SIST EN 1997-1:2005

SLOVENSKI STANDARD
SIST EN 1997-1:2005
01-maj-2005
(YURNRG*HRWHKQLþQRSURMHNWLUDQMHGHO6SORãQDSUDYLOD
Eurocode 7: Geotechnical design - Part 1: General rules
Eurocode 7: Entwurf, Berechnung und Bemessung in der Geotechnik - Teil 1:
Allgemeine Regeln
Eurocode 7: Calcul géotechnique - Partie 1: Regles générales
Ta slovenski standard je istoveten z: EN 1997-1:2004
ICS:
91.010.30 7HKQLþQLYLGLNL Technical aspects
93.020 Zemeljska dela. Izkopavanja. Earthworks. Excavations.
Gradnja temeljev. Dela pod Foundation construction.
zemljo Underground works
SIST EN 1997-1:2005 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------

EUROPEAN STANDARD EN 1997-1

NORME EUROPÉENNE

EUROPÄISCHE NORM
November 2004
ICS 91.120.20 Supersedes ENV 1997-1:1994
English version
Eurocode 7: Geotechnical design - Part 1: General rules
Eurocode 7: Calcul géotechnique - Partie 1: Règles Eurocode 7: Entwurf, Berechnung und Bemessung in der
générales Geotechnik - Teil 1: Allgemeine Regeln
This European Standard was approved by CEN on 23 April 2004.

CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European
Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national
standards may be obtained on application to the Central Secretariat or to any CEN member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CEN member into its own language and notified to the Central Secretariat has the same status as the official
versions.

CEN members are the national standards bodies of Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Slovakia,
Slovenia, Spain, Sweden, Switzerland and United Kingdom.




EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

Management Centre: rue de Stassart, 36  B-1050 Brussels
© 2004 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 1997-1:2004: E
worldwide for CEN national Members.

---------------------- Page: 2 ----------------------

EN 1997-1:2004 (E)
Contents
Foreword. 5
Section 1 General. 9
1.1 Scope. 9
1.2 Normative references . 10
1.3 Assumptions. 11
1.4 Distinction between Principles and Application Rules. 11
1.5 Definitions .12
1.6 Symbols . 13
Section 2 Basis of geotechnical design. 19
2.1 Design requirements . 19
2.2 Design situations. 21
2.3 Durability. 22
2.4 Geotechnical design by calculation. 23
2.5 Design by prescriptive measures . 35
2.6 Load tests and tests on experimental models. 36
2.7 Observational method . 36
2.8 Geotechnical Design Report. 36
Section 3 Geotechnical data. 38
3.1 General . 38
3.2 Geotechnical investigations . 38
3.3 Evaluation of geotechnical parameters . 39
3.4 Ground Investigation Report. 47
Section 4 Supervision of construction, monitoring and maintenance . 49
4.1 General . 49
4.2 Supervision . 49
4.3 Checking ground conditions. 51
4.4 Checking construction . 52
4.5 Monitoring . 53
4.6 Maintenance. 54
Section 5 Fill, dewatering, ground improvement and reinforcement. 55
5.1 General . 55
5.2 Fundamental requirements. 55
5.3 Fill construction . 55
5.4 Dewatering. 59
5.5 Ground improvement and reinforcement. 60
Section 6 Spread foundations . 61
6.1 General . 61
6.2 Limit states.61
6.3 Actions and design situations . 61
6.4 Design and construction considerations. 61
6.5 Ultimate limit state design. 62
6.6 Serviceability limit state design . 65
6.7 Foundations on rock; additional design considerations. 67
6.8 Structural design of spread foundations. 68
6.9 Preparation of the subsoil . 68
Section 7 Pile foundations. 70
7.1 General . 70
7.2 Limit states.70
7.3 Actions and design situations . 70
2

---------------------- Page: 3 ----------------------

EN 1997-1:2004(E)
7.4 Design methods and design considerations . 72
7.5 Pile load tests . 74
7.6 Axially loaded piles . 76
7.7 Transversely loaded piles . 86
7.8 Structural design of piles. 88
7.9 Supervision of construction. 88
Section 8 Anchorages . 91
8.1 General . 91
8.2 Limit states .92
8.3 Design situations and actions. 92
8.4 Design and construction considerations . 93
8.5 Ultimate limit state design . 94
8.6 Serviceability limit state design. 95
8.7 Suitability tests.95
8.8 Acceptance tests . 96
8.9 Supervision and monitoring. 96
Section 9 Retaining structures . 97
9.1 General . 97
9.2 Limit states .97
9.3 Actions, geometrical data and design situations . 98
9.4 Design and construction considerations . 101
9.5 Determination of earth pressures . 102
9.6 Water pressures . 105
9.7 Ultimate limit state design . 105
9.8 Serviceability limit state design. 109
Section 10 Hydraulic failure. 111
10.1 General. 111
10.2 Failure by uplift . 112
10.3 Failure by heave . 114
10.4 Internal erosion. 114
10.5 Failure by piping . 115
Section 11 Overall stability . 117
11.1 General. 117
11.2 Limit states . 117
11.3 Actions and design situations. 117
11.4 Design and construction considerations . 118
11.5 Ultimate limit state design . 119
11.6 Serviceability limit state design. 121
11.7 Monitoring. 121
Section 12 Embankments. 123
12.1 General. 123
12.2 Limit states . 123
12.3 Actions and design situations. 123
12.4 Design and construction considerations . 124
12.5 Ultimate limit state design . 125
12.6 Serviceability limit state design. 126
12.7 Supervision and monitoring. 126
Annex A (normative) Partial and correlation factors for ultimate limit states
and recommended values . 128
Annex B (informative) Background information on partial factors for Design
Approaches 1, 2 and 3. 138
Annex C (informative) Sample procedures to determine limit values of earth
pressures on vertical walls . 141
Annex D (informative) A sample analytical method for bearing resistance
calculation. 156
 3

---------------------- Page: 4 ----------------------

EN 1997-1:2004 (E)
Annex E (informative) A sample semi-empirical method for bearing
resistance estimation.160
Annex F (informative) Sample methods for settlement evaluation.161
Annex G (informative) A sample method for deriving presumed bearing
resistance for spread foundations on rock.163
Annex H (informative) Limiting values of structural deformation and
foundation movement .165
Annex J (informative) Checklist for construction supervision and
performance monitoring .167

4

---------------------- Page: 5 ----------------------

EN 1997-1:2004(E)
Foreword
This document (EN 1997-1) has been prepared by Technical Committee CEN/TC250
“Structural Eurocodes”, the secretariat of which is held by BSI. CEN/TC 250 is responsible for
all Structural Eurocodes.
This European Standard shall be given the status of a national standard, either by publication
of an identical text, or by endorsement, at the latest by May 2005 and conflicting national
standards shall be withdrawn by March 2010.
This document supersedes ENV 1997-1:1994.
According to the CEN/CENELEC Internal Regulations, the national standards organizations of
the following countries are bound to implement this European Standard: Austria, Belgium,
Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary,
Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland,
Portugal, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.
Background to the Eurocode programme
In 1975, the Commission of the European Community decided on an action programme in the
field of construction, based on article 95 of the Treaty. The objective of the programme was the
elimination of technical obstacles to trade and the harmonisation of technical specifications.
Within this action programme, the Commission took the initiative to establish a set of
harmonised technical rules for the design of construction works which, in a first stage, would
serve as an alternative to the national rules in force in the Member States and, ultimately,
would replace them.
For fifteen years, the Commission, with the help of a Steering Committee with Representatives
of Member States, conducted the development of the Eurocodes programme, which led to the
first generation of European codes in the 1980s.
In 1989, the Commission and the Member States of the EU and EFTA decided, on the basis of
1
an agreement between the Commission and CEN, to transfer the preparation and the
publication of the Eurocodes to CEN through a series of Mandates, in order to provide them
with a future status of European Standard (EN). This links de facto the Eurocodes with the
provisions of all the Council’s Directives and/or Commissions Decisions dealing with European
standards (e.g. the Council Directive 89/106/EEC on construction products - CPD - and
Council Directives 93/37/EEC, 92/50/EEC and 89/440/EEC on public works and services and
equivalent EFTA Directives initiated in pursuit of setting up the internal market).
The Structural Eurocode programme comprises the following standards generally consisting of
a number of Parts:
EN 1990 Eurocode : Basis of Structural Design
EN 1991 Eurocode 1: Actions on structures
EN 1992 Eurocode 2: Design of concrete structures
EN 1993 Eurocode 3: Design of steel structures

1 Agreement between the Commission of the European Communities and the European Committee for
Standardisation (CEN) concerning the work on EUROCODES for the design of building and civil engineering works
(BC/CEN/03/89).
 5

---------------------- Page: 6 ----------------------

EN 1997-1:2004 (E)
EN 1994 Eurocode 4: Design of composite steel and concrete structures
EN 1995 Eurocode 5: Design of timber structures
EN 1996 Eurocode 6: Design of masonry structures
EN 1997 Eurocode 7: Geotechnical design
EN 1998 Eurocode 8: Design of structures for earthquake resistance
EN 1999 Eurocode 9: Design of aluminium structures

Eurocode standards recognise the responsibility of regulatory authorities in each Member
State and have safeguarded their right to determine values related to regulatory safety matters
at national level where these continue to vary from State to State.
Status and field of application of Eurocodes
The Member States of the EU and EFTA recognise that Eurocodes serve as reference
documents for the following purposes:
— as a means to prove compliance of building and civil engineering works with the essential
requirements of Council Directive 89/106/EEC, particularly Essential Requirement N°1 –
Mechanical resistance and stability – and Essential Requirement N°2 – Safety in case of
fire;
— as a basis for specifying contracts for construction works and related engineering services;
— as a framework for drawing up harmonised technical specifications for construction
products (ENs and ETAs)
The Eurocodes, as far as they concern the construction works themselves, have a direct
2
relationship with the Interpretative Documents referred to in Article 12 of the CPD, although
3
they are of a different nature from harmonised product standards . Therefore, technical aspects
arising from the Eurocodes work need to be adequately considered by CEN Technical
Committees and/or EOTA Working Groups working on product standards with a view to
achieving full compatibility of these technical specifications with the Eurocodes.
The Eurocode standards provide common structural design rules for everyday use for the
design of whole structures and component products of both a traditional and an innovative
nature. Unusual forms of construction or design conditions are not specifically covered and
additional expert consideration will be required by the designer in such cases.

2 According to Art. 3.3 of the CPD, the essential requirements (ERs) shall be given concrete form in interpretative
documents for the creation of the necessary links between the essential requirements and the mandates for
harmonised ENs and ETAGs/ETAs.
3 According to Art. 12 of the CPD the interpretative documents shall :
a) give concrete form to the essential requirements by harmonising the terminology and the technical bases and indicating
classes or levels for each requirement where necessary ;
b) indicate methods of correlating these classes or levels of requirement with the technical specifications, e.g. methods of
calculation and of proof, technical rules for project design, etc. ;
c) serve as a reference for the establishment of harmonised standards and guidelines for European technical approvals.
The Eurocodes, de facto, play a similar role in the field of the ER 1 and a part of ER 2.
6

---------------------- Page: 7 ----------------------

EN 1997-1:2004(E)
National Standards implementing Eurocodes
The National Standards implementing Eurocodes will comprise the full text of the Eurocode
(including any annexes), as published by CEN, which may be preceded by a National title page
and National foreword, and may be followed by a National annex.
The National annex may only contain information on those parameters, which are left open in
the Eurocode for national choice, known as Nationally Determined Parameters, to be used for
the design of buildings and civil engineering works to be constructed in the country concerned,
i.e. :
— values and/or classes where alternatives are given in the Eurocode,
— values to be used where a symbol only is given in the Eurocode,
— country specific data (geographical, climatic), e.g. snow map,
— the procedure to be used where alternative procedures are given in the Eurocode.
It may also contain:
— decisions on the application of informative annexes,
— references to non-contradictory complementary information to assist the user to apply the
Eurocode.
Links between Eurocodes and harmonised technical specifications (ENs and ETAs) for
products
There is a need for consistency between the harmonised technical specifications for
4
construction products and the technical rules for works . Furthermore, all the information
accompanying the CE Marking of the construction products, which refer to Eurocodes should
clearly mention which Nationally Determined Parameters have been taken into account.
Additional information specific to Eurocode 7
EN 1997-1 gives design guidance and actions for geotechnical design of buildings and civil
engineering works.
EN 1997-1 is intended for clients, designers, contractors and public authorities.
EN 1997-1 is intended to be used with EN 1990 and EN 1991 to EN 1999.
In using EN 1997-1 in practice, particular regard should be paid to the underlying assumptions
and conditions given in 1.3.
The 12 sections of EN 1997-1 are complemented by 1 normative and 8 informative annexes.
National annex for EN 1997-1
This standard gives alternative procedures and recommended values with notes indicating
where national choices may have to be made. Therefore the National Standard implementing
EN 1997-1 should have a National annex containing all Nationally Determined Parameters to
be used for the design of buildings and civil engineering works to be constructed in the relevant
country.

4 see Art.3.3 and Art.12 of the CPD, as well as clauses 4.2, 4.3.1, 4.3.2 and 5.2 of ID 1.
 7

---------------------- Page: 8 ----------------------

EN 1997-1:2004 (E)
National choice is allowed in EN 1997-1 through the following paragraphs:
— 2.1(8)P, 2.4.6.1(4)P, 2.4.6.2(2)P, 2.4.7.1(2)P, 2.4.7.1(3), 2.4.7.2(2)P, 2.4.7.3.2(3)P,
2.4.7.3.3(2)P, 2.4.7.3.4.1(1)P, 2.4.7.4(3)P, 2.4.7.5(2)P, 2.4.8(2), 2.4.9(1)P, 2.5(1),
7.6.2.2(8)P, 7.6.2.2(14)P, 7.6.2.3(4)P, 7.6.2.3(5)P, 7.6.2.3(8), 7.6.2.4(4)P, 7.6.3.2(2)P,
7.6.3.2(5)P, 7.6.3.3(3)P, 7.6.3.3(4)P, 7.6.3.3(6), 8.5.2(2)P, 8.5.2(3), 8.6(4), 11.5.1(1)P

and the following clauses in annex A:
— A.2
— A.3.1, A.3.2, A.3.3.1, A.3.3.2, A.3.3.3, A.3.3.4, A.3.3.5, A.3.3.6,
— A.4
— A.5
8

---------------------- Page: 9 ----------------------

EN 1997-1:2004(E)
Section 1 General
1.1 Scope
1.1.1 Scope of EN 1997
(1) EN 1997 is intended to be used in conjunction with EN 1990:2002, 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.
(2) EN 1997 is intended to be applied to the geotechnical aspects of the design of buildings
and civil engineering works. It is subdivided into various separate parts (see 1.1.2 and 1.1.3).
(3) EN 1997 is concerned with the requirements for strength, stability, serviceability and
durability of structures. Other requirements, e.g. concerning thermal or sound insulation, are
not considered.
(4) 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. Actions
imposed by the ground, such as earth pressures, shall be calculated according to the rules of
EN 1997.
(5) Separate European Standards are intended to be used to treat matters of execution and
workmanship. They are denoted in the relevant sections.
(6) In EN 1997 execution is covered to the extent that is necessary to comply with the
assumptions of the design rules.
(7) 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.
1.1.2 Scope of EN 1997-1
(1) EN 1997-1 is intended to be used as a general basis for the geotechnical aspects of the
design of buildings and civil engineering works.
(2) The following subjects are dealt with in EN 1997-1:
Section 1: General
Section 2: Basis of geotechnical design
Section 3: Geotechnical data
Section 4: Supervision of construction, monitoring and maintenance
Section 5: Fill, dewatering, ground improvement and reinforcement
Section 6: Spread foundations
Section 7: Pile foundations
Section 8: Anchorages
Section 9: Retaining structures
 9

---------------------- Page: 10 ----------------------

EN 1997-1:2004 (E)
Section 10: Hydraulic failure
Section 11: Overall stability
Section 12: Embankments
(3) EN 1997-1 is accompanied by Annexes A to J, which provide:
— in A: recommended partial safety factor values; different values of the partial factors may be
set by the National annex;
— in B to J: supplementary informative guidance such as internationally applied calculation
methods.
1.1.3 Further Parts of EN 1997
(1) EN 1997-1 is supplemented by EN 1997-2 that provides requirements for the performance
and evaluation of field and laboratory testing.
1.2 Normative references
(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).
NOTE The Eurocodes were published as European Prestandards. The following European Standards
which are published or in preparation are cited in normative clauses
EN 1990:2002 Eurocode: Basis of structural de
...