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ABSTRACT
As Eurocode 7 becomes more widely used, questions raised by designers have highlighted issues
that require further debate and clarification. Most of these have existed, in one form or another,
for many years, but the advent of a new code, providing a common language, has brought them
into sharper focus. Some of these issues will be considered in this paper: the selection of
characteristic and design values of soil parameters, design in situations dominated by water
pressures, the relevance of the EQU limit state and the use of numerical analysis for ULS design.
The selection of parameter values for calculations frequently leads to debates among
geotechnical designers. Eurocode 7 attempts, in an rather qualitative way, to point towards a
target reliability for characteristic values, while providing a framework in which the precious
expertise of individual engineers can be fully exploited. Problems of water pressures and the EQU
limit state have a lot in common: how to make provisions for safety in situations where forces
largely balance one another and material strength plays a small, but often vital, part. Numerical
models are now widely used to study serviceability, but their use in checking ultimate limit states
has been questioned; how are partial safety factors to be applied, at what point in staged
calculations, and can they be used with advanced non,linear models of soil behaviour?
Each of these issues is discussed and some practical solutions suggested.
Keywords: Codes of practice & standards; Design; Strength and testing of materials;
Groundwater; Numerical modelling.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
EC7 requires that both ultimate limit states applied to resistances rather than to material
(ULS) and serviceability limit states (SLS) be strengths. There are some situations in
considered. Most of its text refers to ULS, which factoring loads at source leads to
for which the main approach is based on use unreasonable situations, especially in the
of partial factors. Opinions in Europe differ design of retaining structures. For these,
about where and how these should be EC7 allows the factors to be applied to the
applied, and this is left to national choice; the effects of the loads, and this is used where
values to be adopted for partial factors may appropriate in “Combination 1” of DA1.
also be varied nationally. Three alternative In DA2, partial factors are applied to
“Design Approaches” have been developed, loads and to ground resistances. In a variant
combining partial factors in different ways; of DA2, DA2*, the equilibrium calculation
the factor values proposed in the European is carried out using unfactored
document are shown in Table 1, modified as (“representative”) loads, and the factors are
noted below for DA1 Combination 1. applied to derived load effects. It has been
In Design Approach 1 (DA1), two found that DA2 and DA2* are unsuitable for
“combinations” of partial factors are slope stability problems and for use of
specified, and the design must be shown to numerical methods, so most countries which
accommodate both combinations. have adopted DA2 use DA3 for slope
Essentially, they are used in the same way as stability and for numerical methods.
load combinations, but the concept is In DA3, factors are applied to material
extended to include material strengths and strength and to loads simultaneously, in
resistances. Partial factors are generally contrast to the two combination approach of
applied to either loads (before combination) DA1 in which they are applied to the two
or ground strengths (before calculation of separately and the results compared. A few
resistances), though with some exceptions. In countries propose to use DA3 for all types of
countries that use DA1, the factors on ground designs, with factors quite different from
materials and strengths are generally set to those shown in Table 1 in most cases.
1.0 in Combination 1, as shown in Table 1.
For design of piles and anchors, factors are
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
value actually operative in the ground, not variation seen in tests on small specimens.
simply the values measured in tests, and they In these cases, the characteristic value
are to take into account well established should be a cautious estimate of the mean
experience as well as test results made for the value for the zone of ground governing the
particular project. behaviour of a geotechnical structure at a
Referring to Equation (1) above, taken limit state {2.4.5.2(7)}. This is illustrated in
from EN1990, the requirement in EC7 for Figure 1, which shows a building to be
“the value affecting the occurrence of the designed at the top of a slope formed in
limit state” is equivalent to incorporating the “estuarine beds”, consisting largely of sands
conversion factor η, in this case relating soil but with some weaker clay inclusions.
test results to real ground behaviour, into the Considering the overall slope stability, any
characteristic value, as allowed by EN 1990. failure would have to pass through a
Paragraph {2.4.3(4)} notes that assessment of majority of the sands, and could average out
ground properties should take account of the effects of the weaker clay zones; so in
“the effect of construction activities on the this case the relevant characteristic
properties of the ground”. parameter, possibly ϕ′, would be a cautious
The “experience” to be considered in estimate of the mean for the slip surface.
estimating the characteristic value is noted in However, in considering the individual pad
{2.4.5.2(4)}: geological and other foundations for the building, it could be
background information, such as data from possible that a pad would be located almost
previous projects. This paragraph also lists exclusively on clay, so the characteristic
the following items as relevant to the value for the foundation design would be
required estimate: based on the strength of the weaker clay.
• the variability of the measured property Another possibility is that the designer
values and other relevant information, chooses to have ground beneath each pad
e.g. from existing knowledge; probed to check for clay, and this is to be
• the extent of the field and laboratory dug out if it is found. In that case, the
investigation; characteristic value could be a cautious
• the type and number of samples; estimate of the strength of parameters of the
• the extent of the zone of ground stronger sand. It can be seen, therefore, that
governing the behaviour of the the characteristic value depends on the
geotechnical structure at the limit state failure mode, the extent of the zone of
being considered; ground affected, and the way it has been
• the ability of the geotechnical structure investigated.
to transfer loads from weak to strong
3.4 Use of statistics
zones in the ground.
Although the definition of characteristic
value in EC7 is not basically statistical,
statistical methods could be useful in its
assessment, and help to define the term
“cautious”. Paragraph 2.4.5.2(11) says “If
statistical methods are used, the
characteristic value should be derived such
that the calculated probability of a worse
value governing the occurrence of the limit
Figure 1. Building on estuarine beds. state under consideration is not greater than
5%.”. Again, attention is drawn to the real,
Although the characteristic value is overall behaviour in the ground –
defined to be “cautious”, not a statistical “governing the occurrence of the limit state”
mean value, it is noted that the ground has – so the preceding paragraphs about mean
the ability to average out some of the values in a zone of influence still apply.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
Engineers often need to follow this sort of Generally the strength to be used in
process when trying to interpret real data. It Eurocode 7 is the maximum available to
may be that statistical methods could trace a prevent collapse, not a value mobilised in a
similar logical sequence. However, this working state.
would require quite advanced methods and
any statistical approach which failed to take 3.7 Design values of ϕ′
account of the diverse array of data, typically Whereas the selection of characteristic
available, would be harmful to the design values is common to all the Design
process. Approaches of EC7, only approaches DA1
and DA3 require derivation of design values
3.6 Which value of ϕ′ as characteristic? of material properties. This section is
The question has been asked: “Which relevant to them.
value of ϕ′ is the characteristic value?” It is Eurocode 7 allows two alternative means
sometimes necessary to chose from one of of deriving design values of material
the following, depending on circumstances: properties:
• peak, critical state or residual shear a) by application of a partial factor γM, as
strength discussed above.
• ultimate strength or a “mobilised” value b) by “direct assessment”, in which case
• strength of intact material or strength on “the values of the partial factors
joints recommended ... should be used as a
• strength at first loading or after repeated guide to the required level of safety”.
loading It is often asked where the use of a
• stiffness of intact rock or of the jointed critical state angle of friction fits into this
material scheme. The suggestion is made by some
• stiffness on first loading, or on unload that as the angle of friction cannot fall any
reload lower this value could be used as a directly
In all cases, the answer of Eurocode 7 is: assessed design value, requiring no further
“The one that is relevant to the prevention of γM. This would mean that no margin of
the limit state under consideration.” EC7 safety would be applied to the strength of
does not differ in this respect from normal soil believed to be in an initially loose state.
practice. For some particular situations, the It is true that part of the uncertainty
code is able to specify which of these values about ϕ′ is the state of the soil, which
is relevant. For example, where concrete is elevates its value above the critical state
to be cast against ground, which might value. However, in the author’s experience,
therefore be disturbed, the critical state value ground investigation is often inadequate to
for the angle of shearing resistance is give the designers complete confidence in
required {6.5.3(10), 9.5.1(6)} . the actual nature of the soil, such as its
This answer to the question is not the grading, apart from its state of compaction.
same as: “The one which would become On this basis, the design value of ϕ′ for
relevant if the limit state was not prevented.” loose soil should be less than its anticipated
For example, in most plastic clays, if a slip critical state value.
occurred, the angle of shearing resistance The critical state value is directly relevant
would eventually fall to the residual value. to the strengths of interfaces between the
Nevertheless, it is not necessary to design for ground and concrete cast against the ground
residual strength in clays which have not {6.5.3(10), 9.5.1(6)}. In the author’s view it
previously slipped. Similarly, it may be is arguable that the reduction factor γϕ
unnecessary to design for critical state values, applied to this could be less than the value
though brittleness and ductility must be used generally in the body of the soil,
considered, as noted in {2.4.1(13)} and perhaps 1.15 instead of 1.25, provided its
{2.4.3(4)}. design value is still less than the design
value for the body of the soil.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
For soil in a denser state, the design value overview will be provided here in an attempt
in the body of the soil will normally be to help the reader understand the
obtained from the characteristic value by conclusions and remaining debate. Simpson
application of a partial factor γϕ. Often, this et al discussed five “simple” problems
will mean that the design ϕ′ will be less than intended to highlight particular issues,
a cautious estimate of the critical state value, together with three more practical designs.
ie ϕ′d = ϕ′k/γϕ < ϕ′crit,k. In the author’s This work is limited to considering
opinion, this is a very useful additional safety conditions of hydrostatic water pressures or
check (ie ϕ′d < ϕ′crit,k), and it would be good steady state seepage, in which water
if it were added, at least as an application pressures are specified in calculations,
rule, to EC7. independent of the loading and stress strain
behaviour of the ground. Situations
3.8 Further development by SC7 involving the time dependent response of
CEN/TC250/SC7 has set up Evolution the ground are not discussed.
Group 11 on “characterisation”, chaired by
4.2 Requirements of EC7
Lovisa Moritz of Sweden. One of the tasks
of this group is to consider the derivation of EC7 recognises five types of ultimate
characteristic values. limit states:
EQU: loss of equilibrium in which the
strengths of materials is insignificant
STR: failure of structural elements
4 DESIGNS DOMINATED BY WATER GEO: failure in the ground
PRESSURE
UPL: failure due to uplift by water pressure
(buoyancy)
4.1 Introduction
HYD: hydraulic heave
In surveys of views on EC7, greater clarity The particular problems of HYD will be
of requirements for safety provisions in discussed in 4.9 below.
relation to water pressures is a frequent STR and GEO may occur together and
request. As in the case of derivation of they are checked using load factors of 1.35
characteristic values, the author believes this and 1.5 on unfavourable permanent and
request reflects a problem that pre dates EC7. variable loads, respectively, with 1.0 and 0.0
CEN/TC250/SC7 has set up Evolution Group on the equivalent loads when acting in a
9 on water pressures, chaired by Professor favourable manner. The load factors used
Norbert Vogt of Germany. for UPL are generally lower: 1.1 for
Water pressures raise two particular unfavourable actions, generally water
problems: pressure, and 0.9 for favourable, generally
a) They sometimes constitute large forces weight of a potentially buoyant structure.
that are critical to design and have well The way in which the STR/GEO factors are
defined maximum values, with little real to be applied when water pressure is a
uncertainty. leading action is a particular point of debate.
b) Besides constituting forces, water EC7 says: “When dealing with ground
pressures reduce the strength of frictional water pressures for limit states with severe
soils. Thus they have a double effect in consequences (generally ultimate limit
soil mechanics, and this is also true of states), design values shall represent the
any partial factors applied to them. most unfavourable values that could occur
The issues raised by designs dominated by during the design lifetime of the structure”
water pressure were considered by Simpson , {2.4.6.1(6)P}. Noting that “design values”
Vogt and van Seters (2011) in a paper are values that already incorporate safety,
requested by the EC7 committee requiring no further partial factors, this
CEN/TC250/SC7. Reference to that paper is paragraph indicates direct assessment of
recommended for full details of the work, ULS design values on the basis of their
including mathematics. A less mathematical physical limits in extreme, but credible
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
situations. For serviceability limit states, the If these “secondary” actions or action
design values are to be less severe, effects are large, failure could occur but the
corresponding to “normal circumstances”. fault may be seen to rest with the owners or
Expanding on this two paragraphs later, maintainers of the structure, or the vandals;
EC7 provides an application rule: “Design alternatively, the designer should have
values of ground water pressures may be foreseen them and was wrong to omit them
derived either by applying partial factors to from the primary actions for which the
characteristic water pressures or by applying structure was designed.
a safety margin to the characteristic water However, if the secondary actions or
level” {2.4.6.1(6)}. It therefore appears that action effects are small, the owner would
the designer can choose between direct reasonably expect the structure to be
assessment, factoring water pressures or sufficiently robust to withstand them. In this
adjusting water levels to derive ULS design context, “large” and “small” effects have to
water pressures. be judged in relation to the magnitude of the
An earlier paragraph on actions is also primary actions.
important: “Actions in which ground and It follows that even where there is no real
free water forces predominate shall be possibility of unfavourable variation of the
identified for special consideration with primary actions, it may be necessary to
regard to deformations, fissuring, variable include some variation of them in design in
permeability and erosion” {2.4.2(9)P}. This order to accommodate the possible
has attached a significant note, outlining the secondary actions that are not otherwise
single source principle: “Unfavourable (or included. The uncertainty of the way the
destabilising) and favourable (or stabilising) actions produce effects within a structure
permanent actions may in some situations be also has to be accommodated. The
considered as coming from a single source. If variations could be applied either to the
they are considered so, a single partial factor actions themselves, in deriving design
may be applied to the sum of these actions or values, or to the action effects.
to the sum of their effects.”
4.4 Explicitly accommodate the worst water
4.3 Robustness – allow for secondary pressures that could reasonably occur
actions and action effects As noted in 4.2 above, EC7 requires for
Even in cases where the magnitudes of the ULS design that the design water pressures
primary actions are fixed with no possibility design values shall represent the most
of unfavourable variations, designs should be unfavourable values that could occur during
sufficiently robust to accommodate unknown the design lifetime of the structure.
and unpredictable secondary actions.
Furthermore, even where the magnitudes of
actions are fixed, the values of resulting
action effects within a structure may have
some uncertainty; that is, there is uncertainty
in the loading model.
In the cases considered here, the primary
unfavourable actions are derived from water
pressure, which in some cases may have very
clear limits. Secondary actions could include, Figure 7. Gravity wall retaining free water.
for example, sedimentation around a
structure in water, excavation of the ground Figure 7 shows a wall supporting water
above a structure relying on the weight of pressure. A drain is provided, with the
ground, minor vehicle or ship impacts, intention that the depth of water be limited
considered too small to include in to 3m. However, if the drain should become
calculations, or vandalism of various kinds. blocked and the water depth increases to 4m,
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
the bending moment in the wall is increased illustrated in Figure 9. Methods 3 and 4
by a factor of 2.5. Clearly, a design that took both follow the single source principle,
the expected water depth, 3m, and applied a noted in 4.2 above, but Methods 1 and 2 do
partial factor of 1.35 to the water pressure or not.
bending moment would be inadequate if the
4m depth occurred.
This example illustrates why it is essential
that designs explicitly accommodate the
worst water pressures that could reasonably
occur.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
Figure 10 Submerged anchor block – allowable anchor force in relation to density of block.
(a) Method 1, (b) Methods 2 to 4, (c) Methods 2 to 4 assuming the anchor force is permanent.
which the pressures above and below the indicating that for this problem it may not be
block are independent because they are not necessary to apply factors to water pressure,
from a “single source”. As the water either directly or indirectly. The resultant of
becomes deeper, the allowable anchor force water actions, which is destabilising, is not
reduces for the same block, and for d/H=5 no increased, so the overall factor of safety is
force can be taken unless the density of the lower than obtained with Method 3.
block is more than twice that of water. It is concluded that methods which follow
The results for Methods 2 to 4, shown in the single source principle (Methods 3 and
Figure 10b, are independent of the water 4) are to be preferred. Method 4, in which
depth. For Method 2, the allowable Fk tends water pressure is not factored, appears to be
towards the unfactored value for low density adequate for this example.
ratios. Figure 10c is similar, except that it is
assumed that the anchor force is permanent, 4.6 Partial factors on the density of water?
rather than variable (ie γG;dst has been applied Referring to the example shown in Figure
to F in place of γQ;dst). In this case, Method 2 11, Simpson et al (2011) discussed whether
provides very little safety for low density the density of water should be factored in
ratios. A further important objection to order to provide a safety margin. Although
Method 2 is that it applies a reduction factor they agreed that that should be avoided, they
(γG;stb<1) to the buoyancy effect of the water, noted that some safety formats would factor
which is clearly a destabilising effect. the water pressures derived from the
Methods 3 and 4 both follow the single unfactored density, and others would factor
source principle, and so avoid the need to the forces derived from unfactored
distinguish between stabilising and pressures.
destabilising actions of water pressures.
Method 3 provides apparently reasonable
results, though in effect the density of water
is factored, which could lead to difficulties in
more complex situations where the strength
of soil is affected by water pressures. This
difficulty might be avoided if all actions of
connected water are combined to find a
resultant destabilizing uplift force, which is Figure 11. Gravity construction retaining
then factored by γG,dst. This method clearly water.
shows where safety on water pressures is
applied, by considering the block weight and EC7 has no “middle third rule” for
water uplift separately. eccentrically loaded spread foundations,
Method 4, with no factors on the water though it says that special care should be
forces, also provides reasonable results, exercised if the resultant force does not lie
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
within the middle two thirds, as illustrated in Where γG and γG,inf are partial factors on the
Figure 11. Simpson et al (2011) suggested unfavourable and favourable actions. For all
that this limit should be applied for situations cases:
dominated by water pressure.
Td ≤ Rd = Rk/γP,t (5)
4.7 Use of an offset in water level?
Figure 12 shows a deep basement where γP,t is a resistance factor on pile
extending below the water table. No capacity in tension.
drainage is provided beneath the base slab, so In situations where U greatly exceeds W,
hydrostatic water pressures are expected. the precise sequence of calculation in which
Some unplanned variation in the water level the factors are applied and the value of the
is possible, for example due to leakage from partial factors may vary according to
a water main. The total weight of the national practice, but the outcome is much
structure, which could include superstructure the same. The case of W greatly exceeding
built on the basement, is W and its area in U, which would require compression piles if
plan is A. If needed, tension piles are to be the slab is suspended, is not considered here.
provided to prevent uplift. The problem is more debatable when the
characteristic (unfactored) values of W and
U are close, especially in formats that use
γG;inf = 1.0, which is common. If Wk=Uk and
γG>1 is applied to water pressure, tension
piles are needed, but if water pressure is not
factored or adjusted in some other way no
piles are needed, even if a factor is applied
to the resultant (Uk−Wk), which in this case
equals zero.
To illustrate this problem, suppose n piles
Figure 12. Deep basement subject to uplift. are to be provided each with a characteristic
resistance in tension Rk. For the purpose of
The uplift force beneath the basement is plotting results of calculations, it is
given by U = γwAh, where γw is the weight convenient to define Ww=γwAD; this is not
density of water. the buoyancy force, which is Uk=γwAh.
If the characteristic uplift force U When Uk=Wk, h/D = Wk/Ww. In Figure 13 the
approaches or exceeds the characteristic number of piles required, n, represented by
weight W, the tension force T in the piles has nRk/Ww, is plotted against h/D for a typical
to be derived. For ULS UPL we find: case in which Wk/Ww=0.25. The values of
partial factors used here are adopted for
Uk·γG,dst = Wk·γG,stb + Td (2) illustration only, and may not represent any
particular national practice. Some countries
prefer to view tension piles as providing a
where γG,dst and γG,stb are partial factors on the
favourable action, which would also lead to
permanent disturbing and stabilising actions.
adoption of different factors. In Figure
This means that
13(a), the critical area of the graph is shown
as an enlarged detail as Figure 13(b).
Td = Uk·γG,dst – Wk·γG,stb (3)
In the unfactored case, piles only become
necessary when h/D > Wk/Ww = 0.25 in this
It is also possible to consider the problem
example. If factors are applied to the
as ULS STR/GEO. Then we get:
unfactored resultant force in the piles,
together with pile resistance factors, a line
Td = Uk·γG – Wk·γG,inf (4)
such as line (b) is obtained, for which γR=1.7
was used for the piles in this illustration.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
22 0.4
0.4
(e)
k/Ww
(a)
(a)
(c) (d)
n·Rk/Ww
(b)
(b) (f)
n.Rk/Ww
n.Rk/Wwn·R
(c)
(c)
(b)
11 (d)
(d) 0.2
0.2
(e)
(e) (a)
(f)
(f)
00 0
0
00 0.2
0.2 0.4
0.4 0.6
0.6 0.8
0.8 11 0.1
0.1 0.2
0.2 0.3
0.3 0.4
0.4
h/D
h/D h/D
(a) h/D (b)
Figure 13. Number of piles required (normalised). (a) unfactored, (b) pile resistance factored, (c) γG =
1.35 on water pressure, (d) water table adjusted, (e) UPL, (f) γG;fav = 0.8 on weight.
The gradient of this line depends on the application in a code of practice, however. If
values of the factors, but when h/D = Wk/Ww this approach is preferred, it may be
= 0.25 no tension piles will be provided and necessary to rely more heavily on the
there is no reserve of safety for deviation expertise of the designer to decide what
from the characteristic values of water margin is appropriate. This is consistent
pressure and weight. This is considered to with the approach of EC7 {2.4.6.1(6)P}
represent an unacceptable situation. using direct assessment of design values:
However, for a high water table (h/D “When dealing with ground water pressures
approaching 1), this case is taken as a for limit states with severe consequences
reasonable guide to the number of piles (generally ultimate limit states), design
needed. values shall represent the most unfavourable
If the water pressure beneath the base is values that could occur during the design
multiplied by a partial factor γG=1.35, a line lifetime of the structure.”
such as line (c) in Figure 13 is obtained; in In relation to EC7, the discussion above
plotting this line a lower value of pile relates to the “STR/GEO” requirements
resistance factor γR=1.3 has been adopted, in normally used for finding the number and
acknowledgement of the increased value of required resistances of piles. EC7 has
γG. In this case, a reserve of safety is another requirement for uplift cases, UPL,
provided when h/D = Wk/Ww, requiring some which is normally understood to require a
tension piles. However, the number of piles factor γG;dst > 1 applied to uplifting water
might be regarded as excessive for the case pressure and a factor γG;stb < 1 applied to
of a high water table, h/D approaching 1, stabilising total weight. Line (e) in Figure
where the water pressure beneath the base 13 is plotted for typical values γG;dst = 1.1,
becomes physically unreasonable. γG;stb = 0.9, with the resistance factor for the
An alternative approach could be to avoid piles γR=1.7. This requirement can produce
factoring water pressure but to require an sensible results provided that (a) it is agreed
increase in the water head h. For example, that piles are to be designed using loading
line (d) in Figure 13 shows the results when derived from UPL and (b) an appropriate
the free height above the water table (D−h) is system and values of factors is adopted in
reduced by 10%. This has an advantage in applying these loads to pile design. As with
the case where h is large (eg h/D=1) that it other schemes involving factors on water
does not enhance the water pressures pressure, it becomes unreasonable when the
unreasonably, requiring too many piles. The water table approaches ground level (h/D=1)
amount by which the water head should be and may demand more piles than are really
raised is difficult to specify for general needed.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
In this problem, it is necessary to change included here because it has been a further
the water pressure or the building weight point of controversy. This equation relates
from their characteristic values in order to to states of hydraulic heave in the ground
increase safety when Uk is close to Wk. A caused by hydraulic gradient, as illustrated
possible alternative, not considered by in Figure 14.
Eurocode 7 but recommended for further
consideration, would be to apply a reduction
factor to the weight of the building, say 0.8,
while leaving the water pressure unfactored.
This is shown as line (f) in Figure 13, plotted
with γR=1.7. This provides safety when h/D
= Wk/Ww, but it avoids factoring water
pressure and has a smaller effect than some
of the alternatives, such as UPL, when
h/D=1.
Of all the approaches presented here, the
author recommends adoption of either (d) an
increase in the water head h or (f) a reduction
factor applied to the weight of the building of
about 0.8.
Figure 14. ‘HYD’ in EC7
4.8 The “star” approach – DA2* , DA1* ?
In any scheme of load factoring, it can be EC7 has an equation for checking
argued that equilibrium has to be broken at hydraulic heave which appears in total stress
some point in the chain from density to and effective stress forms – Equations 2.9a
design action effect. The present author’s and 2.9b. It also gives the value of partial
view is that geotechnical calculations can safety factors, but it is unclear about how
best be carried out by preserving equilibrium these factors should be applied. This has led
with unfactored waster pressures up to the to much confusion, with debate about
point of deriving structural action effects. whether 2.9a or 2.9b is correct.
This is consistent with the note in EC7 EC7 {2.4.7.5(1)P} states: “When
{2.4.2(9)}, discussed in 3.2 above, “a single considering a limit state of failure due to
partial factor may be applied to the sum of heave by seepage of water in the ground
these actions or to the sum of their effects”. (HYD, see 10.3), it shall be verified, for
This scheme could be applied to EC7’s every relevant soil column, that the design
Design Approach 1, where it is only relevant value of the destabilising total pore water
to Combination 1. It could be termed pressure (udst;d ) at the bottom of the column,
approach DA1*, by analogy with DA2* in or the design value of the seepage force
which load factors are always applied at a (Sdst;d) in the column is less than or equal to
late stage in the calculation. An important the stabilising total vertical stress (σstb;d) at
difference is that DA1*, as intended here, is the bottom of the column, or the submerged
only used for problems dominated by water weight (G´stb;d) of the same column:
pressures, in which the uncertainty of the udst;d ≤ σstb;d (2.9a)
action effects of the water, together with Sdst;d ≤ G´stb;d (2.9b)”
other “secondary” actions, are probably more Annex A of EC7 provides values for
important than any adverse variation of the partial factors to be used for HYD, γG;dst =
water pressures themselves that have not 1.35 and γG;stb = 0.9. But the code does not
already been incorporated. state what quantities are to be factored. Orr
(2005) reported calculations for the situation
4.9 HYD – EC7 Equation 2.9
of potential hydraulic heave shown in Figure
Discussion of EC7 Equation 2.9 was not 15. He found that the calculated allowable
considered by Simpson et al (2011), but it is
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
height of water H could vary from 2.78m to 4.10 Conclusions on water pressures
6.84m due to application of the same factors, Prescription of safety in design for
taken from EC7, at different points in the problems dominated by water pressure is a
calculation. subject of ongoing debate. For
Taken at face value, Equations 2.9a and completeness, the conclusions reached by
2.9b are alternative representations of the Simpson et al (2011) are listed here.
same physical requirement. They are Agreement was reached on the following
expressed in terms of parameters that are points:
inter dependent, and design values are used. 1. The effects of water pressures are very
In the absence of prescription in EC7, Orr important in geotechnical design. Their
(2005), and others have interpreted these actual values can have significant
equations to mean uncertainties, and values outside the
γG;dst udst;k ≤ γG;stb σstb;k range anticipated in design can cause
and major failures.
γG;dst Sdst;k ≤ γG;stb G´stb;k 2. Partial factor design applies factors to a
where the subscript k indicates characteristic, small number of leading, or “primary”
actions. In real design situations,
unfactored values for the parameters.
secondary actions of relatively small but
The two requirements expressed in this unpredictable nature and magnitude
way have significantly different effects, as should also be accommodated; that is, a
illustrated by Orr, because the factors are degree of robustness it required. Often,
applied to different quantities. If the factors these are accommodated by increasing
are applied to the same quantities, Equations the partial factors applied to primary
2.9a and 2.9b are alternative statements of the actions or action effects.
same requirement. 3. Designers must explicitly accommodate
As in examples presented above, the main the worst water pressures that could
problem arises here if a partial factor is reasonably occur. Reliance on factors of
applied to characteristic water pressure udst;k. safety together with less extreme water
A factor can be applied to excess water pressures or water levels may give a
pressure or excess head, and this is false sense of security.
equivalent to factoring the seepage force 4. Application of partial factors to the
Sdst;k. On the right hand side of the density of water should generally be
requirement, the issue is whether to factor avoided.
5. One useful way to maintain a prescribed
total density or buoyant density of the
degree of safety is to require an offset in
ground. Since the proposed factor, 0.9, is water pressure, raising or lowering the
close to unity, this is less important; in very water surface or piezometric level.
light weight soils factoring buoyant density 6. The single source concept should be
has no effect, which suggests that it is safer applied whenever possible.
to factor total density.
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
4.99 both concepts check EQU and conclude With the (1.1, 0.9) combination, tension
that there is no tension requirement for the occurs for a/b>5. However, for the (1.35,
piles. For very slightly higher a/b = 5.01, 1.15) combination, the forces in the piles are
Concept 1 requires that the piles be designed Wr(1.15±0.2a/b), so there is no tension until
for a significant tension of 0.58Wr. In a/b>5.75. This difference might be more
contrast, for this very small change in a/b significant than was intended by the code
Concept 2 requires very little tension drafters. In the UK National Annex, the
capacity, 0.002Wr. (1.35, 1.15) combination has been accepted
(c) In some cases, Concept 1 requires that for building design but not for bridges.
the foundations be designed for more severe
loading when their strength is limited than 6 USE OF FEM FOR ULS
when their strength is considered unlimited,
implying that there is no strength 6.1 Introduction
requirement. Schuppener et al considered the Numerical methods, taken here to refer to
retaining structure shown in Figure 17. In finite element and finite difference
Concept 1 the problem was judged to be one computations, are often used with
of overturning if the ground was infinitely unfactored parameters to analyse service
strong, for which the load factors applied conditions, checking for serviceability limit
were those of EQU. But if the ground was states. Some results taken from these
not infinitely strong in bearing, the larger analyses may be factored to provide design
load factors of GEO had to be considered. In values for ultimate limit state checks; this
the author’s view, it is unreasonable to applies mainly to structural forces and
change the loading in this way as a function bending moments. However, the use of
of the strength of the ground. This issue does numerical methods for full ULS analyses, in
not arise with Concept 2. which the strength or resistance of the
ground is modified, is comparatively new
and still a subject of debate. To study this
and related issues, CEN/TC250/SC7 has set
up Evolution Group 4 on numerical
methods, chaired by Dr Andrew Lees of
Cyprus.
Use of numerical methods with EC7
raises the following issues:
1. Can numerical methods be used for
ULS analysis in accordance with all of
Figure 17. Potential overturning of retaining EC7’s Design Approaches?
structure. 2. If the strength of ground is to be
reduced, how is this to be applied in
5.4 An alternative formulation practical computations?
EN 1990 permits national annexes to 3. Does factoring ground strength lead to
accept an alternative set of factors for EQU the “wrong” failure mechanism?
combined with STR/GEO, using 1.15 on 4. For staged construction or excavation,
favourable permanent actions and 1.35 on at what stage should factoring be
unfavourable permanent actions. Referring applied?
to Figure 16, this would give the same 5. Can advanced soil models be used with
bending moment in the column as the basic partial factor methods?
GEO combination of (1.1, 0.9), supporting 6. How are factors to be applied for
the case for Concept 2 discussed above. undrained behaviour and time
Schuppener et al (2009) show that this dependent consolidation?
formulation can alleviate some of the These issues are in current debate, with
geotechnical problems of EQU. no generally agreed answers. They will be
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
outlined below and the author will offer example of this approach is the “c,ϕ
opinions. Following this, a practical reduction” in Plaxis.
example of computations to Design In method (a), the aim is to show that no
Approach 1 will be presented. ULS occurs with the reduced strengths. The
various strength parameters involved, cu, c′,
6.2 Can numerical methods be used for all ϕ′, other soil parameters and structural
Design Approaches? strengths, can all be factored by different
Numerical methods can be used relatively amounts if required. Normally the
easily for ULS computations if this merely occurrence of a ULS will not actually be
requires using factored values for the input to modelled. This method can show that the
the program, or simply factoring the design complies with code requirements, but
structural action effects resulting from the it may not make clear how much additional
geotechnical program. Design Approach 2 reserve the design has, or how much further
(DA2) requires factors to be applied to economy might be available.
quantities that are internal to the geotechnical Method (b) models an actual ULS and the
analysis such as active and passive forces or aim is to show that the reduction factors that
pressures, and bearing resistance for spread apply to material strengths at the ULS are
foundations. So it is generally accepted that greater than those required by the code. The
full numerical analyses of ultimate limit difference between the code requirements
states cannot be undertaken for DA2. Most and the actual reduction factors at failure
countries that use DA2 require use of DA3 may give some indication of the reserve of
for numerical analysis. safety and the further economy available.
Design Approach 1 was the only approach Even so, it will not lead directly to an
in the ENV version of EC7 published in improved design; this has to be achieved by
1995. In its development, the possible use of further analysis of a revised geometry.
numerical methods was considered, so it can It is important that the appropriate partial
be used relatively easily. The use of DA1 is factors are applied to each strength
not very different from the combined use of parameter involved, such as cu, c′, ϕ′, and
DA2 and DA3, except that DA1 requires possibly structural strengths. This is easily
checking of two calculations, whereas achieved with method (a); facility for
combined use of DA2 and DA3 could imply method (b) will be dependent on the
acceptance of a design that passes according software.
to one DA but fails according to the other. As an example, Figure 18 shows the
The legal implications of such as situation displacements computed for an 8m deep
might be debatable. excavation with a diaphragm wall and single
prop. The design moment of resistance of
6.3 How should strength factors be applied? the wall is 1000kNm/m. Following method
Design Approaches 1 and 3 require the (a), with a strength reduction factor γϕ of
strength of the ground to be reduced by 1.25 the mobilised bending moment is
partial factors. The aim is to show that no 772kNm/m (Fig. 19). No ULS occurs, so
ULS occurs (strictly, none is exceeded) when the design is verified. Figure 20 shows the
the ground is assumed to have its reduced development of a mechanism as ϕ′ has
design strength. gradually been reduced to a value equivalent
Two alternative methods are available for to γϕ = 1.45, following method (b); for this
application of strength reduction factors: analysis the computed bending moment is
a) Reduce the ground strengths used as 1729kNm/m, far above the moment of
input to the numerical computation. This resistance of the wall. The method (b)
could be done by the user or analysis, with an excessive reduction in the
automatically by the program. strength of the soil and an unacceptable
b) Carry out the computation first with bending moment, yields no useful
unfactored strengths, then progressively information, failing to clarify whether the
reduce them until a ULS is reached. An
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
%%% Strategy 1 %%% %%%%%%%%%%%%%% Strategy 2 %%%%%%%%%%%%%%%% and ϕ′ it is reasonable to take this as the
Compute using
factor on drained strength, however derived.
Compute using Compute using
factored strength characteristic factored But more interpretation might be needed if
parameters parameters
Factor material the national annex gives two different
strengths
Initial state values. In any event, it will be important to
Initial state? ask whether the strengths calculated by the
Excavate to 5m – Excavate to 5m – Could be critical model are more or less reliable than those
for wall
wall cantilevering wall cantilevering
bending moment used in normal practice. Some adjustment
to the factors should be made in the light of
Install prop at 4m Install prop at
depth 4m depth this.
Could be critical
Excavate to 10m Excavate to 10m for wall length,
bending moment 6.7 Undrained behaviour and consolidation
and prop force
Soils are essentially effective stress
No further factors Apply factors on No further factors materials responding to effective stresses, so
on strut forces or strut forces or on strut forces or
BMs BMs BMs advanced models of soil behaviour are
almost always expressed in terms of
Figure 21. Strategies for analysis of staged
construction. effective stress parameters. When soil
deforms slowly enough that the deformation
either an unreasonable or an optimistic effect does not cause change of water pressure, it
on later stages; the author supports this is said to be “drained”. When it deforms
reasoning. (b) In some cases the ULS quickly enough that no water can enter or
computations can be run as adjuncts to SLS leave the soil elements it is said to be
computations; however, this will not be the “undrained”. The undrained shear strength
case if design situations for the two limit of soil, cu, can be measured, and this results
states require differences of geometry (such from its initial state and its effective stress
as unplanned overdig), loading or water parameters (eg c′, ϕ′).
pressures. A third possible reason is that Effective stress parameters (eg c′, ϕ′) are
only Strategy 2 can be run with method (b), sometimes called “drained” parameters.
such as the Plaxis c,ϕ reduction procedure. This is unhelpful terminology, since these
parameters govern behaviour and can be
6.6 Use of advanced soil models for ULS used in models or drained, undrained and
Models of soil behaviour much more partially drained states.
realistic than linear elastic Mohr Coulomb Reliable computation of undrained
are increasingly used for SLS computations. strength from effective stress parameters is
Although some of these, such as the Plaxis very difficult, since it is affected by many
hardening soil models, have simple strength features of soil behaviour, including
parameters (c′, ϕ′) as input, many do not (eg anisotropy and dilation. Because undrained
Cam clay models or the BRICK model, strength can be measured directly, with
Ellison et al 2012). moderate reliability, it is often preferable to
Practice to date has been to use only input it directly as a parameter in numerical
elastic Mohr Coulomb models for the ULS analysis than to try to compute it. However,
part of the computation, even when this was this is not compatible with the use of
an adjunct to an SLS run that used a more effective stress models.
advanced model. EC7 generally requires a higher factor on
undrained strength (eg 1.4 on cu) than on
EC7 provides factors specifically for c′, ϕ′
effective stress parameters (eg 1.25 on c′,
and cu, so if these are not input parameters of
the program some degree of interpretation tanϕ′). The drafters assumed that effective
will be needed. In the case of cu, this is the stress parameters would be used only for
(relevant) undrained strength, so it would not drained states and did not comment on the
matter how this was derived. If the national use of approaches that computed undrained
annex gives the same value for factors on c′ strength for them. In numerical analysis,
there is therefore a temptation, for economy,
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
to use an effective stress model for undrained and 27 to 32m deep to underside of base
behaviour with a lower factor (eg 1.25 on c′, slab (Fig. 22). The assumed excavation
tanϕ′) than would be used if undrained temporary works consisted of three levels of
strength were input directly (eg 1.4 on cu). temporary steel props. Wall thickness
The author considers this to be potentially required by initial design was 1.2m. This
unsafe. The higher factor (eg 1.4) was was subsequently increased to 1.6m for
considered appropriate for characteristic consistency with other structures on the
values of cu based on measurement, which is Italian high speed network and to account
generally more reliable than values computed for a possible prolonged cessation of work at
from effective stress parameters, so it is final excavation stage (Hocombe et al 2007).
unreasonable to adopt a lower value for the
latter.
The conclusion to be drawn from this is
that when undrained behaviour is being
modelled using effective stress parameters
(eg c′, ϕ′) the partial factor applied to them
should give a reduction in undrained strength
at least equivalent to that required by EC7 for
cu. This requires some testing, but as a first
approximation the factor to be applied to c′,
tanϕ′ might be about the same as that
Figure 22. Florence station cross section with
required for cu (eg 1.4).
design Mohr,Coulomb soil parameters and
If time dependent consolidation is to be stratigraphy.
modelled in a ULS numerical analysis, it will
again be necessary to use an effective stress Eurocode 7, Design Approach 1 (EC7,
model. The values of partial factors to be DA1) was adopted by the design team.
applied have not yet been considered. Design of the structure to Combinations 1
and 2 (C1 and C2) was more onerous than
7 CASE STUDY: FLORENCE HIGH regulations applying at the time in Italy.
SPEED RAIL STATION The current Italian national standard
specifies design of retaining structures and
7.1 Introduction their supports to C1 only while C2 is
The analysis of a large station box in checked for global failure due to collapse of
Florence, Italy, designed to Eurocode is the soil, not of the structure. It was,
described by Simpson and Hocombe (2010), however, considered prudent for this project
from which the following abbreviated version that the structure be checked for both
is drawn. This case study presents salient combinations in accordance with EC7 DA1.
features of the design and the method The decision to use EC7 DA1 did not,
adopted. Partial factors were applied to soil however, increase the number of analyses to
properties at all stages of excavation in the be carried out since C2 was needed in any
ULS analyses. Results are presented here of event to evaluate the depth of embedded
a subsequent comparative study into the walls for lateral stability.
effects of applying partial material factors
only at specific excavation stages. 7.2 Effect of factoring at discrete stages
The proposed station lies on a high speed In EC7 DA1, application of partial
rail line currently nearing completion factors to soil properties is required in ULS
between Milan and Naples and is situated just C2, and these factors were applied at all
north of the historic centre of Florence. The construction stages in the original design.
Client for the station is Rete Ferroviaria Subsequently, an investigation was carried
Italiana (RFI) with construction scheduled for out into the effects of applying partial
2010. The structure is 454m long, 52m wide material factors only at specific excavation
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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Keynote lecture Eurocode 7 – fundamental issues and some implications for users
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