lead do different Design
Cases, with application of additional partial factors either to resistance or material.

As a general principle the following could be used.

Design Case 1 is a Resistance Factor Approach, RFA (with partial factors on action) or a Material Factor
Approach (MFA)

Design Case 2 is static equilibrium with partial factors applied on actions.

Design Case 3 is primarily a Material Factor Approach, (MFA)

Design Case 4 is primarily a Resistance Factor Approach, RFA (with partial factors on effect of actions).

61
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

This has been included in the draft, to serve as a base for discussion. But will not be included in the final
draft>

Table 8-1 — Applicability of Design Cases for ultimate limit states for geotechnical structures
Design Case1

Ultimate limit state DC1 DC2 DC3 DC4

Failure of ground by rupture OK n.a. n.a. OK OK

Failure of structural element by rupture OK n.a. n.a. n.a. OK

Failure by excessive deformation OK n.a. n.a. OK OK

Loss of static equilibrium in structure or n.a. OK OK n.a. n.a.


ground, considering rigid-body

Loss of static equilibrium due to uplift n.a. OK OK n.a. n.a.


forces from water

Hydraulic heave, internal erosion and piping n.a. OK OK n.a. n.a.


1 ‘Design cases’ are defined in EN 1990, A1.7
<Drafting note: Table 8-1 is a preliminary table based on available information from EN 1990. It has
been included in the October draft, since it could be helpful for the discussion. If it, or a revised version,
will be included in the final version, depends on comments received>

<REQ> The Design Cases to be considered for different geotechnical structures shall be selected
according to EN 1997-3. < New: OCT: R1>

Design values of the effects of actions

<RCM> Design values of the effects of actions should be calculated either by applying partial factors
to actions – using Formula (9.4) of EN 1990 – or by applying partial factors directly to action-effects
– using Formula (9.6) or (9.8) of EN 1990, depending on which Design Case is being verified.

NOTE Values of the partial factor γF are given in Table A1.7 of EN 1990.

Design values of resistance

<RCM> Design values of resistance should be calculated either by applying partial factors to
material properties – using Formula (9.17) of EN 1990 – or by applying partial factors directly to
resistance – using Formula (9.19) or (9.21) of EN 1990, depending on which Design Case is being
verified. < New: OCT: RO2>

<REQ> For persistent and transient design situations, the avoidance of ultimate limit states shall be
verified using partial factors for resistance for one or more of the Design Cases. < New: OCT: R02>

NOTE Values of the partial factors for resistance γR for different Design Cases are given in EN 1997-3.
<Drafting note: There is an opening in EN 1990 to add consequence factor on both resistance and
material. However, in DC1, DC2 and DC4 a consequence factor is already included on the action/action
effect. In those cases, it is not reasonable to account for the same consequence twice. Hence, it is only
for DC3 it would be possible to add a consequence factor. But DC3 is a Material Factor Approach with a
partial safety on material (and therefore it is only relevant to add a consequence factor on material).
Therefore, PT2 excluded the consequence factor on resistance in this October draft>

62
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Design values of material properties

<REQ> The avoidance of ultimate limit states shall be verified using partial factors for ground
properties for one or more of the Design Cases. < New: OCT: RO3>

NOTE Values of the partial material factors γM for different Design Cases are given in Table 8-3 unless the
National Annex gives different values.
<RCM> Except as given in (3) below, the design value of a ground property Xd should be calculated
from:
𝑋𝑋
𝑋𝑋𝑑𝑑 = 𝛾𝛾 𝑘𝑘 (8.9)
𝑀𝑀

where:
Xk is the characteristic value of the geotechnical material property;
γM is a partial material factor.

NOTE 1 Formula (8.9) is the same as Formula (9.24) of EN 1990, with the conversion factor η equal to 1.0.
NOTE 2 Values of the partial factor γM for persistent and transient design situations are given in Table 8-2 unless
the National Annex gives different values.
NOTE3 Values of the partial factor γM for accidental and seismic design situations are given in Table 8-4 unless
the National Annex gives different values. < New: OCT: RO3>
<RCM> The design value of the angle of shearing resistance of soil ϕd should be calculated from:

tan 𝜑𝜑𝑘𝑘
𝜑𝜑𝑑𝑑 = tan−1 � � (8.10)
𝛾𝛾𝜑𝜑

where:

ϕk is the characteristic value of the angle of shearing resistance of the soil;


γϕ is a partial material factor.

NOTE 1 Formula (8.10) is a specialised version of Formula (8.9).

NOTE 2 Values of the partial factor γϕ for persistent and transient design situations are given in Table 8-2 unless
the National Annex gives different values.

NOTE 3 Values of the partial factor γϕ for accidental and seismic design situations are given in Table 8-4 unless
the National Annex gives different values. < New: OCT: RO3>
<RCM> The design value of the constant-volume angle of shearing resistance of soil ϕcv,d should be
calculated from:

tan 𝜑𝜑𝑐𝑐𝑐𝑐,𝑘𝑘
𝜑𝜑𝑐𝑐𝑐𝑐,𝑑𝑑 = tan−1 � 𝛾𝛾𝑐𝑐𝑐𝑐,𝜑𝜑
� (8.11)

where:
ϕcv,k is the characteristic value of the constant-volume angle of shearing resistance of the soil;

γϕ,cv is a partial material factor.


NOTE 1 Formula (8.11) is a specialised version of Formula (8.9).

63
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

NOTE 2 Values of the partial factor γϕ,cv for persistent and transient design situation are given in Table 8-2 unless
the National Annex gives different values.

NOTE 3 Values of the partial factor γϕ,cv for accidental and seismic design situations are given in Table 8-4 unless
the National Annex gives different values. < New: OCT: RO3>
Table 8-2 Partial material factors for persistent and transient design situation
Ground parameter Symbol Set M1 Set M2 Set M3

1,0 1,25
Angle of shearing resitance1 γϕ 1,25 KM

Effective cohesion γc 1,0 1,25 1,25 KM

Constant-volume angle of shearing resistance2 γϕ,cv 1,0 1,0 1,0 KM

Undrained shear strength γcu 1,0 1,4 1,4 KM

Unconfined strength γqu 1,0 1,5 1,4 KM

Weight density γγ 1,0 1,0 1,0

1 This factor is applied according to Formula 8.10


2 This factor is applied according to Formula 8.11

<Drafting note: M1, M2 and M3 are three different sets of partial factors for material properties. Which
set to be used for a specific geotechnical structure will be given in EN 1997-3>

<Drafting note: For the ultimate limit state of excessive deformation, it might be necessary to consider
a value of the partial factor of Modulus. >

<Drafting note: It could be argued that the partial factor of the material is not only depending on the
ground but also on the structure. Hence table 8-2 should be in part 3. This is the case for some countries
today. However, for the completeness of this October draft it has been included hear. Opinions on there
the table should be presented in the final draft, are welcomed. Part 1 or Part 3?>

<PER> The values of the partial factors given in Tables 8-2 and 8-4 may be adjusted according to the
consequences of failure, using the consequence factor KM, provided that the resulting partial factor
is not taken as less than 1,0. < New: OCT: R04>

NOTE Values of KM for different classes of consequences are given in Table 8-4, unless the National Annex gives
different values.

Table 8-3 Consequence factors for geotechnical structures


Consequence Class Description of consequences Consequence factor KM

CC3 Higher 1,1

CC2 Normal 1,0

CC1 Lower 0,9

64
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Table 8-4 Partial material factors for accidental and seismic design situations
Ground parameter Symbol Set M1 Set M2 Set M3

Angle of shearing resitance1 ϕ' 1,0 1,1 1,1 KM

Effective cohesion c' 1,0 1,1 1,1 KM

Constant-volume angle of ϕ'cv 1,0 1,0 1,0 KM


shearing resistance1

Undrained shear strength cu 1,0 1,2 1,2 KM

Unconfined strength qu 1,0 1,2 1,2 KM

Weight density γγ 1,0 1,0 1,0

<PER> Provided the conditions specified in (7) below are satisfied, the values of the partial
material factors for transient design situations may be reduced by a factor Ktr, provided that the
resulting partial factor is not less than 1,0.

NOTE The value of the reduction factor Ktr is 1.0 unless the National Annex gives a different value.

<RCM> The reduction factor Ktr should only be applied if:


− the ground responds in a ductile manner to the loads applied to it;
− the construction is supervised by appropriate personnel throughout the transient design
situation;
− contingencies are available to deal with any arising problems that would affect the safety of the
works;
− the consequences of failure for adjacent structures or for the general public are limited.

Application of partial factors when using numerical methods

<RCM> Verification of geotechnical ultimate limit state by numerical methods should use partial
factors from:
− Design Case 3 (for actions) and Set M3(for ground properties); or
− Design Case 4 (for action effects) and Set M1 (for ground properties)
whichever gives the less favourable design outcome. < New: OCT: RO5>

<RCM> Partial factors applied to ground strength using numerical methods should be applied to the
computed strength taking account of any secondary effects. < New: OCT: RO5>

NOTE Secondary effects are those other than the input strength parameters that influence predictions of
ground strength by numerical methods, including relative stiffness of materials, dilatancy and excess
pore pressure.
<RCM> When advanced constitutive models are used, the computed strength should be based on
yield criteria other than Mohr-Coulomb (for drained conditions) and Tresca (for undrained
conditions).

65
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

9 Serviceability limit states


9.1 General
<REQ> Serviceability limits states involving geotechnical structures shall be verified in accordance
with EN 1990, 9.4, and this Clause 9.

<RCM> Design values of ground properties for serviceability limit states should be obtained by
applying partial factors to the characteristic values. <EN 1997-1 2.4.8(2)>

NOTE The value of the partial factor is 1.0 unless the National Annex gives a different value. <EN 1997-1
2.4.8(2) >
<RCM> Best-estimate predictions of performance should use best estimates of mean values of
material properties and actions. <New: R1>

NOTE Best-estimate prediction of performance can be used for comparison with site observations.
<PER> A check on strength mobilisation may substitute for a direct verification of a serviceability
limit only if:
− a sufficiently low fraction of the ground strength is used as mobilisation limit
− established comparable experience exists with similar ground, structures and application
method. <EN 1997-1 2.4.8(4): Rephrased>

NOTE Guidance on application of this clause is given in EN 1997-3.


<Drafting note: Paragraph 5 is for simple approaches, e.g. increased factors in pile design. Paragraph 6
is for more advanced, non-linear mobilised strength methods, e.g. Bolton & Vardenega).

<PER> Where relevant non-linear stress-strain behaviour has been obtained, the fraction of
ground strength mobilised at serviceability limit state may be determined more accurately.
<New:R3 >

NOTE Guidance on application for specific structures is given in EN 1997-3


<REQ> Serviceability limit states for seismic loading shall be checked according to EN 1998, taking
into account the dynamic properties of ground and their changes due to such loadings. <New:R4 >

<Drafting note: Additional paragraphs will be included in the April-draft related to dynamic load
combinations and vibratory loading.>

9.2 Overall ground movements


<RCM> Ground movement (subsidence) due to the following causes should be considered:
− change in ground-water conditions and corresponding pore-water pressures;
− nearby excavations, quarrying and tunnelling;
− long-term creep;
− volume loss of deep soluble strata or due to oxidation of organic content;
− mining or similar works such as gas extraction. <EN 1997-1 11.6(2)>

<RCM> When calculation models used to provide predictions of ground movement are unreliabile,
exceedance of serviceability limit states should be avoided by one of the following:
− limiting the mobilised shear strength to values specified in the design;
− observing the movements and specifying actions to reduce or stop them, if necessary. <EN
1997-1 11.6(3): Rephrased>

66
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

9.3 Structural serviceability limit states

<Drafting note: This section is subject to change depending on contents of Section 6.4.4 Design Criteria
in new draft of EN1990.>

<REQ>Limiting values shall be established for ground movement and corresponding movement
(including differential) of foundations, retaining walls and other geotechnical structures at which a
serviceability limit state is deemed to occur in the supported structure. <EN 1997-1 2.4.9(1)P,
2.4.9(2) and 2.4.8(5): Rephrased>

NOTE Guidance on limiting values of ground movements is given in Annex C. <EN 1997-1 2.4.9(1), Rephrased>
<REQ> The selection of ground movement limits shall take account of the following:
− the confidence with which the acceptable value of the movement can be specified;
− the occurrence (or recurrence) and rate of ground movements;
− the effect of horizontal as well as vertical ground movements; <New: R5>
− the type and age of structure;
− the requirements of any plant or machinery (during both construction and the service life of
the structure) and the proposed use of the structure; <New:R5>
− the changing state of the structure during construction; <New:R5 >
− the type of construction material;
− the type of geotechnical structure;
− the type of ground;
− the mode of deformation;
− the proposed use of the structure;
− relative movement between buildings or parts of buildings of different
characteristics;<New:R5 >
− the need to ensure that there are no problems with the services entering the structure. <EN
1997-1 2.4.9(3)>

<PER> In the absence of specified limiting values of structural deformations of the supported
structure, the values of structural deformation given in Annex C can be used. <EN 1997-1 2.4.9(3)P,
NOTE>

<REQ> Calculations of ground movement shall take account of:


− expected rate of ground movements;
− the loading distribution;
− the construction method (including the sequence of loading);
− the stiffness of the structure during and after construction. <EN 1997-1 2.4.9(3)P:
Rephrased>

<PER> Improved predictions of ground movement and corresponding movements of geotechnical


structures may be obtained by ground-structure interaction analysis to take account of structure
stiffness and a structure’s ability to redistribute loads to the ground. <New :R6>

67
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

10 Execution
<Drafting note: This section specifies requirements for the implementation of the design during
execution. It does not include construction specifications. The term “execution” includes “construction”
and all other phases of the execution process, such as testing during construction, post-construction
monitoring, maintenance, etc. The term “supervision” includes regular control of the control of the
construction process to ensure that all construction activities are according to the specification. The
term “inspection” includes control of the execution process at pre-determined milestones, with specific
quality control objectives.>

NOTE This Clause covers the verification of the design during execution to ensure that design requirements are
satisfied. Other requirements covering execution supervision, quality control and monitoring are given
in the appropriate Execution Standards.

10.1 General
<REQ> To ensure the safety and quality of a geotechnical structure, the following shall be
undertaken during execution:
− the implementation of the design during construction shall be supervised;
− the execution process and workmanship shall be inspected and controlled;
− the performance of the structure shall be monitored, during and after construction;
− the structure shall be adequately maintained. <EN 1997-1 4.1(1): Rephrased>

NOTE Supervision during construction includes assessment of actual actions, ground and groundwater
conditions, including fills.
<REQ> The level and amount of construction supervision, execution inspection and the quantity of
field measurements and testing required to control and monitor performance shall be planned
during the design stage and shall be documented in the Geotechnical Design Report. <EN 1997-1
4.1(6): Rephrased >

<REQ> The level, amount and quality of monitoring, construction supervision and execution
inspection and control shall correspond to the specific requirements of the design method. <EN
1997-1 4.1(8): Rephrased >

<REQ> The Geotechnical Design Report shall clearly identify any important design modifications,
contingency plans, and corresponding control criteria and tolerances that are influenced by the
results of supervision, inspection, monitoring, or maintenance. <EN 1997-1 4.1(5) : Rephrased >

<REQ> The Geotechnical Design Report shall include:


− a Supervision Plan (covering construction supervision);
− an Inspection Plan (covering inspection of execution and construction control, including
workmanship);
− a Monitoring Plan (covering required monitoring of the performance of the structure during
and after construction);
− a Maintenance Plan (covering required maintenance).<EN 1997-1 4.1(2): Rephrased>

NOTE Annex D gives a checklist for construction supervision and performance monitoring. <EN 1997-1
4.1(8)P, NOTE>
10.2 Execution Classes

<Drafting Note: The present writing of this section assumes that Execution Classes are defined in
EN1990

<RCM> An Execution Class (EXC) should be selected for each geotechnical structure. <New: R1>

68
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

NOTE 1 Execution Classes (EXC) are defined in some execution standards. See also EN 1990 Annex B
NOTE 2 Specific requirements for structures in each Execution Class are included in EN 1997-3.

<PER> Different parts of a geotechnical structure may be assigned to different Execution Classes.
<New: R2>

<REQ> The chosen Execution Classes shall be recorded in the Geotechnical Design Report. <New:
R3>
<RCM> Supervision, Inspection, Monitoring and Maintenance Plans should be related to the
Geotechnical Category of the geotechnical structure, or the relevant part of it. <New OCT R1>

<PER> Inspection Levels (IL), if used, may be related to Execution Classes according to Table 10-1,
<New OCT R2>

NOTE The relationship between Execution Class and Inspection Level is given in Table 10-1 unless
the National Annex gives a different Table.

Table 10-1 Inspection Levels for different Execution Classes


Execution Class (EXC) Inspection Level(IL)

EXC3 IL3: Third-party inspection, by an independent organization

EXC2 IL2: Independent inspection

EXC1 IL1: Self inspection

NOTE Inspection Levels are defined in EN 1990, Annex B.5.

10.3 Supervision of design implementation during construction


General

<REQ> Supervision of the implementation of the design during construction shall include:
− Assessment of the design, by checking the validity of design assumptions in relation to the
encountered in-situ conditions;
− Assessment of ground and groundwater conditions, by identifying differences between actual
conditions and those assumed in the design;
− Assessment of the suitability of the construction procedures and sequence of operations
adopted in the design, in the light of the encountered ground conditions;
− Comparison of the behaviour of the structure as predicted in the design, with its observed
performance. <EN 1997-1 4.1(3)>

<REQ> The objectives, type, extent, and level of supervision shall comply with the specific
requirements of EN 1997-3 and relevant execution standards. <New: R10>

<REQ> Supervision shall be performed according to the Supervision Plan specified in the
Geotechnical Design Report. <EN 1997-1 4.1(3)> <RCM ->REQ>

Supervision Plan

<REQ> The Supervision Plan shall specify the objectives, type, quality, and frequency of supervision
of construction.

69
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<REQ> The Supervision Plan shall specify acceptance criteria for any measurement taken during
supervision and indicate what course of actions is required if the acceptance criteria are not met.
<EN 1997-1 4.2.1(1) Rephrased>

NOTE Details about the measurements are given in 10.5 and in EN1997-3.
<REQ> In the Observational Method, the Supervision Plan shall be compatible with the required
monitoring, corresponding control tolerances and required contingency actions for both the initial
design and all design variants. <New:R4>

<PER> For Geotechnical Category 1, the Supervision Plan may be limited to visual inspection, simple
quality controls, and a qualitative assessment of the performance of the structure. <EN 1997-1
4.2.2(2)> <PER>

<RCM> For Geotechnical Category 2, the Supervision Plan should also include measurements of
ground properties, of piezometric levels and of the behaviour of the structure, as specified in the
design. <EN 1997-1 4.2.2(3)> <RCM>

<RCM> For Geotechnical Category 3, the Supervision Plan should also include additional
measurements during each significant stage of construction. <EN 1997-1 4.2.2(4)> <RCM>

<RCM> In addition to the conditions of the Geotechnical Category, the Supervision Plan should be
commensurate with:
− the design method;
− the degree of uncertainty in the design assumptions;
− the feasibility of implementing design modifications or corrective measures during
construction. <EN 1997-1 4.2.1(2)> <RCM>

Assessment of the design

<REQ> Prior to and during construction, the design shall be assessed on the basis of the results of
monitoring, observed performance, construction supervision, and execution inspection. <New:R5>

<RCM> Assessment of the design should include a careful review of the most unfavourable
conditions that occur during construction, with respect to:
− ground conditions;
− groundwater conditions;
− actions on the structure;
− environmental impacts and changes including landslides and rockfalls. <EN 1997-1 4.2.3(2)>
<RCM>

<REQ> The results of the design assessment shall be checked for compatibility with any previous
design, before any design revisions are decided. <New: R6>

10.3.3.1 Assessment of ground conditions

<REQ> The design assumptions regarding the descriptions and geotechnical properties of soils and
rocks in the zone of influence of the structure shall be checked during construction. <EN 1997-1
4.3.1(1)P>

<RCM> For Geotechnical Category 1, the descriptions of the soils and rocks should be checked by:
− inspecting the site;
− determining the types of soil and rock within the zone of influence of the structure. <EN 1997-1
4.3.1(2)>

70
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<RCM> For Geotechnical Category 2, the geotechnical properties of the soil or rock in the zone of
influence of the structure should be checked by additional site investigations, observations or
measurements, if required. <EN 1997-1 4.3.1(3): Rephrased>

<RCM> For Geotechnical Category 3, further checking should include additional investigations,
observations or measurements and examination of the details of the ground, groundwater, or fill
conditions, if required. <EN 1997-1 4.3.1(4) : Rephrased >

<RCM> Indirect evidence of the ground properties of the ground should be recorded and used to
assist in checking the ground conditions. <EN 1997-1 4.3.1(5)>

NOTE Indirect evidence includes, for example, pile driving records.


10.3.3.2 Assessment of groundwater conditions

<REQ> Groundwater levels, pore water pressures, groundwater flow characteristics and
groundwater chemistry shall be checked during construction to ensure that the encountered
conditions are compatible with the assumptions made in the design. <EN 1997-1 4.3.2(1)
Rephrased>

<RCM> For Geotechnical Category 1, checks should be based on previously documented experience
in the vicinity of the site, direct observations, or any other relevant evidence. <EN 1997-1 4.3.2(3)>

<RCM> For Geotechnical Categories 2 and 3, direct observations and suitable additional
measurements of pore water pressures and groundwater flow characteristics should be made, as
specified in the design, if they affect either the method of construction or the performance of the
structure. <EN 1997-1 4.3.2(4)>

10.3.3.3 Assessment of fill

<REQ> For fills, the Geotechnical Design Report shall specify suitable material types, acceptable
placement water contents, compaction requirements, and methods and frequency of construction
and quality control. <New: R7>

<REQ> Fills shall be inspected and tested to ensure that the material, its placement water content
and the compaction procedures comply with the design specification. <EN1997-1 5.3.4(1)P>

10.4 Inspection and control of execution


<RCM> The works (and associated workmanship) should be inspected at regular intervals, by
checking that execution is carried out according to the design and that all design revisions are
adopted. <EN 1997-1 4.2.2(1)P>

<PER> The Inspection Level (IL), if used, may be related to the Execution Class (EXC) of the
structure or the relevant part of it. <New: R8>

NOTE The Inspection Level is defined in EN 1990 and specifies the party responsible for the inspection.
<REQ> The Inspection Plan shall specify the objectives, type, quality, and frequency of inspection of
the works. <New: R8>

<RCM> The Inspection Plan should be related to the Geotechnical Category of the structure or the
relevant part of it. <New: R8>

<REQ> The objectives, type and extent of inspection shall comply with the specific requirements of
EN 1997-3 and relevant execution standards. <New: R10>

<REQ> Records of all inspections shall be included in the Geotechnical Feedback Report. <New: R9>

71
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<RCM> Records of inspection should include:


− significant ground and groundwater features, including relevant photographs;
− signs of significant ground movement, such as cracking or distortion of adjacent buildings, road
pavements, new structure or the ground itself
− sequence of works;
− quality of materials;
− deviations from design;
− as-built drawings;
− results of measurements and of their interpretation;
− observations of the environmental conditions;
− unforeseen events. <EN 1997-1 4.2.2(5)P>

<RCM> Design documents, as built drawings, and other records (including monitoring data) should
be stored for the design life of the structure, unless legally required or agreed otherwise. <EN 1997-
1 4.2.2(8)>

<RCM> Records of temporary works should also be kept. Interruptions to the works and their
condition on re-commencement should be recorded. <EN 1997-1 4.2.2(6)>

<REQ> The results of the inspection and construction control, including inspection records, shall
be considered before any changes to the design are made. <EN 1997-1 4.2.2(7)>

<REQ> Site operations shall be checked for compliance with the method of construction assumed
in the design and stated in the Geotechnical Design Report. <EN 1997-1 4.4(1)P>

<REQ> Observed differences between the design assumptions and the site operations shall be
recorded and suitable actions taken, as specified in the Inspection Plan. <EN 1997-1 4.4(1)P>

<REQ> It shall be checked that the sequence of construction operations is compatible with the
corresponding principles used in the design and stated in the Geotechnical Design Report. <EN
1997-1 4.4(3)P>

<REQ> Deviations from the methods of construction assumed in the design and stated in the
Geotechnical Design Report shall be recorded and suitable actions taken, as specified in the
Inspection Plan. <EN 1997-1 4.4(2)P>

<POS> The construction sequence may be modified if it does not affect significant design
assumptions. <EN 1997-1 4.4(5)>

<PER> For geotechnical structures in Execution Class 1, a formal construction schedule may be
omitted from the Geotechnical Design Report. <EN 1997-1 4.4(4)> <PER>

<RCM> For geotechnical structures in Execution Classes 2 and 3, the Geotechnical Design Report
should specify the sequence of construction operations assumed in the design. <EN 1997-1 4.4(5)>
<PER>

10.5 Monitoring
<REQ> The Monitoring Plan shall specify the types, locations, frequency, and acceptance criteria of
the required monitoring. <EN 1997-1 4.5(1)P>

<RCM> Monitoring should be undertaken:


− before construction, to establish reference conditions;
− during construction, to identify the need for remedial measures, for switching to a different
design variant (Observational Method) or alterations to the construction sequence;
− after construction, to evaluate the long-term performance of the structure. <EN 1997-1 4.1(4)>

72
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<REQ> Monitoring shall include observations and measurements of the behaviour of the structure
and its surroundings in order to:
− check the validity of the Geotechnical Design Model and other design assumptions;
− check the validity of predictions of performance made during the design;
− ensure that the structure will continue to perform as required after completion. <EN 1997-1

<REQ> The objectives, type, extent, and level of monitoring shall comply with the specific
requirements of EN 1997-3 and relevant execution standards. <New: R10>

<RCM> Monitoring should provide knowledge of:


− groundwater levels and pore water pressures in the ground, so that effective stress analyses can
be carried out or checked;
− lateral and vertical ground movements;
− the depth and shape of the moving surface in a developed slide;
− rates of movement
− other site-specific data. <EN 1997-1 11.7(2)>

<POS> Monitoring can include measurement of the following:


− deformations of the ground affected by the structure;
− values of actions;
− values of contact pressure between ground and structure;
− groundwater levels and pore-water pressures;
− groundwater flow;
− forces and displacements (vertical or horizontal movements, rotations or distortions) in
structural members
− vibrations caused by construction activities
− other site-specific data. <EN 1997-1 4.5(4)>

<PER> For Geotechnical Category 1, monitoring may be limited in quantity and frequency or not
required. In such cases, monitoring may be simple, qualitative, and based on visual inspection. <EN
1997-1 4.5(8)>

<PER> For Geotechnical Category 2, monitoring may be based on measurements of movements and
groundwater pressure of selected points. <EN 1997-1 4.5(9)>

<RCM> For Geotechnical Category 3, monitoring should normally be based on measurement


compared with the results of analyses which take into account the sequence of construction
operations. <EN 1997-1 4.5(10)>

<REQ> In the case of unexpected events, the methods, extent, and frequency of monitoring shall
be reviewed. <EN 1997-1 4.1(7)>

<POS> The duration and frequency of post-construction monitoring can be altered as a result of
observations made during construction. <EN 1997-1 4.5(6)>

<RCM> For structures that impact unfavourably on significant parts of the surrounding
environment – or for which failure involves abnormal risks to property or life – monitoring
should be provided for as long as required in the design. <EN 1997-1 4.5(6)>

<REQ> The possibility of leakage or of alterations in the pattern of groundwater flow shall be
taken into account when planning the monitoring programme. <EN 1997-1 4.5(11)>

<RCM> If pore water pressures change during construction that can affect the performance of
the structure, those pressures should be monitored until construction is complete or until the
pressures have dissipated to safe values. <EN 1997-1 4.3.2(6)>

73
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

<RCM> For structures below groundwater level that are subject to uplift, pore water pressures
should be monitored until adequate resistance against uplift has been established. <EN 1997-1
4.3.2(7)>

<REQ> The effect of construction operations on the groundwater regime shall be checked. <EN
1997-1 4.3.2(9)P>

NOTE Construction operations that affect the groundwater regime include – for example – dewatering, grouting,
and tunnelling.

10.6 Maintenance
<REQ> The Maintenance Plan shall describe any maintenance that is required to ensure the safety
and serviceability of the structure. <EN 1997-1 4.6(1)P> <REQ>

<REQ> The objectives, type, extent, and level of maintenance shall comply with the specific
requirements of EN 1997-3 and relevant execution standards. <New: R10>

<RCM> The Maintenance Plan should provide information on:


− critical parts of the structure which require regular inspection;
− any works that are prohibited without a design review of the structure prior to its execution;
− the frequency of inspection. <EN 1997-1 4.6(2)> <RCM>

74
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

11 Testing
11.1 General
<PER> Testing may be used to verify geotechnical design by measuring the behaviour of structural
elements. <New:R1>

NOTE 1 Testing requirements for ground investigations and for monitoring execution are given in other clauses
of EN 1997-1 and EN 1997-2.
NOTE 2 Requirements and recommendations for testing of different types of geotechnical structure and
structural elements are given in EN 1997-3.
<RCM> The types, numbers and other testing requirements should be compatible with the
Execution Class (EXC) of the structure and the relevant clauses of EN 1997-3 for each structural
element. <New: R2 >

NOTE Execution Classes are defined in 10.2. <New OCT: R1 >

11.2 Design verification by testing


General

<PER> Tests may be carried out on a sample of the actual geotechnical structure or structural
element or on full scale or reduced scale models. <EN 1997-1 2.6(2)>

<REQ> When the results of load tests or tests on large or reduced scale models are used to verify a
design, or to complement one of the verification procedures permitted in 4.7 the following shall be
considered and allowed for:
− differences in the ground conditions between the test and the actual construction;
− time effects, especially if the duration of the test is much less than the duration of loading of the
actual construction;
− scale effects, especially if reduced scale models are used;
− effects of stress levels, together with the effects of particle size. <EN 1997-1
2.6(1)P><Rephrased>

NOTE 1 Testing of structural elements or complete geotechnical structures, either in full-scale or reduced model-
scale can include:
− static or dynamic load tests on trial or working piles, use of measurements during pile driving, etc;
− investigation, suitability and acceptance tests to determine the pull-out resistance of anchors or soil-nails;
− investigation, suitability and acceptance tests to determine the shear strength of lime-cement columns.
<New:R3 >

NOTE 2 Testing in connection with the execution of geotechnical structures can be used with any of the
following:
− the Observational Method;
− geotechnical monitoring, to verify, supplement or correct design assumptions;
− monitoring of existing structures to assist in obtaining ground parameters for back-analyses (e.g. unstable
slopes) or in assessing on-going deformations or incipient failure <New :R3a >

<REQ> Test results shall be documented in a Geotechnical Test Report.

NOTE The content of a Geotechnical Test Report is specified in Clause 12.

75
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

Types of tests

<PER> The following types of tests may be used in the verification of geotechnical design:
— Investigation Tests on elements not to be incorporated in the works, to establish the ultimate
load resistance of anchors or other structural elements (nails, piles, rock bolts, etc) at the
ground/structure interface and to determine their characteristics in the working load range;
— Suitability Tests, to confirm that a particular design is suitable for the present ground conditions;
— Acceptance Tests on elements to be incorporated in the works, to confirm that each anchor or
other structural element conforms with the acceptance criteria of the design. <New: R4 >

Planning of tests

<RCM> Prior to carrying out tests, a test plan should be designed which should include the test
objectives and all specifications for the execution and evaluation of the test. <New:R5>

<RCM> Typically, the test plan should include:


− objectives and scope;
− prediction of test results;
− specifications of sample preparation, as required;
− loading specifications;
− testing arrangement;
− measurement plan and frequency;
− test evaluation and reporting; <New:R5>
− acceptance and failure criteria;
− equipment (characteristics, maintenance and calibration requirements);
− measurement plan and frequency;
− requirements for related experience, if any <New OCT : R2>

NOTE Guidance on the content of the test plan for different geotechnical structures is given in EN 1997-3.
Test evaluation

<RCM> Test evaluation should include comparison of the test results with corresponding
predictions. <New:R6>

<RCM> When significant deviations occur, explanations should be given. <New:R6 >

<RCM> In case of unexpected deviations, the test should be repeated, or other tests should be
performed. <New:R6 >

<RCM> Test evaluation should be documented in the Geotechnical Design Report or the
Geotechnical Feedback Report. <New OCT : R3>

NOTE Guidance on documentation is given in Clause 12.

76
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

12 Reporting
12.1 General
<REQ> The geotechnical aspects of the design of buildings and civil engineering works shall be
recorded. <NEW: R1>

<RCM> The record should include documentation of geotechnical investigations, the ground model,
the basis of design, design results, deviations from design during execution, supervision, inspection,
and the results of monitoring. <NEW: R1>

<RCM> To prevent uncertainty, compliance with the assumptions given in 1.3 should be
documented in the Geotechnical Design Report. <EN 1997-1 1.3(3): Revised>

<REQ> The record shall include a complete audit trail suitable for independent review <NEW: R1>

<REQ> The record shall include information specified for the Ground Investigation Report (GIR),
Geotechnical Design Report (GDR), Geotechnical Test Report (GTR), and Geotechnical Feedback
Report (GFR). <NEW: R1>

<RCM> The extent and details of the record should be appropriate for the type of geotechnical
structure and the Geotechnical Category <NEW: R2>

NOTE Guidance on specific documentation for different geotechnical structures is given in EN 1997-3. <NEW:
R3>
12.2 Ground Investigation Report
<REQ> The results of geotechnical investigation and testing shall be compiled in a Ground
Investigation Report. <EN 1997-1 3.4.1(1)P>

<REQ> The Ground Investigation Report shall include a factual account of all geotechnical
investigation and testing. <EN 1997-2 6.2(1): Rephrased>

<REQ> The Ground Investigation Report shall state known limitations of the results. <EN 1997-2
6.1(5): Rephrased>

<REQ> The Ground Investigation Report shall record the environmental conditions encountered
during the investigation. <NEW: R4>
NOTE The environmental conditions can include temperature, time between sampling and testing in lab,
conditions during transportation from site to lab (soil sample), weather conditions.

<RCM> The factual account, in the Ground Investigation Report, should for each stage of the ground
investigation include the following information:
− the purpose and scope of the geotechnical investigation;
− a description of the site and its topography;
− a description of the planned structure and the stage of the planning the account is referring
to;
− selected Geotechnical Category;
− the names of relevant consultants and subcontractors;
− the dates at which the geotechnical investigation and testing were performed;
− the desk studies;
− the geological study of the site;
− the field reconnaissance of the site and the surrounding area.

NOTE 1 The Ground Model is the output of the Ground Investigation Report as described above.

77
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

NOTE 2 The desk study, geological study, field reconnaissance can be presented as annexes in separate reports.
<PER> The desk study may include (but is not limited to) history of the site, observations of
neighbouring structures, precedent construction activities, information from aerial photographs,
satellite observations, local experience in the area, and information about seismicity. <NEW OCT
R1>

<PER> The geological study of the site may include the geological ground model. <NEW OCT R2>

<PER> The field reconnaissance of the site may include (but is not limited to) observations of water
levels, indication of previous or ongoing movements of the ground, and vegetation. <NEW OCT R3>

<REQ> The results of any ground investigation shall be presented and reported according to EN
1997-2. <EN 1997-2 6.2(4)>

<RCM> Test reports from geotechnical investigation and testing should be included as annexes
in the Ground Investigation Report. <NEW: R5>

NOTE The contents of the test reports for different geotechnical investigation and testing method are given in
EN 1997-2.
12.3 Geotechnical Design Report
<REQ> Documentation of the design process including description of the purpose, assumptions,
analyses, validation of calculation model, excluded solutions, and specification of the final structure
shall be compiled in a Geotechnical Design Report. <NEW: OCT RO1>

<REQ> The extent and details of the Geotechnical Design Report shall be adequate for a technical
audit, with all major changes traceable. <NEW: OCT RO1>

<RCM> The extent and level of detail of the Geotechnical Design Reports should be linked to
Geotechnical Category. <EN 1997-1 2.8(2): Rephrased, PER->RCM>

NOTE Specific requirements on the Geotechnical Design Report for different geotechnical structures are given
in EN 1997-3.
<PER> For Geotechnical Category 1, the Geotechnical Design Report may be reduced to information
in a pre-defined format.

NOTE The pre-defined format for the GDR for a GC1 structure is given in Annex E unless National Annex gives a
different format.
General information

<REQ> The Geotechnical Design Report shall give a description of the site and the planned
geotechnical structure. <NEW: OCT RO2>
<REQ> The Geotechnical Design Report shall record the design situation, the Consequence Class,
the Geotechnical Complexity Class, and the Geotechnical Category. <NEW: OCT RO2>

Ground properties and Geotechnical Design model

<REQ> The Geotechnical Design Report shall include records of the Geotechnical Design Models used
and the selected ground properties, including the following:
− evaluation of the Ground Model, including laboratory and field investigation;
− statement on the limitations of the investigation results;
− statement on which Geotechnical Category the investigation fulfils, with justification;
− a description of the ground conditions compiled in a Geotechnical Design Model. <NEW: OCT
RO3>

78
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<RCM> The record should include:


− the results of the field investigations and laboratory tests evaluated according to EN 1997-2;
− a review of the results of the desk study, field investigation and laboratory test;
− a review of topographic data;
− a review of the geometric specification. <EN 1997-2 6.3(1): Rephrased>

<RCM> It should be documented, how the results were evaluated, taking into account the
groundwater table, ground type, drilling method, sampling method, transport, handling, and
specimen preparation. <EN 1997-2 6.3(2): Rephrased>

<RCM> The documentation should include as appropriate:


− the tabulation and graphical presentation of the results of field investigation and laboratory
testing in cross-sections of the ground showing the relevant geotechnical units and their
boundaries including the groundwater table in relation to the requirements of the project;
− the values of the ground properties for each geotechnical unit;
− a review of the derived values of ground properties. <EN 1997-2 6.3(3)>

NOTE Building Information Model or other similar models can be used for administering the documentation.
<New OCT Rx>
<REQ>The items listed in 12.3.2.1 to 12.3.2.3 shall always be reported when describing any
Geotechnical Design Model.

<REQ> Those items judged not relevant for a particular Geotechnical Design Model shall be
explicitly reported as such.. <New: R2>

12.3.2.1 Materials

<REQ> The specification of geotechnical units shall include:


- descriptions of soils and/or rocks included within each geotechnical unit;
- classification of soils and/or rocks included within each geotechnical unit;
- designation of the material parameters relevant and/or critical for design;
- designation of which data was considered in the selection of characteristic values for ground
properties;
- characteristic values of ground properties. <NEW: OCT RO3>

NOTE Guidance on the specification of geotechnical units is given in EN 1997-2. <NEW: OCT RO4>

12.3.2.2 Geometry

<REQ> The geometric specification shall include:


- location of boundaries between different geotechnical units;
- discontinuities acting within a geotechnical unit;
- spatial trends in the variation of ground properties, particularly with depth. <NEW: OCT RO3>

NOTE Guidance on the geometric specification is given in EN 1997-2. <NEW: OCT RO4>

12.3.2.3 Groundwater conditions

<REQ> The specification of groundwater conditions at a site shall include:


- identification of any low permeability materials;
- specification of water tables, water pressures and flows relevant for design;
- identification of saturation conditions for all materials in the model;
- groundwater chemical properties;
- a statement about the likely drainage response of each permeable saturated material present
in the model. <NEW: OCT RO3>

79
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

NOTE Guidance on the specification of groundwater conditions is given in EN 1997-2. <NEW: OCT RO4>

<REQ> It shall be documented that the strata subdivision assumed from desk studies and site
inspections were reconsidered in light of the results obtained. <EN 1997-2 6.3(2)>

Basic parameters

<REQ> The Geotechnical Design Report shall include documentation of the evaluation of the
characteristic value of geometrical data. <NEW: R7>

NOTE Geometrical data include groundwater levels, boundaries between geotechnical units and dimensions
of the geotechnical structure, as set out in Clause 4.

<REQ> The Geotechnical Design Report shall include documentation of the evaluation of the
characteristic values of geotechnical and non-geotechnical actions and resistance, if used. <NEW:
R7>

<REQ> The Geotechnical Design Report shall include documentation of the evaluation of the
characteristic value of material properties.

Verification methods

<REQ> The design situations considered in the design shall be described. <NEW: R8>
<REQ> Documentation of verification assisted by prescriptive measures shall include the following:
− reference to the clause in EN 1997 or its National Annex giving the prescriptive measure;
− evaluation of the applicability of the prescriptive measure for the design situation. <NEW: R9>

<REQ> Documentation of verification assisted by testing and verification by testing, shall include
the following:
− reference to Geotechnical Test Report;
− evaluation of the test results and their limitations<NEW: R10>

<REQ> Documentation of geotechnical analyses shall include the following:


− validation of the calculation model for the used Geotechnical Category;
− design values of ground parameters, including justification;
− design cases used;
− geotechnical design calculations and drawings;
− requirement on the execution process. <NEW: R11>

<REQ> Documentation of verification by Observational Method shall include the following:


− validation of the calculation model for the used Geotechnical Category;
− initial design;
− variations of the design including planed measures to be activated;
− requirement on the execution process. <NEW: R12>

<REQ> Documentation of design by calculation using Numerical methods shall in addition to (4)
include the following:
− statement of material models’ limitations for the considered design situations. <NEW: R13>

Plan of supervision, inspection, monitoring, and maintenance

<REQ> The Geotechnical Design Report shall include a plan of supervision, inspection, monitoring,
and maintenance <EN 1997-1 2.8(4)P>

NOTE Minimum contents of the Plan of Supervision, Plan of Inspection, Plan of Monitoring, and Plan of
Maintenance are given in Clause 10.

80
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

12.4 Geotechnical Test Report


<REQ> The results of testing of a geotechnical structure, or part of it, for design, supervision, or
monitoring shall be compiled in a Geotechnical Test Report. <NEW: R15>

<REQ> The presentation shall include a factual account of all test results. <NEW: R15>

<REQ> The results of the testing shall be presented and reported according to the requirements
defined in the EN or ISO standards applicable to the test. <NEW: R15>

<REQ> The Geotechnical Test Report shall state known limitations of the results. <NEW: R15>

NOTE 1 The laboratory and field results, including soil and rock characterisation, used in the initial design shall
be documented in the Ground Investigation Report.

NOTE 2 Guidance on the contents of the Geotechnical Test Report for specific geotechnical structures or part
thereof are given in EN 1997-3.

NOTE 3 For the Observational Method, the Geotechnical Test Report can be used to document observations of
the ground conditions, to be used to confirm the anticipated conditions in the initial design

<Drafting note: Reference to relevant testing standards (TC341/ISO182) and execution standards (TC
288) to be given by PT4 and PT5 in EN 1997 part 3>

12.5 Geotechnical Feedback Report

<Drafting note: this clause is drafted taking BS 8004:2014 as a starting point. The purpose of the GFR is
to assist with future maintenance, design of additional works and decommissioning of the works.>

<REQ> The Geotechnical Feedback Report shall include the following:


− a record of construction;
− a record of alterations of the Ground Model;
− a record of changes to the design;
− a record of results from supervision, monitoring and testing <NEW: R16>

NOTE The aim of the GFR is to assist with future maintenance, design of additional works and
decommissioning of the works. <NEW OCT: R16>
<REQ> For design by the observational method the Geotechnical Feedback Report shall, in
addition, include a record of encountered scenarios at site and the measures implemented, with
justification of deviation from the planed actions. <NEW: R17>

<RCM> The record of construction should include:


− a general description of the works, including ground and groundwater conditions encountered;
− instability problems, unusual ground conditions, and groundwater problems, including
measures to overcome them;
− contaminated and hazardous material encountered on site and the location of disposal, both on
and off site;
− temporary works and foundation treatment, including drainage measures and treatment of soft
areas and their effectiveness;
− types of imported and site-won materials and their use;
− any aspect of the specification or standards used that should be reviewed in view of problems
encountered on site;
− any requirements for ongoing monitoring or abnormal maintenance requirements;
− any unexpected ground conditions that required changes to design;
− problems not envisaged in the Geotechnical Design Report and the solutions to them;

81
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 FINAL

− as-built drawings. <NEW: R18>

<RCM> The record of supervision, monitoring, inspection, and testing should include:
− evaluation of results of testing of geotechnical structures or part of the structure, and the
impact on the execution and built structure;
− evaluation of results from complementary geotechnical investigations, and the impact on the
execution and built structure;
− deviations from the supervision plan, monitoring plan and inspection plan;
− summary of observations made during supervision, monitoring and inspection. <NEW: R19>

NOTE The Geotechnical Test Report is used to document any testing of the geotechnical structure and the
Ground Investigation Report to document complementary field and laboratory testing.

82
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Normative) Partial factors for geotechnical structures

<Drafting note: The content of this Annex has been in cooperated in the main text, 8.

The Annex A has been kept as a place-holder in the October draft, but unless comments/discussion
states differently the Annex will be excluded in the version that will be submitted in April -2018. >

83
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Informative) Characteristic value assessment procedures

<Drafting note: This Annex is new. This annex is a response on M515.SC7.T2 mandate for PT2 to
“provide rules for determining the characteristic value based on filed or laboratory testing. The goal
should be to derive at a method (statistical) to determine a characteristic value. There should be a link to
the work that PT3 will do on measured values”.>

B.1 General
B.1.1 Sources of uncertainty affecting geotechnical material properties
There are several sources of uncertainty that affect the evaluation of geotechnical material
properties

The sources include inherent variability, measurement error, statistical uncertainty and
transformation uncertainty.

Transformation uncertainty is only relevant if the property is not measured directly, but inferred
from a separate measurement (e.g. undrained strength from Standard Penetration Test blow
count).

Only inherent variability is a site property, the rest are design-dependent.

Figure B.3 Variabilities and uncertainties in estimation of geo-material properties (Phoon &
Kulhawy, 1999; Wang et al. 2015)

For the purposes of this Annex, it is assumed that the different sources of variability are related to
the observed variability value through:

2 2 2
∆ observed = ∆ inherent + ∆ test quality + ∆ transformation
(B.1)

where:
∆ observed is the coefficient of variation of the observed property values;
∆inherent is the coefficient of variation of the property due to inherent ground properties;
∆ test _ quality is the coefficient of variation of the measurement error;
∆transformation is the coefficient of variation of the transformation error.

NOTE Values of ∆ test _ quality and ∆transformation for different testing procedures are given in EN 1997-2.

85
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

B.1.2 Characteristic value assessment procedures


An ‘assessment procedure’ is used to evaluate the characteristic value of a ground property.

The assessment procedure applied depends on the nature of the characteristic value sought after,
e.g. an average or extreme (“superior” or “inferior”) value.

All assessment procedures take as starting point the site-specific data and previous information
explicitly indicated in the Geotechnical Design Model as relevant for the property being assessed.

The amount of available site-specific data conditions the applicability of any assessment procedure.

NOTE What counts as independent site-specific data depends on the property being assessed and on the
means by which such data has been acquired.

<Drafting note: Guidance on how to identify independent site-specific data for different tests will be
given EN 1997-2>

Selection of the appropriate assessment procedure should consider the Geotechnical Category
applicable to the design.

Three levels of assessment procedure are described in this Annex, conceived so that:
− they are only applicable for the evaluation of characteristic average values;
− more conservative parameter values are obtained at lower levels;
− higher levels reflect better the extra value of added site investigation;
− higher levels pose increased requirements on the designer.
NOTE Alternative assessment procedures can be given in the National Annex.

For the assessment procedures described in this Annex it is suggested that:


− Assessment Procedure 1 offers a suitable minimum for Geotechnical Category 1 design;
− Assessment Procedure 2 offers a suitable minimum for Geotechnical Category 2 design;
− Assessment Procedure 3 offers a suitable minimum for Geotechnical Category 3 design.

The assessment procedures in this Annex are used to evaluate the different terms in the following
expression:

𝑋𝑋𝑘𝑘 = 𝑋𝑋𝑎𝑎𝑎𝑎 [1 ∓ 𝑘𝑘𝑛𝑛 ∆𝑥𝑥 ] (B.1)

where:
Xav is an estimate of the average value of the ground property;
∆X is an estimate of the variability of the ground property;
kn is a coefficient that depends on the number (n) of site-specific data used to estimate Xav;
∓ denotes that kn∆X should be subtracted when a lower value of Xk is critical and added when an
upper value is critical.

NOTE This Formula is taken from Clause 4.

86
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

B.2 Assessment Procedure 1


The value of Xav is selected as the most unfavourable of
− the average value of independent site-specific data; or
− the prescribed average value Xav_pre, if available

NOTE 1 Prescribed average values of properties for some ground types are given in Annex F.

NOTE 2 Prescribed average values of properties for specific geotechnical formations can be given in the
National Annex.

The value of kn is given by:

kn = min(3; t95 ) (B.2)

where
t95 represents the Student t factor, evaluated for a 95% confidence level and n-1 degrees of
freedom.

NOTE 1 The value of n in the formula is given by the number of independent data used for the evaluation of Xav.
If using a prescribed value (Xav_pre ) or a direct cautious estimate use n = 2.

NOTE 2 Values of t95 may be obtained from textbooks and/or common spreadsheet software

The value of ∆X is given by:

1
∆ X =∆ X _ default
Lv
(B.3)

where
ΔX_default is the suggested value of parameter variability, taken from Table B.1;
Lv expressed in m, is the vertical dimension of the zone of influence for the limit state upon
consideration.

NOTE 1 The value of ΔX_default is those in Table B.1 unless other values are given in EN1997-2 and/or National
Annex

NOTE 2 As a general rule values of Lv shall be comprised in the interval 1 to 20

NOTE 3 Values of Lv appropriate for different geotechnical structures may be found in EN1997-3

<Drafting note: Values for other parameters are welcome, as well as suggested alternatives to the values
tabulated below.>

87
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

Table B.1. Suggested values of ∆X_default for some typical soil and rock types
Soil/rock type Property Symbol ∆X_default [%]

All soils Weight density γ 10

Fine-grained Undrained shear strength cu 50


Clay, silt
Clay
Clay

Sand Effective strength friction angle ϕ 15


Clay, silt
-

All soils At-rest “in situ” coefficient K0 70

All soils Hydraulic conductivity k 500

Rock Unconfined Compressive UCS 50


strength

NOTE The values in Table 1 synthetize, amongst others, data from Phoon et al. (2016), Uncertainty
representation of geotechnical design parameters, Chapter 3 in Reliability of geotechnical structures in
ISO2394, K.K. Phoon & Retief (eds) CRC Press.

B.3 Assessment Procedure 2


For application of this procedure at least 4 independent site-specific data values should be
available for the property being evaluated.

The value Xav is given by:

X av _ data + α X av _ pre
X av = (B.4)
1+ α

where
Xav_data is the average value of independent site-specific data;
Xav_pre is the prescribed average value.

NOTE If there are no prescribed average values for the property then Xav = Xav_data.

The value of kn is selected as in Annex B.2.

The value of ∆X is given by:

 ∆ X _ data + α ∆ X _ default  1
∆X =  (B.5)
 1+ α  Lv

where
ΔX_data coefficient of variation of the of independent site-specific data property values ;
ΔX_default is the default value of parameter variability, taken from Table B.1;
Lv is the vertical dimension of the zone of influence for the limit state upon consideration,
expressed in m and selected as in Annex B.2.

88
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

The weighting factor α is given by:

2
4  ∆ X _ data 
α=   (B.6)
N data  ∆ X _ default 

B.4 Assessment Procedure 3


For application of this procedure at least 12 independent site-specific data values should be
available for the property being evaluated.

The value of kn is selected as in Annex B.2.

The value of Xav is selected as in Annex B.3

The value of ΔX_data is given by:

∆ X _ data = ∆ 2X _ obs − ∆ test


2 2
_ quality − ∆ transformation
(B.7)

where
ΔX_obs is the coefficient of variation of the observed property values indicated in the Ground Model.

The value of ∆X is given by:

 ∆ X _ data + α ∆ X _ default  δ x
∆X =  (B.8)
 1+ α  Lv

where
ΔX_default, Lv and α are evaluated as in Annex ;B.3
δX is the vertical scale of fluctuation of the property.

NOTE δX can be evaluated from the project data and/ or from appropriate references documenting
comparable experience.

89
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Informative) Limiting values of structural deformation and


ground movement

<Drafting note: The main comments/discussion on this Annex in the April draft were if the content
should be in EN 1997, or if limiting values for structural deformation belong in EN 1990.

There seem to be an agreement that the content or something similar is useful, and could be included
either in EN 1997 or EN 1990.

Finalizing the October draft PT2 did not have the information about what possibilities there were to
move some of this Annex to EN 1990. Therefore, we chose to include it once more in our draft.

However, this Annex is subject to change depending on contents of Section 6.4.4 Design Criteria in new
draft of EN1990.>

<Drafting note: This annex is informative. The REC/PER/POS in the Annex are optional, there is no need
to comply with these recommendations to claim compliance with the Code. The REC/PER will only be
endorsed if the National Body decide so. Based on IR3 clause 6.4.1.2>

<PER> The provisions of this Annex may be used to define limiting values of structural deformation
and ground movement.

<PER> The components of geotechnical structure movement to consider may include settlement,
relative (or differential) settlement, rotation, tilt, relative deflection, angular distortion, deflection
ratio, horizontal displacement and vibration amplitude. <EN 1997-1 Annex H (1)>

NOTE Definitions of some terms for foundation movement and deformation are given in Figure C-1

Burland & Wroth’s (1975) terms for describing


foundation movement:
settlement, s
differential settlement, δs
rotation, θ
angular strain, α
relative deflection, ∆
deflection ratio, ∆ /L
tilt, ω
angular distortion, β

Figure C-1— Definitions of foundation movement

91
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

<RCM> The limiting deformations in this Annex should not be applied to buildings or structures
which are out of the ordinary or for which the loading intensity is markedly non-uniform. <EN 1997-1
Annex H (5)>

NOTE The guidelines in this Annex concern limiting deformations for normal, routine structures.
<PER> The damage criteria shown in Table C.1 may be used as a guide to setting serviceability limit
state damage criteria to walls based on ease of repair. <New:R1>

NOTE The boundary between Damage Classes 2 and 3 typically forms a serviceability limit state while Damage
Class 5 is typically considered an ultimate limit state.
<POS> Based on the damage criteria in Table C.1, Figures C.2 to C.5 provide an example of the
derivation of allowable deflection ratio for visual damage to walls in bending with different levels of
horizontal strain. <New:R1>

NOTE The derivation of the values in Table C-1, Figure C-2 to C-5 is described in Burland (1997) and Burland et
al (1977).

Figure C-2 — Example determination of deflection ratio limits for walls in bending (zero
horizontal strain)

92
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Figure C-3 — Example determination of deflection ratio limits for walls in bending (0.05%
horizontal strain)

Figure C-4 — Example determination of deflection ratio limits for walls in bending (0.1%
horizontal strain)

93
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

Figure C-5 — Estimation of visual damage from ground movement prediction data

<PER> In the absence of specified limiting values of structural deformations of the supported
structure, the values of structural deformation given below may be used as a guide.

Suggested limit on tilt of tall structures (height H) for visual appearance:


ω=1/250 (H<24m)
ω=1/330 (24m<H<60m)
ω=1/500 (60m<H<100m)
ω=1/1000 (H>100m)

Other suggested serviceability limits:


Leakage of steel fluid storage tanks β=1/300 to 1/500
Flexible utility connections s=150mm
Crane operation on rails β=1/300
Drainage of floors β=1/50 to 1/100
Stacking of goods ω=1/100
Operation of machinery β=1/300 to 1/5000 depending on machinery type, 1/750 typical.
Lift and escalator operation ω=1/1200 to 1/2000
Bridges β=1/200 to 1/500
Bridge bearings horizontal displacement 40mm
<new >

94
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

Table C-1 — Damage criteria for walls


Damage Normal Limiting Description Typical crack Ease of repair
class degree of tensile widths (mm)
sensitivity strain (%)
0 Negligible 0-0.05 Hairline cracks < 0.1

1 Very slight 0.05-0.075 Damage generally restricted to ≤1 Fine cracks that are easily treated
internal wall finishes. Close during normal redecoration
inspection may reveal some cracks in
external brickwork or masonry
2 Slight 0.075-0.15 Cracks may be visible externally; 2-3 Cracks easily filled. Re-decoration
doors and windows may stick probably required. Recurrent cracks
slightly can be masked by suitable linings. Some
repointing may be required to ensure
water-tightness
3 Moderate 0.15-0.3 Doors and windows sticking; service Up to 5 locally Cracks require some opening up and
pipes may fracture; weather- can be patched by a mason. Repointing
tightness often impaired of external brickwork and possibly a
small amount of brickwork may be
replaced
4 Severe > 0.3 Windows and door frames distorted; 5-15 Extensive repair work involving
floor sloping noticeably; walls breaking-out and replacing sections of
leaning or bulging noticeably; some walls, especially over doors and
loss of bearing in beams; service windows
pipes disrupted
5 Very severe Beams lose bearing; walls lean badly Several closely Requires a major repair job involving
and require shoring; windows spaced > 3 partial or complete rebuilding
broken with distortion; danger of
instability

95
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Informative) Checklist for construction supervision and


performance monitoring

<Drafting note: This annex is informative. The REC/PER/POS in the Annex are optional, there is no need
to comply with these recommendations to claim compliance with the Code. The REC/PER will only be
endorsed if the National Body decide so. Based on IR3 clause 6.4.1.2>

<PER> The provisions of this Annex may be used as checklist for construction supervision and
performance monitoring.

D.1 General
<RCM> This Annex contains the most important items that should be considered when supervising
construction or monitoring the performance of the completed structure. <EN 1997-1 Annex J.1(1)>

NOTE 1 The importance of the items will vary from project to project. The list is not exhaustive.
NOTE 2 Items that refer to specific aspects of geotechnical engineering or to specific types of works are reported
in the main text of this standard and in EN1997-3. <EN 1997-1 Annex J.1(1)>

97
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

D.2 Construction supervision


D.2.1 General items to be included
<RCM> Verification of ground conditions and of the location and general lay-out of the structure.

<RCM> Movements, yielding, stability of excavation walls and base; temporary support systems;
effects on nearby buildings and utilities; measurement of soil pressures on retaining structures;
measurement of pore-water pressure variations resulting from excavation or loading. <EN 1997-1
Annex J.2.1(3)>

<RCM> Safety of workmen with due consideration of geotechnical limit states. <EN 1997-1 Annex
J.2.1(4)>

D.2.2 Water flow and pore-water pressures


<RCM> Ground-water flow and pore-water pressure regime; effects of dewatering operations on
ground-water table; effectiveness of measures taken to control seepage inflow; internal erosion
processes and piping; chemical composition of ground-water; corrosion potential. <EN 1997-1
Annex J.2.1(1)>

<RCM> Adequacy of systems to ensure control of pore-water 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 ground-
water table throughout entire excavation to prevent boiling or quick conditions, piping and
disturbance of formation by construction equipment; diversion and removal of rainfall or other
surface water. <EN 1997-1 Annex J.2.2(1)>

<RCM> 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. <EN 1997-1 Annex J.2.2(2)>

<RCM> 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.
<EN 1997-1 Annex J.2.2(3)>

<RCM> Piezometric levels under buildings or in adjoining areas, especially if deep drainage or
permanent dewatering systems are installed or if deep basements are constructed. <EN 1997-1
Annex J.3(3)>

<RCM> Effectiveness of sub-horizontal borehole drains. <EN 1997-1 Annex J.2.2(5)>

<RCM> Flow measurements from drains. <EN 1997-1 Annex J.3(5)>

D.3 Performance monitoring


<RCM> Settlement at established time intervals of buildings and other structures including those
due to effects of vibrations on metastable soils. <EN 1997-1 Annex J.3(1)>

<RCM> Settlement of adjoining structures or areas. <EN 1997-1 Annex J.2.2(4)>

<RCM> Lateral displacement and distortions, especially those related to fills and stockpiles; soil
supported structures, such as buildings or large tanks; deep trenches. <EN 1997-1 Annex J.3(2)>

<RCM> Deflection or displacement of retaining structures considering: normal backfill loadings;


effects of stockpiles; fills or other surface loadings; water pressures. <EN 1997-1 Annex J.3(4)>

<RCM> Water tightness. <EN 1997-1 Annex J.3(7)>

98
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

<RCM> Vibration measurements. <EN 1997-1 Annex J.3(8)>

<RCM> Special problems:

− High temperature structures such as boilers, hot ducts: desiccation of clay or silt soils;
monitoring of temperatures; movements;
− Low temperature structures, such as cryogenic installations or refrigerated areas: monitoring of
temperature; ground freezing; frost heave; effects of subsequent thawing. <EN 1997-1 Annex
J.3(6)>

99
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

(Informative) Reporting, additional guideline

<Drafting note: This annex gives a guideline on the content of GIR, GDR, GTR, and GFR. It also gives a
general guideline on extent of documentation.>

E.1 General
NOTE The process of geotechnical design and execution consists of a few successive phases. The guidelines
for documentation is defined in different standards for the phases, as presented in Figure E-4.

Figure E-4 General Framework for guideline on documentation

E.2 Guideline for minimum content


<Drafting note: Guideline on the minimum content of GIR, GDR, GTR, GFR could be developed. However,
any detailed minimum content for different Geotechnical Category has not been included in this October
draft. Instead a general guideline on the extent of the documentation has been added. Opinions on the
need for additional guideline on minimum content are welcomed. >

101
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

For all Geotechnical Categories the records and documentation should be presented in a clear and
accessible way to facilitate for external review or revaluation.

For Geotechnical Category 1, the main items of the report as defined in 12 should be included. The
extent of the documentation for each heading may be reduced to a record with bullet-points of what
has been done.

NOTE An example of a reduced GDR for GC1 is presented in E.4


For Geotechnical Category 2, all items of the report as defined in 12 should be included. The
documentation should cover all for the design crucial aspects. The extent of the text for items that
are not crucial may be reduced or excluded (with motive).

For Geotechnical Category 3, all items of the report as defined in 12 should be included. A more
extensive documentation should be included, covering all aspects of the design. The degree of detail
should make it possible for an external part to repeat the design analyses with similar results.

E.3 Ground Investigation Report


The table of content of the Ground Investigation Report may include the following heading;
1. Project name
2. Planed structure and use
3. Normative references
4. List of available information for planning
5. Geotechnical Category
6. Description of site (topography, construction, vegetation)
7. Location (coordinates)
8. Desk study
9. Geological study
10. Geotechnical Field Investigation
a. List of performed investigations and locations (borehole)
b. Time period for investigation
c. Name of field engineer
d. Type of Equipment
e. Documentation of calibration and certification documents
f. Handling of samples
g. Main site observations
11. Geotechnical Laboratory testing
a. List of performed investigations, on which samples
b. Time period for investigation
c. Name of lab engineer
d. Documentation of calibration and certification documents
e. Main observations during testing (quality, sample conetent)
12. Groundwater investigations
a. List of performed investigations and locations (borehole)
i. Short term
ii. Long term
b. Time period for investigation
c. Name of field engineer
d. Documentation of calibration and certification documents
e. Handling of samples
f. Main site observations
13. Derived values
a. Basic properties (water content, density, plasticity…..)
b. Shear strength

102
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9 Final

c. Deformation properties
d. Groundwater
e. ….
14. Review of investigation and results

Annexes: Field report, Laboratory report, Test report, deskstudy, geological study, evaluated soundings
with derived values, graphical presentation of derived values, estimate of coefficient of variation.

Drawings: plane, section, profile,

E.4 Geotechnical Design Report


<PER> The table of content of the Geotechnical Design Report may include the following heading;
1. Project information
a. Project name
b. Planed structure and use
c. Normative references
d. Reference to the projects GIR and other sources of information
2. Evaluation of available information
a. Field- and laboratory investigation
b. Geological study
c. Deskstudy
d. ….
3. List/sketch geotechnical structures for evaluation
a. Geotechnical constructions for consideration
b. Evaluation of the alternatives
c. Choice of main alternatives, and motive for abandoning the other
4. Design Base
a. Geotechnical Ground Model including characteristic value
b. Consequence Class, Geotechnical Complexity Class and Geotechnical Category
c. Restrictions (loading, vibration, deformation…)
d. Assumptions, simplification of the problem that is made
e. Failure modes to consider
f. Verification method with necessary input parameters, one or more of these might be
included:
i. Applicable design case, partial factors
ii. Validation of chosen calculation model
iii. Reference for the chosen prescriptive measure
iv. For FE-analyses chosen material model with motivation of its applicability
v. ..
5. Geotechnical Analyses
a. Rough estimate of reasonable ranges of the results.
b. Documentation of analyses
c. Sensitivity analyses
d. Evaluation of results
e. Analyses of execution phases
f. …
6. Specification of the Geotechnical structure
a. Specification of material, dimensions
b. Requirements on the execution process and description of each execution phase
c. Drawings
7. Plan of supervision, inspection, monitoring and maintenance

103
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

For Geotechnical Category 1 the list above may be reduced to the following heading:
1. Project information
a. Project name
b. Planed structure and use
c. Reference to the projects GIR and other sources of information
2. Evaluation of available information that are summarised into a simplified Geotechnical Ground
Model.
3. Design Base
a. Consequence Class, Geotechnical Complexity Class and Geotechnical Category
b. Restrictions (loading, vibration, deformation…)
c. Failure modes to consider
d. Assumptions, simplification of the problem that is made
4. Geotechnical Analyses, one or more of these might be included:
a. Prescriptive measure with motive
b. Documentation of calculation model used (with reference of validation)
c. …
5. Specification of the Geotechnical structure
a. Specification of material, dimensions
b. Requirements on the execution process and description of each execution phase
c. Drawings
6. Plan of supervision, inspection, monitoring and maintenance

E.5 Geotechnical Test Report


The table of content of the Geotechnical Test Report may include the following heading;
1. Project information
a. Project name
b. Purpose of testing
c. List of performed testing and locations (coordinates)
d. Normative reference
e. Date, time
f. Environmental conditions at site during testing
g. Name of field engineer
h. Equipment used
i. Documentation of calibration and certification documents
2. Details of tested structural parts
a. Type of structural parts
b. Locations (drawing and/or coordinates)
c. Installation dates
d. …
3. Test results
a. Measured values
b. Derived values (correlations used)
c. Special remarks from on specific test results
d. .
4. Review of testing and results
a. Problems during the test that could affect the result

E.6 Geotechnical Feedback Report


<Drafting note: An example outline will be added in the April-2018 draft >

104
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

(Informative) Ground properties

<Drafting Note: This Annex is a placeholder for tables with Nationally determined ground properties for
different Limit States. The table is referenced in Clause 4 and 5.>

(1) <PER> Table F1 may contain National average values or characteristic values of ground properties, which can
be used as basis for design.

NOTE 1 The ground property values can be determined from table F1 on the basis of results of classification, field
tests or laboratory tests.

NOTE 2 The format of Table F1 is Nationally determined.

(2) <RCM> The recommendations and the requirements of clauses 4 and 5 should be followed.

105
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

(Informative) Qualification and professional experience

<Drafting note: This Annex was originally prepared by a group within ISSMGE, chaired by F. Buggy. A
draft version was discussed at the Oslo meeting. It was decided that a revised version should be
included in the October draft of EN 1997-1. Based on comments from SC7 WG1/TG2, SC7 WG1/TG3 and
the ISSMGE group this annex has been revised by SC7.PT2.

In addition to this Annex G, it has been proposed that the material that has been prepared by the
ISSMGE group, that is not included in the Annex G, should be published as a Joint Research Paper.
Referred to as JRP X in the draft.

The ISSMGE group will assist PT2 to prepare the final draft of this Annex, considering the obtained
comments during enquiry. The final draft will be included in the April draft of EN 1997-1 >

<Drafting note: This annex is informative. The REQ/REC in the Annex are optional, there is no need to
comply with these requirements to claim compliance with the Code. The REQ/REC will only be
endorsed if the National Body decide so. Based on IR3 clause 6.4.1.2>

<PER> The provisions of this Annex may be used to verify the assumptions in clause 1.3 regarding
qualified and experienced personnel.

<REC> The persons responsible for Ground Investigation and Geotechnical Design should have
appropriate qualifications and experience within their respective field that includes:
− A university diploma demonstrating successful completion of tertiary studies in a relevant field;
− Professional experience in ground engineering;
− Continuous Professional Development (CPD) in ground engineering;
− Membership of a relevant Professional Register, if available or required in individual countries.

NOTE 1: The minimum requirements for qualifications and experience are given in Table G-1 unless the National
Annex gives different requirements. Examples of current and proposed requirements for countries can be found in
JRP X.
NOTE 2: European Commission Directive 2005/36/EC on mutual recognition of professional qualifications
acknowledges that engineers are organised differently in various EU member states.
NOTE 3: The minimum requirements in Table G-1 are applicable for GC2projects. Additional requirements for GC3
can be set in the National Annex.
NOTE 4: The objective of Table G-1 is to set an agreed baseline of common professional competence standards
across Europe which are applicable to EN 1997 GC2 projects and to the profession of ground engineering at large.
NOTE 5: The National Annex cain Table G-1.

107
M515.SC7.T2 prEN 1997-1:20xx (E) Draft October 2017 v.7.9

Table G-1. Minimum requirements of qualification and professional experience


to fulfil the assumptions of clause 1.3

(1) (4) Remarks


Educational (2) (3) Registration
Professional
qualification Professional experience CPD Competence
(ECTS credit Professional qualifications
points) NOTE 4 and 5
NOTE 2 NOTE 3 And Application
NOTE 1

B Sc / B Eng B Sc / B Eng ≥ 20 hours Requirements on National requirements for


(180 – 240) 5 years – GC 2 /year professional registration may be enforced
M Sc / M Eng competence may by private or public law and
(300) vary with may be set by NA.
M Sc / M Eng
professional
3 years – GC 2 background and Applications for professional
and demonstrated specific project registration should be
appropriate application. documented, subject to
competence independent assessment and
General include a statement of
requirements are professional competency
defined in Table G-2. and curriculum vitae.

NOTE 1 Core subjects such as soil / rock mechanics, foundation engineering and engineering geology are required as part of
the university studies.
NOTE 2 The professional experience is measured in number of years demonstrating appropriate competence to apply the
provisions of the relevant clauses in EN 1997.
NOTE 3: The criteria for valid CPD hours may be set in the National Annex. Learned Societies in individual
countries may give input to their National Annex.
NOTE 4 The required professional competence, including level of competence, depends on for what purpose the person will
apply different clauses of EN 1997 in a project. Specific requirements for different technical areas may be defined in the national
annex. Examples of relevant technical areas include planning of field and laboratory investigation, evaluation of ground
investigation results, pile design, ground reinforcement, numerical methods. The professional competence also includes general
professional competence related to documentation, project management, risk management, and communication.
NOTE 5 The General requirements as defined in Table G-2, can be complemented with additional requirements in the National
Annex.

<Drafting note> ISSMGE-group will prepare a draft version for Table G-2. The discussion of this Table
will take place during the period November to Mars. In the April-2018 draft, Table G-2 will be included.

108

S-ar putea să vă placă și