Geotechnical Design: SIA 267:2003 Civil Engineering

Schweizer Norm
Norme suisse
Norma svizzera
SIA 267:2003 Civil Engineering 505 267

REGISTERED CODE OF THE SWISS STANDARDS ASSOCIATION
Replaces the recommendations SIA V191, Edition 1995, SIA V192, Edition 1996,
the pre-code SIA 191/1, Edition 2001, and the guideline SIA 2009, Edition 1996
Geotechnik
Géotechnique
Geotecnica
Geotechnical Design
267 Lizenz 905.100: Basler & Hofmann Ingenieure und Planer AG, Zürich
Published by
Swiss Society of Engineers and Architects
PO Box, CH-8039 Zurich
Copyright © 2003 by SIA Zurich Price category: 54

2
2005-07
1st Edition
SIA 267, Copyright © 2003 by SIA Zurich

Lizenz 905.100: Basler & Hofmann Ingenieure und Planer AG, Zürich
CONTENTS
Page Page
Foreword .................................................... 5 7.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

7.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 45
0 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
0.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 8 Spread foundations . . . . . . . . . . . . . . . . . . . . . . . . . 47
0.2 Prerequisites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 8.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
0.3 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 8.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
0.4 Exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 8.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
8.4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
1 Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 8.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
1.1 Technical terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 8.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 52
1.2 Symbols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
9 Pile foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 9.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 9.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.2 Geotechnical risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 9.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
2.3 Observational method . . . . . . . . . . . . . . . . . . . . . . . . 22 9.4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.4 Verification of the limit states . . . . . . . . . . . . . . 22 9.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
2.5 Soil-structure interaction . . . . . . . . . . . . . . . . . . . . . 23 9.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 60
9.7 Execution checks and monitoring . . . . . . . . 63
3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 10 Prestressed ground anchors . . . . . . . . . . . . 65
3.2 Site investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 10.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
3.3 Classification of soils and rocks . . . . . . . . . . 25 10.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
3.4 Geotechnical report . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 10.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 10.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
4.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 10.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 70
4.2 Characteristic geotechnical values . . . . . . 27 10.7 Execution checks and monitoring . . . . . . . . 72
4.3 Actions imposed by the ground . . . . . . . . . . . 29
4.4 Soil resistances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 11 Non-prestressed ground anchors . . . . 75
4.5 Structural model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 11.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
11.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 11.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 11.4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
5.2 Limit states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 11.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
5.3 Dimensioning values . . . . . . . . . . . . . . . . . . . . . . . . . . 33 11.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 79
5.4 Verification of structural safety . . . . . . . . . . . . 36 11.7 Execution checks and monitoring . . . . . . . . 82
5.5 Verification of serviceability . . . . . . . . . . . . . . . . 37
5.6 Dimensioning on the basis of 12 Retaining structures . . . . . . . . . . . . . . . . . . . . . . . . 84
constructional measures . . . . . . . . . . . . . . . . . . . . 38 12.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
5.7 Dimensioning on the basis of testing . . . 39 12.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
12.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
6 Execution checks and monitoring . . . . 40 12.4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
6.1 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 12.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
6.2 Execution checks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 12.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 89
6.3 Monitoring during construction . . . . . . . . . . . . 41
6.4 Monitoring during use . . . . . . . . . . . . . . . . . . . . . . . . 42 13 Uplift and hydraulic failure . . . . . . . . . . . . . . . 90
13.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
7 Earthquakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 13.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
7.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 13.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
7.2 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 13.4 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
7.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 13.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
7.4 Structural analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 13.6 Constructional measures . . . . . . . . . . . . . . . . . . . . 92
SIA 267, Copyright © 2003 by SIA Zurich 3

Page
14 Slopes and cuts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

14.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
14.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
14.4 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
14.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
15 Fills and embankments . . . . . . . . . . . . . . . . . . . . 97

15.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
15.3 Ground and fill material . . . . . . . . . . . . . . . . . . . . . . 97
15.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
16 Groundwater control . . . . . . . . . . . . . . . . . . . . . . . . 100

16.1 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
16.3 Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
16.4 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
16.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Acceptance and coming into force .............. 104
Interim regulations ...................................... 104
4 SIA 267, Copyright © 2003 by SIA Zurich

FOREWORD
The present code SIA 267 Geotechnical Design is directed towards design engineers. Also addressed are owners and
those involved in site supervision and the execution of construction works.
SIA 267 is part of the Swiss structural codes. It follows parts of the European Standard EN 1997-1 Geotechnical design
– Part 1 General Rules and includes the basic principles set out in the recommendations SIA V191 (1995), SIA V192
(1996), and SIA V191/1 (2001) and the guideline SIA 2009.
The Swiss structural codes comprise the following:

– SIA 260 Basis of structural design
– SIA 261 Actions on structures
– SIA 262 Concrete structures
– SIA 263 Steel structures
– SIA 264 Composite steel and concrete structures
– SIA 265 Timber structures
– SIA 266 Masonry
– SIA 267 Geotechnical design.
It is planned to add to the Swiss structural codes a code on the conservation of structures.
SIA 267 contains the basic principles and regulations that should be observed in geotechnical engineering. It sets out
the requirements for geotechnical site investigations, the description of geotechnical parameters as well as geotechnical
analysis and dimensioning. Not part of the code are provisions for the methods of analysis and of determining the pro-
perties of soil and rock.
SIA 267 includes the use of the observational method and sets out the corresponding requirements that must be com-
plied with.
SIA 267/1 regulates the methods employed to test structural components of a geotechnical nature (anchors and piles)
and provides references to the pertinent Swiss and European codes, in particular to the VSS and EN codes dealing with
the identification, description and testing of soil and rock.
Regulations for the tendering and execution of earthworks, foundations and and other geotechnical engineering works
are given in the code SIA 118/267 Allgemeine Bedingungen für geotechnische Arbeiten.
Project Management Swisscodes and Drafting Panel for the code SIA 267

0 SCOPE
0.1 Limitations
0.1.1 SIA 267 regulates:

– the geotechnical aspects in the design of structures
– the requirements for the site investigation
– the determination of the geotechnical parameters for the dimensioning
– the design of earthworks, foundations and other geotechnical engineering works.
0.1.2 The present code is valid in combination with the following codes:
– Code SIA 260 Basis of structural design
– Code SIA 261 Actions on structures.
0.1.3 The structural detailing and execution of earthworks, foundations and other geotechnical engineering works
are only treated in so far as they are necessary to ensure good communication between the engineers and
specialists involved in the project and to fulfil the design requirements.
0.1.4 Quality and execution requirements shall in general be regarded as minimum requirements.
0.1.5 Sections 0 to 7 of this code apply generally. Sections 8 to 16 contain the specific provisions for foundations,
anchorages, retaining structures, earthworks and other geotechnical works.
0.1.6 The code is not valid for the design of earth and rockfill dams and nuclear power plants.
0.2 Prerequisites
0.2.1 The design and execution of earthworks, foundations and other geotechnical engineering works shall be
performed under the supervision of qualified personnel. Their knowledge and experience in geology, hydro-
geology, geotechnical engineering, material technology, structural analysis, the execution of construction
works, general civil engineering practice and other relevant technical areas have to correspond to the impor-
tance and complexity of the construction project.
0.2.2 During the phases of design, execution, use and maintenance appropriate quality assurance measures
shall be planned and implemented.
0.2.3 The structures shall be used and monitored according to plan and properly maintained.
0.3 References
0.3.1 For the design of structural members in concrete, steel, timber or masonry the provisions of SIA 262 to 266
shall be complied with.
0.3.2 For the design of underground construction works the provisions of SIA 198 Underground structures –
Execution and SIA 199 Erfassen des Gebirges im Untertagebau shall be complied with.
0.3.3 For the investigation of the ground and the structures or parts of structures dealt with in this code the recom-
mendations and regulations given in SIA 267/1 apply.
0.3.4 For the relevant provisions for the execution of earthworks, foundations and other geotechnical engineering
works reference shall be made to SIA 118/267 Allgemeine Bedingungen für geotechnische Arbeiten.

0.4 Exceptions
0.4.1 Exceptions to the present code are permissible, provided they are well founded theoretically or experimen-
tally, or justified by new developments and new knowledge.
0.4.2 If conditions not covered by this code exist, the procedure to be followed must be agreed upon between the
project engineers and the owner or client as well as any issuing authority. The selected procedure shall be
documented in stages in the service criteria agreement and in the basis of design.

1 TERMINOLOGY
1.1 Technical terms
In the present code the specific technical terms defined below are used. General technical terms are defined
in SIA 260 and SIA 261 and specific technical terms are defined in SIA 262 to 266.
Active earth pressure Least possible earth pressure which develops behind a wall
aktiver Erdd ru ck when the structure moves away from the soil.
poussée active
spinta attiva
Alarm value Value of a control parameter at which safety measures have to

Alarm wert be carried out immediately.
seuil d'alarme
s oglia d'allarme
Alert value Value of a control parameter, at which the execution work or

Meldewert the structure have to be monitored more closely.
seuil d'avertissement
s oglia di sicurezza
Anchor Structural element that transmits force to the ground by means

Anker of a tensile member.
tirant
tirante
Anchor head Part of the anchor that transmits the anchor force to the ancho-
Ankerkopf red structure or directly to the ground to be supported.
tête du tirant
testa del tirante
Anchor with a monitoring facility Anchor on which checks and measurements can be carried
Kontrollanker out.
tirant de contrôle
tirante di controllo
Anchor with a permanently installed load cell Anchor that is fitted with a load cell allowing measurement of
Messanker the prestressing force at any time.
tirant de mesure
tirante di misura
Anchorage The entirety of the anchoring measures that contribute to the

Verankerung bearing capacity of the structure primarily by transmitting ten-
ancrage sile forces to the ground.
ancoraggio
Bored pile Pile which without displacement of the ground is installed in a

Bohrp fahl previously or simultaneously drilled borehole.
pieu foré
palo trivellat o
Cased bored pile Pile that is constructed by simultaneously or subsequently

verrohrter Bohrp fahl advancing the casing.
pieu foré tubé
palo trivellato con rivestimento
Cast-in-situ pile Concrete pile that is cast directly in the ground.

Ortbetonpfahl
pieu moulé en place
palo gettato in opera

Coefficient of subgrade reaction Parameter to describe the deformability of the ground at the
Bettungsmodul ground surface.
module de réaction
modulo di reazione
Compaction pressure Earth pressure increase due to compaction of the ground.

Verdichtungsdru ck
p ression de compactage
p ressione di compattazione
Compressibility modulus Parameter to describe the deformability of soil. The compres-

Steifemodul sibility modulus Es is usually obtained from the oedometer test
module de défo rmation (zero lateral strain).
modulo di defo rmazione
Compression pile Pile that resists compressive forces.

Dru ckpfahl
pieu en compression
palo a compressione
Control value Observable or measurable parameter of a geotechnical or

Lenkungsgrösse structural property to monitor the quality (i. e. performance) of
grandeur pilote the behaviour of the ground or the structure.
valore di controllo
Creep pressure Action of creeping soil or rock on an immoveable structure.

Kriechdru ck
p ression de fluage
p ressione di scorrimento viscoso
Creep rate Slope of the time-displacement curve in a semi-logarithmic

Kriechmass creep diagram under constant force: k = (∆l2 –∆l1)/log (t 2 /t 1)
taux de fluage
tasso dello scorrimento viscoso
Critical height of a slope Height up to which a vertical, unloaded and unsupported slope
f reie Standhöhe remains stable.
hauteur autostable
altezza critica
Cut Vertical or inclined slope resulting from the excavation of soil.

Anschnitt
t ranchée
trincea
Deep foundation Foundation by means of which loads and forces are transmit-
Tieffundation ted to a deep layer in the ground.
fondation pro fonde
fondazione pro fonda
Deformation modulus Parameter to describe the deformability of the ground. The

Verfo rmungsmodul deformation modulus EV (also designated ME) is usually deter-
module de défo rmation mined with the plate bearing test.
modulo di compressibilità
Deformation resistance Resistance produced by the stiffness of the soil to a displace-

Verfo rmungswiderstand ment of the structure.
résistance induite par la défo rmation
resistenza alla defo rmazione
Dewatering Temporary or permanent measure of a technical or organic

Entwässerung nature to remove water from the ground.
épuisement des eaux
p rosciugamento, d renaggio
Dowel Rod-like structural element that mainly resists shear forces, but
Dübel can also resist tensile forces.
boulon
bullone

Dowelling The entirety of the constructional measures that contribute to
Verdübelung the bearing capacity of the structure primarily by increasing the
boulonnage shear resistance in the ground using dowels.
chiodatura
Drainage system Removal of water from the soil by means of drainage pipes.
Drainage
d rainage
d renaggio
Driven pile Pile that is driven into the soil by ramming or vibrating, displa-
Rammpfahl cing the soil at the same time and in the case of grouted driven
pieu battu piles the pile is filled with cement grout.
palo battuto
Dynamic investigation Geotechnical: investigation to determine the dynamic geotech-

dynamische Untersuchung nical parameters and the dynamic behaviour of the ground.
reconnaissances dynamiques
indagine dinamica
Earth pressure The force or stress at the contact area between the soil and the
Erdd ru ck structure.
poussée des terres
spinta del terreno
Earth pressure at rest The earth pressure that acts in undisturbed or reconsolidated
Erd ruhedru ck soil without any displacement of the structure.
poussée des terres au repos
spinta del terreno a riposo
Effective free tendon length Length over which the tension member is free to strain when
wirksame freie Ankerlänge tensioned.
longueur libre effective du tirant
lunghezza libera efficace del tirante
Embankment Structure with slopes and a crest that results from the place-
Damm ment of fill material.
digue
diga
End-bearing pile Pile in which the force is transmitted to the ground mainly
Standpfahl
through the base of the pile.
pieu appuyé en pointe, pieu colonne
palo di punta
Excavation Removal of material (soil or rock) at the ground surface for the
Baugrube purpose of erecting a structure.
fouille
scavo
Fill Body of soil with or without slopes created by heaping up fill

Schüttung material.
remblai
riport o, rilevat o
Fixed tendon length Length over which the force is transmitted through the ancho-
Verankerungslänge rage.
longueur de scellement
lunghezza del bulbo di ancoraggio
Flow pressure Action produced on an immovable structure by flowing soil.

Fliessdru ck
p ression d'écoulement
spinta di scorrimento
Fluvial erosion Hydraulics: erosion or removal of soil caused by the seepage

Erosion force of water.
érosion
erosione

Foundation The entirety of the measures used to transmit the loads and
Fundation forces of a structure to the ground.
fondation
fondazione
Free tendon length Length between head of an anchor and the start of the fixed
f reie Ankerlänge tendon length, which is determined by the structural and geo-
longueur libre du tirant technical calculations.
lunghezza libera del tirante
Friction pile Pile in which the force is transmitted to the ground mainly by
Reibungspfahl skin friction along the shaft of the pile.
pieu de frottement
palo ad attrito
Geotechnical model Idealised description of the ground using geotechnical para-

Baugrundmodell meters.
modélisation du terrain
modello geotecnico
Geotechnical parameters Geometrical and geotechnical parameters to describe the geo-

Baugrundwerte logical structure and properties of the ground.
paramètres du terrain de fondation
parametri geotecnici
Geotechnical risk Hazard to a construction project, structure or an area of life

geotechnisches Risiko resulting from the behaviour of the ground.
risque géotechnique
rischio geotecnico
Geotechnical value Value describing a material-technological property of soil or

geotechnischer Wert rock.
valeur géotechnique
valore geotecnico
Gravity wall Wall that retains water or earth material solely by means of
Sch wergewichtsmauer self-weight with an insignificant bending effect.
mur poids
mu ro a gravità
Ground Ground consisting of soil or rock in the area of a construction

Baugrund
project or a foundation.
terrain de fondation
terreno
Groundwater Water, flowing or stationary, filling the connected system of

Grundwasser voids in soil or rock.
eau souterraine
falda freatica
Groundwater control Temporary or permanent measure to lower, raise or regulate

Grundwasserhaltung the water table or to relieve the pore water pressure.
interventions sur le régime des eaux
souterraines
interventi sul regime della falda freatica
Groundwater flow in slopes Continuous or dispersed flow of water in a slope.

Hangwasser
eau de versant
falda del versante
Groundwater lowering Temporary or permanent lowering of the water table.

Grundwasserabsenkung
rabattement de nappe ou des eaux souterraines
abbassamento del livello di falda
Grouted pile Pile in which during or after installation mortar or cement grout-
Injektionspfahl ing is carried out.
pieu injecté
palo iniettat o

Homogeneous zone Zone in which the geotechnical properties lie within specified
Homogenbereich limits.
zone homogène
zona omogenea
Hydraulic failure, piping Instability involving upward flow or disintegration of soil due to
hyd raulischer Grundbru ch water pressures or seepage forces.
renard hyd raulique
collasso per sifonamento
Increased active earth pressure Earth pressure intermediate between active earth pressure
erhöhter aktiver Erdd ru ck and earth pressure at rest.
poussée active majorée
spinta attiva maggiorata
Jacked pile Pile that is pressed into the ground under a static force with
Presspfahl simultaneous displacement of soil.
pieu foncé
palo pressat o
Nail Type of anchor whose primary function is to transmit either ten-

Nagel sile forces or tensile and shear forces into the ground.
clou
chiodo
Nailed soil A steep slope constructed in steps and supported by nails usu-
Nagelwand ally together with a sprayed concrete lining acting as connec-
paroi clouée ting element and providing corrosion protection.
parete chodata
Negative skin friction, downdrag Friction force acting on pile shaft induced by soil settlement
negat ive Mantelreibung relative to the pile.
f rottement négatif
attrito laterale negat ivo
Non-prestressed anchor Anchor which transmits mainly tensile forces to the ground.
ungespannter Anker For non-prestressed anchors at time t = 0 either zero or only a
tirant passif small prestressing force is applied.
tirante passivo
Observational method In the case of an insufficiently reliable basis for dimensioning

Beobachtungsmethode
this offers a possible procedure for the design, execution and
méthode observationnelle use of a structure, accepting certain risks, with an estimate of
metodo d'osservazione
the behaviour and the specification of corresponding limit va-
lues including the associated monitoring and safety measures.
Pad footing, isolated footing Foundation for a column or to transmit a concentrated load or
Einzelfundament force to the ground.
semelle isolée
plinto isolat o
Passive earth pressure Greatest possible earth pressure which develops behind a wall
passiver Erdd ru ck when the structure moves towards the soil.
poussée passive
spinta passiva
Permanent anchor Prestressed anchor with a working life of more than 2 years or
permanenter Anker a non-prestressed anchor with a working life of more than 5
tirant permanent years.
tirante permanente
Pile Slender structural element to transmit loads and forces (com-

Pfahl pressive, tensile and shear forces) to the ground.
pieu
palo
Pile foundation Type of foundation that transmits loads and forces to the
Pfahlfundation ground by means of piles.
fondation sur pieux
fondazione su pali

Piled raft foundation Combined foundation type by which the loads and forces are
Pfahl-Plattenfundation transmitted to the ground both through the raft foundation and
fondation mixte through the piles.
fondazione mista palo-platea
Pore water pressure Water pressure acting in the pores of soil or rock.
Po renwasserd ru ck
p ression interstitielle
p ressione interstiziale
Prefabricated pile Pile which before installation is fabricated in whole or in part of

vo rgefertigter Pfahl reinforced concrete, steel or wood.
pieu préfabriqué
palo prefabbricat o
Prestressed anchor Anchor which primarily transmits tensile forces to the ground.
vo rgespannter Anker With a prestressed anchor, after applying the tensioning force
tirant précontraint as a result of external actions only small changes of the pre-
tirante precompresso
stressing force occur, which lie within specified limits.
Raft foundation Foundation that stretches over the whole area of a structure or
Plattenfundament part of it.
radier
platea di fondazione
Retaining structure Wall support system that is able to carry horizontal or vertical
Stützbauwerk loads or forces and transmit them to the ground.
ouvrage de soutènement
opera di sostegno
Retaining wall Relatively slender wall which is loaded in bending and is usu-
Stützwand ally supported by anchors, struts and/or the passive earth resi-
paroi de soutènement stance.
parete di sostegno
Seepage force Friction force produced by seepage forces acting in the soil in
Strö mungskraft the direction of flow.
fo rce d'écoulement
forza di filtrazione
Sensitive soil Soil, e. g. lacustrine deposits, whose grain structure can collap-
strukturempfindlicher Boden se and/or be compacted as a result of static or dynamic
sol à structure sensible actions.
terreno sensitivo
Shear pile, dowel pile Pile which transmits the shear forces acting transversely to the
Schubpfahl axis of the pile to the ground.
pieu en cisaillement
palo a taglio
Site investigation Obtaining information on the geology, geotechnical properties

Baugrunduntersuchung and behaviour of the ground, including the groundwater condi-
reconnaissance du terrain tions.
indagine geognostica o geotecnica
Slope: artificial Man-made inclination of the ground surface produced by exca-

Böschung vation or fill work.
talus
scarpata
Slope: natural Natural inclination of the ground surface.

Hang
pente
pendio
Soil Geotechnical: ground consisting of loose or soft material (as

Boden opposed to solid, hard rock).
sol
terreno sciolto

Soil liquefaction Loss of shear strength and stiffness in loose deposits of satu-
Bodenverflüssigung rated cohesionless soil due to static or dynamic action.
liquéfaction du sol
liquefazione del terreno
Soil nailing Stabilising the ground under a structure by means of nails.

Vernagelung
clouage
chiodatura
Soil resistance Resistance of the soil to a structure when it moves towards the
Erdwiderstand soil.
résistance du sol
resistenza del terreno
Soil sensitive to earthquakes Soil, e. g. saturated sands, fine sands and silt, that is prone to
erdbebenempfindlicher Boden liquefy, compact or lose its shear strength under cyclic or dyna-
terrain sensible aux séismes mic load.
terreno sensibile al terremoto
Soil surcharge Imposed pressure due to earth resting on a structure.

Erdauflast
poids des terres
peso del terreno
Spread foundation Shallow foundation that transmits the loads and forces mainly
Flachfundation through the base of the foundation.
fondation superficielle
fondazione superficiale
Strip footing Spread foundation whose length is substantially greater than

Streifenfundament its width; suitable for a wall or row of columns.
semelle filante
fondazione continua
Support Excavation: system of walings and struts (braces) providing

Abstützung structural support.
blindage par étayage
appogio, sostegno
Swelling pressure Pressure produced by swelling soil or rock under restrained

Quelldru ck
lateral strain.
p ression de gonflement
p ressione di rigonfiamento
Temporary anchor Prestressed anchor with a limited working life, normally a maxi-
temporärer Anker mum of 2 years or an unstressed anchor with a limited working
tirant temporaire life, normally a maximum of 5 years.
tirante temporaneo
Tendon Part of the anchor used to transmit the anchor force from the
Zugglied anchor head to the anchorage zone.
armature de traction
elemento a trazione
Tendon length Distance between the anchor head and the end of the anchor.
Ankerlänge
longueur du tirant
lunghezza del tirante
Tension pile Pile to resist tensile forces.

Zugpfahl
pieu en traction
palo a trazione
Test anchor Specially constructed anchor on which tests are carried out to
Versuchsanker provide the basis for selecting, dimensioning and the quality
tirant d'essai control of the working anchors.
tirante di prova

Test pile Pile on which pile load tests are carried out to dimension the
Versuchspfahl piles used in the construction works.
pieu d'essai
palo di prova
Total soil resistance Limit of the resistance of the ground (passive soil resistance,
Baugrundwiderstand ultimate bearing capacity, sliding resistance, shearing resi-
résistance du terrain stance).
resistenza del terreno
Uncased bored pile Pile bored without use of casing.

u nverrohrter Bohrp fahl
pieu foré non tubé
palo trivellato senza rivestimento
Uplift Vertically upwards directed hydraulic force, whose magnitude

Auftrieb equals the amount of water displaced by the body.
poussée d'Archimède
spinta d'Archimede
Water table control Temporary or permanent measure to maintain the level of the
Grundwasserregulierung water table within a specified range.
régulation de la nappe
regolazione del livello di falda
Working anchor Anchor that fulfils its structural function.

Bauwerksanker
tirant d'ouvrage
tirante di servizio
Working pile Pile that fulfils its structural function.

Bauwerkspfahl
pieu d'ouvrage
palo di servizio

1.2 Symbols
In the present code the symbols given below supplement or even differ from those given in SIA 260.
1.2.1 Geotechnical in general
E effect of an action in general
Ed dimensioning value of the effect of an action
EV deformation modulus of soil or rock
Es confined stiffness modulus of soil or rock (usually obtained from oedometer test)
E {…} effect of an action as function of the dimensioning values enclosed in brackets
F action in general
Fd dimensioning value of an action
Fk characteristic value of an action
FR force or load that produces a soil resistance
FR,d dimensioning value of a force or load that produces a soil resistance
FR,k characteristic value of a force or load that produces a soil resistance
FE,d dimensioning value of a force or load that produces an earth pressure or deformation of the
ground
Frep value of a representative action
F {…} action as function of the dimensioning values enclosed in brackets
ME compressibility modulus of soil or rock
R ultimate resistance in general
Rd dimensioning value of an ultimate resistance
RE,d dimensioning value of lateral soil resistance
RE,k characteristic value of lateral soil resistance
Rk characteristic value of an ultimate resistance
R {…} ultimate resistance in function of the dimensioning values enclosed in brackets
X construction material or geotechnical property
Xd dimensioning value of construction material or geotechnical property
Xk characteristic value of construction material or geotechnical property
a geometrical property
ad dimensioning value of geometrical property
ak characteristic value of geometrical property
c' effective cohesion
c 'd dimensioning value of effective cohesion
c 'k characteristic value of effective cohesion
cu undrained shear strength (apparent cohesion)
c u,d dimensioning value of undrained shear strength
ks coefficient of subgrade reaction
k s,d dimensioning value of coefficient of subgrade reaction
k s,k characteristic value of coefficient of subgrade reaction

qu uniaxial compressive strength
∆Rd dimensioning value of additional resistance at the limit state of type 3

γc partial factor for effective cohesion
γc u partial factor for undrained shear strength
γE partial factor for compressibility or deformation modulus
γe unit weight of soil or rock
γe,d dimensioning value of unit weight of soil or rock
γe,k characteristic value of unit weight of soil or rock
γF load factor (γF = γS γf )
γf partial factor for an action
γM resistance factor (γM = γR γm )
γm partial factor for construction material or geotechnical property
γq u partial factor for uniaxial compressive strength
γS partial factor for the effect of an action
γR partial factor for ultimate resistance
γw unit weight of water
γγ partial factor for unit weight of soil or rock
γϕ partial factor for effective angle of internal friction
δ wall or base friction angle
δd dimensioning value of wall or base friction angle
δk characteristic value of wall or base friction angle
η conversion factor
ϕ' effective angle of internal friction
ϕ' d
dimensioning value of effective angle of internal friction
ϕ' k characteristic value of effective angle of internal friction
1.2.2 Earthquake, Section 7
Ad dimensioning value of the equivalent static force
A h,d horizontal component of the dimensioning value of the equivalent static force
A v,d vertical component of the dimensioning value of the equivalent static force
A w,d dimensioning value of the dynamic water pressure (force)
Gk self-weight of the effective mass of the structure and the ground
ag,d dimensioning value of the ground acceleration
bw width of structure under water
g acceleration due to gravity

hw height of structure under water
qa seismic response factor
γf importance factor
γw unit weight of water

1.2.3 Spread foundations, Section 8
A area of the foundation
Ad dimensioning value of the area of the foundation
A ‘d dimensioning value of the effective area of the foundation
E resultant foundation load (effect of action)
E’ resultant foundation load without the part RE
Ed dimensioning value of the resultant foundation load (effect of action)
EN,d dimensioning value of the component of Ed acting normal to the base of the foundation
ET,d dimensioning value of the component of Ed acting parallel to the base of the foundation
RN,d dimensioning value of the bearing capacity resistance acting normal to the base of the foundation
RT,d dimensioning value of the sliding resistance acting parallel to the base of the foundation
e eccentricity of the resultant foundation load
ed dimensioning value of the eccentricity of the load
egr admissible eccentricity of the load
1.2.4 Pile foundations, Section 9
D pile diameter
Es,k characteristic value of the stiffness modulus of the soil in the horizontal direction
Fa initial load for static pile load tests
Fp v test load for static pile load tests
Ra external ultimate axial resistance of pile
Ra,d dimensioning value of the external ultimate axial resistance of pile
Ra,k characteristic value of the external ultimate axial resistance of pile
Rb external ultimate axial resistance of the base of the pile
Rd dimensioning value of the ultimate resistance of pile
Rmat,d dimensioning value of the internal ultimate resistance of the material of the pile
Ri internal ultimate resistance of pile
Ri,d dimensioning value of the internal ultimate resistance of the pile
Ri,k characteristic value of the internal ultimate resistance of the pile
Rk characteristic value of the ultimate resistance of the pile
Rs skin friction resistance of pile
Rt r external ultimate resistance of pile perpendicular to its axis
Rt r,d dimensioning value of the external ultimate resistance of pile perpendicular to its axis
Rt r,k characteristic value of the external ultimate resistance of pile perpendicular to its axis
k krit critical rate of creep
k s,k characteristic value of the coefficient of subgrade reaction of ground perpendicular to axis of pile
γM,a resistance factor for external ultimate resistance of pile
ηa conversion factor for external ultimate resistance of pile
ηi conversion factor for internal ultimate resistance of pile

1.2.5 Anchorages, Sections 10 and 11
A area of cross section of tendon
Ap minimum area of cross section of tendon of prestressed anchors
As minimum area of cross section of tendon of non-prestressed anchors
Ep Young’s modulus of elasticity of tendon of prestressed anchors
Es Young’s modulus of elasticity of tendon of non-prestressed anchors
Fa initial force for anchor tests and tensioning tests of non-prestressed anchors
Fp test load for non-prestressed anchors with tensioning tests
Fp v test load for non-prestressed anchors with anchor tests
Fs k characteristic value of the tensile force at the yield point of the tendon of non-prestressed steel
anchors
Ft k characteristic value of the failure load of the tendon of non-prestressed GFRP anchors
M bending moment at time 0 < t < ∞
Ms bending moment at the yield limit of the tendon
P anchor force at time 0 < t < ∞
Pa initial force for anchor tests and tensioning tests of prestressed anchors
Pp test load for prestressed anchors with tensioning tests
Pp k characteristic value of the failure load of the tendon of prestressed anchors
Pp v test load for prestressed anchors with anchor tests
P0 tensioning load, prestressing load at time t = 0
P∞ anchor force at end of working life
R decisive ultimate resistance of anchor (the smaller value of Ri and Ra)
RI electrical resistance between steel tendon or anchor head and the ground or structure
Ra external ultimate resistance of anchor = ultimate resistance of ground along the fixed anchor
length
Ra,k characteristic value of the external ultimate resistance of anchor
Rd dimensioning value of the ultimate resistance of anchor
Ri internal ultimate resistance of anchor
Ri,k characteristic value of the internal ultimate resistance of the steel anchor
Ri,Kopf internal ultimate resistance of the anchor head (for GFRP anchors)
Ri,Zug internal ultimate resistance of the tendon (for GFRP anchors)
Ri,Zug,k characteristic value of the internal ultimate resistance of the tendon (for GFRP anchors)
Rk characteristic ultimate resistance of anchor (the smaller value of Ri,k and Ra,k)
V shear force in anchor at time 0 < t < ∞
Vs shear force in anchor when the tendon reaches its yield limit
cA stiffness of anchor
fp k tensile strength of steel tendons of prestressed anchors according to SIA 262
fs k yield limit of steel tendons of non-prestressed anchors according to SIA 262
ft k tensile strength of GFRP tendons

lf effective free anchor length
lf r nominal free anchor length
lv fixed anchor length
k krit critical rate of creep
β inclination of anchor to horizontal
γA correction factor for force in anchor
1.2.6 Retaining structures, Section 12
Frep,res representative action, resultant water pressure
ea,d dimensioning value of active earth pressure
ea,k characteristic value of active earth pressure
ep,d dimensioning value of passive earth pressure
ep,k characteristic value of the passive earth pressure
eres,d dimensioning value of resultant earth pressure
h depth of excavation
hw height difference between water levels
w water pressure
wd dimensioning value of water pressure
wk characteristic value of water pressure
w res,d dimensioning value of resultant water pressure
w res,k characteristic value of the resultant water pressure
z geometrical variable
β angle of inclination of slope or ground surface
βk characteristic value of angle of inclination of slope or ground surface
1.2.7 Uplift and hydraulic failure, Section 13
Gk characteristic value of self-weight load
G’E,k characteristic value of self-weight load of soil subject to hydraulic failure
Qk characteristic value of a variable unfavourable action
Sk characteristic value of the upwards directed seepage force
Wk characteristic value of the hydrostatic uplift force (permanent or variable part)

2 BASIC PRINCIPLES
2.1 General
2.1.1 The basis for the design of structures is laid down in SIA 260.
2.1.2 The following requirements on the structures treated in the present code have to be considered:
– type, size and importance of structure
– location of the structure
– ground conditions
– groundwater conditions
– settlements and displacements
– stability of the ground
– environmental influences with respect to ground behaviour
– effects of structure on the environment and in the surroundings
– structures, equipment and plant in the neighbourhood
– changes to the ground and the structure that are expected during the design working life.
2.1.3 The design requires a knowledge of geotechnical properties appropriate to the given problem.
2.1.4 For simple constructional problems presenting little geotechnical difficulty simple geotechnical investiga-
tions, analyses and design methods are usually adequate.
2.1.5 Since the prediction of the behaviour of the ground and the structure is often not of sufficient reliability,
despite previous investigations and analyses, in some cases it may be necessary to accept geotechnical
risks in the design. The execution and also, if need be, the use then have to be supported by the observa-
tional method.
2.1.6 The method of construction, the construction materials and detailing shall be chosen so that durability is
achieved for the given ground conditions during the design working life. If this is not possible for the struc-
ture or individual parts of it, then in the conceptual design appropriate repair and/or strengthening measures
shall be planned and documented in the basis of design.
2.1.7 The structural concept, dimensioning and construction method shall, as far as possible, be checked and
assessed with the help of comparable experience gained from projects with similar geotechnical conditions.
Significant deviations from conventional practice shall be analysed and justified.
2.2 Geotechnical risks
2.2.1 The ground shall be checked for potential geotechnical risks during execution and the design working life.
2.2.2 In the conceptual design strategies have to be developed and measures planned which allow geotechnical
risks to be identified and, depending on the situation, to be eliminated, reduced or kept under control.
2.2.3 Geotechnical risks may only be accepted if the special requirements for the observational method are
observed.
2.2.4 Geotechnical risks including the measures to deal with them shall be described in the basis of design for
the corresponding hazard scenarios.
2.2.5 Accepted risks have to be discussed and agreed with the owner or those responsible for maintaining the
structure, specifying the extent of damage and consequent costs.

2.3 Observational method
2.3.1 If ground and structural behaviour cannot be predicted with sufficient reliability by means of previously per-
formed site investigations, structural analyses and comparable experience, then the design shall be carried
out with the aid of the observational method.
When using the observational method the information obtained on the geotechnical properties and the
behaviour of the ground and the structure during execution and use have to be incorporated in the process
of design and execution.
2.3.2 When using the observational method the design has to be carried out under the precondition that the struc-
ture fulfils the specified service criteria with an acceptable probability. The degree of acceptable probability
shall be fixed on the basis of risk and cost-effectiveness considerations.
2.3.3 With the observational method the following conditions also apply:
– based on investigations, structural analyses and values drawn from past experience a prediction has to
be made beforehand on the nature of the ground and the behaviour of the ground and the structure. For
the most important quantities the expected values and the extreme values have to be estimated
– the limit values for the decisive limit states shall be fixed for the behaviour of the ground and the struc-
ture
– to monitor the behaviour of the ground and the structure control values with corresponding alert and
alarm values shall be fixed for the acceptable and critical range of behaviour, respectively
– measures shall be planned and prepared together with any support measures, by which an inadequate
behaviour of the structure (non-fulfilment of the service criteria) can be dealt with or structural failure can
be excluded
– carrying out checks and measurements together with an analysis of the results of the monitoring of the
structure, whereby the behaviour of the ground and the structure is monitored and additional safety mea-
sures or, if necessary, immediate measures can be implemented in good time
– implementing additional safety measures or, if needed, immediate safety measures when the specified
intervention values (alert and alarm values) are exceeded or not reached or on the basis of the results
of the monitoring of the structure
– predictions, alert and alarm values, monitoring of the structure and the planned additional and immediate
safety measures shall be checked periodically during execution and use for their appropriateness and
adequacy and, if necessary, adapted
– accepted risks, alert and alarm values, as well as the planned structural, safety and immediate safety
measures shall be recorded in the basis of design or in the construction inspection and monitoring plans;
checks, measurements and evaluations carried out as well as any measures implemented shall be docu-
mented.
2.3.4 Hazards, which cannot be adequately treated by analysis or detected in time by observations or which can
lead to sudden failure or failure which cannot be kept under control, e.g. brittle failure or progressive struc-
tural failure, shall be eliminated or prevented by means of constructional and/or organisational measures.
In these cases the observational method may not be applied.
2.3.5 If the monitoring shows that more favourable ground conditions are present than expected, the observatio-
nal method may also be used to optimise the dimensioning and the subsequent execution process.
2.4 Verification of the limit states
2.4.1 For decisive dimensioning situations it shall be verified that the limit states of structural safety and service-
ability are not exceeded during the given reference period. The required verification can be obtained:
– by dimensioning according to the provisions of this code
– by means of proven constructional measures
– by means of model tests and load tests.
The results of the verifications shall be documented.

2.5 Soil-structure interaction
2.5.1 The soil-structure system shall be delimited in terms of the given problem in such a way that the behaviour
of the overall system or parts of it can be investigated and monitored with sufficient reliability.
2.5.2 In the case of simple constructional problems the behaviour of the ground and the structure can be inves-
tigated separately, provided that a reliable structural analysis is available for the dimensioning.
2.5.3 The magnitude, direction and distribution of the actions and resistances of the ground and the structure
shall correspond to the deformations of the structure and the ground in the considered dimensioning situ-
ations.
2.5.4 In the verification of structural safety it has to be considered that the bearing capacity of individual structural
elements or zones of the ground may be exceeded before that of the overall soil-structure system.
2.5.5 In the verification of structural safety and serviceability of structures small and large soil stiffnesses may be
decisive. Therefore, in the structural analysis the stiffness of the ground shall be assumed locally or globally
to have the lower and/or higher values.

3 GROUND
3.1 General
3.1.1 For every structure dimensioned according to the rules given in this code the ground has to be known, des-
cribed and assessed.
3.1.2 As a basis for describing the ground the most important geotechnical information has to be obtained.
Geotechnical data has to be collected, evaluated and assessed, including the geological and hydrogeolo-
gical conditions, the morphology, the seismicity, natural hazards, the history of the construction site and the
contamination of the ground.
3.1.3 Generally, to obtain geotechnical information a site investigation specific to the structure is necessary.
3.1.4 The site investigation must be planned and executed taking into account the design requirements for the
structure and a formulation of the aims.
3.1.5 In the course of execution:

– the nature of the ground and the geotechnical data needed for dimensioning have to be checked
– the behaviour of the ground has to be monitored
– the conceptual design and the dimensioning of the structure have to be adapted to any new information
obtained.
3.1.6 Field and laboratory tests shall be performed and documented in accordance with the requirements and
recommendations of standard practice (see SIA 267/1).
3.1.7 The results of the site survey and site investigation shall be documented according to Section 3.4.
3.2 Site investigation
3.2.1 General
3.2.1.1 The site investigation must provide all information relating to the nature of the ground and groundwater con-
ditions as are necessary for the design, execution and use of the structure.
3.2.1.2 The type and size of the site investigation must be adapted to the phase of the design work, the importance
of the structure, the knowledge of the ground, the complexity of the geological and geotechnical situations
as well as the geotechnical risk and executed with an expenditure commensurate with the phase of con-
struction and the task in hand. The investigation is generally carried out in stages according to Section 3.2.2.
3.2.1.3 For the description of the ground the following may need to be considered:
– geological, hydrogeological and geotechnical maps, including the relevant literature
– risk maps (avalanches, rockfalls, slides)
– aerial photos
– land register of improperly disposed of harmful waste
– databases and archives
– information from neighbouring ground explorations
– information from neighbouring or comparable construction projects or structures.
3.2.1.4 In the presence of groundwater the following also have to be investigated:

– location of and information on springs, spring water chambers, wells to harness the groundwater and
groundwater observation stations in the vicinity
– possibility of exploiting the groundwater and whether it needs to be protected.
3.2.1.5 If the structure is endangered by earthquakes the dynamic behaviour and sensitivity of the soil shall be in-
vestigated.

3.2.1.6 In the case of changes to the design and the structural concept, of insufficient geotechnical information, of
moving or altering the structure's ground plan, of unexpected ground conditions or unforeseeable geotech-
nical behaviour additional investigations may need to be carried out.
3.2.1.7 The most important properties of the ground for the structural design must be determined before starting
the final dimensioning.
3.2.2 Investigation steps
3.2.2.1 The basis for the conceptual design and for the planning of the main investigation shall be obtained in a pre-
liminary investigation by collecting and evaluating relevant information and by means of simple tests.
3.2.2.2 Inthe main investigation the basic information must be provided for:
– the structural analysis
– a safe and economic dimensioning of the structure
– planning the execution
– assessing the geotechnical and execution difficulties and risks that could arise during execution and the
planned use
– assessing the effects of earthquakes and natural hazards.
3.2.2.3 More detailed investigations, supported by field and laboratory tests, shall serve to clarify in greater depth
special geological, geotechnical and hydrogeological phenomena. Generally, they must be carried out in the
case of:
– structures particularly sensitive to settlements
– complex ground conditions
– high geotechnical risks with serious consequences for the construction project and the environment
– contamination of the ground.
3.3 Classification of soils and rocks
3.3.1 The soils of the different soil layers or the individual rocks in the rock mass shall be classified and described
by geotechnical parameters.
3.3.2 The geotechnical description of the soils and rocks shall be in accordance with a classification system that
is well established in practice.
3.3.3 The determination of the geotechnical parameters shall be based on recognised testing methods or on an
adequate number of tests or on reliable empirical values.
3.3.4 The geotechnical parameters required for dimensioning usually have to be described by expected values
(probable mean values) and extreme values (estimated maximum or minimum values).
3.3.5 Helpful information for the classification of soils and rocks as well as for the determination of the geotech-
nical parameters are to be found in SIA 267/1.
3.4 Geotechnical report
3.4.1 General
3.4.1.1 The results of the site investigation shall be documented in a geotechnical report.
3.4.1.2 The essential points of the geotechnical report are:

– a graphical representation of the available geological, hydrogeological and geotechnical data, including
any special features
– a geotechnical evaluation of the geotechnical information, stating the assumptions made
– an assessment of the ground with reference to the planned construction project and relevant natural
hazards such as slope instability, mud slides, rockfall, flooding, etc.

3.4.1.3 In the geotechnical report there must be a clear distinction between facts and assessments of the ground.
3.4.1.4 In the case of geotechnical data the reliability of a parameter's determination must be stated, in particular
whether it is a question of test results, empirical values, estimates or assumptions.
3.4.1.5 Gaps in the available information and any incompleteness in the data shall be explicitly mentioned.
3.4.1.6 In the case of incomplete geotechnical data, supplementary clarifications and investigations shall be pro-
posed.
3.4.2 Contents
3.4.2.1 The contents and the size of the geotechnical report shall correspond to the importance of the given pro-
blem.
3.4.2.2 The geotechnical report should generally contain the following information:
– commission and description of the problem
– situation and dimensions of the planned structure
– documents used, citing their origin
– investigations carried out with information on the method used
– geology and hydrogeology of the ground
– description of the ground and its properties
– geotechnical parameters for the individual homogeneous zones or for soil and rock layers
– assessment of the ground regarding suitability and behaviour with respect to the planned construction
works
– explicit mention of the geotechnical risks and natural hazards that could influence the construction pro-
ject
– consequences for the structure with recommendations for further clarifications and investigations
– summary of the principal points
– appendices to the plans with graphical representation of the structure of the ground and of water table
levels
– appendices with data from investigations, test measurements and observations as well as other impor-
tant geotechnical information.

4 STRUCTURAL ANALYSIS
4.1 General
4.1.1 Geotechnical structural analyses shall be carried out according to recognised methods of analysis. The
analysis shall be based on structural models that comply with the basic principles of soil and rock mecha-
nics and closely approximate the actual structural behaviour and mode of failure of the structure.
4.1.2 The influence of individual parameters on the results of the structural analysis shall be investigated sepa-
rately. Parameters exercising great influence shall be given particular attention. Such an investigation is
especially important in regard to accepting geotechnical risks.
4.1.3 The basis, assumptions and results of structural analysis shall be fully documented. Geotechnical difficul-
ties and special features shall be described. Aspects that require special attention during execution, plan-
ned use and maintenance shall be listed in the basis of design.
4.1.4 If the structural concept, the execution or the boundary conditions of the structure are changed, the basis
of the geotechnical design and assumptions of the structural analysis must be reappraised. The conse-
quences of the changes shall be assessed from the geotechnical point of view and recorded in the basis
of design, and, if necessary, in the service criteria.
4.2 Characteristic geotechnical values
4.2.1 General
4.2.1.1 The characteristic value of a geometrical or geotechnical property is the representative value for the selec-
ted geotechnical or structural model according to Figure 1.
4.2.1.2 Inselecting the characteristic values the following points have to be considered:
– geological and geotechnical background information
– comparable empirical values
– extent and reliability of the site investigation
– the scatter and variability of the geotechnical properties in space and time
– stress history, i. e. change in the state of stress over time
– conversion of experimental values to representative ones
– extent of the ground zone influenced by the considered limit state (homogeneous zone), for which a
value can be considered as representative
– possibility of redistribution of stress and force in the vicinity of zones of different strength and stiffness
– influence of planned and foreseeable future construction activities on the geotechnical properties under
consideration.
4.2.1.3 Section 4.2.1.2 is applicable, by analogy, for the determination of the characteristic values of the geotech-
nical properties of artificial man-made soils.
4.2.1.4 The characteristic value of a geometrical or geotechnical property, depending on the dimensioning situa-
tion, may be lower or higher than the estimated expectancy value. For the considered limit state, in the geo-
technical analysis the less favourable of the two values shall be considered. If there is any doubt the ana-
lysis shall be carried out with both values.
4.2.1.5 If the range of variation of a geometrical or geotechnical property is insignificant or has little influence on
the dimensioning of the structure, as characteristic value the nominal or estimated expectancy value may
be assumed.

Figure 1: Characteristic geotechnical values
geotechnical property X geometrical property a

e.g. shear strength parameter ϕ e.g. difference in water levels hw
E hw
hw, max
hw W
hw, min
R
T time t
failure zone A
Xm estimated expectancy value, i.e. pro- hw, k characteristic value, i.e. maximum or minimum value of
bable mean value of X for the critical hw for the reference period T for the determination of the
failure zone A for the determination representative water pressure Wk. The mean value hw, m
of the estimated expectancy value is usually of no importance in the dimensioning
of the load R
Xk prudent expectancy value or charac-
teristic value of X for the critical failure
zone A for the determination of the
representative dimensioning value
Rk of the load R
4.2.2 Geometrical properties
4.2.2.1 The characteristic value ak of a geometrical property is given by:

– a fixed value, e.g. the level of the bottom of the excavation, or
– a variable value, e.g. the level of the water table.
4.2.2.2 The characteristic value of a geometrical property, e.g. the height or slope of the ground surface, the tran-
sition between soil layers or the level of the bottom of the excavation, is given by:
– an estimated expectancy value or a nominal value specified in the plans for a small range of variation
(coefficient of variation ≤ 5%) or for a negligible influence on the structural dimensions.
– a prudent estimate for a large range of variation or for a non-negligible influence on the structural dimen-
sioning.
4.2.2.3 The characteristic value for the level of the water table or the artesian water level, provided the observatio-
nal method is employed, is the maximum or minimum possible value for the dimensioning situation under
consideration 1).
4.2.3 Geotechnical properties
4.2.3.1 The characteristic value Xk of a geotechnical property for the given dimensioning situation is the prudent
expectancy value. The difference between this value and the estimated expectancy value shall be assumed
according to the scatter and reliability in the determination of the values 2).
4.2.3.2 In the determination of the characteristic values from laboratory and field tests the different behaviour in the
test and in the structure shall be taken into account, in particular:
1)
From a statistical point of view it would be better to determine the characteristic value of the height of the water table
such that during the considered reference period the probability of a less favourable value is less than 1%. According
to the code an unfavourable height of water table shall be considered an accidental event.
2)
From a statistical point of view it would be better to determine the characteristic value of a geotechnical property
such that for the given dimensioning situation the probability of a less favourable value is less than 5%. Based on
probability considerations the characteristic value corresponds to a representative value with a confidence level of
95%.

– the dependence of the values on the actual stress and deformation states
– the influence of the structure of the ground and the composition of the soil on geotechnical behaviour
(stratification, cracks, joints, percentage of coarse material, etc.)
– the influence of load duration and rate of loading on the strength and deformational behaviour
– the influence of brittleness and ductility
– the influence of scale effects.
Deviations shall be taken into account by specifying prudent values Xk .
4.2.3.3 The characteristic value Xk of a geotechnical property can also be determined as a prudent expectancy
value on the basis of empirical values or back-analysis. The assumptions for the determination of the
values must be representative for the given problem.
The characteristic values Xk determined by back-analysis apply only to the structural and analytical models
used. Care must be taken when using values from other structural and analytical models.
The reliability of the method used to determine the values has to be checked and taken into account.
4.2.4 Values assumed with the observational method
In applying the observational method the estimated expectancy values may be assumed as characteristic
values of the geometrical or geotechnical properties provided Section 2.3.2 is taken into consideration.
The characteristic value assumed for the level of the water table or of the artesian water levels shall be suf-
ficiently on the safe side for the given dimensioning situation.
4.3 Actions imposed by the ground
4.3.1 The determination of actions imposed by the ground and their characteristic values shall be in accordance
with SIA 261.
4.3.2 The actions imposed by the ground listed in SIA 261, provided they are present and effective, shall be inclu-
ded in the geotechnical structural analysis.
4.3.3 If water is an important action, specific geotechnical phenomena, e.g. ground and structural deformations,
the formation of cracks, changes in permeability and internal erosion must be considered.
4.3.4 The effective duration of an action shall be considered with regard to the time-dependent behaviour of the
soil, the drainage effect of dewatering systems, the development of settlements and displacements, as well
as changes in earth pressure due to consolidation and creep.
4.3.5 Repeated actions and actions of variable magnitude shall be considered with regard to specific geotechni-
cal phenomena, e.g. irreversible deformations, soil liquefaction, loss of strength and change of stiffness.
4.4 Soil resistances
4.4.1 General
4.4.1.1 The following are considered as soil resistances:

– resistance of ground as reaction to the displacement of a structure
– ultimate bearing capacity and sliding as a reaction to foundation loading
– frictional resistance as reaction to relative displacement of the structure and the soil
– shear resistance of the soil as reaction to internal displacements within the soil mass.
4.4.1.2 Depending on the section assumed for the structural model, according to Figure 2 the soil resistance can
be considered as an action on the structure, e.g. passive earth pressure with retaining structures and foun-
dations or negative skin friction in the case of pile foundations.

4.4.1.3 In the case of geotechnical structural analysis with the inclusion of soil resistance it must be verified that
the assumed soil resistance is compatible with the admissible soil and structural displacements for the limit
state considered. Otherwise the soil resistance has to be correspondingly reduced or taken into account by
means of a deformation analysis.
4.4.1.4 If, for the given dimensioning situation, a larger soil resistance is more unfavourable than a smaller one, the
soil resistance is assigned its upper value.
Figure 2: Section defining the structural model
ground or earth pressure and soil resistance as earth pressure Ea and soil resistance Ep as actions
part of the structure on the structure
A A
Ea Ea
RE
Ep
ea ep
4.4.2 Characteristic value
4.4.2.1 The characteristic value Rk of a soil resistance shall be determined using established methods of analysis
using a representative geotechnical model:
Rk = R { FR,k , Xk , ad } (1)
4.4.2.2 The characteristic value Rk of a soil resistance can be obtained from tests, empirical values or back-analysis
as a prudent expectancy value. The reliability of the determination of the values shall be checked and taken
into consideration. The requirements of Section 4.2.3.3 also apply and have to be fulfilled.
4.5 Structural model
4.5.1 General
4.5.1.1 In the analysis of geotechnical structures the ground, depending on the section chosen to define the geo-
technical model, is either part of the structure or the structure itself, as shown in Figure 2. In both cases it
shall be described by a representative geotechnical model appropriate to the dimensioning situation.
4.5.2 Geotechnical model
4.5.2.1 Generally, the geometry and the geotechnical properties of a geotechnical model are described by prudent
expectancy values.
The scatter in the values of geotechnical properties shall be appropriately taken into account for the given
geotechnical problem.

4.5.2.2 For the structural analysis, depending on the structural model and dimensioning situation, different geo-
technical models can be more relevant.
4.5.2.3 Usually, in the case of geotechnical analyses, the ground or the behaviour of the ground may be idealised
by simple models, e.g.:
– the stiffness of the ground by a modulus of subgrade reaction
– the reaction of the ground (earth pressure, soil resistance) by a given earth pressure diagram
– a three dimensional structure by a two dimensional model
– complex failure mechanisms by simple failure mechanisms
– complex deformational behaviour by simple material laws.
The reliability of the simplified model assumptions must be checked.
4.5.2.4 In the assumption of a failure of the structure and soil the different load-deformation characteristics of the
structure and the ground shall be taken into account.
4.5.3 Analytical model
4.5.3.1 The selected analytical model must adequately describe the behaviour of the ground and of the structure
for the limit state under consideration.
4.5.3.2 In the case of simplified analytical models, it shall be ensured that by the choice of the model or partial fac-
tor γS or γR the results of the analysis lie on the safe side. The partial factor γS or γR is specified from case
to case.
4.5.3.3 In using the finite element method the reliability of the method and the plausibility of the results shall be
checked against those of a reliable analysis of a comparable situation.
4.5.3.4 If a suitable analytical model is not available for a particular limit state, the analysis of the limit state shall
be carried out with a model that approximates the situation as closely as possible. The results shall in any
case be modified conservatively.
4.5.3.5 In special cases the analytical approach may consist of a direct empirical relationship between test results
and dimensioning criteria. A definite correspondence with the conditions of the case under consideration
has to exist.

5 DIMENSIONING
5.1 General
5.1.1 Dimensioning situations with risks that are difficult to estimate or unusual or extremely complex ground con-
ditions shall be treated using a prudent choice of geotechnical values, dimensioning according to the crite-
ria of the observational method, but not with an increase of the safety factors. For such dimensioning tasks
one should draw upon comparable experience.
5.1.2 In calculating the effects of actions E using the finite element method, the safety guidelines in this code shall
be used analogously. If the dimensioning value of the effect of actions Ed does not follow (10) and is de-
termined using SIA 260, (7), the partial factor for the imprecision in the analytical model shall be at least
γs = 1.2.
5.1.3 If the requirements of the observational method are fulfilled, then within the framework of the provisions of
this code the recommended safety values can be reduced accordingly and geotechnical risks may be
accepted.
5.2 Limit states
5.2.1 Within the framework of the verification of structural safety according to Figure 3, if applicable the following
limit states (LS) are differentiated:
– LS type 1 concerns the overall stability of the structure (overturning or floating as a rigid body). In such
cases the strength of the structure or of the ground is not of importance.
– LS type 2 concerns reaching the ultimate resistance of the structure or one of its parts (failure due to
rupture, excessive deformation, the formation of a mechanism or the loss of internal stability). Such
cases are governed essentially by the properties of the ground and the construction materials together
with the geometrical properties.
– LS type 3 concerns the stability of the ground by mobilising the ultimate bearing capacity (slides, insta-
bility of slopes, failure at the ground surface).
– LS type 4 concerns the fatigue resistance of the ground, of the structure or of one of its parts.
5.2.2 Serviceability limit states involve requirements for the use of the structure according to the service criteria.

Figure 3: Limit states involving structural safety
LS type 1: LS type 2:
loss of equilibrium reaching the ultimate resistance
Ea
F
G
Ep
LS type 3: LS type 4:
loss of stability reaching the fatigue resistance
F
F
t
E R
R
R
n
5.3 Dimensioning values
5.3.1 Geometrical properties
5.3.1.1 Generally, for the dimensioning value ad of a geometrical property

ad = ak (2)
5.3.1.2 In cases in which the deviation from the characteristic value has a considerable influence on dimensioning,
the dimensioning value ad is determined as follows:
ad = ak ± ∆a (3)
The increase or the decrease ∆a depends on the situation and shall be specified for the possible deviation
in the extreme case.
5.3.1.3 For earth works, e.g. fill material at the ground surface, cuts in slopes and excavations, possible deviations
in the execution shall be taken into account through appropriate increases or decreases of the nominal
value. In general ∆a = 0.50 m.
In the case of fill material covering structures with less than 2.0 m height of fill, the increase ∆a amounts to
25% of the height of fill and at least 0.25 m.
5.3.1.4 In specifying the dimensioning value of water pressures, porewater pressures and seepage pressures the
value of the critical water table and artesian water levels shall be specified according to Section 5.3.1.2,
provided the observational method is employed.
5.3.1.5 For the verification of serviceability the dimensioning value ad is given by:
ad = ak (4)

5.3.2 Geotechnical properties
5.3.2.1 For the dimensioning value Xd of a geotechnical property 1):

1
Xd = Xk (5)
γm
The characteristic value Xk of a geotechnical property shall be determined according to Section 4.2.3.
5.3.2.2 The partial factor γm takes into account unfavourable deviations of the geotechnical parameters from their
characteristic value. Table 1 gives the values of the partial factor γm for the verification of structural safety.
Table 1: Partial factor γm for geotechnical properties
Partial factor γm
Geotechnical parameter
in general after Section 5.3.2.3
unit weight of soil or rock γe γγ = 1.0 (1.0)
tangent of the angle of internal friction tanϕ' γϕ = 1.2 (1.1)
effective cohesion c' γc = 1.5 (1.3)
undrained shear strength cu γc u = 1.5 (1.3)
uniaxial compressive strength qu γq u = 1.5 (1.3)
5.3.2.3 The partial factors γm in Table 1 may be correspondingly reduced when determining the characteristic
values Xk from a back-analysis in which equilibrium at the limit state (e.g. bearing capacity failure, slope
instability) is assumed according to Section 4.2.3.3 and in the use of the observational method. The values
given in brackets in Table 1 represent minimum values.
5.3.2.4 In the determination of the characteristic values Xk from a back-analysis according to Section 5.3.2.3 and
use of the observational method, for all properties in Table 1 the partial factor is given by γm = 1.0.
5.3.2.5 In the case of ground deformations that lead to failure of the structure, the partial factor for the deforma-
tion modulus EV (or ME) shall be specified for the particular situation. The partial factor shall be at least γE
= 1.5 or, if Section 5.3.2.3 applies, γE = 1.3.
5.3.2.6 If, for the given situation, an upper limit of the dimensioning value Xd of the geotechnical property is decisive
then an upper limit of Xk is introduced into (5), and the partial factor γm given in Table 1 or according to
Section 5.3.2.5 shall be used as a multiplier.
5.3.2.7 If the dimensioning value Xd of a geotechnical property is specified directly, the safety margin must corre-
spond to the partial factor γm given in Table 1.
5.3.2.8 For the verification of serviceability the partial factor γm = 1.0. In this case:
Xd = Xk (6)
5.3.3 Actions imposed by the ground
5.3.3.1 The dimensioning value Fd of an action imposed by the ground is:

Fd = γF Frep (7)
For the load factor γF the values given in SIA 260, Table 1, apply.
5.3.3.2 If the action F on the structure results from a resistance R (Section 4.4.1.2), the dimensioning value Fd of
the action corresponds to the dimensioning value Rd of the soil resistance according to Section 5.3.5.5 (Fd
= Rd ). This requirement applies to all limit states and dimensioning situations.
1)
(5) corresponds to equation (5) in SIA 260. According to Section 4.2.1.2 and Section 4.2.3.2 η = 1.0.

5.3.3.3 Alternatively, the dimensioning value Fd of a displacement or deformation imposed on a structure by the
ground can be determined as follows from Section 5.3.3.1:
Fd = γS F { FE,d , Xd , ad } (8)
By means of the partial factor γS it is possible to account for imprecision in the analytical model. The value
of the partial factor γS depends on the analytical model. The minimum value shall be γS = 1.2.
5.3.3.4 The dimensioning value A d of an accidental action imposed by the ground is usually specified directly taking
into consideration the requirements for determining a dimensioning value.
5.3.3.5 If, for the verification of structural safety, the dimensioning value Fd of an action imposed by the ground is
specified directly, the safety margin in the load factors γF shall correspond to Table 1 of SIA 260.
5.3.3.6 For the verification of serviceability:
γF = 1.0 (9)
5.3.4 Effects of actions
5.3.4.1 The dimensioning value Ed of the effect of an action is given by:

Ed = E { γF Frep , Xd , ad } (10)
5.3.4.2 For the determination of the effect of an action Ed the load cases defined in SIA 260 shall be considered.
5.3.5 Soil resistance
5.3.5.1 If, in the structural analysis, the soil resistance R is part of the structural model the dimensioning value Rd
of the soil resistance is obtained as follows:
1
Rd = R { FR,d, Xd , ad } (11)
γR
In general (11) applies in the case of soil shear resistance for slope failure and for the bearing capacity and
sliding resistance of spread foundations.
5.3.5.2 In the determination of the load or force FR,d in (11) the requirements of Section 5.4.1.2 shall be fulfilled.
5.3.5.3 The partial factor γR of (11) takes into account the imprecision of the resistance model. Its value depends
on the resistance model and usually it lies in the range:
γR = 1.0 to 1.2 (12)
5.3.5.4 The value of γR shall be assumed to be at the upper limit for cases that are difficult to model, for simplified
analytical models, for soil resistances that are sensitive to changes in the dimensioning values or if the ana-
lysis is likely to give a result lying on the unsafe side.
The value of γR may be assumed to be at the lower limit for conservative analytical models, for soil resis-
tances that are relatively insensitive to changes in the dimensioning values and for analyses that give a
result on the safe side.
5.3.5.5 If, in the structural analysis, the soil resistance R is determined as a property that is independent of the
structural model or is obtained directly from tests, empirical values or back-analysis (Section 4.4.2.2), the
dimensioning value Rd of the resistance is given by
1
Rd = η Rk (13)
γM
In general (13) applies for soil resistance in the case of retaining structures and foundations as well as for
the external resistance of anchors and piles.
5.3.5.6 The resistance factor γM takes into account unfavourable deviations of the geotechnical properties from their
characteristic values and imprecision in the resistance model.

Subject to the requirements of Sections 8 to 15 the value of the resistance factor γM for soil resistance is:
γM = 1.4 (14)
5.3.5.7 The conversion factor η in (13) covers deviations of the representative values from the characteristic values
for the given dimensioning situation. In the case of the characteristic value Xk , taking into account the
influences described in Section 4.2.1.2, the conversion factor η = 1.0.
5.3.5.8 If the total soil resistance includes structural elements, e.g. dowels, the smaller of the two resistances
Rground or Ri,element is decisive.
5.3.5.9 If, for the dimensioning of the structure or parts of it, the higher value of the total soil resistance is decisive,
the dimensioning value of the resistance shall be determined as the upper value and the partial factor γR or
the resistance factor γM are used in (11) and (13), respectively, as multipliers.
5.3.5.10 If, for the verification of the serviceability, a partial mobilisation of the soil resistance is considered, the struc-
tural resistance Rd is determined from (11) or (13), whichever applies. The degree of mobilisation must be
compatible with admissible structural deformations.
5.4 Verification of structural safety
5.4.1 General
5.4.1.1 The limit states given in Section 5.2.1 have to be verified. The verification of some of these limit states can
be dispensed with if they are not relevant to the given problem, are clearly not decisive for the dimensioning
or are covered by the verification of another limit state.
5.4.1.2 If an action F produces both an effect E and a resistance R or if it has a destabilising and a stabilising com-
ponent, e.g. an inclined earth pressure in the verification of sliding and overturning, all components shall be
determined with the same dimensioning value Fd . Depending on the dimensioning situation, the action Fd
shall be taken as an upper or a lower limit.
5.4.2 Verification for the limit state Type 1
5.4.2.1 In the case of Type 1, the overall stability is deemed to be verified if the following dimensioning criterion is
fulfilled:
Ed,dst ≤ Ed,stb (15)
5.4.2.2 Favourable actions may only be considered if they are present for the whole of the given reference period.
5.4.2.3 Resistances, e.g. wall friction, earth pressure and tensile resistance, shall not be included.
5.4.2.4 Structures, which to guarantee the overall stability depend on resistance elements like piles and/or anchors
preventing uplift, shall be dimensioned according to Type 2.
5.4.2.5 The overall stability of a structure with respect to overturning is, in the case of foundations resting on or
embedded in soil or soft rock (overturning edge cannot be defined), shall be verified by limiting the admissible
load eccentricity.
5.4.3.1 In the case of Type 2, the structural safety of structures or parts of them is deemed to be verified if the fol-
lowing dimensioning criterion is fulfilled:
Ed ≤ Rd (16)
5.4.3.2 If the verification using (16) is with respect to the structural safety of parts of the structure, the ultimate re-
sistance Rd shall be determined according to the corresponding structural codes SIA 262 to 265, with the
exception of pile foundations (Section 9) or anchors (Sections 10 and 11) of the present code.

5.4.3.3 Actions and resistances must correspond to the kinematic failure model for the considered limit state. The
compatibility of actions, resistances, structural deformations and displacements has to be checked.
5.4.3.4 Soil and structural resistances may only be considered if they can be permanently activated by deforma-
tions and displacements in the case of structural failure.
5.4.3.5 For the verification of the external structural safety of individual elements of spread and pile foundations the
action effect Ed may be determined with the load factor γF for Type 3, provided the type of foundation and
the stiffness of the structure permit sufficient load redistribution in the failure state. For the structure as a
whole however an adequate structural safety must be verified for Type 2.
5.4.3.6 The load factors given in SIA 260, Table 1, may be reduced when applying the observational method in
cases of calculable and acceptable risks, e.g. in construction states or temporary dimensioning situations.
For the load factor γF, sup of Type 2 the following minimum values apply:
Soil surcharge, earth pressure γG,Q,sup = 1.20 (17)
Water pressure γG,Q,sup = 1.10 (18)
For favourable actions the load factors γF, inf given in SIA 260, Table 1, apply.
5.4.4.1 In the case of Type 3, the stability of a structure is deemed to be verified if for all possible dimensioning
situations and failure mechanisms the following dimensioning criterion is fulfilled:
Ed ≤ Rd + ∆Rd (19)
Ed sum of the dimensioning values of the shear forces in the ground (Section 5.3.4.1)
Rd sum of the dimensioning values of the shear resistances in the ground (Section 5.3.5.1)
∆Rd sum of the dimensioning values of soil resistance due to structural elements (Section 5.3.5.5).
5.4.4.2 The partial factor γR for the determination of Rd in (11) takes into account in Type 3 the imprecision in the
analytical model as a whole or the amount by which the calculated safety factor for slope stability is in-
creased when obtaining the geotechnical dimensioning values on the basis of a back-analysis according to
Section 5.3.2.4.
Generally, the partial factor γR for Type 3 is given by:
γR = 1.0 to 1.2 (20)
Section 5.3.5.4 applies for the specification of γR .
5.4.4.3 In the case of rock, depending on the rock strength, direction of loading and orientation of the transition
surfaces and joints, failure by rupture of the rock and/or by slip along weak zones has to be investigated.
For steep slopes it must also be verified that there is no failure due to the toppling of an individual block or
of a system of several blocks.
5.5 Verification of serviceability
5.5.1 General
5.5.1.1 For structures the serviceability for the given dimensioning situation shall be verified according to the follo-
wing dimensioning criterion:
Ed ≤ Cd (21)
5.5.1.2 The numerical verification of serviceability involves above all the verification of settlements, displacements,
overturning and deformations. It shall be carried out according to the requirements regarding the use of the
structure defined in the basis of design.
5.5.1.3 For the verification of the serviceability of structures made of concrete, steel, timber or masonry the provi-
sions of SIA 262 to 266 apply.

5.5.1.4 A numerical verification of serviceability can be dispensed with if compliance with the serviceability limits
can be proven on the basis of empirical values, constructional measures or alternative verifications accor-
ding to Section 5.6 or 5.7.
5.5.1.5 In the calculation of ground deformations, including settlements and differential settlements, displacements
and overturning, the following shall be considered:
– random or systematic scatter of the geotechnical properties even within an apparently homogeneous soil
layer
– load and load distribution
– time and load dependence of the deformation and stiffness parameters
– influence of method of construction on disturbance of the ground and on load development
– stiffness of the structure during and after construction
– other factors influencing the deformational behaviour.
5.5.1.6 The calculation of ground deformations is usually carried out with the dimensioning values for the service-
ability limit state determined according to Section 5.3. The following relationship applies:
Ed = E { Fd , Xd , ad } (22)
5.5.1.7 In some dimensioning situations and especially in the determination of differential settlements and displa-
cements, heterogeneous geotechnical models with minimum and/or maximum values of the decisive geo-
technical properties shall be considered.
5.5.1.8 The long-term values of action effects Ed are usually decisive for the serviceability with respect to settle-
ments, displacements, overturning and deformations. In the case of one-off short-term actions for the soil
in general higher deformation moduli may be assumed.
5.5.2 Limits of serviceability
5.5.2.1 The most important serviceability limits C in geotechnical engineering are values of admissible settlement,
displacement and overturning of a structure. The decisive value may be either the absolute or the relative
value, i.e. the total or the differential settlement.
5.5.2.2 The serviceability limits for settlements and displacements as well as for deformations depend on the given
structure and the development of deformations as a function of time. The values depend on the object and
in their determination the following shall be considered:
– reliability with which the admissible values can be specified
– method and type of construction and use of the structure
– type of foundation
– ground conditions
– evolution of the deformations and displacements with time
– type of structural deformation
– choice of construction materials and products.
5.6 Dimensioning on the basis of constructional measures
5.6.1 If, for certain dimensioning situations, no analytical models exist, if no limit state equations can be formula-
ted or if calculations are not required or do not provide a satisfactory basis for dimensioning, then critical
limit states can be handled by means of constructional measures. These include:
– selection of proven structural systems
– use of proven materials and methods of construction
– replacement of soil that presents a risk
– proven detailing
– conservative conceptual design and detailing
– special care in the choice and testing of construction materials and products, construction methods, pro-
tective measures, maintenance and repair work.

5.6.2 Verifications in accordance with Sections 5.4 and 5.5 may be dispensed with if with proven constructional
measures, whose effectiveness is demonstrated by the existence of comparable and applicable experience,
the design requirements as laid down in the basis of design can be fulfilled beyond any doubt.
5.6.3 Dimensioning according to Section 5.6.1 is necessary, in particular to guarantee durability in the case of
frost, chemical and biological actions as well as to guarantee corrosion protection or watertightness, etc.
5.7 Dimensioning on the basis of testing
5.7.1 For certain structures or parts of structures dimensioning can or should be based only on model tests, load-
ing tests or back-analysis of the actual state, e.g.:
– anchorages (anchor pull-out tests)
– pile foundations (trial load tests)
– slope stabilisation (back-analysis)
– embankments (trials with fill material).
5.7.2 If the dimensioning of a structure is carried out partially or exclusively on the basis of tests, besides the pro-
visions of SIA 260, the following points, which are important geotechnically, have to be investigated and con-
sidered in the dimensioning of the structure by selecting appropriate conversion factors:
– differences in the composition and behaviour of the ground between the test site and the construction
site
– time effects, especially with respect to the short duration of the trial load test and for soils with pronoun-
ced creep behaviour
– scale effects, above all if the real-life behaviour of the structure has to be predicted from small scale
tests.
5.7.3 The tests have to be planned such that they give representative results with respect to the behaviour of the
ground. If possible the tests shall be carried out on representative structural elements (anchors, piles, trial
embankments, etc.).

6 EXECUTION CHECKS AND MONITORING
6.1 Basic principles
6.1.1 Within the framework of design to ensure structural safety and serviceability, the necessary execution
checks and monitoring measures for execution and use shall be specified for each structure.
If the observational method is used, the special conditions pertaining to monitoring given in Section 2.3.3
shall be considered.
6.1.2 The planned structure, the ground and the surrounding area as well as existing buildings, pipes and tech-
nical facilities, if relevant, shall be included in the execution checks and monitoring.
6.1.3 By means of the execution checks and the monitoring data shall be collected which permits:
– verifying the validity of assumptions and compliance with the conditions of the structural analysis and the
dimensioning
– verifying the predicted behaviour of the ground and the structure
– predicting the subsequent behaviour of the ground and the structure
– determining or verifying geotechnical data by back-analysis
– the early detection of impending hazards.
6.1.4 Control quantities and measuring stations shall be specified for the execution checks and the monitoring as
well as the corresponding expected alert and alarm values.
6.1.5 In the specification of the type and extent of the measures as well as time when and the frequency with
which they are carried out the following points shall be considered:
– importance of the structure
– the requirements placed on the structure
– the degree of uncertainty in the design assumptions
– the complexity of the ground, the structure and actions as well as their interaction
– the potential risk of structural failure during execution and use
– the possibility of changes in the design during execution and of strengthening during use.
The suitability and extent of the monitoring measures shall be reviewed periodically and the measures shall
be adapted if necessary.
6.1.6 The requirements shall be recorded in the following documents:
– the execution checks and monitoring during execution in the basis of design, in the construction inspec-
tion plan and if necessary in the tender documents
– monitoring during use in the service criteria agreement, in the basis of design, in the service instructions
and in the monitoring plan.
6.1.7 The acquired data shall be checked for reliability, evaluated and interpreted and passed on to the respon-
sible persons within a reasonable period.
6.1.8 Detected deviations from design assumptions or requirements shall be checked for their reliability. In the
case of inadmissible deviations corrective measures shall be implemented immediately.
6.1.9 The acquired data together with its evaluation and interpretation shall be documented.
6.2 Execution checks

6.2.1 By means of execution checks, in particular the following have to be checked:
– supplied construction materials, products and structural elements
– construction process, construction methods and construction progress
– structural elements already erected
– the geotechnical model (ground and groundwater conditions).

6.2.2 Important control quantities are, e.g.:
– construction process and deadlines
– geotechnical properties
– water table levels, pore water pressures
– geometrical properties, e.g. dimensions, depth of excavation, etc.
– quality of ground, construction materials and products
– temperature and meteorological quantities
– interruptions to work.
6.2.3 For the specific checks on the structural elements Section 9.7 (piles) as well as Sections 10.7 and 11.7
(anchors) apply.
6.2.4 In the case of fill the origin of the fill material as well as the compliance with quality requirements according
to Section 15.2 must be checked. The type and number of tests depend on the fill material and the struc-
ture and have to be recorded in the construction inspection plan.
6.2.5 In the case of a long-term operations involving the groundwater, monitoring of the dewatering plant is
necessary.
6.2.6 Checks on the ground and the water conditions may be carried out by means of visual inspections, in situ
measurements or by analysing samples. Information available from shallow pits, boreholes, etc. shall also
be taken into account.
6.3 Monitoring during construction

6.3.1 By monitoring during construction in particular the following design assumptions have to be verified:
– the behaviour of the ground (geotechnical and water conditions)
– behaviour of existing and new structures
– actions on the structure
– environmental influences.
6.3.2 Important control parameters are, e.g.:

– forces
– displacements and deformations of the ground, of newly built structures and parts of structures, as well
as neighbouring structures, plant and equipment
– output of pumps and the height of the water level
– level of the free water surface
– pollution of the ground and/or the groundwater.
6.3.3 The effects of constructional measures, especially of temporary or permanent dewatering, grouting, under-
ground structures and drainage systems on the groundwater, the structure as well as neighbouring struc-
tures, pipes and plant shall be investigated and monitored.
6.3.4 For groundwater control measures the quantity of water pumped out and the effect on the groundwater
levels and the water pressures have to be monitored. The washing out of the fine fraction (clay, silt, fine
sand) has to be checked.
6.3.5 If present, the outflow of seepage and spring water shall be monitored. In particular, the discharge quanti-
ties and suspended material shall be monitored according to Section 16.
6.3.6 After completion of the pumping tests or of dewatering the transient changes in the water table shall be
observed up to its stabilisation (steady state). Natural fluctuations in the water table shall be taken into con-
sideration.
6.3.7 Generally, the initial recording of the site conditions as well as zero measurements shall be carried out before
commencing the construction work.

6.4 Monitoring during use
6.4.1 By monitoring, if necessary, the following design assumptions shall be verified:

– behaviour of the ground (geotechnical and groundwater conditions)
– behaviour of the structures
– actions on the structural system
– environmental influences.
6.4.2 Important control parameters are, e.g.:

– visual checks on the condition of the structure
– forces
– displacements and deformations of the ground and the structure
– actions
– contact stresses at the interface soil-structure
– water levels and rate of water discharge, pore water pressures
– amount of material carried in suspension from drainage systems and springs
– the degree of sintering from drainage systems
– temperature and precipitation.
6.4.3 The groundwater conditions have to be monitored specifically if during use there is a potential threat to the
groundwater or unfavourable changes in the flow of groundwater are possible, e.g. in the case of:
– drainage systems, water level controls and water chambers
– tunnels or underground structures and conduits
– deep foundations
– slopes and retaining structures
– structures located in the groundwater
– excavation supports remaining in the ground
– soil stabilisation measures
– drainage systems
– landfills.
6.4.4 Taking into consideration Section 6.1.5 it is possible to employ the following methods of monitoring:
– simple, qualitative monitoring based on visual inspection
– measurement of selected control parameters
– combined measuring programme
– automatic measuring equipment with alarm systems
– analysis of groundwater and soil samples.
6.4.5 The zero measurement for monitoring during use shall normally be carried out immediately after the con-
struction work has been finished.
6.4.6 The monitoring shall be maintained for a sufficiently long period or during the whole of the service life:
– in the case of important infrastructure
– if failure of the structure cannot be ruled out.

7 EARTHQUAKES
7.1 Limitations
7.1.1 The requirements of Section 7 represent a simplified consideration of earthquakes in the design of geo-
technical structures.
7.1.2 The requirements of Section 7 consider local effects only approximately within the ground classification
according to SIA 261. If more precise information for the site of the structure is available it may be taken
into consideration.
For sites with extreme topographical conditions, e.g. hilltops, steep slopes, etc., as well as for structures
subject to high risk, the influence of local effects shall be investigated separately.
7.2.1 Seismic effects shall be investigated according to SIA 261, Section 16 (Earthquakes).
7.2.2 Seismic effects on the behaviour of the ground and the structure shall be investigated for structures of the
following structural classes:
– Zone 1: Structural class III
– Zone 2: Structural classes II and III
– Zone 3: Structural classes I, II and III.
7.2.3 Seismic effects on the behaviour of the ground shall always be investigated for:
– structures that in their undisturbed state only exhibit a low safety level with respect to stability
– structures founded on soils that exhibit a sensitive soil structure and are sensitive to earthquakes.
7.3 Ground
7.3.1 Sufficient geological and geotechnical data for the site of the structure has to be obtained to allow the deter-
mination of a mean soil profile and an associated response spectrum according to SIA 261.
7.3.2 The extent of the dynamic site investigation shall correspond to the seismic hazard to the structure, the state
of knowledge of the nature of the ground and, if relevant, to the susceptibility of soil to liquefaction, soil
densification and collapse of the soil’s grain structure.
7.3.3 For the structures mentioned in Section 7.2.2 in particular the following shall be determined:
– the possibility of soil liquefaction, if below the water table within the influence zone of the structure’s
foundation at a depth of less than 15 m extensive layers or lenses of loose cohesionless soil are pre-
sent.
– the possibility of soil densification, if within the influence zone of the structure’s foundation extensive layers
or lenses of loose unsaturated cohesionless soil are present.
– the possibility of a loss of shear strength in the case of fine-grained overconsolidated soils and soft fine-
grained soils with a high plasticity index.
7.3.4 The undrained shear strength c u shall always be determined for stability investigations in the case of fine-
grained soils.

7.4 Structural analysis
7.4.1 Normally, the effects of earthquakes on structures and the ground shall be determined on the basis of the
equivalent force method according to SIA 261. For this purpose standard soil mechanics calculation
methods may be employed.
7.4.2 In structural analysis with the equivalent force method parts of the structure and the soil masses affected
by the equivalent static failure state shall be included in the determination of the equivalent forces. The sta-
tically equivalent forces shall be considered in the determination of the equivalent failure body.
7.4.3 In the case of soils for which under dynamic actions high pore water pressures or a substantial loss of shear
strength could occur, care must be taken when using the equivalent force method.
7.4.4 In the calculation of seismic effects, the following shall be given special consideration:
– the effect of the inertia forces of all the masses that interact with the structure
– the generally nonlinear behaviour of soil under dynamic loading
– the hydrodynamic forces acting on structures in contact with water
– the effect of a possible negative skin friction
– the compatibility requirements for deformations of the soil and the structure.
7.5 Dimensioning
7.5.1 General
7.5.1.1 For ductile structures the dimensioning value of foundation loads shall be based on capacity design consi-
derations with the full exploitation of structural safety.
7.5.1.2 For non-ductile structures the dimensioning value of foundation loads corresponds to the internal forces and
moments for the dimensioning situation “Earthquake” according to SIA 260.
7.5.2 Design value of seismic action
7.5.2.1 According to the equivalent force method the dimensioning value A d of the seismic action on retaining struc-
tures and ground masses shall be determined as follows:
ag,d
horizontal forces: A h,d = γf g q Gk S (23)
a
vertical forces: A v,d = 0.7 A h,d (24)
The importance factor γf and the ground acceleration ag,d shall be determined according to SIA 261, the
seismic response factor q a according to Table 2 and the self-weight Gk according to Section 7.4.2 .
Table 2: Seismic response factor q a
Type of structure qa
gravity walls or slopes with an admissible displacement s adm > 50 mm 2
gravity walls or slopes with an admissible displacement s adm < 25 mm 1.5
reinforced concrete walls in bending, anchored or braced walls, reinforced concrete walls
1
supported on vertical piles, supported basement walls, bridge abutments, etc.

7.5.2.2 The vertical equivalent static forces A v,d can either act favourably or unfavourably. For the dimensioning the
unfavourable case shall be considered
7.5.2.3 The equivalent force A d may be generally assumed to act at the mid-height of the wall corresponding to a
uniform distribution of dynamic earth pressure.
7.5.2.4 The dimensioning value of the dynamic water pressure A w,d may be determined generally as an equivalent
force as follows:
ag,d
A w,d = γf b γ h2 S (25)
2g w w w
7.5.2.5 The equivalent force A w,d shall be assumed to act midway between the elevation of the water table and the
bottom of the wall corresponding to a uniform distribution of dynamic water pressure.
7.5.3 Design value of soil resistance
7.5.3.1 The dimensioning value of soil resistance shall be determined basically in accordance with the require-
ments of Section 5.3.5, whereby the seismic forces acting on the equivalent sliding body shall be considered
according to Section 7.5.2.
7.5.3.2 The following shall be considered in the determination of the shear resistances:
– undrained shear strength c u for saturated fine-grained soils
– the occurrence of pore water pressures in saturated soils and foundations situated in the groundwater
– the degradation of stiffness and strength in soils that are seismically sensitive or have a sensitive soil
structure.
7.5.3.3 In the dimensioning of pile foundations, the favourably acting horizontal and vertical resistances of soil layers
that are prone to liquefaction or substantial loss of strength shall be neglected.
7.5.4 Verification of structural safety
7.5.4.1 The verification of structural safety with consideration of dynamic effects shall basically be carried out
according to the requirements of Section 5.4.
7.5.4.2 For structures of Structural class III situated in the zone of seismic risk Z3 and if soils sensitive to earth-
quakes are present either special dynamic investigations or correspondingly conservative dimensioning are
necessary.
7.5.5 Verification of serviceability
7.5.5.1 For structures of Structural class III it shall be verified that for the dimensioning situation “Earthquake”
according to SIA 260 no inadmissible settlements and displacements of the structure result.
7.5.5.2 The value of the admissible settlements and displacements depends on the requirements that the structure
has to fulfil for this dimensioning situation.
7.6 Constructional measures
7.6.1 Soils sensitive to seismic action
7.6.1.1 In the case of structures founded on soils that are susceptible to liquefaction or excessive settlements under
dynamic or cyclic actions, if possible an adequate structural safety should be achieved by means of con-
structional measures, e.g. through the design concept, soil improvement or soil replacement.

7.6.2 Foundations of structures
7.6.2.1 If for a structure different types of foundation or foundations built on ground exhibiting greatly differing pro-
perties are selected, consideration must be given to the possible differences in behaviour of the individual
foundations. For this purpose limit state considerations with a variation of the stiffness and resistance para-
meters of the individual foundations shall be employed.
7.6.2.2 In the case of structures with isolated foundations, it must be ensured either by means of constructional
measures or appropriate dimensioning that as a result of dynamic effects no inadmissible relative displa-
cements occur between the individual foundations. If necessary, the foundations shall be connected by a tie
beam adequately dimensioned for seismic forces.
7.6.2.3 The soil resistance acting on the sides of the foundation may only be considered for a reduction of the hori-
zontal forces if backfilling has been carried out with suitable and adequately compacted material. The pas-
sive earth pressure shall be determined by considering the seismic forces acting on the potential failure
wedge according to Section 7.5.2.
7.6.2.4 Resisting horizontal seismic forces by means of inclined piles is in general quite problematic. However, if
inclined piles are used, then in addition to the seismic loads the influence of soil settlement due to seismic
action has to be considered as well as the compatibility of the deformations of the soil, the piles and the
structure.
7.6.3 Retaining structures
7.6.3.1 Backfilling behind retaining structures shall be carried out with suitable and properly compacted material in
order to provide sufficient support of the existing ground.
7.6.3.2 The anchoring of retaining structures must be avoided in soils which under seismic action are potentially
liquefiable or prone to substantial loss of shear strength. The free anchor length shall be chosen such that
there is no overloading of the anchor.

8 SPREAD FOUNDATIONS
8.1 Limitations
The requirements of Section 8 apply to the dimensioning of pad, strip and raft foundations.
In the selection of the depth of embedment of a spread foundation the following points shall be considered
with respect to execution and use states:
– reaching an adequate load-bearing layer
– depth of frost penetration
– groundwater conditions, especially the range of fluctuation of the water table
– ground movements
– loss of strength of load bearing soil layers due to water, climatic effects and construction influences
– swelling or shrinkage of cohesive soils
– excavation for the construction of nearby foundations
– influence of neighbouring structures and planned structures
– maintenance work on the structure and on neighbouring structures, plant and equipment
– erosion and scouring effects
– presence of soluble soils, e.g. limestone, claystone, gypsum, etc.
8.3 Ground
8.3.1 The properties of the ground must be known to an adequate depth, in order to be able to estimate reliably
the behaviour of the foundation with respect to bearing resistance, settlement and displacement.
8.3.2 The loading history as well as previous and planned use of the ground shall be considered.
8.3.3 In the case of foundations on rock the following shall be taken into account:
– deformability and strength of rock
– presence of soft layers, cavities, faulting, etc.
– presence of discontinuities
– presence of slip surfaces
– zones of weathered rock
– brittleness of rock
– disturbance of the natural rock due to the construction activities.
8.3.4 Particular attention shall be paid to the behaviour of soil types like organic soils or sensitive clays, for which
pore water pressures, long-term settlements and creep movements can occur due to the foundation loads
and surcharge fill material.
8.4.1 Geotechnical parameters
8.4.1.1 The characteristic value δk of the angle of base friction may in general be assumed as follows:
– for a rough foundation base and failure in the soil:
δk = ϕ' k (26)

– for a smooth foundation base and failure at the interface, depending on the evenness and texture of the
base:
δk = 1/2 ϕ' k to 2/3 ϕ' k (27)
The angle of base friction δk however shall not exceed 35°.
8.4.1.2 The effective cohesion c ‘ shall not be considered when determining the sliding resistance at the base of the
foundation, unless one is certain that the cohesion is not lost under all possible actions.
8.4.2 Actions
In determining the foundation loads, if there is a strong interaction between the structure and the ground,
the stiffness of the superstructure, i.e. its ability to distribute load, shall be considered.
8.4.3 Lateral soil resistance
8.4.3.1 In the verification of the resistance to sliding, the soil resistance on the side of the foundation shall be con-
sidered according to Figure 4.
8.4.3.2 In the verification of the bearing capacity, according to Figure 4 the soil resistance acting above the base of
the foundation shall be considered to act favourably, provided it has not already been taken into account in
the bearing resistance.
8.4.3.3 If a lateral soil resistance is included, the following points must be checked and if necessary taken into
account:
– compatibility with the displacement of the foundation for the limit state under consideration
– modification or loss of soil resistance, e.g. due to artificial or natural changes in the ground surface, sur-
face movements, instabilities at the ground surface or due to loss of shear strength of the soil.
8.4.3.4 The characteristic value of the lateral soil resistance RE,k shall be determined according to Section 4.4.2.
8.4.4 Structural and analytical models
8.4.4.1 In the case of stratified soil, it is possible to employ a simplified homogeneous geotechnical model as a
basis for the ultimate load calculation, provided that for the decisive values of the geotechnical properties
a weighted prudent expectancy value representative of all those layers influenced by the failure mechanism
is assumed.
8.4.4.2 In the calculation of the ultimate load, for the selection of the geotechnical parameters and the failure
mechanisms special ground conditions, e.g. existing slip surfaces, must be considered.
8.4.4.3 The position and influence of neighbouring foundations and foundation loads shall be considered in the
structural analysis:
– for the ultimate limit state, through the influence on the resistance or by increasing the possibility of over-
all failure
– for the serviceability limit state, through the influence on settlements.
8.4.4.4 In calculating the bearing capacity and sliding resistance the following shall be considered:
– representative geotechnical values for the single or multi-layered model
– uplift and seepage forces of the groundwater
– load eccentricity and load inclination of the resultant foundation load
– depth of embedment and shape of the foundation
– slope of ground surface.
8.4.4.5 In the case of stiff and thick foundations the soil bearing pressure may be distributed uniformly or for non-
centric loading trapezoidally. For all other foundations the stiffness of the superstructure, of the raft foun-
dation and of the ground shall be considered in determining the soil bearing pressure.

8.5 Dimensioning
8.5.1 General
8.5.1.1 Ifthey are decisive, the following limit states of structural safety shall be considered:
– overturning, as an equilibrium limit state (LS type 1)
– reaching the internal ultimate resistance of the foundation (LS type 2)
– bearing capacity failure and sliding on reaching the ultimate resistance of the soil (LS type 2)
– instability of the ground due to full mobilisation of the shear strength of the soil or of the lateral soil resis-
tance (LS type 3)
– reaching the ultimate resistance of the structure, caused by settlements of the foundation or excessive
ground movements (LS type 2).
8.5.1.2 From the geotechnical point of view, in particular the following limit states of serviceability shall be consi-
dered:
– uniform and differential settlements, displacements or tilting
– vibrations induced by resonance effects.
8.5.1.3 In the investigation of the limit states all the critical dimensioning situations shall be considered, especially
the increase of pore water pressure due to sudden or dynamic loading, and fatigue resistance under cyclic
loading.
8.5.1.4 To guarantee structural safety it shall be verified that by assuming extreme but plausible geotechnical
models no uniform or non-uniform settlements, displacements or tilting occur, which even without failure of
the soil can lead to a failure of the structure.
8.5.1.5 In the case of fine-grained soils in which the increase of pore water pressure can influence the shear
strength, in the verification of bearing capacity and sliding failure the short-term behaviour shall also be con-
sidered.
8.5.1.6 For the investigation of the short-term behaviour in the case of fine-grained soils the undrained shear
strength c u shall be considered, whereas for the investigation of the long-term behaviour the drained shear
strength with c ‘ and ϕ‘ shall be considered. A cohesion c ’ in combination with ϕ‘ may only be considered
for an action of long duration.
8.5.1.7 To guarantee serviceability it shall be verified that with a conservative choice of representative geotechni-
cal models and taking into account the variation in soil stiffness, no uniform or differential settlements,
displacements or tilting occur, which could lead to inadmissible structural displacements and deformations.
8.5.1.8 If an action F produces both a foundation load E (action effect) and a soil resistance R, the action effect
and the soil resistance shall be determined with the same dimensioning value Fd of the action.

Figure 4: Structural safety of spread foundation
section action effect E
eb sliding bearing failure
E EN ε ε
E E'
ε EN EN
RE FR E
ET
ET RE
RT
ε
RN
plan view
bearing area
2ea actual A = ab
effective A' = a' b'
a verification of structural safety

ea
ea,gr a'
sliding ET RT + RE
bearing failure EN RN
overturning ea ea,gr
eb eb,gr
eb
eb,gr
2eb b'
b
8.5.2 Dimensioning values
8.5.2.1 For the bearing and sliding resistance Rd :

1
Rd = R { FR,d, Xd , ad } (28)
γR
The partial factor is generally taken as:
γR = 1.0 to 1.2 (29)
If well-proven reliable calculation methods are employed, in the determination of the ultimate resistance the
value γR = 1.0 may be assumed.
8.5.2.2 For the sliding resistance RT,d:

1
For drained soils: RT,d = (EN,d tan δd + A 'd c ’d ) (30)
γR
1
For undrained soils: RT,d = A c (31)
γR d u,d

The dimensioning value δd shall be determined with the partial factor γϕ given in Table 1, taking into account
the requirements of Section 8.4.1.1. Section 8.4.1.2 applies in regard to the use of the cohesion c ' in (30).
8.5.2.3 For the soil resistance RE,d acting on the front face of the foundation or on a foundation key the following
relation holds:
1
RE,d = R (32)
γM E,k
The value of the resistance factor is generally taken as:
γM = 1.4 (33)
8.5.3.1 The verification of internal structural safety of the foundation itself shall be carried out according to SIA 262
to SIA 265.
8.5.3.2 In the case of large foundations and raft foundations the stiffness of the structure shall be considered in the
determination of the soil bearing pressure (action effect).
8.5.3.3 Failure of the structure and its foundation due to failure at the ground surface (LS type 3) shall be given spe-
cial consideration in the following cases:
– for a sloping ground surface
– in the vicinity of slopes
– in the vicinity of excavations and retaining walls
– in the vicinity of rivers, canals, reservoirs and the shores of lakes
– in the vicinity of mines and underground structures
– in ground of low bearing capacity
– if active or inactive slip surfaces are present.
Failure of the ground due to instability shall be excluded by means of an adequate safety level. The verifi-
cation shall be carried out according to Section 14.
8.5.3.4 Safety with respect to sliding is considered to be verified, if for LS type 2 the following dimensioning crite-
rion is satisfied:
ET,d ≤ RT,d + RE,d (34)
8.5.3.5 Safety with respect to bearing capacity is considered to be verified, if for LS type 2 the following dimension-
ing criterion is satisfied:
EN,d ≤ RN,d (35)
8.5.3.6 Safety with respect to overturning is considered to be verified, if for LS type 1 the eccentricity of the resul-
tant foundation load according to Figure 4 does not exceed twice the kern width (lift off at most to the axis
of the foundation):
ed ≤ egr (36)
The value of egr for rectangular foundations of dimensions a and b is:
egr = 1/3 a or 1/3 b (37)
The value of egr for circular foundations of diameter r is:
egr = 0.59 r (38)
8.5.3.7 The resultant force EN,d in (30) and (35) consists of the components acting normal to the base of the foun-
dation:
– foundation load due to the superstructure
– self-weight of foundation and backfill
– earth pressure
– water pressure and seepage forces
– uplift for foundations situated within the groundwater.

8.5.4.1 The specified admissible settlement and displacement values shall correspond to the given structure, the
use of the structure and the geotechnical properties of the ground. The movements of the structure allo-
wed by the type of construction and the resulting interaction between the structure and the ground shall be
considered.
8.5.4.2 In estimating the settlements, displacements and tilting, all deformation-inducing influences on settlements
shall be considered, in particular:
– disturbances to the ground at the depth of the foundation
– heave due to unloading
– influence of neighbouring foundations
– placing of fill and backfill material
– groundwater lowering
– additional loads due to changes of use
– influence of dynamic forces and cyclic vibrations
– swelling and shrinkage of soil.
8.5.4.3 The determination of settlements, displacements and tilting must be considered both for immediate and
delayed ground deformations.
8.5.4.4 In the determination of non-uniform or differential settlements the following shall be considered:
– load variations and load eccentricities
– the stiffness of the ground and its variation
– previous load history, pre-loading and heterogeneity of the ground
– reliability of the determination of settlements
– obstacles in the ground, e.g. old foundations or piles.
8.5.4.5 Generally, settlement calculations may be carried out using simple calculation methods. In special cases
and if critical values are reached the load bearing behaviour of the structure with respect to stiffness and
load distribution shall be considered in the structural analysis.
8.5.4.6 In the case of thick foundations a linear distribution of soil bearing pressure may be assumed in the settle-
ment calculation.
8.5.4.7 In the absence of a specific verification, generally in the serviceability limit state the eccentricity of the re-
sulting foundation load shall not lie outside the kern width of the base of the foundation (limits the possibi-
lity of overturning).
8.6.1 General
The safety with respect to frost action (heave, loss of shear strength) shall be guaranteed by means of a
sufficient depth of embedment or suitable constructional measures, e.g. a ground beam preventing heave
due to frost, soil replacement, drainage, etc. To determine the depth of frost penetration see SIA 267/1.
8.6.2 Execution
8.6.2.1 In levelling the ground for spread foundations any disturbances due to the construction work shall be avoi-
ded as far as possible. The sub-grade and the blinding layer shall be checked for the specified project requi-
rements.
8.6.2.2 The ground shall be strengthened and protected against erosion and loss of strength due to flowing water,
against loosening due to climatic effects, e.g. precipitation or frost, as well as against disturbances due to
construction activities or due to external influences.

9 PILE FOUNDATIONS
9.1 Limitations
9.1.1 The requirements of Section 9 apply to the dimensioning of piles that transmit loads and forces from the
superstructure to the ground.
These requirements also apply in a general sense to the dimensioning of piles that form part of slope sta-
bilisation works, retaining structures and excavation supports.
9.1.2 Special piles, such as prefabricated screw piles, jet-grouted columns, stone columns, etc. are not conside-
red to be piles as treated in this code.
Figure 5: Explanation of terms for pile foundations
level of start of boring
empty bore
head of pile
axis of pile
pile shaft
pile circumference
borehole
depth
pile diameter
pile length
rock
depth of embed-
ment in rock
base of pile
borehole diameter
in rock
9.2 Basic principles Lizenz 905.100: Basler & Hofmann Ingenieure und Planer AG, Zürich
9.2.1 General
9.2.1.1 SIA 262 to SIA 265 apply for the determination of the internal ultimate resistance of piles.
9.2.1.2 In the conceptual design phase the effects of piles and pile installation work on structures, pipes, equipment
and plant as well as on the ground and the ground surface in the vicinity shall be investigated, especially
with respect to:
– settlements due to the removal and compaction of soil
– failure in pile boreholes
– heave due to ground displacement caused by driven piles (displacement piles)
– damage to neighbouring structures or parts of structures during installation of the piles
– disturbances and/or damage caused by noise and vibrations
– negative influence on groundwater and/or surface waters.
9.2.1.3 Pile foundations shall be designed, as far as possible, such that the failure of an individual pile does not
lead to the progressive failure of other piles or cause failure of the structure.

9.2.1.4 Within the design framework the property rights of neighbouring landowners have to be regulated by a legal
contract, in particular:
– agreement concerning the piles that extend into neighbouring properties
– record of easement in land register.
9.2.1.5 If necessary, the following points shall be clarified:

– information on absolute dependencies, execution phases, interruptions, etc. in the documents for the
invitation to tender and in the construction programme
– conditions imposed for setting up the site.
9.2.2 Design
9.2.2.1 As a basis for the piling concept, if necessary, the following points have to be fixed:
– admissible deformations of the structure
– admissible absolute and differential settlements of the pile foundation
– admissible horizontal displacements
– short-term and long-term actions on the piles during the planned working life
– minimum pile spacing
– minimum (possibly also maximum) length of the piles.
9.2.2.2 Planned or expected future fill placement, excavations or changes in the groundwater conditions shall be
considered in the structural analysis and dimensioning.
9.2.2.3 In the choice of the type of pile, the material of which the pile is made and the method of installation, in
particular the following shall be considered:
– local ground conditions and available working space
– suitability of the ground for the use of pile installation machines
– existing or expected obstacles in the ground
– effects that could occur during pile installation work
– possible ways of ensuring and checking pile integrity
– influence of the type and sequence of pile installation on piles already installed
– important tolerances
– effects on the piles of chemical substances in the ground
– transport and assembly of the piles
– effects on neighbouring structures, equipment and plant.
9.2.2.4 The dimensioning of pile foundations may be based on the following methods:
– static load tests
– dynamic pile tests (high strain tests), whose reliability under comparable conditions has been adequately
demonstrated
– dynamic load tests to determine the fatigue resistance
– empirical or analytical calculation methods, whose reliability under comparable conditions has been ade-
quately demonstrated
– observed behaviour of pile foundations for conditions of ground and structure similar to those in the
design project.
9.3 Ground
9.3.1 In addition to Section 3.2 the following points need to be clarified in the case of pile foundations:
– structure of the ground and geotechnical properties of the individual soil and rock layers to an adequate
depth
– joints, cavities and discontinuities in the rock
– hydrogeological conditions, in particular with respect to artesian pressures and groundwater flow
– geotechnical properties governing the feasibility of installing piles to the required depth
– geotechnical properties and groundwater conditions which could impair the stability of slurry-supported
boreholes or the durability of grout and wet concrete
– obstacles to driving or drilling operations
– plasticity of the soil leading to necking (i.e. local reduction of diameter) of wet concrete columns

– sensitivity of ground with respect to vibrations, especially during pile driving
– substances in the ground or the groundwater which could impair the durability of the structural elements
and materials employed
– stray electrical currents that could lead to corrosion.
9.3.2 In the case of end bearing piles, it must be checked that there is no soft ground immediately below a layer
classified as having adequate bearing capacity.
9.3.3 In saturated fine-grained soils pile driving causes an increase in pore water pressures, which can greatly
influence both the penetration and the bearing capacity.
9.4.1 General
In the structural analysis in general the following points have to be considered:

– different settlement and displacement behaviour of an individual pile and the pile group
– different bearing capacity of an individual pile and the pile group
– stiffness and strength of the parts of the structural element (e.g. pile cap) connecting the piles
– stiffness of the superstructure affecting its ability to distribute and redistribute the loads.
9.4.2 Characteristic geotechnical parameters
9.4.2.1 In the determination of the characteristic value of the skin friction, the dependence of the actual lateral pres-
sure and of the skin friction angle on the method of pile installation, pile type, pile material, the ground and
loading of the ground shall be considered.
9.4.2.2 In the determination of the end resistance of the pile, the effect of the method of pile installation on loosen-
ing, densification or modification of the soil shall be considered.
9.4.3 Characteristic actions
9.4.3.1 Actions on piles such as negative skin friction (downdrag) or lateral pile loading resulting from constructio-
nal activities, fill placement, uplift, additional loads, consolidation settlements, ground movements, etc., shall
be considered.
9.4.3.2 Unfavourable actions of the ground acting on the pile or the pile group shall be taken into account with the
upper and favourable actions with the lower characteristic values.
9.4.4 Characteristic values of ultimate resistances
9.4.4.1 External ultimate axial resistance
9.4.4.1.1 The external ultimate axial resistance Ra of a single pile consists of an end point resistance at the base of
the pile and a skin friction resistance along the pile shaft:
Ra = Rb + Rs (39)
If possible, the ultimate resistances of the base of the pile Rb and of shaft friction Rs shall be determined
separately and the total resistance Ra is obtained from the sum of the two components of resistance.
9.4.4.1.2 The external ultimate axial resistance Ra of a single pile is usually determined on the basis of the results of
static pile load tests, which are either carried out at the site itself or in ground with comparable properties.
9.4.4.1.3 The external ultimate axial resistance Ra of a single pile corresponds to the failure load or, if the latter is not
reached, to a force which causes a settlement of one tenth of the pile diameter.

The failure load of a pile is defined as that force for which the displacement of the pile in a force-displace-
ment diagram begins to increase rapidly or the amount of creep in a time-displacement diagram reaches
the value k = 2 mm.
If the limit values are not reached with the maximum test load, the ultimate resistance Ra corresponds in
general to the last force applied in the test.
9.4.4.1.4 The external ultimate axial resistance Ra may be based on empirical or on analytical calculation methods.
Possible methods are:
– pile driving formulas
– values based on comparable experience with pile foundations with similar soil and structural conditions
– dynamic pile tests
– calculation of the ultimate resistance using the results of soil investigations, in situ tests and/or labora-
tory tests.
The reliability of the chosen method must be verified by comparable experience. Otherwise, the calculated
ultimate resistance must be corrected to be on the safe side.
9.4.4.1.5 The characteristic value Ra,k of the external ultimate axial resistance is normally equal to the lowest value
Ra determined from pile load tests or according to Section 9.4.4.1.4. If analytical calculation methods are
used the characteristic value Ra,k is determined directly.
9.4.4.2 External ultimate resistance normal to the axis of the pile
9.4.4.2.1 The external ultimate resistance Rt r normal to the axis of the pile is determined on the basis of load tests,
comparable experience or analytically. The characteristic value Rt r,k corresponds to the lowest value obtained
from pile load tests.
9.4.4.2.2 The characteristic value of the external ultimate resistance Rt r,k normal to the axis of the pile can be deter-
mined analytically from the lateral soil resistance RE,k and the internal ultimate resistance of the pile Ri,k.
The lateral soil resistance shall be determined according to Section 4.4.2, whereby three dimensional failure
mechanisms may be considered.
9.4.4.2.3 In the determination of the external ultimate resistance normal to the axis of a single pile or of a pile group,
in particular the following questions have to be considered:
– the compatibility of the soil resistance and the displacement of the pile
– the degree of rotational freedom at the head of the pile
– the fixity of the base of the pile in the ground.
9.4.4.2.4 The compatibility of the ultimate resistance normal to the axis of the pile determined according to Section
9.4.4.2.2 shall be checked against the admissible displacement of the structure at the ultimate limit state.
9.4.4.3 Combined pile-raft foundations
9.4.4.3.1 Combined pile-raft foundations are characterised by the fact that the foundation loads are transmitted to the
ground through both the raft foundation and the piles.
9.4.4.3.2 In the determination of the load transmission and settlement behaviour the interaction between the piles and
the raft foundation shall be considered.
9.4.4.3.3 As an approximation, the load-settlement behaviour of the pile-raft foundation can be determined according
to Figure 6 considering separately the compatibility of the load-settlement behaviour of the pile foundation
alone and the raft foundation alone, whereby the amount of settlement thus determined shall be corrected
for the increase in settlement due to the mutual influence on settlement of the pile and raft foundations.

Figure 6: Settlement behaviour of the combined pile-raft foundation
raft foundation alone pile foundation alone load-settlement diagram
FF = F FP = F F
FF FP
s0F s0P
sFP
sFP s
sPF
s0P
sPF s0P
s0F
condition s F = sP s0F settlement ot the raft foundation alone

under the load F
χ s0F + (1 – χ) sFP = (1 – χ) s0P + χ sPF
s0P settlement ot the pile foundation alone
F under the load F
χ= F
F sFP settlement ot the raft foundation alone
under the fictitious load FP = F
F total load
sPF settlement ot the pile foundation alone
FF load carried by raft foundation under the fictitious load FF = F
FP load carried by pile foundation
9.4.4.4 Special cases
9.4.4.4.1 In the case of friction piles with a small spacing between the pile axes, in the determination of the ultimate
load of the single pile the group action shall be taken into account.
9.4.4.4.2 In the case of cyclic loading, especially with friction piles, the reduction in the bearing capacity due to a dete-
rioration in the soil properties shall be taken into account.
9.5 Dimensioning
9.5.1 General
9.5.1.1 The following limit states of structural safety, if governing, shall be investigated:
– reaching the internal ultimate resistance of a single pile
– reaching the external ultimate resistance of a single pile and pile group
– reaching the ultimate resistance of the complete pile foundation (Section 5.4.3.6)
– reaching the ultimate resistance of the structure due to excessive pile settlements or displacements
– heave of the ground enclosed by the piles in the case of tension piles
– buckling of slender piles without or with inadequate soil embedment.
9.5.1.2 From the geotechnical point of view the following limit states of serviceability, if governing, shall be investi-
gated:
– reaching admissible serviceability limit states with respect to uniform and non-uniform settlements,
heave, displacements and tilting
– reaching the admissible pile capacity with respect to cracking, allowable stresses, etc.

9.5.2.1 Ultimate resistance in general
In the determination of the internal ultimate and external resistances Ra,d and Ri,d, respectively, it is assu-
med that the pile is constructed according to proper professional standards. A reduction of the bearing
capacity of the pile due to poor execution is not covered by the resistance factor γM,a or the conversion fac-
tor ηi given in Sections 9.5.2.2.4 and 9.5.2.4.3.
9.5.2.2 External ultimate axial resistance
9.5.2.2.1 The dimensioning value Ra,d of the external ultimate resistance of a pile is given by:
ηa Ra,k
Ra,d = γM,a (40)
Ra,k characteristic value of the external ultimate resistance of a pile
9.5.2.2.2 By means of the conversion factor ηa the uncertainties in using the ultimate resistance Ra,k determined by
tests, analysis or empirically are covered.
9.5.2.2.3 The resistance factor γM,a for the ultimate resistance takes into account the following:
– deviations of the properties of the ground within the relevant zone of soil from the assumed characteris-
tic values
– small strength losses due to the execution process
– inaccuracies inherent in the method of execution
– imprecision in the resistance model.
9.5.2.2.4 For the determination of the dimensioning values Ra,d of the external ultimate axial resistance, the following
resistance factors γM,a apply:
– for compression piles: γM,a = 1.3 (41)
– for tension piles: γM,a = 1.6 (42)
9.5.2.2.5 Depending on the way in which the characteristic value Ra,k of the external ultimate axial resistance is deter-
mined, the following conversion factors ηa apply:
– for static pile load tests: ηa ≤ 1.0 (43)
– for values based on comparable experience: ηa ≤ 0.9 (44)
– for the calculation of the ultimate resistance: ηa ≤ 0.7 (45)
For the conversion factor ηa the given limit value may be assumed, provided Ra,k is very reliable; otherwise,
9.5.2.2.6
the value shall be reduced accordingly, down to a minimum value of ηa, min = 0.5.
9.5.2.3 External ultimate resistance normal to the axis of the pile
9.5.2.3.1 For the dimensioning value Rt r,d of the external ultimate resistance normal to the axis of the pile, usually the
following resistance value applies:
γM,a = 1.4 (46)
9.5.2.3.2 For the conversion factor ηa Sections 9.5.2.2.5 and 9.5.2.2.6 apply.
9.5.2.4 Internal ultimate resistance
9.5.2.4.1 The dimensioning value Ri,d of the internal ultimate resistance of a pile is:
R i,d = ηi Rmat,d (47)
Rmat,d dimensioning value of the internal ultimate resistance for the pile construction material alone
9.5.2.4.2 The value Rmat,d shall be determined for the different construction materials according to the provisions and
with the strength values of the corresponding codes SIA 262 to 265.
9.5.2.4.3 The reduction in bearing capacity due to the execution process itself is taken into account with the conver-
sion factor ηi . In general the value is:
ηi = 0.80 (48)

9.5.2.4.4 The internal ultimate resistance Rmat,d shall be determined with the minimum values of pile and reinforce-
ment cross section in the section under consideration.
In the case of prefabricated concrete and steel piles, the provisions of SIA 262 and 263 shall be complied
with, while for composite piles the provisions of SIA 264 and for wooden piles of SIA 265 apply.
With cased bored concrete piles the minimum pile cross section shall be taken as the external diameter of
the casing and with uncased bored piles as the nominal diameter produced by the drilling tool.
9.5.2.4.5 In the case of micropiles, e.g. of grouted driven piles or small diameter bored piles, to calculate the inter-
nal ultimate resistance Rmat,d, generally only the area of steel reinforcement and the concrete cross section
enclosed by the steel are considered.
9.5.2.4.6 In the case of piles with a reliable check of the integrity of the whole pile or with direct checking of the mate-
rial of the pile, the conversion factor may be increased up to a maximum of ηi = 0.9.
9.5.2.4.7 In the case of coupled piles or of piles with a pile cap, the conversion factor ηi is modified for any reduction
in force transmission. The requirements of Section 9.6.1.3 shall be taken into consideration.
9.5.3.1 General
The verification of structural safety is considered to be fulfilled, if for LS type 2 the following dimensioning
criterion is fulfilled:
Ed ≤ Rd (49)
9.5.3.2 External structural safety of the pile
9.5.3.2.1 If the pile foundation and the stiffness of the structure permit an adequate force redistribution, the influence
of an individual pile of the pile foundation may be determined according to Section 5.4.3.5 with the load fac-
tors γF for LS type 3. The pile foundation as a whole however must be able to resist the loads and forces
according to LS type 2.
9.5.3.2.2 In the verification of structural safety of piles loaded normal to their axis, in addition to the lateral loading
the compressive and tensile forces shall be considered.
9.5.3.3 Safety with respect to excessive heave of the ground
9.5.3.3.1 The safety of a pile foundation shall be verified with respect to failure in the form of excessive heave of the
piled body of ground. The requirements of Section 13 shall be considered in the case of uplift.
9.5.3.4 Internal structural safety of the pile
9.5.3.4.1 The verification must consider all dimensioning situations, especially fabrication, transport, installation and
use.
9.5.3.4.2 Piles loaded in tension must be dimensioned such that they can resist the full tensile force over the whole
length of the pile.
9.5.3.4.3 In cases in which the effect on the pile is not proportional to the action, i.e. with second order effects, spe-
cial considerations are necessary.
9.5.3.5 Verification of safety with respect to fatigue
9.5.3.5.1 It is necessary to verify the safety against fatigue failure in the case of pile foundations that are often sub-
jected to repeated loading.
9.5.3.5.2 In the verification of safety with respect to fatigue it shall be taken into account that cyclic loading can reduce
the soil resistance, especially the skin friction resistance, even to the point of failure.
9.5.3.5.3 With regard to fatigue resistance of the materials of the pile the provisions of SIA 262 to 265 apply.

9.5.4.1 For pile foundations it shall be verified that the pile loads can be resisted by the ground with settlements and
displacements compatible with the service situation of the structure.
9.5.4.2 The admissible values of settlement and displacement shall be fixed to correspond with the structure, the
use of the structure and the ground properties.
9.5.4.3 In the case of pile groups it shall be taken into account, that in comparison to a single pile carrying the same
load larger settlements and displacements occur.
9.5.4.4 Settlements, displacements and twisting of piles or structures founded on piles can be determined accor-
ding to Section 5.7 or estimated approximately on the basis of analytical calculations. The imprecision inhe-
rent in the method used shall be taken into account in the results.
9.5.4.5 The lateral displacement of the pile can be determined using the modulus of subgrade reaction method,
whereby the modulus of subgrade reaction in the elastic zone of the ground is given approximately by:
Es,k
k s,k = (50)
D
The compatibility of the subgrade reaction and the ultimate resistance of the ground shall be verified for the
depth of the horizontal force transmission of the pile or the pile group. Near to the ground surface the modu-
lus of subgrade reaction shall be reduced corresponding to the reduced values of the structural resistance
and the stiffness of the ground.
9.5.4.6 The serviceability with respect to cracking, admissible stresses, etc. shall be verified according to SIA 262
to 265.
9.6.1 General
9.6.1.1 Construction materials
9.6.1.1.1 The construction materials used for piles, if not otherwise specified in the following, shall fulfil the require-
ments and checks given in SIA 262 to 265.
9.6.1.1.2 For piles founded in an aggressive medium special protective measures are necessary that must be adap-
ted to the particular material used for the piles.
9.6.1.1.3 In regard to quality requirements for the construction materials and products, the provisions of SIA 267/1
9.6.1.2 Connection between the pile and other structural elements
9.6.1.2.1 The transition from the pile shaft to other structural elements shall be designed such that the actions impo-
sed by the structure can be permanently transmitted to the piles. The construction states and the toleran-
ces for the position of the pile heads shall be taken into account.
9.6.1.2.2 In the case of small bored piles, to facilitate the force transmission generally pile caps or other suitable mea-
sures shall be employed.
9.6.1.2.3 The zone of force transmission, i.e. the pile head construction, is usually dimensioned for the maximum
internal ultimate resistance of the pile (Fd = 1.2 Ri,k).
9.6.1.3 Connection between segments of pile
9.6.1.3.1 The connections between the segments of prefabricated piles (driven piles, jacked piles, micropiles) that
are installed piecewise shall be designed in such a way that they resist all actions in the construction and
service states, ensure load transmission without damage and permanently prevent lateral movement at the
joint surfaces. The internal ultimate resistance of the joints must be greater than that of the pile segments.
With regard to corrosion protection Section 9.6.1.5 applies.

9.6.1.4 Slenderness ratio of driven piles
The slenderness ratio shall be selected such that through installation (e.g. driving) or during service (e.g.
lateral earth or creep pressure) inadmissible deformations of the pile shaft do not occur.
9.6.1.5 Protection against corrosion
9.6.1.5.1 For steel piles suitable measures to prevent corrosion shall always be adopted.
9.6.1.5.2 For steel tension piles and for concrete tension piles with composite steel elements, permanent corrosion-
prevention measures are essential.
9.6.1.5.3 For piles in a medium with low aggressiveness which are primarily loaded in compression, it is possible to
dispense with a special corrosion protection provided that the piles are adapted to the conditions and dimen-
sioned with a corresponding safety margin.
9.6.1.5.4 For reinforced concrete piles subjected to tension or bending the problem of cracking requires attention. The
verifications according to SIA 262 have to consider the pile installation conditions.
9.6.1.5.5 For micropiles and small bored piles subjected to tension, with regard to corrosion protection the require-
ments for untensioned anchors given in Section 11.6.3 apply.
9.6.1.6 Protection against chemical actions
For concrete piles endangered by chemically aggressive media suitable measures must be employed con-
sistent with SIA 262, e.g. the use of special cements or an increase of concrete cover for the reinforcement.
9.6.2 Prefabricated concrete piles
9.6.2.1 Pile concrete
SIA 262 and 262/1 apply for the demands placed on the concrete used in piles.
9.6.2.2 Reinforcement
9.6.2.2.1 In the absence of more stringent requirements, the longitudinal reinforcement content of reinforced piles
must be at least ρ = 0.8% of the full pile section and must consist of at least 4 bars of 12 mm diameter. The
spacing between the stirrups (binders) should not exceed 0.15 m. At the pile head and the pile base or at
the ends of individual pile segments a smaller spacing between the stirrups is necessary.
9.6.2.2.2 Prefabricated concrete piles shall be reinforced axially or rotationally symmetric over the whole length. In the
case of coupled pile segments the information given in Section 9.6.1.3 shall be taken into consideration.
9.6.2.2.3 In the case of prefabricated concrete piles, especially when driving in soft ground conditions, the reinforce-
ment of the pile and the pile joints shall be dimensioned to resist the tensile stresses occurring during dri-
ving.
9.6.2.2.4 For prestressed piles a minimum normal reinforcement of ρ = 0.3% is necessary.
9.6.2.2.5 The concrete cover for the reinforcement must fulfil the provisions of SIA 262.
9.6.2.3.1 The pile head shall be designed such that it is not damaged during driving. The required ductility must be
ensured by means of suitable reinforcement.
9.6.2.3.2 In the case of driven concrete piles the compressive strength at the time of driving must be a minimum of
35 N/mm2.
9.6.2.3.3 In the selection of driven concrete piles it must be considered that piles of conical cross section usually pos-
sess a higher external bearing capacity in comparison to cylindrical piles.
9.6.2.3.4 In the case of hollow piles, the possibility of checking pile integrity and of providing any necessary increase
of the internal structural safety of the pile shall normally be made use of.

9.6.3 Cast-in-situ concrete piles
9.6.3.1 Pile concrete
9.6.3.1.1 In the case of cast-in-situ concrete piles the poured concrete must exhibit a consistency, which ensures that
the borehole is completely filled, if necessary under water, without segregation or collapse of the borehole.
9.6.3.1.2 For the demands placed on the concrete used for piles SIA 262 and 262/1 apply.
9.6.3.1.3 When placing concrete under water or using slurry support, the cement content for dry concrete placement
determined according to SIA 262 should be increased by 50 kg/m3.
9.6.3.2 Reinforcement
9.6.3.2.1 Uncased piles shall normally be reinforced over their whole length.
9.6.3.2.2 For cased piles reinforcement can be dispensed with if the pile is not subject to bending or shear either in
the construction or the service states. To resist unforeseen loads and forces in unreinforced piles reinfor-
cement of the pile head is recommended.
Pile head reinforcement must extend at least 4 m below the level of the excavation, if the pile heads are
exposed when removing the top layer of soil by machine.
9.6.3.2.3 The longitudinal reinforcement for the piles should be at least ρ = 0.5% for a pile cross section ≤ 0.5 m2 and
at least ρ = 0.25% for a pile cross section ≥ 1.0 m2. The reinforcement should consist of at least 6 bars of
12 mm diameter uniformly distributed around the circumference.
The spacing between the bars may not be less than three times the diameter of the largest grain in the con-
crete or 0.10 m, respectively.
9.6.3.2.4 The transverse reinforcement (binders or helical reinforcement) must conform to SIA 262. The spacing
should not in general exceed 0.40 m. In the region of the pile head, the spacing should be between 0.10 m
and 0.15 m.
9.6.3.2.5 In the case of piles subjected to fatigue actions, the reduction of fatigue strength of the reinforcement due
to the welding together of the reinforcement cage must be taken into consideration.
9.6.3.2.6 The concrete cover for the reinforcement must correspond to the provisions of SIA 262 and, if not otherwise
agreed upon, may not be less than:
– 60 mm for cased bored piles
– 75 mm for uncased bored piles or when concreting under water.
9.6.3.3.1 In the case of piles with a pile cap or with an enlarged base the unfavourable influence on the skin friction
resistance of the pile shall be taken into account.
9.6.3.3.2 In the selection of longitudinal or transverse reinforcement the stability of the reinforcement cage during
transport and installation shall be considered. It must be possible to transport, lift and install the cages
without any permanent deformation. Maintaining the correct position of the cages during concreting and the
withdrawal of the casing must be ensured.
9.6.3.3.3 After concreting, concrete has to be broken out of the pile heads to a sufficient depth. During this work it
must be ensured that the complete pile cross section exhibits the required concrete quality.
9.6.4 Wooden piles
9.6.4.1 For wooden piles the following types of wood are suitable: pine, spruce, fir, larch.
9.6.4.2 The diameter of the bottom of the pile must be at least 0.20 m.
The deviation of the effective pile axis from the straight line may not be more than 1/300 of the total length.
9.6.4.3 Due to the risk of rotting, timber piles without a durable extension piece (e.g. concrete) are only permitted
for permanent structures where they are either completely above the groundwater or with certainty perma-
nently submerged.

In general, the durable extension pieces must extend to at least 1 m below the lowest level of the water
table.
9.6.5 Grouted piles
9.6.5.1 In the case of grouted piles, it must be ensured that the structural element is completely surrounded by
grout material, without any gaps or cavities.
9.6.5.2 The grout has to be adapted to the ground conditions and must have a minimum dosage of 450 kg/m3 of
CEM I or of an equivalent cementing material. With regard to the requirements and testing of the cement
grout, the provisions of SIA 262/1 shall be complied with.
9.6.5.3 The bearing capacity of the pile can usually be increased by subsequent grouting.
9.6.5.4 The grouting of the mantle of steel piles is usually inadequate to provide corrosion protection.
9.7 Execution checks and monitoring
9.7.1 Verification of bearing capacity
9.7.1.1 General
9.7.1.1.1 Pile loading tests shall especially be carried out in the following cases:
– in the absence of comparable experience for the given ground and loading conditions, for the type of pile
and for the method of production (installation)
– if, for the planned loading conditions, reliable dimensioning is not possible
– for checking individual piles to assess the pile foundation as a whole.
9.7.1.1.2 The required number of pile loading tests depends on the importance of the construction project, the
heterogeneity of the ground and the potential risk if the piles fail.
9.7.1.1.3 A single loading test should normally be carried out where the most unfavourable ground conditions exist.
9.7.1.1.4 Loading tests shall normally be carried out before the start of piling operations.
9.7.1.1.5 If possible, the test piles shall be manufactured and installed in the same way as the working piles.
9.7.1.1.6 If test piles are subsequently used as working piles, in their dimensioning and construction the difference
in settlement behaviour from that of the non preloaded piles shall be taken into consideration.
9.7.1.1.7 The pile loading tests shall be carried out in accordance with SIA 267/1.
9.7.1.2 Static pile loading test
9.7.1.2.1 The static pile loading test is the most reliable method of dimensioning pile foundations, especially for the
determination of the external ultimate resistance Ra attainable in the ground as well as for the deformation
behaviour of individual piles.
9.7.1.2.2 If, for practical reasons, pile loading tests are carried out using piles of smaller diameter, the following con-
ditions must be fulfilled:
– the diameter of the test pile must correspond to at least one half the diameter of the working piles
– the test must be devised such that, if possible, the end bearing resistance and the skin friction can be
determined separately.
9.7.1.3 Dynamic pile tests (high strain test)
The pile bearing capacity can be checked using dynamic testing methods. The reliability of the testing
method for the pile to be tested must be given and considered in the evaluation of the test. A correlation
with representative pile loading tests must be supplied for the case under consideration.

9.7.2 Quality and integrity control
9.7.2.1 The integrity of the pile shall be checked by testing if the installation method has a big influence on the bear-
ing capacity, if the execution cannot be monitored reliably and if the integrity cannot be ensured with suffi-
cient confidence.
9.7.2.2 In the case of pile foundations whose failure would have grave consequences (Structural classes II and III
according to SIA 261), 10% of the working piles, with a minimum of 3, should be tested for integrity.
9.7.2.3 Checking pile integrity can, e.g., be carried out with the reflection method (low strain test) or with ultrasonic
measurements.
It must be taken into account that defects which affect the long-term behaviour of the pile, like poor con-
crete quality or too little concrete cover for the reinforcement, often cannot be detected using the reflection
method alone. Other investigation methods, e.g. ultrasonic measurements, vibration tests, visual inspection
of hollow piles or core drilling may be necessary.
9.7.2.4 The evaluation of the results and the interpretation of the pile tests (reflection method, ultrasonic measure-
ments, etc.) require experience and specialist knowledge.
9.7.3 Monitoring
If the conditions demand it, settlement or heave, as well as displacements during use shall be monitored.
If, instead of the single pile, the raft foundation is monitored, the load distribution effect of the whole struc-
ture shall be considered in the interpretation of measurements or observations.

10 PRESTRESSED GROUND ANCHORS
10.1 Limitations
10.1.1 The requirements of Section 10 are applicable to the design of temporary and permanent prestressed
ground anchors for retaining structures, slope stabilisation and to prevent uplift.
10.1.2 The requirements are applicable to steel anchors. If other materials are used the basic principles set out in
Section 10 shall be applied in a general sense.
Figure 7: Schematic representation for the terminology of a prestressed anchor
tie-back wall
bearing plate
anchor head
+β tendon
encapsulation, protective sheath
grouted body
borehole
borehole filling
theo
retic
al fr
ee a
nch
or le
ngth
tota lfr
l an
cho
r len fixe
gth l d an
cho
r len
gth
lv
10.2.1 General
10.2.1.1 The design of anchorages demands a thorough knowledge of the technological aspects and a good mea-
sure of experience.
10.2.1.2 The dimensioning of anchored structures is based essentially on SIA 262 to 264. This present section con-
cerns verifications in which the anchors have to be taken into account.
10.2.1.3 In the design phase questions regarding the rights of adjacent property owners need to be considered. This
applies in particular to:
– necessary contractual agreements regarding prestressed or non-prestressed parts of the anchorage
within the neighbouring property
– the registering of permanent anchors as easement in the land register
– the choice of removable anchors.

10.2.1.4 The impact of anchor installation on the surroundings shall be assessed, in particular for:
– settlements due to removal of earth during the drilling work and heave due to grouting
– the influence of the anchor boreholes and grouting as well as the anchors themselves on the hydrogeo-
logical conditions (groundwater and surface waters)
– deformations and displacements caused by applying a prestressing force to the anchors and due to
excavation work
– damage to existing structures, pipes and cables
– leakage of grout into sewerage systems, cellars and other underground openings.
10.2.1.5 If necessary:
– information on vital dependencies, construction stages, interruptions, etc., shall be recorded in the ten-
dering documents and in the construction programme
– the conditions imposed for the site installations shall be specified.
10.2.1.6 The service specifications and the monitoring plan for anchored structures shall include above all the follow-
ing specific information:
– maximum admissible and minimum required anchor forces during the working life
– admissible displacements and deformations of the structure or parts of it
– admissible ground deformations
– admissible water levels or pore water pressures.
10.2.2 Dimensioning
10.2.2.1 The design of an anchored structure must be based on an anchorage concept.
10.2.2.2 An anchored structure shall be designed such that failed anchors can be replaced and/or the required load
carrying capacity can be ensured by means of equivalent measures.
10.2.2.3 Reserve locations shall be planned for each structure, in order to be able to replace anchors with inade-
quate load carrying capacity and/or inadequate corrosion protection. The required number of reserve loca-
tions depends on the seriousness of the consequences resulting from failure of the anchorage and on the
geological uncertainties. In the case of permanent anchors the number of reserve locations is usually 10
to 30% of the total number of anchors
10.2.2.4 If possible the anchorage shall be designed such that the resulting displacements on reaching the ultimate
limit state or the failure of the structure cause an increase in the anchor force. Other ways of acting must
be considered in the design and the dimensioning.
10.2.2.5 Endangering the safety of the structure due to the failure of individual anchors shall be evaluated. The
anchorage shall be designed in such a way that progressive collapse can be excluded.
10.2.2.6 The grouted body (i.e. fixed anchor part) should lie completely within layers with approximately the same
load bearing and deformation behaviour.
In order to avoid an unfavourable interaction between anchors, the spacing between the grouted bodies
should be at least 1.50 m.
The execution tolerances shall be taken into consideration in determining the spacing between anchors
which cross each other.
10.2.2.7 The admissible deviations of the actual borehole axis from the intended one shall be considered in the
design. In general, a deviation of 3% of the anchor length shall be assumed.
The interaction between the structure, the anchor and the ground has to be analysed in order to evaluate
the effects of the structure on the anchorage.

10.3 Ground
The site investigations must include the following information in addition to the requirements of Section 3:
– structure of the ground and geotechnical properties of the individual soil and rock layers
– jointing, bedding and planes of potential cleavage
– hydrogeological conditions
– substances present in the ground, in the water and in the atmosphere, which could endanger the dura-
bility of the materials used
– stray electrical currents.
10.4.1 General
10.4.1.1 The interaction between structural displacement or deformation and anchor force has to be considered.
10.4.1.2 If anchors are intersected by slip surfaces in the ground, the effects of the direction and the magnitude of
the displacements of the sliding body on the anchors shall be taken into consideration.
10.4.1.3 The shear strength in slip surfaces may depend on the amount of movement of the sliding body.
10.4.2 Actions
10.4.2.1 Depending on the limit state to be investigated, the anchor forces must be introduced into the structural ana-
lysis either as an action or as a resistance.
10.4.2.2 Anchor forces are considered as actions in the following cases:

– verification of overall stability, provided the anchors are anchored behind the investigated slip surface
– in the investigation of the behaviour of the structure or parts of it when the anchor forces are applied
– in the investigation of the local transmission of the anchor forces into the structure.
The dependence of anchor forces on the deformations of the structure must be taken into account.
10.4.2.3 If, in the verification of overall stability, the anchor force is considered as a favourable (stabilising) action,
then for the dimensioning value of the anchor force at most only the minimum existing anchor force may be
assumed in the limit state under consideration.
10.4.3 Characteristic value of the ultimate resistance of the anchorage
10.4.3.1 The characteristic value Ri,k of the internal ultimate resistance of the anchor is:
R i,k = Pp k = A p f p k (51)
10.4.3.2 The external ultimate resistance Ra of an anchor corresponds to the force at which the movement of the
anchorage does not converge, but after a while the anchorage breaks away from the ground.
Generally, the external ultimate resistance Ra of an anchor is defined by the force at which the movement
of the grouted body reaches the critical value of creep rate k krit = 2 mm.
10.4.3.3 The external ultimate resistance Ra of an anchor should be greater that the internal ultimate resistance Ri .
10.4.3.4 The external ultimate resistance Ra is determined from the results of anchor tests.
10.4.3.5 The characteristic value Ra,k of the external ultimate resistance corresponds to the lowest value of Ra ob-
tained from at least three anchor tests.

10.5 Dimensioning
10.5.1 General
10.5.1.1 In the case of anchorages the following limit states also have to be investigated:
– reaching the internal ultimate resistance as a result of corrosion or local overstressing (e.g. due to devi-
ation forces)
– reaching the internal ultimate resistance of the force transmission from the anchor head to the structure
– reaching the load carrying capacity of the structure due to the anchor forces.
10.5.1.2 Within the framework of dimensioning among others the following technical values shall be specified:
– the minimum required anchor force necessary to ensure the stability of the structure during the planned
working life
– the maximum admissible anchor force taking into account the admissible structural deformations
– the tensioning force P0 for each section of the structure
– the minimum free anchor length lf r
– the anchor length lv for the test anchors based on empirical values.
10.5.1.3 The following are necessary for dimensioning the individual anchors:
– the verification of the internal structural safety
– the verification of the external structural safety
– the verification of serviceability
– the determination of the theoretical free anchor length lf r
– the determination of the lock-off force P0.
10.5.2.1 Actions
In the verifications of structural safety in the zones where the prestressing force is introduced and for struc-
tural components the dimensioning value Fd is:
Fd = 1.1 R i,k (52)
10.5.2.2 Ultimate resistance of the anchorage
10.5.2.2.1 The dimensioning value of the ultimate resistance of the anchorage depends on the type of loading in the
anchors when the structure fails.
10.5.2.2.2 When the anchors are loaded in tension the dimensioning value Rd of the ultimate resistance of the ancho-
rage is:
Rk
Rd = (53)
γM
Rk characteristic internal ultimate or external resistance of the anchor (Section 10.4.3); the smaller
of the two values applies.
The resistance factor γM takes into account the variations of the ground properties within the zones of
influence in the ground as well as deviations with respect to strength and dimensions of the anchor mate-
rials from the assumed characteristic values, together with the imprecision in the resistance model and the
inaccuracies of execution.
The resistance factor for the anchorage is:
γM ≥ 1.35 (54)
10.5.2.2.3 If the anchors are subjected to shear forces when the structure fails, e.g. for the stability verification accord-
ing to Section 10.4.2.3, then the dimensioning value of ultimate resistance of the anchorage is:
Rd = γA P0 (55)

The correction factor for the anchor force γA takes into account the changes in force between the tensioning
of the anchor and the onset of structural failure due to:
– relaxation of the prestressing steel
– creep of the anchorage
– displacements of the structure in the region of the anchor head
– displacements of sliding body up to the onset of failure.
The correction factor for the anchor force γA shall be fixed by the project engineer. Generally, it amounts to:
0,8 ≤ γA ≤ 1,1 (56)
Under all circumstances the following condition holds:

Rk
γA P0 ≤ (57)
γM
10.5.2.3 Anchor length
10.5.2.3.1 The required free anchor length lf r shall be obtained from the verifications of structural safety and service-
ability for the anchored structure as a whole.
10.5.2.3.2 In order to maintain the anchor force during the planned working life of the structure, if necessary the free
anchor length must be increased above the theoretically required value. Normally, it should not be less than
7 m.
10.5.2.3.3 The effective required anchor length lv is, with the exception of Section 10.7.2.4, determined on the basis
of anchor tests. The anchor length lv given in the tendering documents is based on empirical values.
10.5.3 Lock-off force
10.5.3.1 The lock-off force P0 is obtained from the verifications of structural safety and serviceability for the anchored
structure as a whole.
10.5.3.2 The lock-off force P0 shall be specified for each anchor such that during the complete working life the actual
anchor force P lies within the following limits:
0.3 Pp k ≤ P ≤ 0.7 Pp k (58)
10.5.3.3 The lock-off force must fulfil the following condition:
P0 ≤ 0.6 Pp k (59)
If Ra,k < R i,k then:
P0 ≤ 0.6 Ra,k (60)
10.5.4.1 The structural safety of an anchored structure is verified, if for all limit states the following dimensioning cri-
terion is fulfilled:
Ed ≤ Rd (61)
10.5.4.2 In the case of limit states of Type 3 the existing anchor force may be taken into consideration as follows:
– at the start of the grouted body: 100%
– to the end of the grouted body: a linear reduction to 0%.
10.5.5.1 It shall be verified that the admissible displacements and deformations of the structure and the surrounding
ground are not exceeded during the working life. This also requires a verification of the durability of the anchor.
10.5.5.2 To check the verification of serviceability empirical values and measurements obtained during execution
can be employed.

10.5.5.3 In the case of anchored structures that serve to transmit to the ground tensile forces resulting from cable
stays, wind, etc., it shall be verified that the existing prestressing force in the anchors is greater than the ten-
sile forces acting during the complete working life. This shall include a consideration of the deformations of
the ground. This also applies to anchors controlling uplift forces.
10.5.5.4 In the verification of the serviceability of structures the anchor shall be considered either as an action or as
a preloaded spring.
10.5.5.5 If the anchor forces are considered as an action, depending on the dimensioning situation either the mini-
mum or the maximum anchor forces that occur during the working life of the structure shall be assumed.
The effect of the proof loads applied during the trial tensioning shall be taken into account.
10.5.5.6 For the verification of serviceability the theoretical anchor force P should generally lie between the lock-off
force P0 and the anchor force P∞ at the end of working life. In certain cases the anchor force P can lie out-
side the range P0 to P∞. This shall be taken into account. The condition of Section 10.5.3.2 shall be com-
plied with at all times.
10.5.5.7 If prestressed anchors are considered as preloaded springs, depending on the dimensioning situation the
minimum or maximum anchor stiffnesses shall be employed. In this case the critical anchor force is intro-
duced as a corresponding initial loading of the spring.
10.5.5.8 The anchor stiffness c A is:

A p Ep
cA = [N/mm] (62)
lf
In the serviceability state the following condition applies:

0.9 lf r ≤ lf ≤ lf r + 0.3 lv (63)
10.5.5.9 Depending on the dimensioning situation and the limit state the lower system stiffness (anchor stiffness) or
the upper system stiffness (prestressed ground and anchor) shall be assumed.
10.6.1 General
10.6.1.1 The provisions of SIA 267/1must be complied with.
10.6.1.2 An anchor system must fulfil the conditions of serviceability, structural safety, durability and environmental
conservation.
10.6.1.3 Only anchor systems may be employed whose suitability has been proven by approved technical procedures
and by a conformity assessment according to SIA 267/1.
10.6.1.4 The suitability of anchor systems for which there are no approval guidelines shall be verified in the general
sense of Section 10.6.1.3.
10.6.1.5 The permitted anchor systems shall be documented in detail. The technical documentation must among
others include the following information:
– all dimensions, construction material and product specifications, requirements and references required
for design and execution
– the design of the corrosion protection
– the admissible deviation angle in the anchor head
– the deformations in the anchor head as a result of tensioning
– the friction losses in the zone of the free anchor length
– identification possibilities for the components and the construction materials and products on site
– the required concrete compressive strength for the execution of trial tensioning.
10.6.1.6 It shall be ensured that the specified requirements are permanently fulfilled. The suppliers of the anchors
must in this respect furnish proof of the effectiveness of adequate quality assurance measures.

10.6.2 Tendon and anchor head
The provisions of SIA 262 and 262/1 for prestressing steel and prestressing systems shall also be applied
to tendons and anchor heads.
10.6.3 Corrosion protection
10.6.3.1 General
The provisions of SIA 267/1 must be complied with.
10.6.3.2 Full corrosion protection for anchors with stel tendons
10.6.3.2.1 For all permanent anchors as well as for temporary anchors installed in an aggressive medium and/or are
subject to critical stray currents, a full corrosion protection is required, whose effectiveness must be verifi-
able for each of the installed and tensioned anchors.
10.6.3.2.2 Full corrosion protection:

– The steel tendon must over its whole length be surrounded by a chemically-resistant, sufficiently diffu-
sion-proof and electrically-insulated protective sheath.
– T3he material quality and thickness of the protective sheath and its components shall be selected such
that they are not damaged during transport, storage, installation, grouting and tensioning of the anchors.
In the case of test and control anchors it must be possible to check the electrical insulation of the pro-
tective sheath during the complete lifetime of the anchor.
– In the fixed anchor zone the space between the tendon and the protective sheath must be completely fil-
led with cement grout or another suitable grout material.
– Along the free anchor length the space between the prestressing steel, the individual protective tubes
and the encapsulation must be completely filled with a durable material. At least one of the filling mate-
rials used – preferable that in direct contact with the tendon – must exhibit permanent plastic properties.
– The provisions of SIA 267/1 apply.
10.6.3.2.3 In the case of control anchors it must be possible to monitor the effectiveness of the full corrosion protec-
tion during the complete working life.
10.6.3.3 Limited corrosion protection for anchors with steel tendons
10.6.3.3.1 For all temporary anchors a limited corrosion protection is necessary. For temporary anchors in an aggres-
sive medium Section 10.6.3.2.1 applies.
10.6.3.3.2 Limited corrosion protection:

– In the fixed anchor zone the steel tendon must be encapsulated by a cement grout layer of at leasr 20 mm.
This requirement shall be ensured by using spacers.
– Over the free anchor length the steel tendon shall be protected by a plastic tube that is filled with a cor-
rosion protection filler material or by a suitable strong bonding and adequately stretching coating up to
the anchor head.
– In the region of the anchor head the tendon, the anchorage components and the bearing plate shall be
protected by a coating of strong bonding water-repellent and temperature-resistant corrosion protection
material.
10.6.3.4 No special measures for anchors with steel tendons
For anchors with a working life of less than six months, whose failure would only be of small consequence
and does not endanger the public no special measures are necessary.
10.6.4 Execution
10.6.4.1 If damage to the surroundings including buildings, roads, pipes, water springs, etc., caused by the anchor
installation works cannot be excluded, a record shall be kept of the different states before the commence-
ment and after the completion of the work.

10.6.4.2 The anchorage shall be designed such that it is not sensitive to small imperfections in the execution.
10.6.4.3 For anchor inclinations β between + 5° and –10° with respect to the horizontal (β > 0: anchor directed down-
wards), special measures are necessary.
10.6.4.4 If re-grouting is necessary, then the type, the procedure and the pressures and quantities of grout used shall
be specified.
In soil and rock layers that are fine-grained and tend to weather rapidly it is imperative to specify for the exe-
cution that the anchor is installed and grouted immediately after completing the borehole.
10.6.4.5 The anchoring work can be considered to have been completed if the anchorage has been executed ac-
cording to plan and if each anchor:
– fulfils the conditions of the simple or detailed tensioning test according to SIA 267/1
– fulfils the criteria for checking corrosion protection
– is stressed to the specified lock-off force
– is provided with the required anchor head protection.
10.6.4.6 The anchor works shall be monitored and a record kept. For each anchor there must be a record signed by
the site engineers and those responsible for installing the anchors and deposited with the construction docu-
ments.
10.6.4.7 At the end of use the anchors shall be unloaded in a controlled way. If unloading is not possible or not expe-
dient, it must be demonstrated that no detrimental effects will result.
10.7.1 Execution checks
10.7.1.1 The requirements for testing and checking given in Section 6 and SIA 267/1 must be complied with.
10.7.1.2 The position and orientation of the borehole given in the plans, as well as its length and diameter, have to
be checked before the anchor is installed, if this is of importance for the project.
It is imperative to check the borehole axis if the distance between the grouted bodies, taking into account
the admissible deviation, would be less than six times the diameter of the borehole or if the proper function-
ing of structures located in the ground, such as pipes and existing anchors, could be impaired.
10.7.1.3 In the case of anchors with parts of the grouted body located in permeable ground (e.g. in coarse gravel
or jointed rock) the borehole must be checked for adequate waterproofness. If necessary the boreholes
must be sealed or other suitable measures implemented. The checks shall be carried out in accordance
with SIA 267/1.
10.7.1.4 The proper functioning of the components of the prestressing system shall be checked regularly by using
a checking plan (self-checking). The checks shall be recorded and shall be kept available for inspection pur-
poses by the external supervisory authority.
10.7.1.5 A monitoring contract between an accredited testing institute and those working with the prestressing steel
regulates the periodical monitoring of the quality of the prestressing system (external monitoring). The
monitoring is carried out according to a checking plan, which is consistent with the type of prestressing
system used. Checks shall be carried out at least once a year. The reports on the checks shall be made
available for inspection by those working with the prestressing steel.
10.7.1.6 The checking of the corrosion protection shall be carried out in accordance with the equally binding provi-
sions of SIA 267/1.
10.7.2 Anchor tests
10.7.2.1 The anchor tests serve to dimension the anchors, especially the determination of the external ultimate
resistance Ra attainable in a particular zone of the ground together with the required fixed anchor length

and appropriate drilling methods, grouting type, pressures and quantities of grout. The results of the anchor
tests form the basis for the assessment and the acceptance of the working anchors.
10.7.2.2 Anchor tests are carried out in advance or at the beginning of the anchor installation works. Further tests
have to be carried out during execution of the structure if unexpected ground conditions are encountered.
10.7.2.3 The number of test anchors for an anchored structure depends on:
– the size of the project
– the potential risk if the anchorage fails, and
– the geotechnical conditions.
In general, for each zone of ground with similar geotechnical properties at least 3 anchor tests shall be car-
ried out.
10.7.2.4 One may only dispense with anchor tests if meaningful test results with similar anchors in comparable geo-
technical conditions are available and a higher external ultimate resistance is not aimed at.
10.7.2.5 Test anchors may be used as working anchors, provided they fulfil the same conditions as the working
anchors and provided they have not reached the ultimate resistance in the anchor test.
10.7.2.6 The anchor tests shall be carried out in accordance with SIA 267/1.
10.7.3 Control tests
10.7.3.1 The control test serves to assess the load carrying capacity and to provide a basis for the acceptance of
the working anchors. They are based on the results of the foregoing anchor tests.
10.7.3.2 10% of all anchors, with a minimum of 3 anchors, shall be subjected to a detailed control test. The remain-
ing anchors shall be checked using at least a simple control test. For each group of anchors the detailed
control tests shall be carried out before the simple ones.
10.7.3.3 If the results of the anchor tests show that with the simple control tests meaningful results cannot be expec-
ted, then for all anchors multi-stage tensioning shall be carried out. This, for example, may be necessary for
anchors exhibiting a non-typical creep diagram or large initial friction.
10.7.3.4 The control tests shall be carried out according to SIA 267/1.
10.7.4 Verification of corrosion protection
10.7.4.1 In the case of anchors provided with comprehensive corrosion protection according to Section 10.6.3.1 after
initial tensioning and grouting the corrosion protection shall be checked by means of the measured electri-
cal resistance I (ERM I). The verification shall be carried out on each anchor according to SIA 267/1.
10.7.4.2 The finished grouted and tensioned anchor must exhibit an electrical resistance RI ≥ 0.1 MΩ (mega Ohm).
10.7.4.3 In the case of anchors with a deficient electrical resistance RI, which are accepted by the owner (e.g. 5 to
10% of all the anchors), it must be shown by means of the electrical resistance measurement II (ERM II)
that the anchor head is not in contact with the structural reinforcement. The verification shall be carried out
according to SIA 267/1.
10.7.4.4 The electrical resistance between the anchor head and the structural reinforcement must be RII ≥ 100 Ohm.
10.7.4.5 In the case of anchors with limited corrosion protection according to Section 10.6.3.3 it must be verified that
the requirements of limited corrosion protection are fulfilled before, during and after the installation of the
anchor.
10.7.5 Monitoring
10.7.5.1 Anchored structures have to be monitored during the whole of their working life.
A monitoring concept for the anchorages also has to be prepared if their working life is less than that of the
structure as a whole. The requirements of Section 6 and SIA 267/1 shall be complied with.

10.7.5.2 Depending on the requirements and the risks involved the zero measurement of elements to be monitored
(e.g. deformation measurements) shall be carried out before commencement of construction work.
10.7.5.3 The devices for measuring the forces in the anchors must be replaceable.
10.7.5.4 The number of test and control anchors is governed by the importance of the project. The combined mini-
mum number is:
– 5% of all anchors
– 3 anchors for each part of the structure.
10.7.5.5 In the following cases all anchors shall be designed as control anchors:
– for permanent anchorages, whose structural behaviour cannot be assessed on the basis of deformation
measurements, e.g. for rock stabilisation or for stiff structures founded on rock.
– for anchors which, because of expected deformations of the structure or of the ground, have to be desig-
ned to be allow retensioning or for reducing the tensioning force.
10.7.5.6 For anchorages with less than 6 months working life, whose failure would only have minor consequences
and would not endanger the safety of the public, the requirements of Section 10.7.5.4 can be waivered.
However, it is recommended to install about 3% of the anchors, and at least one anchor for each part of the
structure, as control anchors.

11 NON-PRESTRESSED GROUND ANCHORS
11.1 Limitations
11.1.1 The requirements of Section 11 apply to the design of temporary and permanent anchorages with fully
grouted non-prestressed anchors. They apply to anchors subject to tension only or tension and shear.
11.1.2 The provisions apply to anchors made of steel and GFRP (glass fibre reinforced polymer). If other materials
are used the requirements of Section 11 shall be applied in a general sense.
11.1.3 The provisions also apply in the same general sense to non-prestressed anchors in underground construc-
tion.
11.1.4 The provisions do not apply to tension members embedded in fill material such as “reinforced earth” and
cofferdams.
11.1.5 For anchors in avalanche protection structures the Richtlinien für den Lawinenverbau im Anbru ch gebiet
of the Swiss Federal Institute of Snow and Avalanche Research, apply.
Figure 8: Schematic representation of a non-prestressed anchor
borehole wall
tendon filling material
anchored structure
bearing plate
anchor head
+β
tendon
sheath
(steel anchor, level of
protection 2 and 3)
borehole
filling material
leng
th o
f so
il bo
dy t
ob
e an
cho
anc red
hor
leng
th l
anc
hora
ge l
ength
lv

11.2.1 General
The requirements of Section 10.2 shall be complied with.
11.2.2 Design
11.2.2.1 An anchorage concept is required as the basis for the design of an anchored structure.
11.2.2.2 The consequences of the failure and loss of individual anchors for structural safety has to be assessed. The
anchorage shall be designed in such a way that progressive failure is eliminated.
11.2.2.3 The design shall take into account that the activation of the anchor forces of non-prestressed anchors
necessitates displacements.
11.2.2.4 If the durability of the anchorage is estimated to be less than the working life of the structure, alternative
measures have to be planned.
11.2.2.5 If there is a risk of corrosion the durability of the anchor as a whole and for each material used has to be
verified separately.
11.3 Ground
The requirements of Section 10.3 shall be complied with.
11.4.1 General
11.4.1.1 In the modelling of anchored structures the dependence of the anchor forces on the structural displace-
ments has to be taken into account if the serviceability of the structure is influenced by displacements.
11.4.1.2 If anchors are intersected by slip surfaces in the ground, the effects of the direction and the magnitude of
the displacements of the sliding body on the anchors shall be considered.
11.4.1.3 The activated shear resistance of anchored surfaces of discontinuity in the rock depends on the direction
and the magnitude of the displacement.
11.4.2 Actions
11.4.2.1 Depending on the limit state under investigation the effect of the anchors must be introduced into the struc-
tural analysis either as an action or as a resistance.
11.4.2.2 In the following cases anchor forces are considered as actions:

– in verifications of overall stability, provided the anchored length lies behind the investigated slip surface
– in the investigation of the behaviour of the structure or parts of it due to the effects of the anchor forces
– in the investigation of the local introduction of the anchor forces into the structure.

11.4.3 Characteristic ultimate resistance of the anchorage
11.4.3.1 Internal ultimate resistance of the anchors
11.4.3.1.1 The characteristic value Ri k of the internal ultimate resistance of an anchor with a steel tendon subjected
to tensile forces only is:
R i,k = Fs k = A s f s k (64)
11.4.3.1.2 The ultimate resistance at the point where the steel tendon is fixed to the anchor head should be greater
than or equal to Ri .
11.4.3.1.3 The characteristic value of the internal ultimate resistance of a steel tendon subjected to tension, shear and
bending moments shall be determined according to SIA 263.
11.4.3.1.4 For anchors with a GFRP tendon one differentiates between the internal resistance of the tendon Ri,tension
and that of the anchorage head Ri,head.
11.4.3.1.5 The characteristic value of the internal ultimate resistance Ri,tension,k of a GFRP tendon subjected to a purely
tensile force is:
R i,Zug,k = Ft k = A s f t k (65)
11.4.3.1.6 The internal resistance Ri,head of the anchor head shall be determined from tests.
11.4.3.1.7 It is not recommended to load GFRP tendons in shear and bending.
11.4.3.2 External ultimate resistance of the anchor

11.4.3.2.1 The requirements of Section 10.4.3.2 to 10.4.3.4 shall be complied with.
11.4.3.2.2 The characteristic value Ra,k of the external ultimate resistance corresponds to the smallest value Ra of at
least 3 pull-out tests according to Section 10.4.3.2. If the number of tests is smaller than 3 the requirements
of Section 11.7.2.8 apply.
11.4.3.2.3 If the characteristic value Ra,k is determined on the basis of empirical values according to Section 11.7.2.8,
a conservative value shall be assumed.
11.5 Dimensioning
11.5.1 General
11.5.1.1 The requirements of Section 10.5.1.1 and 10.5.1.2 shall be complied with.
11.5.1.2 Within the framework of dimensioning the execution stages and the following technical values shall be spe-
cified:
– the admissible deformations of the structure
– the minimum anchor resistance required to ensure the stability of the structure during the planned work-
ing life
– the dimensions of the body of soil to be anchored.
11.5.1.3 The dimensions of the body of soil to be anchored are obtained from the verifications of structural safety
and serviceability for the complete anchored structure.
11.5.1.4 For the dimensioning of the individual anchors the following are required:
– verification of the internal structural safety
– verification of the external structural safety
– verification of serviceability.
11.5.1.5 The required length of fully grouted anchors is given by the dimensions of the body of soil to be anchored
according to Section 11.5.1.3, augmented by the length of the anchorage.

11.5.1.6 The effective required anchorage length lv , with the exception of Section 11.7.2.8, is determined on the
basis of anchor tests. The anchor length l specified in the tendering documents is based on empirical values
for the anchorage length lv .
11.5.2.1 Actions
For verifications of structural safety in the zone where the force is introduced and of structural components
the dimensioning value Fd is:
Fd = 1.1 R i,k (66)
11.5.2.2 Ultimate resistance of the anchorage
The dimensioning value of the ultimate resistance of an anchorage loaded in tension is:
Rk
Rd = (67)
γM
The characteristic value Rk corresponds to the smaller value of the ultimate internal and external anchor
resistances according to Section 11.4.3.
The resistance factor γM takes into account deviations of geotechnical properties within the zone of influence
of the structure as well as in the strengths and dimensions of the anchor materials from the assumed cha-
racteristic values, together with the imprecision in the resistance model and inaccuracies in the execution.
– In the case of steel tendons the resistance factor for the anchorage is:
γM ≥ 1.35 (68)
– In the case of GFRP tendons the values adopted are based on the failure behaviour of the anchor com-
ponents taking into account the amount of ductility. However, in any case:
γM ≥ 2.0 (69)
The structural safety of an anchored structure is deemed to have been verified if the following dimensioning
criterion is fulfilled:
Ed ≤ Rd (70)
11.5.4.1 For the verification of serviceability of structures with non-prestressed anchors the dependence of the
anchor forces on displacement as well as the position of potential slip surfaces shall be considered. In rock
the number, position and direction of discontinuity surfaces intersecting the anchors shall be considered.
11.5.4.2 For the determination of the displacements the maximum deformability of the materials used shall be assu-
med.
11.5.4.3 The deformations may be estimated with the help of empirical values based on experience for structures
executed under comparable conditions.

11.6.1 General
11.6.1.1 The provisions of SIA 267/1 shall be complied with.
11.6.1.2 The anchor systems shall be documented in detail. The documentation must contain all dimensions, requi-
rements and specifications necessary for the design and execution. Information on corrosion protection is
indispensable.
11.6.1.3 It shall be ensured that the specified requirements are fulfilled during the planned working life. The suppliers
of the anchors have in this respect to furnish proof of the effectiveness of adequate quality assurance mea-
sures.
11.6.1.4 The reliable transmission of the anchor forces to the structure shall be verified.
11.6.2 Tendon and anchor head for steel anchors
11.6.2.1 For non-prestressed anchor tendons tough ductile steel shall be used. The steel must correspond at least
to the requirements of reinforcing steel B500B given in SIA 262, Table 5. Such steels are not sensitive to
stress crack corrosion and the development of hydrogen-induced brittleness. If higher-alloyed steel is used
its suitability shall be verified by testing. The use of prestressing steel is not permitted.
11.6.2.2 Profiled steels are generally used to increase the bonding action.
11.6.2.3 The anchor head consists of a bearing plate and a fixing device. This is usually a nut. The bearing plate
must be flush with the base and the anchor forces must be transmitted without bending action in the tendon
to the anchored part of the structure.
11.6.2.4 For some applications in rock fully bonded anchors without a head may be employed.
11.6.3 Corrosion protection for steel anchors
11.6.3.1 Basic principles
11.6.3.1.1 The required corrosion protection measures serve to protect against anodic corrosion.
11.6.3.1.2 Four levels of protection are used. Table 3 governs their choice.
Table 3: Levels of protection for non-prestressed anchors
Planned working life short (< 5 years) long (> 5 years)
Structural class (code SIA 261) I II III I II III
none 0 1 1 1 1 2
corrosion
risk of
possible 1 1 2 2 2 3
exists 2 2 x 2 3 x
Restriction: x not recommended for non-prestressed anchors
11.6.3.2 Tendon
11.6.3.2.1 With the use of cement grout or hardened cement paste as filling material the corrosion protection is imple-
mented as in Table 3:
Level 0: no special measures
Level 1: between the tendon and the borehole wall at least 20 mm cement grout or hardened cement
paste

Level 2: – ribbed or corrugated plastic sheath closed at the end of the borehole
– between the sheath and the borehole wall at least 20 mm cement grout or hardened cement
paste
– between the tendon and the sheath cement grout or hardened cement paste with a thickness
of:
- at least 5 mm for industrial fabrication
- at least 20 mm for site fabrication.
Level 3: as level 2, but between the sheath and the borehole wall cement grout or hardened cement paste
with a thickness of at least 40 mm.
11.6.3.2.2 Maintaining the required thickness of the filling material shall be ensured by means of spacers.
11.6.3.2.3 If synthetic resin is used as filling material the required effectiveness of corrosion protection shall be verified.
11.6.3.2.4 For the tendon neither paint nor coatings are permitted as corrosion protection since they may be damaged
in handling and during installation. Galvanizing is not permitted since the zinc corrodes in a damp alkali envi-
ronment.
11.6.3.2.5 Overdimensioning of the tendon (“extra corrosion protection”) is not permitted as an alternative to an active
corrosion protection. If pitting occurs this measure is ineffective and cannot prevent a loss of bond due to
rusting.
11.6.3.3 Anchor head
11.6.3.3.1 In the case of anchors of short working life, excepting level 0 of corrosion protection, the anchor head shall
be protected by means of concrete or coating material with a good bonding, water-repellent and tempera-
ture-resistant mass of corrosion protection material.
11.6.3.3.2 In the case of anchors of longer working life the whole region of the head shall be protected all-round
against corrosion by means of a concrete layer of at least 50 mm thickness or its equivalent. Galvanizing
is not permitted.
11.6.3.3.3 Special attention must be paid to the transition zone between the anchor head and the tendon.
11.6.3.4 Other parts of the anchor
The sheaths required in protection levels 2 and 3 together with the closure at the end of the borehole must
be chemically resistant and be adequately diffusion-proof. In addition, the material quality and wall thickness
shall be selected such that the sheath is not damaged during transport, storage, handling and installation.
11.6.4 Tendon and anchor head for anchors made of GFRP
11.6.4.1 Only GFRP tendons may be used whose material properties have been determined by means of tests.
11.6.4.2 The following material properties are the most important:

– tensile strength
– stress-strain behaviour
– relaxation behaviour
– limit for the formation of microcracks in the matrix
– corrosion resistance.
11.6.4.3 The anchor head consists of a bearing plate and a means of fixing the tendon. This is usually a nut. The
bearing plate must be flush with the base and the anchor forces must be transmitted without bending action
in the tendon to the anchored part of the structure.
11.6.4.4 Only anchor head systems may be used, whose design and properties have been tested for suitability. For
the dimensioning, the rupture force and the durability (long-term stability) are decisive.
11.6.4.5 The complete head region has to be protected against mechanical damage by a concrete layer at least
50 mm thick.

11.6.5 Corrosion protection for anchors made of GFRP
11.6.5.1 Basic principle
In the case of tendons made of GFRP the strains at working loads have to be limited to values for which
with certainty no microcracks develop in the resin matrix.
11.6.5.2 Tendon
11.6.5.2.1 Glass fibres are sensitive to corrosion in an alkali environment. Their complete embedment in the resin
matrix must be ensured.
11.6.5.2.2 In the case of a short working life (up to 5 years) tendons may be used in a polyester matrix. In the case of
a longer working life (more than 5 years) the matrix must consist of epoxy resin.
11.6.5.3 Anchor head
11.6.5.3.1 In the case of anchors of short working life no special corrosion measures are necessary.
11.6.5.3.2 In the case of anchors of longer working life only anchor head systems are permitted which ensure that the
glass fibres are completely embedded in the matrix. Cutting threads in the anchors is not permitted.
11.6.6 Embedding material
11.6.6.1 General
11.6.6.1.1 Steel anchors are generally embedded in a cement-based matrix.
11.6.6.1.2 For GFRP anchors embedding in a cement-based matrix for corrosion protection is only permitted for short-
term application. Furthermore, for short-term application even the use of polyester resin is restricted to dry
and less aggressive environments. For long-term application in a moist environment the use of epoxy resin
is mandatory.
11.6.6.2 Embedment in a cement-based material
11.6.6.2.1 For mortar or grout material the provisions of SIA 262 and 262/1 apply in a general sense.
11.6.6.2.2 The composition of the mortar or of the grout material shall be adapted to the execution conditions and the
properties of the ground. SIA 262 applies.
11.6.6.2.3 In the selection of the cement the presence of damaging substances in the soil or in the groundwater may
have to be taken into account.
11.6.6.2.4 The requirements for the composition of the mortar or of the grout material and for testing them are given
in SIA 267/1.
11.6.6.3 Embedment in synthetic resin
11.6.6.3.1 In the use of synthetic resin products their suitability has to be verified with regard to placement, corrosion
protection, mechanical properties and durability.
11.6.6.3.2 In the selection of the material the effects of temperature and chemical actions due to the groundwater and
the moisture in the ground shall be considered.
11.6.7 Execution
11.6.7.1 If damage to the surroundings including buildings, roads, pipes, water springs, etc., due to the anchor instal-
lation works cannot be excluded, a record shall be kept of the different states before the commencement
and after the completion of the work.
11.6.7.2 For anchor inclinations β between + 5° and –10° with respect to the horizontal (β > 0: anchor directed down-
wards), the complete filling of the annular space between the tendon and the borehole wall has to be ensu-
red by means of special measures. If possible, such inclinations should be avoided.

11.6.7.3 For anchor inclinations steeper than β = –10° (β < 0: anchor directed upwards) special measures to ensure
complete embedment are necessary.
11.6.7.4 In the case of grouting and, if necessary, re-grouting the grouting pressures and the quantities of grout used
shall be suitably selected or limited, as the case may be, to correspond to the anchor length, the overbur-
den pressure and the geological and hydrogeological conditions.
11.6.7.5 The anchor works shall be monitored and a record kept. For each anchor there must be a record signed by
the site engineers and those responsible for installing the anchors and deposited with the construction docu-
ments.
11.7.1 Execution checks
11.7.1.1 The tests and checks must comply with the requirements of Section 6 and SIA 267/1.
11.7.1.2 The position and orientation of the borehole given in the plans, as well as its length and diameter, have to
be checked before the anchor is installed, if this is of importance for the design.
11.7.2 Anchor tests
11.7.2.1 The requirements for anchor tests given in SIA 267/1 shall be complied with.
11.7.2.2 Anchor tests are normally pull-out tests. Shear tests are normally only carried out for large-scale rock
anchorages. If no results of shear tests are available, dimensioning formulas may be employed, provided
conservative assumptions are made.
11.7.2.3 Anchor tests are carried out in advance or at the beginning of the anchor installation works. Further tests
have to be carried out during execution of the structure if unexpected ground conditions are encountered.
11.7.2.4 The purpose of the pull-out test is to dimension the anchor, especially the determination of the external ulti-
mate resistance Ra in a given zone of the ground.
11.7.2.5 Test anchors shall be executed using conventional methods, but must include a free anchor length.
11.7.2.6 The structural safety of anchors subjected to shear actions (nails) can in certain cases be determined indi-
rectly using pull-out tests.
Tension tests are also suitable for checking the execution quality of anchors subjected to shear actions (nail-
ing).
11.7.2.7 The number of test anchors for an anchored structure depends on:
– the size of the project
– the potential risk if the anchorage fails, and
– the geotechnical conditions.
Normally, for each zone of the ground exhibiting comparable geotechnical properties at least 3 anchor tests
shall be carried out. If, for each zone, the number of anchor tests carried out is only 1 or 2, the minimum
value of Ra used to determine the characteristic value of the external ultimate resistance Ra,k shall be redu-
ced by 40% and 20%, respectively.
11.7.2.8 One may only dispense with anchor tests if useful test results with comparable anchors in comparable geo-
technical conditions are available and a higher external ultimate resistance is not aimed at.

11.7.3 Pull-out tests
Pull-outs test shall be carried out in accordance with SIA 267/1.
11.7.4 Shear tests
11.7.4.1 By means of shear tests the ultimate resistance of anchored shear joints and the force-displacement beha-
viour are determined.
11.7.4.2 Shear tests shall be carried out in accordance with SIA 267/1.
11.7.5 Quality assurance (tension test)
11.7.5.1 To verify the quality of execution tension tests shall be carried out on about 5% of all anchors, but at least
on 3 anchors in each zone of the ground with comparable geotechnical properties.
11.7.5.2 By means of tension tests the required and effective bonding between the anchor and the ground shall be
verified.
In contrast to control tests on prestressed anchors with a free anchor length, the control tests on non-pre-
stressed anchors bonded over their whole length supply no direct information on the external ultimate resis-
tance of the anchor in the zone behind the deepest critical slip surface.
11.7.5.3 Tension tests shall be carried out in accordance with SIA 267/1.
11.7.6 Monitoring
11.7.6.1 Anchored structures shall be monitored during the whole of their working life.
11.7.6.2 The monitoring is normally carried out by means of inspections and deformation measurements.

12 RETAINING STRUCTURES
12.1 Limitations
12.1.1 The requirements of Section 12 apply to the design of retaining structures, with the exception of concrete
dams.
12.1.2 For special structures, e.g. element walls, geotextile reinforced walls and nailed walls the requirements of
Section 12 shall be applied in a general sense.
In the design of retaining structures in addition to Section 2.1.2 the following require special attention:
– suitability of the ground for the proposed project and for the execution of anchorages and the installation
of soldier beams, sheetpiling, diaphragm walls, etc., in the ground
– suitability of the ground to resist the loads imposed by the retaining structure
– construction methods, construction processes
– feasibility of execution with regard to installations, excavation work and water control measures
– auxiliary measures required for the execution
– changes in the ground and the groundwater caused by the execution works or the structure itself
– deformations and displacements of the soil with damage or impaired functioning of neighbouring struc-
tures, equipment and plant caused by the execution works or the structure itself
– required watertightness of the retaining structure
– durability, ductility and robustness of the system as a whole and of the individual components
– integration and aesthetics of the retaining structure in its environment
– requirements resulting from maintenance.
12.3 Ground
The requirements of Section 3 apply.
12.4.1 General
12.4.1.1 In the structural analysis particular attention must be paid to:

– changes in the actions in time and space
– variations in time and space of the properties of the ground and of the construction materials
– changes in time and space of water table levels and pore water pressures
– effect of water flow and groundwater flow
– actions produced by existing or planned structures and surcharge loads
– changes to ground surface caused by fill and backfill, excavation, scouring, erosion, etc.
– creep movements in soils of high plasticity and in sloping ground
– displacements and deformations of the ground as a result of subsidence, groundwater lowering, frost
action, swelling heave, shrinkage, etc.
12.4.1.2 Settlements, displacements and tilting of retaining structures including the consequences for structures,
equipment and plant situated in the vicinity shall be estimated on the conservative side. The effects of the
execution work shall be considered.

12.4.1.3 Settlement and displacement analyses shall especially be carried out:
– if estimates and values based on experience show that difficulties may arise with respect to serviceabi-
lity
– in the case of structures and/or construction works, equipment and plant in the vicinity that respond sen-
sitively to settlements and displacements.
12.4.1.4 In special cases, besides long-term behaviour it is also necessary to investigate the short-term behaviour
of the ground, in particular:
– if pore water pressures build up in fine-grained soils
– if there are large fluctuations in the level of the water table.
12.4.2 Geotechnical values
12.4.2.1 If the stability of a retaining structure depends mainly on the passive soil resistance in front of the wall, in
the structural analysis the ground surface and excavation levels are corrected by an amount ∆a on the safe
side. The standard values for this correction are:
– for free-standing walls: 10% of the height, maximum 0.50 m
– for supported walls: 10% of the height between the bottom support and the excavation level, maximum
0.50 m.
If the observational method is employed, the correction ∆a can be made smaller or dispensed with altogether.
12.4.2.2 The characteristic value δk of the angle of wall friction may generally be assumed as follows:
– for active earth pressure:
δk = 2/3 ϕ' k (71)
– for earth pressure at rest:
δk = βk (inclination of ground surface) (72)
– for passive earth pressure:
δk = – 1/2 ϕ' k (73)
The compatibility of the angle of wall friction and the relative soil - wall displacement as well as the equili-
brium of forces parallel to the wall shall be checked.
In the case of smooth walls with a low-friction coatings the angle of wall friction δk shall be reduced and,
depending on the type of construction, if necessary a value δk = 0 shall be assumed.
12.4.3 Actions
12.4.3.1 Depending on the behaviour of the structure and the dimensioning situation, according to SIA 261 different
earth pressures may be decisive.
12.4.3.2 For the verification of serviceability, depending on the stiffness of the structure, normally an increased earth
pressure or the earth pressure at rest shall be assumed.
12.4.3.3 Increased earth pressure or the earth pressure at rest shall be assumed, in particular:
– for retaining structures situated on slopes with an inclination β > 1/2 ϕ'
– for compacted backfill
– at the top of a rigidly supported stiff excavation wall
– for deformations and displacements of the structure directed towards the soil
– if there is a great danger to neighbouring structures, equipment and plant.
12.4.3.4 Rigid retaining structures situated in a potentially unstable slope shall be dimensioned for creep pressure.
12.4.3.5 Anchor forces as an action shall usually be assumed as follows:

– if they act favourably, as the minimum existing value for the considered dimensioning situation; increase
or decrease of the prestressing force due to structural deformations and displacements shall be consi-
dered (Section 10.5.2.2.3)
– if they act unfavourably, as the rupture force of the anchor tendon (Section 10.5.2.1).

12.4.3.6 In the case of retaining structures with backfilling, the effect of the compaction (compaction pressure) shall
be considered.
12.4.3.7 Water pressure as an action shall be considered according to SIA 261.
12.4.4 Ground resistances
In the structural analysis the passive earth pressure (soil resistance) may be considered according to
Section 4.4.1.2 or Figure 9 as an action.
12.4.5 Structural and analytical models
Supports like anchors, struts and soil reactions, depending on the dimensioning situation and the section
taken for the structural model, shall be considered either as a resistance or as an action.
Figure 9: Actions, action effect and resistances for retaining structures
retaining structure force polygon
Ea G
W E E P = RE E
Q
RT
W Ea
RN R≥E EP
actions G, Q, W, Ea, EP
the resistance R is found by taking into action effect E
consideration the action effect E resistances R or RN, RT

12.5 Dimensioning
12.5.1 General
12.5.1.1 The following ultimate limit states shall be investigated, if decisive:

– reaching the internal ultimate resistance of the structure
– reaching the ultimate resistance of the supports
– reaching the local or global soil resistance (ground failure)
– loss of soil support due to hydraulic failure, internal erosion or soil liquefaction.
12.5.1.2 In the case of gravity walls and composite support structures, in addition to Section 12.5.1.1 the following
shall be investigated:
– reaching a state of limiting equilibrium (toppling)
– reaching ultimate bearing capacity of the ground
– reaching the ultimate sliding resistance.
12.5.1.3 For support structures embedded in the ground, in addition to Section 12.5.1.1 the following shall be inve-
stigated:
– reaching a state of limiting equilibrium (rotation, displacement)
– loss of vertical bearing capacity as a result of reaching the limiting resistance due to wall friction and/or
end bearing resistance at the bottom of the wall.
12.5.1.4 The following serviceability limit states shall be investigated:

– reaching the admissible serviceability limit values with regard to settlements, displacements and defor-
mations of the structure
– reaching other serviceability limit values given in the service criteria agreement.
12.5.1.5 In the case of excavations, settlements and displacements of the ground surface due to the redistribution
of earth pressures resulting from the excavation work and the lowering of the groundwater or reduction of
water pressure shall be considered.
12.5.1.6 In the dimensioning it must be ensured that as a result of the execution work neighbouring buildings, equip-
ment and plant are not damaged or are not impaired in their functioning in a way not agreed upon.
12.5.2.1 For the verification of the structural safety of retaining walls embedded in the ground, normally the dimen-
sioning values of earth and water pressures shall be assumed as follows:
– earth pressure due to self- weight, surcharge and live load above the excavation level:
Fd = γF Frep (74)
– unfavourably acting earth pressure due to self-weight, surcharge and live load below the excavation level:
Fd = Frep (75)
– passive earth pressure (soil resistance) as stabilising action:
Fd = RE,d (76)
– water pressure as resultant of the water pressures acting on both sides of the wall:
Fd = γF Fres,rep (77)
For the load factors γF in (74) and (77) the values given in Table 1 of SIA 260 apply.
For the passive earth pressure in (76), Section 5.3.3.2 applies.

Figure 10: Dimensioning values of earth and water pressures for the verification of structural safety
The loading diagrams are intended as examples to determine the dimensioning values of earth and
water pressures for a retaining wall embedded in the ground
Earth pressure diagram Water pressure diagram
earth z z
pressure h resultant wd hw
increased ea,d ea,k
passive water pressure wk
earth pres- earth increased
sure not ea,d ep,k pressure wres, d wres,k w´k
increased reduced
eres, d ep,d
Assumption: bottom of wall free Assumption: bottom of wall embedded in
dense layer, no water flow
i=0
z ≤ h: ea,d = γF ea,k z ≤ h w: w d = γF w k
z > h: ea,d = ea,k z > h w: w res,d = γF (w k – w 'k )

1
eres,d = ea,k – e
γM p,k
12.5.2.2 The determination of the dimensioning values of earth pressure loading according to Section 12.5.2.1 or
Figure 10 apply for an approximately horizontal ground surface on the passive side. If, in special cases, ep,d
is relatively small compared with ea,k, for example with a steeply inclined ground surface or in the case of
berms having an unfavourable influence on the passive pressure, the increase in earth pressure shall be
assumed up to the point of zero loading (ea,k = ep,d).
12.5.2.3 The earth pressure redistribution shall be carried out according to SIA 261. The earth pressure redistribu-
tion is generally assumed to the base of the excavation, but in special cases to the point of zero loading
(ea,k = ep,d).
12.5.3.1 For the limit states of Sections 12.5.1.1 to 12.5.1.3 it shall be verified that the dimensioning criteria accord-
ing to Section 5.4 are fulfilled.
12.5.3.2 In the case of banks of rivers and lakes the dimensioning situation corresponding to a rapid drawdown of
the free water level shall be investigated.
12.5.4.1 For the limit states of Section 12.5.1.4 it shall be verified that the requirements of Section 5.5 are fulfilled.
12.5.4.2 The verification of serviceability should also involve drawing upon comparable experience.
12.5.4.3 In the case of gravity walls without special requirements concerning settlements and displacements the veri-
fication of serviceability can be dispensed with if an adequate bearing capacity has been proven and the
resultant of the actions lies within the kern of the base of the foundation.
12.5.4.4 For the displacement and deformation of retaining structures and excavations, reference shall be made to
Section 12.5.1.5. In the case of tie-back walls the influence of displacement and deformation of the grouted
body shall also be taken into consideration.
12.5.4.5 Alternatively, an adequate serviceability can also be verified according to Sections 5.6 and 5.7.

12.6.1 General
12.6.1.1 Constructional requirements resulting from the maintenance of the structure must be considered in the
design.
12.6.1.2 Drainage systems shall be made accessible for checking purposes and maintenance works.
12.6.1.3 Support structures shall be designed to be as robust and ductile as possible to compensate for differences
in ground behaviour.
12.6.1.4 Requirements concerning groundwater protection shall be considered in the choice of design concept.
12.6.1.5 In the detailing and the method of execution the following points must be given particular attention:
– dimensions of the structure
– feasibility of carrying out driving and/or boring operations in the ground
– stability of the ground
– stability of boreholes
– access and transport possibilities
– adequate working space
– environmental imissions
– pollution of the groundwater.
12.6.1.6 In the case of excavations, in particular the following hazards shall be kept under control by means of con-
structional measures:
– inadmissible leakage or loss of soil through or beneath the wall
– inadmissible changes in groundwater conditions
– softening of the ground at the level of the foundation.

13 UPLIFT AND HYDRAULIC FAILURE
13.1 Limitations
The requirements of Section 13 apply to the design of structures and excavations that are endangered by
uplift and/or hydraulic failure.
13.2.1 The floating of a structure or a layer of soil due to an uplift force (buoyancy effects) and of erosion or piping
in soil due to seepage forces shall be prevented by means of dimensioning and/or constructional measures
with the use of the observational method.
13.2.2 If the danger of hydraulic-induced instability is counteracted by lowering the water table or relieving ground-
water pressure, Section 16 applies.
13.2.3 Measures employed to increase safety against uplift and hydraulic failure have to be simple in concept and
as insensitive as possible to disturbances and the failure of individual elements.
13.3 Ground
To determine the water pressures and seepage forces the following points relating to the ground and the
groundwater require particular consideration:
– sequence of soil layers with different permeabilities
– soil layers which are highly water-bearing or which cause a build-up of water pressure (artesian and sub-
artesian effects)
– different permeabilities in horizontal and vertical directions
– changes in the hydrogeological conditions in time and space
– disturbances to the ground due to human agency, e.g. exploratory boreholes
– excavation that changes the groundwater flow conditions or is situated in the groundwater flow regime.
13.4 Analysis
13.4.1 For the determination of the characteristic geotechnical parameters Section 4.2 applies. The unit weight of
soil shall be determined according to Section 4.2.3.1 and shall be on the safe side.
13.4.2 The characteristic value of the water pressures and the seepage forces shall be determined according to
SIA 261. The water table levels and artesian water levels shall be taken from Section 4.2.2.3.
13.4.3 To determine the seepage forces the flow conditions have to be determined with sufficient accuracy. In case
of doubt the geotechnical model and the reduction of hydraulic pressure shall be assumed conservatively.

Figure 11: Uplift and hydraulic failure
Uplift Hydraulic failure
G hw
hw
t G'E S
W
b b
G self-weight G'E submerged weight of soil

Q variable action, acting unfavourably S seepage force in soil element
W uplift G'E = (γe – γw) b t
W = γw hw b S = γw hw b
hw difference in water levels hw difference in water levels
(differential head) (differential head)
13.5 Dimensioning
13.5.1.1 Safety with respect to uplift
13.5.1.1.1 The verification of safety with respect to uplift is given, if according to Figure 11 for LS type 1 the following
dimensioning criterion is fulfilled:
γG,sup Wk + γQ Qk ≤ γG,inf Gk (78)
For the verification “uplift” the load factors given in Table 1 of SIA 260 apply.
13.5.1.1.2 If mechanical resistances (anchors, piles) or the ground itself (shear forces) are also considered to ensure
stability against uplift then the verification for the case of failure due to uplift for LS type 2 shall be carried
out with the load factors given in Table 1 of SIA 260.
13.5.1.2 Safety with respect to hydraulic failure
13.5.1.2.1 The verification of safety with respect to hydraulic failure is given, if according to Figure 11 for the body of
soil subjected to vertical seepage the following dimensioning criterion is fulfilled:
γG,sup Sk ≤ γG,inf G'E,k (79)
13.5.1.2.2 For the verification “hydraulic failure”, instead of the provisions of SIA 260, Table 1, in general the following
load factors apply:
– for silty and fine sandy soils: γG,sup = 1.6
– for all other soils endangered by hydraulic failure: γG,sup = 1.4
– for all soils: γG,inf = 0.9

13.5.1.2.3 For the verification “hydraulic failure”, to determine the seepage force S the most unfavourable situation for
the given conditions shall be assumed. Shear resistances of the ground may not be taken into account.
13.6.1 Groundwater and seepage effects caused by the construction work with unfavourable influence on local and
global stability of the soil shall be counteracted by means of constructional measures.
13.6.2 Washing out of soil and internal erosion at layer interfaces or in the contact area between the structure and
the ground can be prevented by the installation of:
– a simple or a graded filter
– geotextiles.
13.6.3 Base heave and hydraulic failure in excavations can usually be prevented by reducing the groundwater pres-
sure using filter wells or wellpoints. The effectiveness of such remedial measures shall be checked and
monitored as described in Section 16.

14 SLOPES AND CUTS
14.1 Limitations
The requirements of Section 14 also apply to the design of slopes and cuts as well as structures situated
on sloping ground.
14.2.1 Use shall be made of comparable experience in the evaluation of the stability of slopes and cuts.
14.2.2 If possible, the critical geotechnical properties shall be determined or checked by means of a back-analy-
sis of the state before commencing construction.
14.2.3 Requirements in connection with the monitoring of slopes and cuts shall be considered in the design.
14.3 Ground
14.3.1 In the analysis of the stability of slopes and cuts in soil, in addition to the site investigation stipulated in
Section 3.2 the following shall be considered:
– position and orientation of active or potential slip surfaces
– strata with low shear strength properties
– water-bearing or artesian layers
– pore water pressures.
14.3.2 In the analysis of the stability of slopes and cuts in rock, in particular the following shall be considered:
– position, spacing and orientation of the strata and discontinuities
– shear strength of compact rock normal and parallel to the stratification
– shear strength of the material filling the joints and in the surfaces of discontinuity
– water pressures acting in joints and pore water pressures.
14.4 Analysis
14.4.1 General
14.4.1.1 To determine the stability of slopes and cuts in general a number of possible failure mechanisms shall be
investigated. The critical mechanism is that with the smallest calculated factor of safety or that with the grea-
test need for constructional safety measures.
14.4.1.2 Three-dimensional failure mechanisms may be replaced by two-dimensional ones, provided that reaching
ultimate limit states can be excluded with at least the same degree of probability.
14.4.1.3 The influence of the groundwater (seepage forces, pore water pressures, uplift, erosion) shall be conside-
red.
14.4.2 Geotechnical parameters
14.4.2.1 Section 14.2.2 applies in the investigation of the stability of slopes.
14.4.2.2 In the determination and introduction of water pressures and seepage forces the anisotropy, permeability
and stratification of the ground shall be taken into account.

14.4.3 Analytical models
14.4.3.1 For the verification of slope stability the geometry of the sliding body and the failure mechanisms shall be
specified such that anisotropy, stratification and jointing of the ground as well as the level of the water table
and seepage effects are taken into consideration.
14.4.3.2 In rock the verification shall in general be carried out using a three-dimensional failure mechanism.
14.4.3.3 Known active or inactive slip surfaces and zones of weakness have to be considered.
14.4.3.4 Circular slip surfaces shall in general only be assumed in the case of homogeneous, isotropic soils and for
embankments founded on homogeneous ground.
14.5 Dimensioning
14.5.1 General
14.5.1.1 If decisive, the following ultimate limit states shall be investigated:

– mobilisation of the full global resistance to slope failure
– mobilisation of the full local ground resistance
– reaching a state of limiting equilibrium with respect to sliding and toppling for rock
– reaching the ultimate resistance for failure of a rock mass
– loss of stability due to internal erosion.
14.5.1.2 In the case of rock, depending on the orientation of the system of discontinuities with respect to the direc-
tion of loading, it is necessary to investigate a loss of stability due to partial failure or a shearing off of the
rock. For steep slopes in jointed rock, in addition the reaching of a state of limiting equilibrium of a single
block or of a multiple block system shall be investigated.
14.5.2.1 For slopes which are creeping or which are at or close to a state of instability Section 5.3.2.4 applies.
14.5.2.2 For the verification of slope stability usually the mean value of unit weight of soil may be assumed as a
dimensioning value.
14.5.2.3 If there is uncertainty concerning the effect of self-weight the dimensioning shall be carried out for the fai-
lure mechanism under consideration with both the upper and lower dimensioning values of unit weight.
14.5.3 Verification of stability
14.5.3.1 Section 5.4.4 applies for the stability verification (LS type 3).
14.5.3.2 In the case of slopes for which stabilising measures are necessary, the different load-deformation behaviour
of the ground and parts of the structure must be taken into account. It should be observed that the bearing
capacity of individual elements may be exhausted before that of the system as a whole.
14.5.3.3 In rock formations the stability verifications shall be carried out both globally and for individual blocks or
slabs of rock.
14.5.3.4 For the banks of rivers and lakes the dimensioning situation “rapid drawdown of the free water level” shall
be investigated.

14.5.3.5 To determine the stabilisation elements or measures for slopes that are creeping or are in a state of inci-
pient failure, with the use of the observational method and the determination of the geotechnical dimen-
sioning values based on a back-analysis as described in Section 5.3.2.4, for the verification of stability in
general the following partial factors γR may be considered:
– shallow slide, average depth of slip surface t m ≤ 10 m: γR = 1.20 (80)
– deep slide, average depth of slip surface t m ≥ 20 m: γR = 1.10 (81)
For depths of slip surface 10 m < t m < 20 m the partial factor γR can be interpolated linearly.
With monotonically increasing creep movements extending to a considerable depth in the slope, for the pur-
pose of improving the stability in exceptional cases the partial factor γR may be reduced to a minimum value of
γR,min = 1.05 (82)
14.5.3.6 The back-analysis to determine the geotechnical dimensioning values and the stability verification calcula-
tion with the stabilisation elements must be carried out with the same structural and analytical models. If
there are different critical mechanisms for the back-analysis and for the dimensioning of the stabilisation
elements or measures the partial factor γR or the safety factor shall be increased appropriately.
14.5.3.7 The partial factors γR given in (80) to (82) apply, provided that for the given reference period the most unfa-
vourable actions are considered in the dimensioning of the stabilisation elements or measures (water levels,
flow of groundwater in the slope, surcharge loading, etc.). These do not necessarily have to correspond to
the actions of the back-analysis.
14.5.3.8 An estimate of the required stabilisation measures for slopes in a state of incipient failure can be obtained
approximately according to Figure 12.
14.5.3.9 If stability cannot be conclusively proven additional investigations shall be carried out. Appropriate monito-
ring is then necessary.
Figure 12: Stability of slopes in a state of incipient failure
Ground is in a state of static equilibrium

Back-analysis R=E
Increasing the stability

E 1
Condition Ed ≤ γ R + ∆ Rd
R
Approximate calculation
∆ Ed ∆Rd = (γR – 1) Ed
R
∆Ed = (γR – 1) R
∆ Rd
Increasing the stability can be achieved by:

a) increasing the resistance R by ∆ R (e.g. ground anchors, soil
nailing, relief of water pressure)
b) reducing the action E by ∆ E (e.g. removing material from
upper part of slope, lowering the water table)

14.5.4.1 Since the available methods for determining slope movements often do not permit a sufficiently accurate
prediction, the deformations and displacements shall normally be estimated on the basis of comparable
experience and verified by means of the observational method.
14.5.4.2 Alternatively, in simple cases the serviceability can be assumed to be verified, if it can be shown that the
shear strength of the soil in the verification of safety with the critical failure mechanism is not mobilised to
more than 50%.
14.6.1 To protect slopes and cuts against internal and surface erosion, among others the following measures shall
be considered:
– provision of berms with drains
– installation of relief wells and drainage systems
– use of filters
– reduction of hydraulic gradients
– use of impermeable barriers
– planting of vegetation
– bio-engineering measures
– artificial protection of the ground surface.
14.6.2 In the case of heavily jointed rock, rock with steep slopes or rock with a tendency to topple, break off or fall
the danger of rockfall, and a block or rock slide shall be investigated. The risks shall be reduced to an
acceptable level by using active and passive protection measures.

15 FILLS AND EMBANKMENTS
15.1 Limitations
The requirements of Section 15 apply to fills and embankments, but do not include earth and rockfill dams.

15.2.1 The observational method shall be employed in the case of fills and embankments if risks cannot be ruled
out with an adequate safety factor or if a considerable hazard is involved, e.g.:
– in the vicinity of structures there is equipment and plant with increased demands on serviceability
– if they are founded on soft and sensitive soils of low permeability
– if they are founded on soils of low strength.
15.2.2 If the fill material contains substances or chemicals that are aggressive or can pollute the environment mea-
sures must be implemented to protect the groundwater as well as structures, equipment and plant.
15.2.3 With regard to the measures to protect and compact the soil the provisions of SIA 267/1 must also be com-
plied with.
15.3 Ground and fill material
15.3.1 For the design of fills and embankments the ground conditions must be known to a sufficient depth, in order
that the stability and the settlements can be estimated with adequate reliability.
15.3.2 Depending on the type and use of the earth structure normally the following requirements are made on the
fill material:
– requirements concerning environmental friendliness, amongst other things the maximum amount of
harmful bound and soluble substances as well as of pollutants and organic components
– grain size distribution
– strength of individual grains
– water content
– stiffness
– plasticity
– chemical properties
– compactability
– shear strength after compaction
– permeability after compaction
– weathering and frost resistance
– stability of the grain structure
– leaching resistance
– solubility.
15.3.3 Frozen, swelling or lightly soluble fill material should not be used.
15.3.4 Frozen fill material should at most be used for structures with no special strength requirements.
15.3.5 Fill material exhibiting a swelling capacity may be used in cases in which swelling is not a criterion or is de-
sired.
15.3.6 Soluble fill material may only be used if the fill is permanently protected from water.
15.3.7 The effects of the placement of fill material on the permeability and groundwater control in the existing
ground shall be investigated.

15.3.8 The changes in the properties of the fill material shall be considered, e.g., for:
– a variation in the water content
– mixing the fill material with binder material like cement or lime
– mixing the fill material with soil of better quality.
15.4.1 Actions
15.4.1.1 In addition to the actions given in SIA 261 and Section 4.3 the following have to be considered:
– construction process and effect of construction work
– future construction works having an influence on the structure
– erosion, e.g. due to inundation or as a result of heavy rainfall
– damaging effects of vegetation and animals.
15.4.1.2 In the determination of the critical water level and pore water pressures due consideration shall be given to
the possible loss of function of drainage systems, filters and waterproofing.
15.4.1.3 Anisotropy, permeability and stratification of the ground must be considered in the determination of the pore
water pressures and of the pore water pressure distribution.
15.5 Dimensioning
15.5.1 General
15.5.1.1 In the dimensioning of fills and embankments normally the following limit states shall be investigated:
– instability of slopes
– bearing capacity failure
– internal erosion
– surface erosion or scouring
– fulfilment of deformation and displacement requirements
– fulfilment of deformation and displacement requirements of the neighbouring structures, equipment and
plant.
15.5.1.2 Both short-term and long-term behaviour shall be investigated.
15.5.2 Verification of slope stability
15.5.2.1 Section 5.4.4 is applicable for verifying the stability of the slopes with respect to sliding.
15.5.2.2 In the case of embankments and the banks of lakes and rivers the dimensioning situation “rapid drawdown
of the water level” shall be investigated. Safety with respect to uplift shall also be verified on the downstre-
am side.
15.5.2.3 In the case of fills and embankments founded on weak soil the safety with respect to bearing capacity fai-
lure shall be verified.

15.5.3.1 Settlements shall be investigated both of the ground and of the fill and embankment material itself.
15.5.3.2 In simple cases the serviceability with respect to deformations of the ground (lateral displacements due to
shear deformations) may be considered to be verified if it can be shown that the shear strength of the soil
in the structural safety verification with the critical failure mechanism has not been mobilised by more than
50%.
15.5.3.3 If the geotechnical properties cannot be determined to a sufficient accuracy with justifiable costs, the obser-
vational method shall be employed.
15.6.1 To protect fills and embankments against internal and surface erosion in particular the following measures
shall be considered:
– use of berms with drains
– installation of pressure relief wells and drainage systems
– control of source and seepage water
– use of filters
– installation of geotextiles
– reduction of hydraulic gradients
– use of impermeable barriers
– suitable planting with vegetation
– bio-engineering measures
– artificial ground surface protection.
The protective measures may not change the groundwater conditions inadmissibly.
15.6.2 The permeability requirements for the ground and the earth structure shall be fulfilled by employing suita-
ble measures and by the choice of fill material.
15.6.3 The requirements for the construction works with respect to construction methods and construction pro-
cesses shall be prescribed in the tendering documents.
15.6.4 Before the placement of fill material the following shall be specified:
– method of installation and installation criteria (rate of fill placement, etc.)
– compaction criteria for each layer and zone with limits
– method of compaction
– method of carrying out compaction checks.
Thereby it must be ensured that:

– stability with respect to sliding of the earth works is ensured at every construction stage
– the bearing capacity, especially of ground with low strength, is not reduced below the admissible level
– no structures or pipe installations in the vicinity are impaired in their performance.
15.6.5 Before starting the placement of fill, each material used for filling shall normally be subjected to an investi-
gation of its suitability with regard to placement and checking criteria. In the case of fills of lesser impor-
tance or without any demands on bearing capacity the suitability investigation can be dispensed with.
15.6.6 Normally the surface of the fill is sloped during the whole of the construction period to enable the run off of
rain water.
15.6.7 Lateral spread of an embankment can be reduced by using steel straps.

16 GROUNDWATER CONTROL
16.1 Limitations
16.1.1 The requirements of Section 16 apply to the choice of measures to control the groundwater like regulating
the water levels, groundwater lowering, feeding in water and relief of water pressures.
16.1.2 Regarding the dewatering of construction sites see the Recommendation SIA 431 Entwässerung vo n
Baustellen.
16.2.1 The type and execution of measures to regulate or lower the groundwater, feed in water and to reduce water
pressures usually have to take into account:
– groundwater conditions
– the nature of the ground
– springs, water chambers, drinking water supplies
– zones of groundwater protection
– existing and planned structures, structural components, pipes and plant
– legal requirements.
16.2.2 The system, including arrangement and extent of measures for groundwater control, must ensure that the
following situations are ruled out with an ample safety factor:
– hydraulic failure
– buoyancy of structures due to uplift
– heave of soil layers due to uplift forces
– instability of slopes due to seepage forces
– excessive settlements due to loss of uplift or erosion and removal of soil
– erosion and washing out of soil
– infiltration of contaminated water via irrigation and dewatering plant
– removal of soil due to poor filter functionality or due to too high a capacity of the pumping plant
– flooding due to a rise of water level.
16.2.3 Settlements due to volume reduction of loose and sensitive soils caused by a lowering or raising of the
water table shall be considered.
16.2.4 With regard to dewatering in road construction or in the backfilling of retaining walls the provisions of SIA
267/1 apply.
16.2.5 Legal aspects have to be considered in the design phase. This is especially the case if permission for inter-
ference with the groundwater regime needs to be obtained.
16.2.6 The effectiveness of measures to control the groundwater has to be checked before putting the plant into
operation, the functionality at that time. This is especially the case for measures to ensure safety against
uplift and hydraulic failure as in dealt with in Section 13.
16.3 Ground
In the case of a long-term lowering of the groundwater and of drainage or soak-away systems, the ground-
water shall be investigated for the materials and substances present (fine-grained material, salts and
metals, gases, bacteria, fungi, etc.), which can cause corrosion, clogging or other impairments.

16.4 Analysis
16.4.1 For groundwater control the specific requirements of Section 4.5 must be complied with.
16.4.2 The decisive hydrogeological parameters for the analysis of groundwater control measures, especially
groundwater lowering, are normally determined on the basis of tests and trial groundwater lowering. The
tests must be representative for the problem under investigation.
16.5 Dimensioning
It shall be verified that none of the situations listed under Section 16.2.2 can occur, in particular that:
– the structural safety and serviceability of the planned structure and of any existing buildings, equipment
and plant in its vicinity are ensured for the intervention in the groundwater regime or the behaviour of the
ground
– in the long-term no inadmissible settlements occur or there is no damage to buildings, equipment or plant
– in the event of an incident there is no resulting damage exceeding the level of accepted risk
– the legal requirements are complied with regarding groundwater control.
16.6.1 The capacity of the pumps, pipes and reservoirs used in the groundwater control measures must be con-
servatively dimensioned with an adequate safety to cover any uncertainties in the calculation.
16.6.2 If a permanent pumping operation is necessary to fulfil the design requirements, this must be backed up by
standby and emergency electrical supplies together with alarm systems. If the soil exhibits low permeabili-
ty it is sufficient to maintain an adequate reserve with respect to the specified target reduction in water level.
16.6.3 To ensure the effectiveness of the groundwater control the filters around the wells must be properly desig-
ned for the existing soil.
16.6.4 The putting into service of wellpoints to lower the groundwater must be carried out with care and in a con-
trolled way. The wells have to be freed from sand and the pumping capacity shall be increased in steps at
the same time checking that there is no loss of soil material.
16.6.5 The groundwater removed from the soil shall normally be discharged into the ground or into a drainage
channel at a sufficient distance from the site. The conditions for discharging water, especially those pre-
scribed in the water protection laws, shall be complied with. Normally, the water has to be treated before
discharge.
16.6.6 Constructional requirements that result from maintenance, repair and monitoring of groundwater control
measures shall be considered already in the design.
16.6.7 Regarding the installation and operation of pumping plant and drainage systems the provisions of SIA 267/1

102
SIA 267, Copyright © 2003 by SIA Zurich
Abbreviations of organisations represented in commission 267
EPFL Swiss Federal Institute of Technology, Lausanne

ETHZ Swiss Federal Institute of Technology, Zurich

Project Management Swisscodes Drafting Panel for the code SIA 267
Prof. Dr. Peter Marti, dipl. Ing. ETH, Zurich Dr. Ulrich Vollenweider, dipl. Ing. ETH, Zurich
Dr. Ulrich Vollenweider, dipl. Ing. ETH, Zurich Olivier Fontana, dipl. Ing. ETH, Lausanne
Dr. Paul Lüchinger, dipl. Ing. ETH, Zurich Anita Lutz, dipl. Ing. ETH, Zurich
Prof. Dr. Viktor Sigrist, dipl. Ing. ETH, Hamburg Dr. Ruedi Vogt, dipl. Ing. ETH, Zurich
Commission SIA 267 “Geotechnical Design”
Chairman Dr. Ulrich Vollenweider, dipl. Ing. ETH, Zurich Consulting Engineer
Members Prof. François Descœudres, dipl. Ing. ETH, Lausanne EPFL

Walter Fellmann, dipl. Ing. ETH, Lucerne Geotechnical Consulting Engineer
Olivier Fontana, dipl. Ing. ETH, Lausanne Consulting Engineer
Andreas Hofer, dipl. Ing. ETH, Berne Federal Office for Roads
Prof. Dr. Hansruedi Schneider, M. Sc., Zug HRS Rapperswil
Prof. Dr. Sarah Springman, CEng MICE ETHZ
Richard Weber, dipl. Ing. ETH, Zurich Geotechnical Consulting Engineer
Minutes Anita Lutz, dipl. Ing. ETH, Zurich
Acceptance and coming into force
The central committee for codes and regulations accepted the present code SIA 267 on 1 October 2002.
It comes into force on 1 July 2003.
It replaces, together with the code SIA 267/1, the recommendations SIA V191 Prestressed soil and ro ck anchors,
Edition 1995, SIA V192 Piles, Edition 1996, the pre-code SIA 191/1 Ungespannte Boden- und Felsanker (Nägel) mit
Vollverbund, Edition 2001 and the guideline SIA 2009 Bemessung von verankerten Bauwerken, Edition 1996.
Interim regulations
Up to 30 June 2004 the recommendations SIA V191, Edition 1995, and SIA V192, Edition 1996, as well as the pre-code
SIA 191/1, Edition 2001, may still be used, but only together with the structural codes they refer to.
Copyright © 2003 by SIA Zurich
All rights are reserved, including that of reprinting extracts, partial or complete reproduction (photocopy, micro-copy,
CD-ROM, etc.), the storage in data processing systems and that of translation.
104

Geotechnical Design: SIA 267:2003 Civil Engineering

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Geotechnical Design: SIA 267:2003 Civil Engineering

Uploaded by

Copyright:

Available Formats

Schweizer Norm

SIA 267:2003 Civil Engineering 505 267

Copyright © 2003 by SIA Zurich Price category: 54

SIA 267, Copyright © 2003 by SIA Zurich

Foreword .................................................... 5 7.5 Dimensioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

SIA 267, Copyright © 2003 by SIA Zurich 3

14 Slopes and cuts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

15 Fills and embankments . . . . . . . . . . . . . . . . . . . . 97

16 Groundwater control . . . . . . . . . . . . . . . . . . . . . . . . 100

Acceptance and coming into force .............. 104

Interim regulations ...................................... 104

4 SIA 267, Copyright © 2003 by SIA Zurich

The Swiss structural codes comprise the following:

SIA 267, Copyright © 2003 by SIA Zurich 5

0.1.1 SIA 267 regulates:

6 SIA 267, Copyright © 2003 by SIA Zurich

SIA 267, Copyright © 2003 by SIA Zurich 7

1.1 Technical terms

Alarm value Value of a control parameter at which safety measures have to

Alert value Value of a control parameter, at which the execution work or

Anchor Structural element that transmits force to the ground by means

Anchorage The entirety of the anchoring measures that contribute to the

Bored pile Pile which without displacement of the ground is installed in a

Cased bored pile Pile that is constructed by simultaneously or subsequently

Cast-in-situ pile Concrete pile that is cast directly in the ground.

8 SIA 267, Copyright © 2003 by SIA Zurich

Compaction pressure Earth pressure increase due to compaction of the ground.

Compressibility modulus Parameter to describe the deformability of soil. The compres-

Compression pile Pile that resists compressive forces.

Control value Observable or measurable parameter of a geotechnical or

Creep pressure Action of creeping soil or rock on an immoveable structure.

Creep rate Slope of the time-displacement curve in a semi-logarithmic

Cut Vertical or inclined slope resulting from the excavation of soil.

Deformation modulus Parameter to describe the deformability of the ground. The

Deformation resistance Resistance produced by the stiffness of the soil to a displace-

Dewatering Temporary or permanent measure of a technical or organic

SIA 267, Copyright © 2003 by SIA Zurich 9

Dynamic investigation Geotechnical: investigation to determine the dynamic geotech-

Fill Body of soil with or without slopes created by heaping up fill

Flow pressure Action produced on an immovable structure by flowing soil.

Fluvial erosion Hydraulics: erosion or removal of soil caused by the seepage

10 SIA 267, Copyright © 2003 by SIA Zurich

Geotechnical model Idealised description of the ground using geotechnical para-

Geotechnical parameters Geometrical and geotechnical parameters to describe the geo-

Geotechnical risk Hazard to a construction project, structure or an area of life

Geotechnical value Value describing a material-technological property of soil or

Ground Ground consisting of soil or rock in the area of a construction

Groundwater Water, flowing or stationary, filling the connected system of

Groundwater control Temporary or permanent measure to lower, raise or regulate

Groundwater flow in slopes Continuous or dispersed flow of water in a slope.

Groundwater lowering Temporary or permanent lowering of the water table.

SIA 267, Copyright © 2003 by SIA Zurich 11

Nail Type of anchor whose primary function is to transmit either ten-

Observational method In the case of an insufficiently reliable basis for dimensioning

Pile Slender structural element to transmit loads and forces (com-

12 SIA 267, Copyright © 2003 by SIA Zurich

Prefabricated pile Pile which before installation is fabricated in whole or in part of

Site investigation Obtaining information on the geology, geotechnical properties

Slope: artificial Man-made inclination of the ground surface produced by exca-

Slope: natural Natural inclination of the ground surface.

Soil Geotechnical: ground consisting of loose or soft material (as

SIA 267, Copyright © 2003 by SIA Zurich 13

Soil nailing Stabilising the ground under a structure by means of nails.