Din 1054 2005

DEUTSCHE NORM January 2005
DIN 1054 {
ICS 93.020
Supersedes
DIN 1054:2003-01 and
DIN 1054 Corrigendum
1:2003-10
See start of validity
Ground –
Verification of the safety of earthworks and foundations
Baugrund –
Sicherheitsnachweise im Erd- und Grundbau
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Document comprises 123 pages
Translation by DIN-Sprachendienst.
In case of doubt, the German-language original should be consulted as the authoritative text.
© No part of this translation may be reproduced without prior permission of

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DIN 1054:2005-01
Start of validity
This standard is valid as from 1 January 2005.

At the same time DIN 1054:1976-11 may be applied until 31 December 2007.
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Copyright Deutsches Institut Fur Normung E.V.

Provided by IHS under license with DIN
DIN 1054:2005-01
Contents
Page
Preamble to this English translation ............................................................................................................9

Foreword .......................................................................................................................................................12
1 Scope ................................................................................................................................................13
2 Normative references......................................................................................................................14
3 Terms, definitions and symbols ....................................................................................................17
3.1 Terms and definitions .....................................................................................................................17
3.1.1 General terms and definitions........................................................................................................17
3.1.2 Terms and definitions relating to the safety concept..................................................................18
3.1.3 Geotechnical terms and definitions ..............................................................................................19
3.2 Symbols............................................................................................................................................20
4 General provisions for safety verifications ..................................................................................27
4.1 Basic requirements .........................................................................................................................27
4.2 Geotechnical Categories (GC) .......................................................................................................28
4.3 Ultimate Limit States (GZ 1) (ULS) .................................................................................................29
4.3.1 GZ 1A (EQU, UPL and HYD) limit states: Limit state of loss of static equilibrium ...................29
4.3.2 GZ 1B (STR and GEO-2) limit states: Limit state of failure of the structure and of
structural elements .........................................................................................................................29
4.3.3 GZ 1C (GEO-3) limit state: Limit state of loss of overall stability...............................................30
4.3.4 Ductility of the overall system .......................................................................................................30
4.3.5 Other types of verification ..............................................................................................................30
4.4 Serviceability Limit States (GZ 2) (SLS) ........................................................................................30
4.5 Observational method.....................................................................................................................31
4.5.1 Scope of application .......................................................................................................................31
4.5.2 Measures prior to commencing construction ..............................................................................31
4.5.3 Measures during the construction process..................................................................................32
4.6 Compliance with provisions for safety verifications ...................................................................32
5 Ground..............................................................................................................................................33
5.1 Geotechnical investigations...........................................................................................................33
5.1.1 Purpose of investigations...............................................................................................................33
5.1.2 Type and extent of investigations .................................................................................................33
5.2 Types of ground ..............................................................................................................................33
5.2.1 General .............................................................................................................................................33
5.2.2 Non-cohesive soils..........................................................................................................................34
5.2.3 Cohesive soils .................................................................................................................................34
5.2.4 Organic and organogenic soils......................................................................................................34
5.2.5 Fill......................................................................................................................................................35
5.2.6 Supplementary information............................................................................................................35
5.3 Characteristic values of soil properties ........................................................................................35
5.3.1 Establishing characteristic values of soil properties ..................................................................35
5.3.2 Applying characteristic values of soil properties ........................................................................35
6 Actions, effects of actions and resistances .................................................................................36
6.1 Actions and effects of actions .......................................................................................................36
6.1.1 General .............................................................................................................................................36
6.1.2 Actions from the structure .............................................................................................................37
6.1.3 Geotechnical actions ......................................................................................................................37
6.1.4 Dynamic actions ..............................................................................................................................38
6.1.5 Characteristic effects of actions....................................................................................................38
6.2 Resistances in soil and rock ..........................................................................................................39
6.2.1 Shear strength .................................................................................................................................39
6.2.2 Stiffness............................................................................................................................................39
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6.2.3 Bearing resistances........................................................................................................................ 39

6.2.4 Passive earth resistance (passive earth pressure) ..................................................................... 40
6.2.5 Penetration resistance, pull-out resistance and transverse resistance ................................... 40
6.3 Design situations ............................................................................................................................ 40
6.3.1 Combinations of actions ................................................................................................................ 40
6.3.2 Safety Classes of resistances ....................................................................................................... 41
6.3.3 Load Cases...................................................................................................................................... 41
6.4 Partial safety factors ...................................................................................................................... 42
6.4.1 Partial safety factors for actions and effects of actions............................................................. 42
6.4.2 Partial safety factors for resistances............................................................................................ 43
7 Shallow and spread foundations .................................................................................................. 45
7.1 Scope and general requirements .................................................................................................. 45
7.2 Classification in Geotechnical Categories................................................................................... 45
7.3 Actions and effects of actions in the foundation base ............................................................... 45
7.3.1 Characteristic effects of actions ................................................................................................... 45
7.3.2 Design values of the effects of actions ........................................................................................ 46
7.4 Ground reactions and ground resistances .................................................................................. 46
7.4.1 Ground reactions at the vertical face of the foundation............................................................. 46
7.4.2 Bearing resistance.......................................................................................................................... 47
7.4.3 Sliding resistance ........................................................................................................................... 47
7.5 Verification of bearing capacity .................................................................................................... 48
7.5.1 Verification of safety against overturning.................................................................................... 48
7.5.2 Verification of bearing resistance ................................................................................................. 49
7.5.3 Verification of safety against sliding ............................................................................................ 50
7.5.4 Verification of safety against structural failure ........................................................................... 50
7.6 Verification of serviceability .......................................................................................................... 51
7.6.1 Allowable location of the resultant effect of actions .................................................................. 51
7.6.2 Displacements in the foundation base ......................................................................................... 51
7.6.3 Settlement........................................................................................................................................ 51
7.6.4 Rotation ........................................................................................................................................... 52
7.7 Allowable bearing pressure in simple cases ............................................................................... 52
7.7.1 General............................................................................................................................................. 52
7.7.2 Non-cohesive soil ........................................................................................................................... 53
7.7.3 Cohesive soil................................................................................................................................... 54
7.7.4 Rock ................................................................................................................................................. 55
7.7.5 Artificially placed ground............................................................................................................... 56
8 Pile foundations .............................................................................................................................. 56
8.3 Actions and effects of actions....................................................................................................... 58
8.3.1 General............................................................................................................................................. 58
8.3.2 Lateral pressure .............................................................................................................................. 59
8.3.3 Negative skin friction ..................................................................................................................... 59
8.3.4 Design values of effect of actions................................................................................................. 60
8.4 Resistance ....................................................................................................................................... 60
8.4.1 General............................................................................................................................................. 60
8.4.2 Axial pile resistance from static pile load tests........................................................................... 60
8.4.3 Axial pile resistance from dynamic pile load tests ..................................................................... 62
8.4.4 Empirical axial pile resistance....................................................................................................... 63
8.4.5 Transverse load resistance ........................................................................................................... 63
8.4.6 Pile resistance for cyclic and dynamic actions ........................................................................... 64
8.4.7 Design values of pile resistance ................................................................................................... 64
8.5 Verification of the bearing capacity of piles ................................................................................ 65
8.5.1 Axially loaded piles ........................................................................................................................ 65
8.5.2 Laterally loaded piles ..................................................................................................................... 65
8.5.3 Compression pile groups .............................................................................................................. 66
8.5.4 Tension pile groups........................................................................................................................ 66
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8.5.5 Combined pile-raft foundations .....................................................................................................68

8.5.6 Structural failure of piles ................................................................................................................69
8.6 Verification of serviceability...........................................................................................................69
8.6.1 Principles..........................................................................................................................................69
8.6.2 Pile groups .......................................................................................................................................70
8.6.3 Combined pile-raft foundations .....................................................................................................70
9 Grouted anchors..............................................................................................................................71
9.1 Scope and general requirements...................................................................................................71
9.2 Classification in Geotechnical Categories....................................................................................71
9.3 Actions and effects of actions .......................................................................................................71
9.4 Resistance........................................................................................................................................72
9.4.1 Pull-out resistance ..........................................................................................................................72
9.4.2 Resistance of a steel tendon..........................................................................................................73
9.5 Verification of the bearing capacity...............................................................................................73
10 Retaining structures and structures embedded in the ground ..................................................74
10.3 Actions..............................................................................................................................................75
10.3.1 Earth pressure .................................................................................................................................75
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10.3.2 Water pressure ................................................................................................................................76

10.3.3 Further actions ................................................................................................................................77
10.4 Effects of actions.............................................................................................................................77
10.4.1 General .............................................................................................................................................77
10.4.2 Structures subjected to bending ...................................................................................................77
10.4.3 Bracing elements.............................................................................................................................79
10.4.4 Grouted anchors and tension piles ...............................................................................................79
10.4.5 Design values of effects of actions ...............................................................................................79
10.5 Resistances......................................................................................................................................79
10.5.1 Bearing resistances ........................................................................................................................79
10.5.2 Resistances in front of and below wall-like retaining structures ...............................................79
10.5.3 Pull-out resistances ........................................................................................................................80
10.5.4 Design values of resistances .........................................................................................................80
10.6 Verification of bearing capacity .....................................................................................................80
10.6.1 Verifications of the GZ 1B (STR and GEO-2) limit states ............................................................80
10.6.2 Bearing resistance and sliding ......................................................................................................81
10.6.3 Failure of the earth support............................................................................................................81
10.6.4 Failure of the anchored ground in front of anchor plates and anchor walls ............................82
10.6.5 Failure of tension piles or grouted anchors .................................................................................82
10.6.6 Failure of structural elements due to settlement .........................................................................82
10.6.7 Failure in the lower failure plane ...................................................................................................82
10.6.8 Structural failure of structural elements .......................................................................................83
10.6.9 Verification of the GZ 1A and GZ 1C (UPL, HYD and GEO-3) limit states .................................83
10.7.1 Verification based on experience ..................................................................................................84
10.7.2 Special verifications........................................................................................................................84
11 Uplift and hydraulic heave..............................................................................................................85
11.3 Verification of safety against uplift of non-anchored structures ...............................................85
11.3.1 Verification with structure self-weight only..................................................................................85
11.3.2 Verification with additional shear forces ......................................................................................86
11.4 Verification of safety against uplift of anchored structures .......................................................86
11.4.1 Verification of safety against uplift................................................................................................86
11.4.2 Dimensioning the base ...................................................................................................................87
11.5 Verification of safety against hydraulic heave .............................................................................88

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12 Overall stability ............................................................................................................................... 89

12.3 Verification of safety against slope failure and overall stability failure.................................... 90
12.4 Verification of structural slope stabilisation measures.............................................................. 91
12.4.1 General............................................................................................................................................. 91
12.4.2 Actions and effects of actions....................................................................................................... 91
12.4.3 Pull-out resistances........................................................................................................................ 92
12.4.4 Verification of bearing capacity .................................................................................................... 92
12.5 Verification of serviceability .......................................................................................................... 93
Annex A (normative) Allowable bearing pressure.................................................................................... 94
Annex B (informative) Design of axially loaded bored piles based on empirical values...................... 99
B.1 Determination of the resistance-settlement (heave) curve ........................................................ 99
B.2 Base and shaft resistance of piles.............................................................................................. 100
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B.3 Investigation of the ground strength using penetration tests ................................................. 103
Annex C (informative) Characteristic axial resistance of driven displacement piles based on
empirical values ............................................................................................................................ 104
C.1 Determination of the characteristic pile resistance in the GZ 1B (GEO-2) limit state ........... 104
C.2 Pile base resistance and pile shaft resistance of precast reinforced or prestressed
concrete piles in the GZ 1B (GEO-2) limit state in non-cohesive soil ..................................... 104
C.3 Characteristic pile base resistance and pile shaft resistance of precast reinforced or
prestressed concrete piles in the GZ 2 (serviceability) limit state in non-cohesive soil ...... 105
C.4 Characteristic pile bearing capacity of precast reinforced or prestressed concrete
piles and steel and timber piles in cohesive soil ...................................................................... 106
Annex C* (informative) Design of axially loaded driven displacement piles based on empirical
values**) .......................................................................................................................................... 108
C*.1 Determination of the characteristic pile resistance in the GEO-2 limit state**) ...................... 108
C*.2 Allowable pile bearing capacity of precast reinforced or prestressed concrete piles as
well as timber and steel piles**) ................................................................................................... 110
Annex D (informative) Design of grouted micropiles based on empirical values ............................... 112
D.1 Characteristic axial pile resistance in the GZ 1B (GEO-2) limit state...................................... 112
D.2 Recommended values for the characteristic load span for grouted micropiles under
axial pulsating and alternating loads in the GZ 2 (serviceability) limit state ......................... 112
Annex E (informative) Distribution of actions and resistances in laterally loaded pile groups......... 114
Annex F (normative) Transition arrangements for standards based on the old concept of
analysis with global safety factors ............................................................................................. 118
Annex G (informative) Transition arrangements for acknowledged technical rules for works
based on the old concept of analysis with global safety factors ............................................ 120
Tables
Table 1 — List of symbols .......................................................................................................................... 20

Table 2 — Partial factors for actions and effects of actions ................................................................... 42
Table 3 — Partial factors for resistances .................................................................................................. 44
Table 4 — Factor ξ to take into account the number and variation of the results of pile load
tests.................................................................................................................................................. 61
**) Included in the English translation of DIN 1054 only (see Preamble to this English translation).

DIN 1054:2005-01
Table A.1 — Allowable bearing pressure σallow for strip foundations on non-cohesive soil
based on adequate bearing capacity, subject to the conditions in Table A.7 ..........................94
Table A.2 — Allowable bearing pressure σallow for strip foundations on non-cohesive soil
based on adequate bearing capacity and limitation of settlement, subject to the
conditions in Table A.7 ...................................................................................................................94
Table A.3 — Allowable bearing pressure σallow for strip foundations on silt (UL according to
DIN 18196) with widths b or b' of 0,50 m to 2,00 m for stiff to very stiff consistency or a
mean unconfined compression strength qu,k > 120 kN/m2 .........................................................95
Table A.4 — Allowable bearing pressure σallow for strip foundations on mix grained soils (SŪ,
ST, GŪ, GT according to DIN 18196; e.g. boulder clay) with widths b or b' of 0,50 m to
2,00 m................................................................................................................................................95
Table A.5 — Allowable bearing pressure σallow for strip foundations on clayey, silty soils (UM,
TL, TM according to DIN 18196) with widths b or b' of 0,50 m to 2,00 m....................................95
Table A.6 — Allowable bearing pressure σallow for strip foundations on clay soil (TA according
to DIN 18196) with widths b or b' of 0,50 m to 2,00 m...................................................................96
Table A.7 — Requirements for application of the values of allowable bearing pressure σallow
according to Tables A.1 and A.2 in non-cohesive soil ................................................................98
Table A.8 — Requirements for increasing the values of allowable bearing pressure σallow
according to 7.7.2.2 (3) in non-cohesive soil................................................................................98
Table B.1 — Pile base resistance qb,k for non-cohesive soils ...............................................................101
Table B.2 — Pile base resistance qb,k for cohesive soils .......................................................................102
Table B.3 — Pile shaft resistance qs,k for non-cohesive soils ...............................................................102
Table B.4 — Pile shaft resistance qs,k for cohesive soils .......................................................................102
Table B.5 — Pile base resistance qb,k and shaft resistance qs,k in rock ...............................................102
Table C.1 — Base resistance qb1,k of precast reinforced or prestressed concrete driven piles
in non-cohesive soils ....................................................................................................................105
Table C.2 — Shaft resistance qs1,k of precast reinforced or prestressed concrete driven piles
in non-cohesive soils ....................................................................................................................105
Table C.3 — Characteristic pile bearing capacity R2,k of driven timber displacement piles in
cohesive or non-cohesive soils ...................................................................................................106
Table C.4 — Characteristic pile bearing capacity R2,k of reinforced or prestressed concrete
driven displacement piles with square cross section in cohesive soils .................................107
Table C.5 — Characteristic pile bearing capacity R2,k of driven steel displacement piles in
cohesive or non-cohesive soils ...................................................................................................107
Table C*.1 — Base resistance qb1,k of precast reinforced or prestressed concrete driven piles
in non-cohesive soils**) .................................................................................................................109
Table C*.2 — Shaft resistance qs1,k of precast reinforced or prestressed concrete driven piles
in non-cohesive soils**) .................................................................................................................109
See page 6 for **).
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DIN 1054:2005-01
Table C*.3 — Allowable pile bearing capacity Rallow of driven timber displacement piles in
cohesive or non-cohesive soils**) ............................................................................................... 110
Table C*.4 — Allowable pile bearing capacity Rallow of reinforced or prestressed concrete
driven displacement piles with square cross-section in cohesive soils**) ............................. 111
Table C*.5 — Allowable pile bearing capacity Rallow of driven steel displacement piles in
cohesive or non-cohesive soils**) ............................................................................................... 111
Table D.1 — Characteristic pile shaft resistance qs1,k of grouted micropiles in the exceptional
case that no pile load tests are carried out................................................................................ 112
Table D.2 — Recommended values for the characteristic load span .................................................. 113
Table F.1 — Relationship of normative references to standards based on the old concept of
analysis.......................................................................................................................................... 118
Table F.2 — Relationship of normative references to recommendations based on the old
concept of analysis ..................................................................................................................... 119
Table G.1 — Relationship of normative references to acknowledged technical rules for works
based on the old concept of analysis......................................................................................... 120
Table G.2 — Terms and symbols: Relationship between DIN 4125:1990-11 and DIN 1054 ............... 122
Figures
Figure 1 — Plan of a rectangular foundation; designations for eccentricity in both axes .................. 49
Figure 2 — The soil mass attached to a single pile ................................................................................. 68
Figure 3 — Determination of the characteristic pile resistance R2,k of single piles or pile
groups as a function of the corresponding settlement s2,k or Δs2,k ........................................... 69
Figure A.1 — Allowable bearing pressure σallow for square foundations on rock (informative
examples) ......................................................................................................................................... 97
Figure B.1 — Characteristic resistance settlement curve ....................................................................... 99
Figure E.1 — Reduction factor αL as a function of the ratio of the pile centre-to-centre spacing
aL in the direction of the force and the pile shaft diameter Ds ................................................. 115
Figure E.2 — Reduction factors αQA and αQZ as a function of the ratio of the pile
centre-to-centre spacing aQ perpendicular to the direction of the force and the pile --`,,```,,,,````-`-`,,`,,`,`,,`---
shaft diameter Ds. If aQ/Ds < 2, a continuous wall may be assumed ...................................... 116
Figure E.3 — Reduction factor αi as a function of the location of the pile within the pile group ..... 116
See page 6 for **).

DIN 1054:2005-01
Preamble to this English translation

Users of this English translation should note that it is identical to the original German version except
in the following:
The standard gives both the designations of limit states conventionally used in Germany but also
takes account of European developments by also including the designations used in Eurocode 7
(DIN EN 1997). Thus, limit state GZ 1A is also referred to as the UPL, HYD or EQU limit state, GZ 1B as
GEO-2, GZ 1C as GEO-3, and the serviceability limit state GZ 2 as SLS. Both forms of designation are
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given together.
Moreover, an additional (informative) Annex C* has been included. It is an editorially revised version
of Annex C, making it more user-friendly. Whenever reference is made to Annex C in the translation,
the brackets contain the corresponding reference in Annex C*.
Supplementary background information
In November 2004, Eurocode 7: Geotechnical design Part 1: General rules (EN 1997-1) was published by
CEN. It can now be applied in geotechnical design in the European Member States. However, it was clear
from the outset that EN 1997 would only be an umbrella code. A new geotechnical design standard,
DIN 1054:2005-01 Ground — Verification of the safety of earthworks and foundations, was therefore drawn up
in parallel with EN 1997 to make the latter operational for practising engineers in Germany. The standard is
part of a new, unified German standards system for structural engineering, based on the concept of partial
safety factors of the Eurocodes for structural engineering. It is therefore compatible with the requirements of
DIN EN 1990:2002-10 Eurocode — Basis of structural design and of EN 1997.
For the STR and GEO limit states the following national choice of design approach was made:
⎯ Limit states of failure in the ground, except overall stability and slope stability, are referred to as GZ 1 B
(GEO-2) states in the standard. They are verified using Design Approach 2 of EN 1997. In Germany that
version of Design Approach 2 is applied in which the entire calculation is performed using characteristic
values and the partial factors are introduced only at the end when the ultimate limit state condition is
checked (see SCHUPPENER, B. ET. AL. (1998) and GUDEHUS, G. & W EISSENBACH, A. (1996)). This design
approach is referred to as DA 2* in Designers’ Guide to EN 1997-1 by FRANK, R. ET. AL. (2004). Design
approach DA 2* was chosen as it is the only design approach in EN 1997 that enables the safety level of
the former German standard DIN 1054:1976-11 to be maintained (SCHUPPENER, B. & VOGT, N. (2005)).
This was necessary because serious problems regarding the acceptability of the Eurocodes would
otherwise have arisen in Germany during the implementation of EN 1997 as the dimensions calculated
for geotechnical structures when applying EN 1997 are supposed to be approximately the same as those
obtained when applying the former global safety concept.
⎯ Limit states of overall stability and slope failure are referred to as GZ 1C (GEO-3) limit states in the
standard. They are verified by means of Design Approach 3 of EN 1997-1 which was also included as an
option in the former standard DIN 4084 Subsoil — Calculation of embankment failure and overall stability
of retaining structures.
Maintaining the safety level of the former global safety concept was not only held as a basic principle to
improve the acceptability of Eurocodes to German civil engineers but it was also a necessary assumption for
the determination and selection of partial factors for geotechnical actions and resistances. In order to maintain
the safety level of the former global safety concept the equation
γR × γGQ ≈ ηglobal
must be fulfilled, where γR is the partial factor for the resistance of the ground, γGQ is the mean partial factor
for the effects of permanent and variable actions and ηglobal is the former global safety factor. In Germany, it

DIN 1054:2005-01
was decided to use the same values of the partial factors for permanent (γG = 1,35) and variable (γQ = 1,50)
effects of actions in geotechnical and in structural engineering. As the permanent actions are normally greater
than the variable actions in geotechnical engineering, a weighted mean value of γGQ = 1,40 was used when
calculating the partial factor for the ground resistance γR for the different verifications of geotechnical ultimate
limit states:
γR ≈ ηglobal/γGQ
For example, a partial factor for the ground bearing resistance of γR,v ≈ 2,0/1,40 ≈ 1,40 is derived with a global
safety factor of ηglobal = 2,0, which is used in Germany for the verification of the ground bearing capacity. By
applying Design Approach 2 and introducing the partial factors at the end of the calculation we can avoid
safety loopholes on the one hand and too conservative a design on the other hand. Moreover, factoring at the
end of the calculation enables the verification of the ultimate limit state to be used as input for the investigation
of the serviceability limit state. It is not necessary to perform a second or even a third calculation for the
serviceability limit state as in Design Approach 1.
In EN 1997, it is recommended that a distinction between favourable and unfavourable permanent actions be
made by using different partial factors. This concept was implemented in the verification of the GEO-2 limit
states of tension pile groups where the permanent tensile effects of actions are factored by γG = 1,35 and the
permanent compressive effects of actions are factored by γG,inf = 1,00. In all other cases, this problem is
covered by selecting an appropriate upper or lower characteristic value of the action under consideration.
The serviceability limit state is referred to as GZ 2 (SLS).
There is a long tradition in Germany of using load cases in geotechnical design to take account of different
probabilities of failure and the need for different safety levels. DIN 1054:2005-01 therefore includes load cases,
as did DIN 1054:1976-11. The standard specifies different values of partial factors for:
⎯ Load Case 1 for permanent situations,
⎯ Load Case 2 for construction stage or temporary structures and
⎯ Load Case 3 for accidental situations concerning both actions and resistances.
Load Case 2, in which actions and combinations of actions that are temporary or occur rarely or only once in
the lifetime of a structure are investigated, makes use of paragraph (5) of subclause 2.4.7.1 of EN 1997. This
load case features a reduction in the partial factors for the effects of actions and, in some cases, also for the
resistances.
In simple cases, EN 1997 permits the application of an indirect method of design for spread foundations
“using comparable experience and the results of field or laboratory measurements or observations, and
chosen in relation to serviceability limit state loads so as to satisfy the requirements of all relevant limit states”
(see 6.4 (5)). This additional possibility is included in DIN 1054:2005-01 for shallow and spread foundations.
Thus the characteristic value of the bearing pressure and the allowable bearing pressure (given in Annex A)
may be compared as a substitute for verification of the GEO-2 and serviceability limit states provided certain
requirements concerning the ground and the geometry of the foundation are fulfilled. This additional possibility
is also given for driven piles (see Annex C), provided certain requirements concerning the ground and the
geometry of the piles are fulfilled.
Thus, by using Design Approach DA 2 and applying the partial factors at the end of the calculation,
DIN 1054:2005-01 will ensure that geotechnical structures are designed not only economically but also with a
sufficiently high level of safety.
According to the provisions laid down by the European Commission in Guidance Paper L — Application and
use of Eurocodes, national standards in the technical fields in which European standards exist must be
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DIN 1054:2005-01
withdrawn after a transitional period (SCHUPPENER, B. (2005)). Therefore, DIN 1054 will also have to be
withdrawn, probably in 2010. It will then be replaced by a National German Annex incorporating
⎯ the values of the partial safety factors,
⎯ the selected national design approaches,
⎯ specifications on the use of the informative annexes of EN 1997 and
⎯ references to non-conflicting complementary information to assist the user in applying the Eurocode.
The most important reference will be to a revised version of DIN 1054. Those parts of DIN 1054:2005-01 that
are already covered by EN 1997 will be omitted from the revised version of the standard and the remainder
will be reorganized according to the structure and contents of EN 1997 to render it more user-friendly. The
revised DIN 1054 will then only contain additional information and guidance and will no longer duplicate any of
the provisions of EN 1997. The English translation of DIN 1054 will therefore continue to be a useful and valid
tool beyond 2010.
Annexes F and G are transitional provisions for German codes which apply the global safety concept.
SCHUPPENER, B. & VOGT, N. (2005), Favourable and unfavourable actions in the verification of the bearing
capacity of footings, Proceedings of the International Workshop on the Evaluation of Eurocode 7, editor T.L.L.
Orr, published by the Department of Civil, Structural and Environmental Engineering, Trinity College, Dublin,
Ireland
SCHUPPENER, B. (2005) European limit state geotechnical design codes, Proceedings of the International
Workshop on the Evaluation of Eurocode 7 in Dublin, editor T.L.L. Orr, published by the Department of Civil,
Structural and Environmental Engineering, Trinity College, Dublin, Ireland.
SCHUPPENER, B. ET AL. (1998), EC7 – A critical review and a proposal for an improvement: a German
perspective, Ground Engineering, Vol. 31, No. 10.
W EISSENBACH, A., GUDEHUS, G. & SCHUPPENER, B. (1999), Proposals for the application of the partial safety
factor concept in geotechnical engineering, Geotechnik special issue 1999, Verlag Glückauf Essen
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11

DIN 1054:2005-01
Foreword
This standard has been prepared by Technical Committee 05.01.00 “Safety in Earthworks and Foundation
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Engineering” of the Normenausschuss Bauwesen (Building and Civil Engineering Standards Committee) of
DIN Deutsches Institut für Normung e. V. as part of a new, integrated system of German standards for
structural engineering based on the concept of partial safety factors.
The following reference documents played a leading role:
DIN V 1054-100:1996-04, Verification of the safety of earthworks and foundations — Part 100: Calculations
using the concept of partial safety factors
German comments on DIN V ENV 1997-1:1996-04, Geotechnical design — Part 1: General rules
DIN 1055-100:2001-03, Actions on structures — Part 100: Basis of structural design, safety concept and
design rules
and, to some extent,
DIN 1054:1976-11, Subsoil — Permissible loading of subsoil
DIN 4014:1990-03, Bored piles — Construction procedure, design and bearing behaviour
DIN 4026:1975-08, Driven piles — Construction procedure, design and permissible load
DIN 4125:1990-11, Ground anchorages — Temporary and permanent anchorages — Design, construction
and testing
DIN 4128:1983-04, Injection piles (in-situ concrete piles and composite piles) with small diameter —
Construction procedure, design and permissible loads.
This standard is coordinated with the following harmonized European Standards or draft Standards:
DIN EN 1536:1999-06, Execution of special geotechnical work — Bored piles
DIN EN 1537:2001-01, Execution of special geotechnical work — Ground anchors
DIN EN 1538:2000-07, Execution of special geotechnical work — Diaphragm walls
DIN EN 12063:1999-05, Execution of special geotechnical work — Sheet pile walls
DIN EN 12699:2001-05, Execution of special geotechnical work — Displacement piles
DIN EN 12715:2000-10, Execution of special geotechnical work — Grouting
DIN EN 12716:2001-12, Execution of special geotechnical work — Jet grouting
E DIN EN 14199:2001-08, Execution of special geotechnical work — Micropiles.
In addition, this standard forms the basis for the revision of the following prestandards:
DIN V 4017-100:1996-04, Soil — Calculation of design bearing capacity of soil beneath shallow
foundations — Part 100: Analysis in accordance with the partial safety factor concept
12

DIN 1054:2005-01
DIN V 4019-100:1996-04, Soil — Analysis of settlement — Part 100: Analysis in accordance with the partial
safety factor concept
DIN V 4084-100:1996-04, Soil — Calculation of slope and embankment failure and overall stability of retaining
structures — Part 100: Analysis in accordance with the partial safety factor concept
DIN V 4085-100:1996-04, Soil — Calculation of earth pressure — Part 100: Analysis in accordance with the
partial safety factor concept
DIN V 4126-100:1996-04, Diaphragm walls — Part 100: Analysis in accordance with the partial safety factor
concept.
Furthermore, this standard complies with the framework for the application of the partial safety factor concept
according to the following European Standards and draft Standards:
EN 1990:2002, Eurocode: Basis of structural design
E DIN EN 1997-1, Eurocode 7: Geotechnical design — Part 1: General rules.
This document utilizes the scope for action and the opportunities for interpretation provided by the two
aforementioned standards and DIN 1055-100 in order to come as close as possible to the German position as
described in the German comments on DIN V ENV 1997-1:1996-04.
Amendments
The following amendments have been made to DIN 1054:2003-01.
a) Corrections and editorial amendments have been made.
b) The “Normative references” clause has been corrected.
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c) Changes and additions have been made to the content.
d) Annex F “Transition arrangements for standards based on the old concept of analysis with global safety
factors” and Annex G “Transition arrangements for acknowledged technical rules for works based on the
old concept of analysis with global safety factors” have been added.
Previous editions
DIN 1054:1934-08, 1940-08, 1953-10, 1969-11, 1976-11, 2003-01

DIN 4014:1960-12, 1969-11
DIN 4014-1:1975-08
DIN 4014-2:1977-09
DIN 4026:1968-07, 1975-08
DIN 4125:1990-11
DIN 4125-1:1972-06, 1988-03
DIN 4125-2:1976-02
DIN 4128:1983-04
1 Scope
This standard deals with the stability and serviceability of foundations and geotechnical structures. It applies to
the execution and use of such structures, including alteration work to existing structures. It defines the limit
states influenced by the ground and sets out principles and provisions for the relevant verifications.
13

DIN 1054:2005-01
The standard applies primarily to the following structures and substructures:
a) foundations, e.g. shallow foundations, pile foundations;
b) retaining structures, e.g. gravity walls;
c) slope stabilisations, e.g. by means of soil and rock nails;

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d) structures embedded in the ground, e.g. open-cut tunnels;
e) temporary geotechnical structures, e.g. retaining walls for excavations;
f) earthworks, e.g. embankments, cuts.
It also applies to natural slopes.
The structures mentioned in b) to f) are known as geotechnical structures, in contrast to foundations. This
contrast emphasizes the following points:
⎯ for foundations, the actions imposed by the superstructure are generally provided by the designer of the
structure;
⎯ for geotechnical structures, the actions are principally dictated during the geotechnical design process.
Open-cast coal mines are not covered by this standard. Different safety requirements apply to this field and
are covered by other geological and geotechnical investigations, preliminary reconnaissance and monitoring.
NOTE 1 In certain cases, a geotechnical structure can also be the foundation of a structure.
NOTE 2 Further information on the scope is given at the beginning of clauses 7 to 12.
2 Normative references
The following reference documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
DIN 1045-1, Plain, reinforced and prestressed concrete structures — Part 1: Design and construction
DIN 1052, Design of timber structures — General rules and rules for buildings — Part 1: Design and
construction
DIN 1055-1, Actions on structures — Part 1: Densities and weights of building materials, structural elements
and stored materials
E DIN 1055-2, Actions on structures — Part 2: Soil properties
DIN 1055-3, Actions on structures — Part 3: Self-weight and imposed loads in buildings
E DIN 1055-4, Actions on structures — Part 4: Wind loads
E DIN 1055-5, Actions on structures — Part 5: Snowloads and ice loads
DIN 1055-8, Actions on structures — Part 8: Actions during execution
DIN 1055-9, Actions on structures — Part 9: Accidental actions
14

DIN 1054:2005-01
DIN 1055-10, Basis of design and action on structures — Part 10: Actions induced by cranes and machinery
DIN 1055-100:2001-03, Actions on structures — Part 100: Basis of design, safety concept and design rules
E DIN 4017, Soil — Calculation of design bearing capacity of soil beneath shallow foundations
DIN V 4019-100, Soil — Analysis of settlement — Part 100: Analysis in accordance with partial safety factor
concept
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DIN 4020,1990-10, Geotechnical investigations for civil engineering purposes
DIN 4021, Ground exploration by excavation, boring and sampling
DIN 4022-1:1987-09, Subsoil and groundwater — Classification and description of soil and rock — Borehole
logging of soil and rock not involving continuous core sample recovery
DIN 4023, Geotechnical investigation and testing — Presentation of borehole log
DIN 4030-1, Assessment of water, soil and gases for their aggressiveness to concrete; principles and limiting
values
E DIN 4084, Subsoil — Calculations of terrain in justified cases and slope in justified cases
E DIN 4085, Subsoil — Calculation of earth pressure
DIN 4094-1, Subsoil — Field investigations — Part 1: Cone penetration tests
DIN 4094-2, Subsoil — Field testing — Part 2: Borehole dynamic probing
DIN 4094-3, Subsoil — Field testing — Part 3: Dynamic probing
DIN 4094-4, Subsoil — Field testing — Part 4: Field vane test
DIN 4123, Excavation, foundation and underpinnings adjacent to existing buildings
DIN 4124:2002-10, Excavations and trenches — Slopes, planking and strutting, breadths of working spaces
DIN V 4126-100, Diaphragm walls — Part 100: Analysis in accordance with the partial safety factor concept
DIN 4149, Buildings in German earthquake zones — Design loads, analysis and structural design of buildings
DIN 4150-1, Vibrations in buildings — Part 1: Prediction of vibration parameters
DIN 4150-2, Vibrations in buildings — Part 2: Effects on persons in buildings
DIN 4150-3, Vibrations in buildings — Part 3: Effects on structures
DIN 18121-1, Determination of water content of soil by the oven-drying method
DIN 18122-1, Soil, investigation and testing — Consistency limits — Part 1: Determination of liquid limit and
plastic limit
DIN 18126, Determination of minimum and maximum dry densities of non-cohesive soil
DIN 18127, Determination of dry density/moisture content relationship (Proctor test)
DIN 18136, Soil — Investigation and testing — Unconfined compression test
15

DIN 1054:2005-01
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DIN 18196:1988-10, Soil classification for civil engineering purposes
DIN 18800-1, Structural steelwork — Design and construction
DIN 18800-1/A1, Structural steelwork — Design and construction
DIN 18800-2, Structural steelwork — Analysis of safety against buckling of linear members and frames
DIN 18800-2/A1, Structural steelwork — Analysis of safety against buckling of linear members and frames
DIN EN 206-1, Concrete — Part 1: Specification, performance, production and conformity
DIN EN 1536, Execution of special geotechnical work — Bored piles
DIN EN 1537:2001-01, Execution of special geotechnical works — Ground anchors; German version
DIN EN 1538, Execution of special geotechnical work — Diaphragm walls
DIN V ENV 1997-1, Geotechnical design
DIN EN 12699, Execution of special geotechnical work — Displacement piles
E DIN EN 12794, Precast concrete foundation piles
E DIN EN 14199, Execution of special geotechnical works — Micropiles
DIN-Fachbericht (DIN Technical Report) 130, Wechselwirkung Baugrund/Bauwerk — Flachgründungen

(Soil/structure interaction — Shallow foundations)1)
E EAB, Empfehlungen des Arbeitskreises “Baugruben” (Recommendations of the Working Group for
Excavations), published by the Deutsche Gesellschaft für Geotechnik e.V. (German Society for Geotechnics,
DGGT), 4th edition2)*)
E EAU, Empfehlungen des Arbeitsausschusses “Ufereinfassungen, Häfen und Wasserstraßen”

(Recommendations of the Committee for Waterfront Structures, Harbours and Waterways), published by the
Arbeitsausschuss “Ufereinfassungen” (Committee for Waterfront Structures) of the Hafenbautechnische
Gesellschaft e.V. (Harbour Construction Society) and the Deutsche Gesellschaft für Geotechnik e.V., Berlin,
10th edition2)*)
EBGEO, Empfehlungen für Bewehrungen aus Geokunststoffen (Recommendations for reinforcement using
geosynthetics), Deutsche Gesellschaft für Geotechnik e.V.2)
E EVB, Empfehlungen “Verformungen des Baugrundes bei baulichen Anlagen” (Recommendations;

Deformation of the subsoil below structures), Deutsche Gesellschaft für Geotechnik e.V.2)*)
Musterbauordnung (Model Building Code) 2002
ZTV-Tunnel Zusätzliche Technische Vertragsbedingungen und Richtlinien für den Bau von Straßentunneln —
Teil 2: Offene Bauweise (Additional technical contractual conditions and guidelines for road tunnel
1) Obtainable from Beuth Verlag GmbH, 10772 Berlin.

2) Obtainable from: Verlag Ernst und Sohn, Berlin, Germany.
*) In preparation.
16

DIN 1054:2005-01
construction — Part 2: Open construction), Bundesminister für Verkehr (German Federal Ministry of
Transport)3)
[1] Empfehlungen für statische und dynamische Probebelastungen von Pfählen (Recommendations for static
and dynamic pile tests), Working Group 2.1 “Piles” of the Deutsche Gesellschaft für Geotechnik e.V., 1998.
[2] Merkblatt über den Einfluss der Hinterfüllung auf Bauwerke (Code of practice on the influence of backfill
on structures), Forschungsgesellschaft für Straßen und Verkehrswesen (Road and Transportation Research
Association, GSV), Köln, 1994.
[3] Richtlinie für den Entwurf, die Bemessung und den Bau von Kombinierten Pfahl-Plattengründungen
(KPP) (Guideline for the design, dimensioning and construction of piled-raft foundations), DIBt, DGGT, DafSB.
[4] Bedingungen für die Anwendung des Bauverfahrens “Bewehrte Erde” (Requirements for the application
of the “Reinforced Earth” construction method), Bundesministerium für Verkehr (German Federal Ministry of
Transport (BMV ARS 4/1985)), Highway Engineering Department, Bonn, 1985.
3 Terms, definitions and symbols
3.1 Terms and definitions
For the purpose of this standard, the following terms and definitions apply:
3.1.1 General terms and definitions
3.1.1.1
ground
natural, tipped or manufactured soil or rock on which a structure is founded or in which a structure is
embedded
3.1.1.2
construction works
results of construction operations, consisting of loadbearing and non-loadbearing components, which are in
intimate contact with the ground (i.e. a civil and structural engineering structure such as a house, bridge, or
tower) [DIN 1055-100:2001-03]
NOTE A structure in which specific geotechnical actions dominate is known as a geotechnical structure.
3.1.1.3
effect of action
result of simultaneous actions or a combination of actions on the structure or its parts or at a given location
(cross-section) on the structure [DIN 1055-100:2001-03]
3.1.1.4
action
forces or deformations acting on the structure [DIN 1055-100:2001-03]
NOTE 1 Actions include forces or deformations acting on the ground.
NOTE 2 The terms “direct action”, “indirect action”, “static action”, “predominantly permanent action”, “quasi-static
action”, “dynamic action”, “temporally invariable action”, “temporally variable action”, “permanent action”, “variable action”,
3) Recorded in the DITR database of DIN Software GmbH. Obtainable from Forschungsgesellschaft für Straßen- und
Verkehrswesen (FGSV), Konrad-Adenauer-Straße 13, 50996 Köln, Germany.
17
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DIN 1054:2005-01
“accidental action”, “seismic action”, “locally variable action”, “fixed action”, “locally invariable action” and “free action” are
defined in DIN 1055-100:2001-03.
3.1.1.5
structure
organized arrangement of connected load bearing and stiffening structural elements, designed such that a
given bearing capacity (e.g. foundations, supports, girders, floors, dividing walls) is guaranteed
[DIN 1055-100:2001-03]
NOTE In this standard, “structure” as used in this context predominantly refers to that part which rests upon a
foundation construction in this standard, the word “superstructure” is sometimes substituted for structure.
3.1.1.6
ground resistance
resistance due to strength and stiffness of the ground
3.1.2 Terms and definitions relating to the safety concept
3.1.2.1
design value
value of an action, an effect or a resistance used as the basis of a limit state analysis; denoted by the index
“d”
3.1.2.2
characteristic value
value of an action or a resistance, it being assumed that, with a given probability, this value will not be
exceeded or fallen short of during the reference period, taking the lifetime and the relevant design situation of
the structure into consideration; it is denoted by the index “k”
NOTE According to DIN 1055-100:2001-03, the characteristic value is the primary representative value for actions. In
the same standard, the following additional representative values are defined for variable actions: combination value,
infrequent value, frequent value, quasi-permanent value. In this standard, the “characteristic value of a parameter” is only
used for actions and resistances to which the definition given above applies without restriction. In contrast to this, the
simplified term “characteristic parameter” is used for all derived units that are either the result of a structural analysis using
characteristic or representative input values of actions or using characteristic input values of resistances or that are the
result of a correlation to characteristic values of soil properties.
3.1.2.3
combination of actions
specification of simultaneous actions to be considered in the verification in question
3.1.2.4
limit state condition
comparison of design values in the format of an inequation for verification of a limit state
NOTE The limit state condition is fulfilled or verification of safety against reaching a limit state is satisfied if the sum of
the design values of the governing actions or effects of actions is smaller than or equal to the governing resistances.
3.1.2.5
limit state of loss of static equilibrium (GZ 1A) (EQU, UPL and HYD)
failure of the structure through loss of equilibrium without rupture, e.g. uplift or hydraulic heave (boil)
3.1.2.6
limit state of failure of structures or structural elements (GZ 1B)(STR and GEO-2)
failure of structural elements or a structure by failure in the structure or the supporting ground, e.g. structural
failure of structural elements, bearing capacity failure, sliding, failure of the earth support
18
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DIN 1054:2005-01
3.1.2.7
limit state of loss of overall stability (GZ 1C) (GEO-3)
failure of the ground, including, where applicable, structures on or in the soil, due to rupture of the ground,
including, where applicable, rupture in bearing elements, e.g. slope failure, overall stability failure
3.1.2.8
serviceability limit state (GZ 2) (SLS)
condition of the structure which, if exceeded, means that the conditions specified for the use of the structure
are no longer fulfilled. A distinction is made between:
⎯ reversible limit states (no permanent violation of the limit state after removal of the relevant action) and
⎯ irreversible limit states (permanent violation of the limit state after removal of the relevant action).
[DIN 1055-100:2001-03]
3.1.2.9
Load Case
specification of mutually compatible load configurations, deformations and imperfections to be considered for
a given verification [DIN 1055-100:2001-03]
NOTE Furthermore, this standard establishes a link to Safety Classes, i.e. the resistances are classified as a function
of the safety requirements.
3.1.2.10
nominal value
value specified directly as a design value and not by means of partial factors or other safety elements (e.g.
design cross-section)
3.1.2.11
Safety Class
classification of geotechnical resistances as a function of the safety requirements
3.1.2.12
partial safety factor
factor for determining the design values of actions, effects of actions or resistances from the representative or
characteristic values [DIN 1055-100:2001-03]
3.1.3 Geotechnical terms and definitions
3.1.3.1
shallow foundation
foundation with a shallow embedment depth in which the loads are predominantly transmitted to the ground at
the foundation base
3.1.3.2
spread foundation
foundation of any embedment depth in which the loads are transmitted to the ground over a large foundation
base area, generally across the complete area of the structure
3.1.3.3
combined pile-raft foundation
composite geotechnical structure with a common support effect from raft foundations and piles for transmitting
the structural loads to the ground
19
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DIN 1054:2005-01
3.1.3.4
slope stabilisation by structural elements
permanent or temporary stabilisation of a man-made or natural slope, consisting of stabilising structural
elements and a surface stabilisation that, apart from its own weight, is unable to transmit horizontal or vertical
forces into the ground
3.1.3.5
bearing pressure
contact stress at the foundation base by means of which the forces from the foundation are transmitted to the
ground
3.1.3.6
retaining wall
gravity wall or braced or anchored wall with embedded toe that is capable of resisting horizontal and vertical
loads and transmitting them to the ground
3.1.3.7
retaining structure
structure for temporary or permanent stabilisation of a terrace, a man-made slope or a natural slope
NOTE “Retaining structure” is a generic term, encompassing “retaining walls” and “slope stabilisation by structural
elements”.
3.2 Symbols
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Table 1 — List of symbols
No. Symbol Designation Unit Clause/Equation

1 A Foundation base area m2 7.4.3, (13)
2 A' Effective foundation base area m2 7.7.1
3 Ak Characteristic hydrostatic uplift force kN 11.3.1, (55)
4 As Cross-sectional area of a steel tendon m2 9.4.2, (44)
5 as Side width of a pile with square cross-section m 8.4.5
Bh,d Design value of the horizontal component of the

6 kN/m 10.6.3, (49)
resultant support force/ground reaction
Bh,k Horizontal component of the resultant characteristic

7 kN/m 10.4.2
support force/ground reaction
8 Bk Resultant characteristic support force/ground reaction kN/m 7.4.2
Bv,k Vertical component of the resultant characteristic support

9 kN/m 10.6.3, (51)
force/ground reaction
10 b Width of a strip foundation m 7.7.2.1
11 b' Effective width of a strip foundation m 7.7.2.1
12 bx Width of the foundation in x-direction m 7.5.1, (17)
13 by Width of the foundation in y-direction m 7.5.1, (17)
14 b'x Effective width of the foundation in x-direction m 7.7.1, (21)
15 b'y Effective width of the foundation in y-direction m 7.7.1, (21)
20

DIN 1054:2005-01
Table 1 (continued)

16 c' Cohesion of drained soil (effective cohesion), general kN/m2 5.3.2
17 c'd Design cohesion of drained soil (effective cohesion) kN/m2 6.4.2, (5b)
c'k Characteristic cohesion of drained soil

18 kN/m2 6.4.2, (5b)
(effective cohesion)
19 cd Design value of cohesion, general kN/m2 6.2.1
20 ck Characteristic value of cohesion, general kN/m2 6.2.1
21 cu Shear strength (cohesion) of undrained soil, general kN/m2 5.3.2
22 cu,d Design shear strength (cohesion) of undrained soil kN/m2 6.4.2, (5c)
cu,k Characteristic shear strength (cohesion) of undrained

23 kN/m2 7.4.3
soil
24 D Relative density – 7.7.2.1
25 Ds Pile shaft diameter m 8.4.5
26 Db Pile base diameter m 8.4.2, (29)
27 DPr Proctor density – 5.3.2

28 d Embedment depth m 7.7.1
E1,d Design value of the effect of actions on a single pile at

29 – 8.3.4
the ultimate limit state, general
E1,k Characteristic value of the effect of actions on a single

30 – 8.3.4
pile at the ultimate limit state, general
E2,d Design value of the effect of actions on a single pile at

31 – 8.3.4
the serviceability limit state, general
E2,k Characteristic value of the effect of actions on a single

32 – 8.3.4
pile at the serviceability limit state, general
33 EG,d Design value of the effect of permanent actions, general – 6.1.2
EG,k Characteristic value of the effect of permanent actions,

34 – 6.1.2
general
EQ,k Characteristic value of the effect of variable actions,

35 – 6.1.2
general
36 EQ,d Design value of the effect of variable actions, general – 6.1.2
Eah,k Horizontal component of the characteristic active earth

37 kN/m 11.3.2
pressure
Eav,k Vertical component of the characteristic active earth

38 kN/m 11.3.2
pressure
39 Ed Design value of an effect of actions, general – 6.1.5
40 Ed,i Design value of the effect of the nth action – 4.3.2
41 Ek Characteristic value of the effect of actions, general – 6.4.1
21
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DIN 1054:2005-01
Table 1 (continued)
42 Ek,i Characteristic value of the effect of the nth action 4.3.2
43 Ep,d Design passive earth pressure kN/m 7.4.1
Eph,d Design value of the horizontal component of the passive

44 kN/m 10.6.3, (49)
earth pressure
Eph,k Horizontal component of the characteristic passive earth

45 kN/m 10.6.3, (50)
pressure
46 Ep,k Characteristic passive earth pressure kN/m 7.4.1
47 Erep Representative value of the effect of actions, general – 6.1.2
48 Es,k Characteristic constrained modulus MN/m2 8.4.5, (31)
49 ep,k Characteristic passive earth pressure stress kN/m2 7.4.1, (10)
eph,k Horizontal component of the characteristic passive earth

50 kN/m2 8.5.2
pressure stress
ep mob,k Mobilized component of the characteristic passive earth

51 kN/m2 7.4.1, (10)
pressure stress
ex Eccentricity of the governing bearing pressure resultant

52 m 7.5.1, (18)
in x-direction
ey Eccentricity of the governing bearing pressure resultant

53 m 7.5.1, (18)
in y-direction
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54 FS,k Characteristic shear force in the GZ 1A (UPL) limit state – 11.3.2, (56)
55 Fk,i Characteristic value of the nth action, general – 4.3.2
56 Fd Design value of an action, general – 6.4.1
57 Fk Characteristic value of an action, general – 6.4.1
58 ft,k Characteristic tensile strength of a steel tendon kN 9.5
59 ft,0,1,k Characteristic stress at 0,1 % permanent strain kN 9.4.2, (44)
GE,k Characteristic submerged self-weight of the soil attached

60 kN 8.5.4, (34)
to a group of tension elements
G'k Characteristic submerged self-weight of the percolated

61 kN 11.5, (62)
soil mass
Gk,dst Characteristic value of unfavourable permanent actions

62 kN 8.5.4, (34)
in the GZ 1A (UPL) limit state
Gk,stb Characteristic value of favourable permanent actions in

63 kN 8.5.4, (34)
the GZ 1A (UPL) limit state
Hk Horizontal component of the characteristic bearing

64 kN 7.7.1
pressure resultant
65 K0 Coefficient of earth pressure at rest – 8.3.3, (25)
22

DIN 1054:2005-01
Table 1 (continued)
66 ks Creep displacement rate mm 9.4.1
67 ks,k Characteristic modulus of subgrade reaction kN/m3 8.4.5

68 L Length of a tension element m 8.5.4, (35)
69 la Larger grid spacing m 8.5.4, (35)
70 lb Smaller grid spacing m 8.5.4, (35)

71 N Number of pile load tests – 8.4.2, (28)
NG,k Permanent component of the characteristic resultant

72 kN 7.3.2
effect of actions normal to the foundation base
Nd Design resultant effect of actions normal to the

73 kN 7.3.2
foundation base
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Nk Characteristic resultant effect of actions normal to the

74 kN 7.4.3, (14)
foundation base
Variable component of the characteristic resultant effect
75 NQ,k of actions normal to the foundation base (or failure kN 7.3.2
plane)
76 n Number of equal tension elements (piles) – 8.5.4, (35)
77 PP Proof load for anchor tests kN 9.4.1
78 Qk Characteristic value of unfavourable variable actions kN 8.5.4, (34)
79 qc CPT cone resistance according to DIN 4094-1 kN/m2 7.7.2.1
qs,k Characteristic value of positive skin friction (shaft

80 kN/m2 B.1
resistance)
81 qu Unconfined compressive strength kN/m2 7.7.3.1
82 qu,k Characteristic unconfined compressive strength kN/m2 7.7.3.1, (23)

83 R Bearing capacity or axial resistance of a single pile kN 8.4.1
84 R1 Bearing capacity of a pile at the ultimate limit state kN 8.4.1
R1,d Design bearing capacity of a pile at the ultimate limit

85 kN 8.5.1, (32)
state
R1,k Characteristic bearing capacity or characteristic pile

86 kN 8.4.2
resistance
R1m,i nth pile individual value of bearing capacity from load test
87 kN 8.4.2
results
88 R1m,min Smallest pile bearing capacity from load test results kN 8.4.2
Mean value of pile bearing capacities from load test
89 R1m kN 8.4.2
results
90 R2 Bearing capacity of pile at the serviceability limit state kN 8.4.1
R2,d Design bearing capacity of a pile at the serviceability limit

91 kN 8.6.1, (39)
state
23

DIN 1054:2005-01
Table 1 (continued)
R2,k Characteristic bearing capacity of pile at the

92 kN 8.4.6
serviceability limit state
93 Ra,d Design pull-out resistance kN 9.4.1
94 Ra,k Characteristic pull-out resistance kN 9.4.1
95 Rb Bearing resistance of the base of a single pile kN 8.4.1
96 Rd Design resistance, general – 6.4.2
97 Rd,i Design value of the nth resistance, general – 4.3.2
98 Ri,d Design resistance of a steel tendon kN 9.4.2
99 Ri,k Characteristic resistance of a steel tendon kN 9.4.2
100 Rk Characteristic resistance, general – 6.4.2
101 Rk,i Characteristic value of the nth resistance, general – 4.3.2
102 RM,d Design resistance of a structural element, general – 8.5.6, (38)
103 Rm,i Value of test result of the nth load test kN 8.4.2, (30)
104 Rn,d Design bearing resistance of the ground kN 7.4.2
105 Rn,k Characteristic bearing resistance of the ground kN 7.4.2
106 Rs Bearing resistance of the shaft of a single pile kN 8.4.1
107 Rt,d Design sliding resistance kN 7.4.3
108 Rt,k Characteristic sliding resistance kN 7.4.3

109 r Radius of a circular foundation m 7.5.1, (18)
--`,,```,,,,````-`-`,,`,,`,`,,`---
re Allowable eccentricity of the resultant characteristic

110 m 7.5.1, (18)
effect of actions on a circular foundation
111 S'k Characteristic seepage force in a percolated soil mass kN 11.5, (62)
112 s Settlement of the pile head m 8.4.1
113 s1 Settlement of the pile head at the ultimate limit state m 8.4.2, (29)
s2,k Acceptable settlement of the pile head at the

114 m 8.6.1
serviceability limit state
s2,k max Upper limit for the acceptable characteristic settlement of

115 m 8.6.1, Figure 3
the pile head at the serviceability limit state
s2,k min Lower limit for the acceptable characteristic settlement of

116 m 8.6.1, Figure 3
the pile head at the serviceability limit state
117 sa Settlement at time a mm 9.4.1
118 sb Settlement at time b mm 9.4.1
119 sh Horizontal displacement m 10.4.2, (48)
24

DIN 1054:2005-01
Table 1 (continued)
120 sN Standard deviation of results of pile load tests kN 8.4.2, (28)
Td Design value of the effect of actions parallel to the

121 kN 7.3.2
foundation base
Td,x Design value of the effect of actions parallel to the

122 kN 7.3.2, (8)
foundation base in x-direction
Td,y Design value of the effect of actions parallel to the

123 kN 7.3.2, (8)
foundation base in y-direction
TG,k Permanent component of the characteristic effect of

124 kN 7.3.2
actions parallel to the foundation base
TQ,k Variable component of the characteristic effect of actions

125 kN 7.3.2
parallel to the foundation base
Tk Characteristic effect of actions parallel to the foundation

126 kN 7.5.2
base
127 ta Time a s 9.4.1
128 tb Time b s 9.4.1

129 V Vertical force component, general kN 6.2.4
130 VG Variation coefficient – 5.3.1
Vd Design value of the vertical effect of actions at the toe of

131 kN 10.6.6, (53)
a wall or drilled soldier pile
Vd,i Design value of the nth vertical effect of actions at the

132 kN 10.6.6, (53)
toe of a wall or drilled soldier pile
Vk Vertical component of the characteristic bearing pressure

133 kN 10.6.3, (51)
or actions
134 Vk,i Vertical component of the nth characteristic action kN 10.6.3, (51)
135 x Axis of the foundation in x-direction m 7.3.2
xe Allowable eccentricity of the resultant characteristic

136 m 7.5.1, (17)
effect of actions in x-direction
137 y Axis of the foundation in y-direction m 7.3.2
ye Allowable eccentricity of the resultant characteristic

138 m 7.5.1, (17)
effect of actions in y-direction
139 Zd Design anchor force kN 10.6.4, (52)
140 Zd,i Design value of the nth anchor force kN 10.6.4, (52)
141 γ Weight density of construction material kN/m3 11.1

142 γ' Effective weight density kN/m3 8.5.4, (35)
γA Partial factor for the material resistance or pull-out

143 – 6.4.2, Table 3
resistance of a grouted anchor
γB Partial factor for the pull-out resistance of flexible

144 – 6.4.2, Table 3
reinforcing elements
25
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DIN 1054:2005-01
Table 1 (continued)
γE0g Partial factor for permanent actions from earth pressure

145 – 6.4.1, Table 2
at rest
146 γEp Partial factor for passive earth pressure – 6.4.2
147 γF Partial factor for actions, general – 6.3.3
148 γG Partial factor for permanent actions, general – 6.4.1, Table 2
γG,dst Partial factor for unfavourable permanent actions in the

149 – 6.4.1, Table 2
GZ 1A (UPL) limit state
γG,stb Partial factor for favourable permanent actions in the

150 – 6.4.1, Table 2
GZ 1A (UPL and HYD) limit states
151 γGl Partial factor for sliding resistance – 6.4.2, Table 3
γGr Partial safety factor for the bearing capacity of the

152 – 6.4.2, Table 3
ground
153 γH Partial factor for the action from seepage force – 6.4.1, Table 2
γM Partial factor for the resistance of a ground anchor steel

154 – 6.4.2, Table 3
tendon
155 γN Partial factor for the pull-out resistance of soil nails – 6.4.2, Table 3
γP Partial factor for compressive and tensile pile bearing

156 – 6.4.2, Table 3
capacity obtained from empirical values
γPc Partial factor for compressive pile bearing resistance

157 – 6.4.2, Table 3
obtained from pile load testing
γPt Partial factor for tensile pile bearing resistance obtained

158 – 6.4.2, Table 3
from pile load testing
159 γQ Partial factor for unfavourable variable actions – 6.4.1, Table 2
γQ,dst Partial factor for unfavourable variable actions in the

160 – 6.4.1, Table 2
GZ 1A (UPL) limit state
161 γR General partial factor for resistances – 6.3.3
162 γZ Partial factor for tension piles – 6.4.2, Table 3
163 γc Partial factor for cohesion – 6.4.2
γcu Partial factor for the shear strength (cohesion) of

164 – 6.4.2
undrained soil
165 γϕ Partial factor for the angle of shearing resistance tan ϕ – 6.4.2
166 γw weight density of water kN/m3 6.1.3
δa Angle between the earth pressure force and the normal

167 ° 10.3.1
to the wall
δp Angle between the passive earth pressure force and the

168 ° 6.2.4
normal to the wall
169 δE Inclination of the resultant effect of actions ° 7.7.1
26
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DIN 1054:2005-01
--`,,```,,,,````-`-`,,`,,`,`,,`---
Table 1 (continued)
170 δS,k Characteristic base friction angle ° 7.4.3, (14)
171 η Calibration factor – 4.4
172 ηk Factor for determining the anchor test load – 9.4.1, (41)
Factor for determining upper and lower limit values of
173 κ acceptable settlement in the serviceability limit state of – 8.6.1, (40)
piles
Correlation factor for evaluation of single pile load test
174 ξ – 8.4.2
results
175 τn,k Characteristic negative pile skin friction kN/m2 8.3.3
176 σh,k Characteristic horizontal stress in the ground kN/m2 8.5.2
177 σ'v Effective vertical stress in the ground kN/m2 8.3.3, (25)
178 σwork Resultant characteristic bearing pressure kN/m2 7.7.1, (22)
179 σallow Allowable bearing pressure kN/m2 7.7.1, (22)
180 ϕd Design angle of shearing resistance of the soil, general ° 6.2.1
ϕk Characteristic angle of shearing resistance of the soil,

181 ° 6.2.1
general
Angle of shearing resistance of drained soil (effective
182 ϕ' ° 5.3.2
friction angle), general
ϕ'd Design angle of shearing resistance of drained soil

183 ° 6.4.2, (5a)
(effective friction angle)
ϕ'k Characteristic angle of shearing resistance of drained

184 ° 6.2.4
soil (effective friction angle)
185 ϕu Angle of shearing resistance of undrained soil, general ° 5.3.2
NOTE Further symbols are described in the Annexes.
4 General provisions for safety verifications
4.1 Basic requirements
(1) Since the execution of foundations and geotechnical structures requires thorough planning and
preparation, the designer must be suitably qualified and experienced in geotechnical engineering. Based on
his own geotechnical competence and after consulting his client the designer shall decide whether the
assistance of a geotechnical expert is needed, see 4.2 (1) b) and c).
NOTE Section 54 of the Musterbauordnung (Model Building Code) 2002 states that:
(1) “The designer shall be appropriately qualified and experienced to plan the structure. He is responsible for the
completeness and the practicability of the design. The designer shall ensure that each of the necessary plans, calculations
and instructions required for execution of the design fulfils the provisions.”
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DIN 1054:2005-01
(2) “If the designer is not sufficiently qualified and experienced in a special field he shall engage an appropriate expert
who shall be responsible for the documents he produces and which he must sign. The designer is responsible for
managing the work carried out by the experts.”
(2) It shall be verified with adequate probability that ultimate limit states (GZ 1) (STR, GEO-2, GEO-3, UPL
and HYD) and serviceability limit states will not occur. The verification shall be performed according to (3)
unless the possibilities of (4) are utilized.
(3) Safety shall be deemed verified if the limit state conditions are not violated in the calculations. The most
unfavourable mechanisms, combinations and hydraulic conditions shall be investigated for this purpose. The
equilibrium conditions shall be adhered to when establishing the limit state conditions. If an upper and a lower
characteristic value have been used, the most unfavourable value shall be adopted in the calculations.
(4) In simple cases (in particular for shallow foundations according to 7.7, for slopes and for retaining walls in
excavations and trenches according to DIN 4124), tabular values may be used. In complex cases, adoption of
the observational method according to 4.5 may prove useful.
(5) Random deviations of actions, of effects of actions (e.g. internal forces, stresses and strains) and of
resistances shall be sufficiently taken into account by partial safety factors and other safety elements (e.g.
design water levels) in order to achieve the required level of safety.
4.2 Geotechnical Categories (GC)
(1) The minimum requirements on the extent and quality of geotechnical investigations, calculations and
monitoring measures are a function of the three Geotechnical Categories (GC). The requirements of the
geotechnical investigation report are described in DIN 4020. Additionally the Geotechnical Categories are
defined in DIN 4020 as classes to which construction works are assigned according to the complexity of the
structure, of the ground conditions and of the interaction between the structure, the ground and the
surrounding area in the following way:
a) Geotechnical Category GC 1 includes construction projects of a low level of complexity with regard to the
structure and the ground. For structures of GC 1 the stability and serviceability can be verified using
simplified procedures based on experience.
b) Geotechnical Category GC 2 includes construction projects of medium complexity with regard to the
structure and the ground. For structures of GC 2, treatment by an engineer is required and a verification
of the ultimate and serviceability limit states by calculation shall be performed. Moreover, a geotechnical
design report (see 4.6) shall be written.
c) Geotechnical Category GC 3 includes construction projects of a high level of complexity and construction
projects that cannot be placed in Geotechnical Categories GC 1 or GC 2. Apart from well-justified cases,
construction projects in which the observational method is applied shall be placed in Geotechnical
Category GC 3. For structures of GC 3, treatment by an engineer is required and verification of the
ultimate and serviceability limit states by calculation shall be performed based on additional investigations
and sound competence and experience in the relevant special field. Moreover, a geotechnical design
report (see 4.6) shall be written.
--`,,```,,,,````-`-`,,`,,`,`,,`---
NOTE The geotechnical investigation report and the geotechnical design report can be written by the same person
provided he or she has the necessary competence and experience. If the reports are written by different persons the client
should define their respective areas of responsibility.
(2) The construction project shall be placed in a Geotechnical Category at the beginning of the design stage.
Classification shall be in a higher Geotechnical Category if subsequent findings suggest this is necessary.
Classification in a lower Geotechnical Category may be effected if warranted by subsequent findings.
(3) It is not necessary to place the entire construction project in one and the same Geotechnical Category.
Individual construction stages or phases may be placed in lower Geotechnical Categories.
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DIN 1054:2005-01
(4) Detailed classifications can be found in clauses 7 to 12. Use of these categories is recommended.
4.3 Ultimate Limit States (GZ 1) (ULS)
4.3.1 GZ 1A (EQU, UPL and HYD) limit states: Limit state of loss of static equilibrium
Safety against failure by uplift and hydraulic heave shall be analysed and verified. For this purpose, the design
values of favourable and unfavourable actions are to be compared in the limit state conditions. No resistances
occur in the GZ 1A (EQU, UPL and HYD) limit states. See clauses 8 and 11.
NOTE For verification of safety against failure by overturning see 7.5.1.
4.3.2 GZ 1B (STR and GEO-2) limit states: Limit state of failure of the structure and of structural
elements
(1) It shall be demonstrated that geotechnical structures and structural elements are dimensioned sufficiently.
For this purpose, the design values of the effects of actions are compared to the design values of resistances,
regardless of whether the ultimate limit state occurs in the structure or in the ground. See clauses 7 to 10.
(2) This standard assumes the following procedure when dimensioning a structure or individual structural
elements for the GZ 1B (STR and GEO-2) limit states if no other procedure is expedient in individual cases or
is required by other provisions, e.g. in 8.5.2 (1).
1. Preliminary design of the structure and definition of the static system;
2. Determination of characteristic values Fk,i of actions, e.g. from self-weight, earth pressure, water pressure
or traffic and, where necessary, specification of characteristic values or other representative values of
foundation loads according to 6.1.2;
3. Determination of characteristic effects of actions Ek,i (e.g. shear forces, support forces, bending
moments) or stresses (e.g. normal stresses, shear stresses, effective stresses) in relevant sections of the
structure and at the soil/structure interface, separated according to causes;
4. Determination of characteristic resistances Rk,i of the ground, e.g. passive earth pressure, bearing
capacity, bearing capacity of piles or pull-out resistance of anchors, by calculations, load tests or
empirically;
5. Determination of design values Ed,i of effects of actions by multiplication of characteristic effects of

actions Ek,i with the partial factors of actions;
6. Determination of the design values Rd,i of resistances of the ground by division of the characteristic
resistances Rk,i by the partial factors for ground resistances, and determination of the design resistances
Rd,i of structural elements, e.g. resisting tensile, compressive and shear forces, bending moments or
stresses, according to the provisions in the standards for the various types of building, in particular to
DIN 1045-1, DIN 18800-1, DIN 18800-2 and DIN 1052.
7. Verification that the limit state condition
∑ Ed,i ≤ ∑ Rd,i (1)
is fulfilled using the design values Ed,i of the effects of actions and the design resistances Rd,i.
(3) As an approximation for non-linear problems, the characteristic effects determined in Step 3 from the
unfavourable combination of permanent actions and variable actions may be divided into a component
29
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DIN 1054:2005-01
resulting from permanent actions and one from variable actions respectively, if based on a sufficiently precise
criterion.
4.3.3 GZ 1C (GEO-3) limit state: Limit state of loss of overall stability
The overall stability shall be demonstrated. For this purpose, the limit state conditions shall be established
using design values of actions, of shear strength and, where necessary, design values of resistances of
loadbearing structural elements. The ultimate limit state always occurs in the ground and may also arise in
loadbearing structural elements (see Section 12).
--`,,```,,,,````-`-`,,`,,`,`,,`---
4.3.4 Ductility of the overall system
When verifying the GZ 1B and GZ 1C (STR, GEO-2 and GEO-3) limit states, adequate ductility of the overall
system consisting of ground and structure, i.e. the possibility of non-destructive redistribution of forces in the
ground and in the structure, is assumed. For further information, see also 5.3.2 (7) and the standards on
specific construction materials.
4.3.5 Other types of verification
Verification may also be by means of:
⎯ selecting dimensions based on normative specifications for simple cases, e.g. to DIN 4124;
⎯ adopting allowable bearing pressures for shallow foundations, see Section 7;
⎯ adopting the observational method, see 4.5.
4.4 Serviceability Limit States (GZ 2) (SLS)
(1) Serviceability limit states generally refer to allowable deformations and displacements. Further criteria
may govern individual cases. See DIN 1055-100:2001-03.
NOTE Adherence to serviceability by quality assurance measures during execution, e.g. verification of adequate
sealing of trough structures, retaining structures or bottoms of excavations, is beyond the scope of this standard. In such
cases, standards for the specific structures and the standards drawn up by Technical Committee CEN/TC 288 “Execution
of special geotechnical work” shall apply.
(2) The magnitude, duration and frequency of actions shall be taken into consideration for verification of the
serviceability limit states. See Sections 7, 8 and 10 for further details.
(3) Verification of the serviceability limit states shall be performed with the characteristic values of actions,
see Table 2.
(4) If deformations are determined together with the characteristic effects of actions to establish the limit state
conditions for the GZ 1B (STR) limit state, calculation steps 2 to 4 in 4.3.2 may be adopted for verification of
serviceability.
(5) Verification may also be performed by means of:
⎯ reference to comparable experience;
⎯ adopting allowable bearing pressures for shallow foundations, see 7.7;
⎯ introducing additional calibration factors η < 1 for ground resistances with the aim of reducing the
expected displacements;
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DIN 1054:2005-01
⎯ adopting the observational method according to 4.5.

--`,,```,,,,````-`-`,,`,,`,`,,`---
(6) See Sections 7 to 12 for more details.
4.5 Observational method
4.5.1 Scope of application
(1) The observational method is a combination of common geotechnical investigations and calculations
(predictions) with continuous checks by means of measurements of the structure and the ground during
execution and, if necessary, during the use of the structure. Critical situations shall be kept under control by
means of suitable technical measures.
(2) The observational method should be adopted in cases where it is not possible to reliably predict ground
behaviour solely from previous ground investigations and mathematical verifications. In particular, this
includes:
⎯ very complex construction projects according to 4.2;
⎯ construction projects with pronounced soil-structure interaction, e.g. mixed (shallow and deep)
foundations, raft foundations, flexibly anchored retaining walls;
⎯ construction projects with substantial and variable water pressure action, e.g. trough structures or
waterfront structures in tidal areas;
⎯ complex interaction systems consisting of ground, excavation structure and neighbouring buildings;
⎯ construction projects in which pore-water pressures may reduce stability;
⎯ construction projects on slopes.
3) If failure is not recognizable beforehand or does not make itself noticeable in due time, the observational
method is not suitable as a method of safety verification.
(4) If measurements indicate more favourable conditions than expected, the observational method may also
be adopted for optimisation of the design and the further course of construction.
4.5.2 Measures prior to commencing construction
(1) The behaviour of the ground and the structure required to avoid damage shall be defined prior to
commencing execution of the structure. If serviceability is verified using the observational method, the
fundamental serviceability requirements and serviceability criteria shall be specified and defined on a
project-specific basis for individual cases. It is recommended that the client, the geotechnical consultant, the
structural engineer, the contractor and the site management participate. For each possible case in which the
planned measurements may indicate a violation of limits, counter-measures shall be developed and included
in the execution planning.
(2) The range within which the behaviour of the structure will presumably lie shall be determined analytically
on the basis of the available investigation results. For serviceability verifications, an analytical prediction shall
be performed, in particular with the aim of:
⎯ understanding the principal characteristics of the ground and structure behaviour,
⎯ planning the measurement programme appropriately,
31

DIN 1054:2005-01
⎯ facilitating assessment of the mode of functioning of structural measures to be implemented in the case of
serviceability criteria being violated,
⎯ examining the possibilities for adhering to previously defined serviceability requirements for the relevant
construction stages.
Experience with comparable construction projects should improve the analytical prediction.
(3) A measurement programme should be drawn up to allow verification that the actual behaviour of the
system lies within the defined limits. The measuring intervals, and the duration between the measurement and
the analysis of the results, shall be selected as a function of construction progress and possible developments
in the behaviour of the structure in such a way that any necessary counter-measures can be implemented in
time. Installation of an alarm system is recommended. Robust measurement methods of sufficient accuracy
and reliability should be given preference.
4.5.3 Measures during the construction process
(1) Before and during the construction process the measurement systems shall be installed as planned, the
intended measurements taken and the results evaluated in due time. The projected counter-measures shall
be capable of being implemented when required. Any deviations from planning shall be documented.
(2) The measurement results and the results of the analytical prediction shall be compared at the governing
construction stages. It shall be examined how well the geometrical data, soil properties and other analysis
assumptions used for the prediction remain valid. If deviations from the original assumptions arise as a result
of the knowledge gained about the structure, the ground or the hydrogeological conditions during construction
progress, the analytical prediction shall be reviewed. In each case, the most recent analyses shall be adopted
as the prediction for the purpose of further assessment.
(3) Based on measurement results it shall be regularly examined to what degree the ground and structure
behave as expected and whether the defined serviceability criteria are fulfilled. In case of unexpected,
unfavourable behaviour or violation, the planned counter-measures given in (1) shall be initiated. When
assessing serviceability, the results of the current analytical prediction shall also be taken into account. If large
deviations are indicated, the cause shall be investigated.
4.6 Compliance with provisions for safety verifications
(1) In the course of the design process it shall be checked whether the Geotechnical Category in which the
structure has been placed during the ground investigation is still valid. Any change in the category shall be
justified.
(2) For structures of Geotechnical Categories GC 2 and GC 3 the following is to be done:
a) ensure that the general requirements of 4.1 are fulfilled;
b) state the appropriateness and sufficiency of the ultimate limit states investigated during verification
according to 4.3;
c) state the appropriateness and sufficiency of the serviceability limit states investigated during verification
according to 4.4;
d) compile the assumptions, data and results of the verifications for the ultimate limit and serviceability
states;
e) document and justify the assumptions. These are in particular:
⎯ corrections in the values of the soil properties, e.g. the selection of parameters and the use of
comparable experience;
32
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DIN 1054:2005-01
⎯ establishing load cases and partial factors of safety, e.g. according to 6.3.3 (3), 6.4.1 (7), 6.4.2 (6);
⎯ assessing the calculation method, e.g. selection of methods and structural model;
⎯ execution and evaluation of tests on structural elements, e.g. omission of pile load tests;
f) if appropriate, justify the necessity, appropriateness and adequacy of the observational method according
to 4.5, the principles of the method and of the evaluation of the results, and the recommendations for
measurements of the structure and in the ground.
(3) The results and the procedure of (1) and (2) shall be summarized and documented in a geotechnical
design report, with further information on the design. Further geotechnical reports may become necessary in
the course of the execution of the structure. The geotechnical design requires sound geotechnical
competence and experience, see 4.1 (1).
5 Ground
5.1 Geotechnical investigations
5.1.1 Purpose of investigations
--`,,```,,,,````-`-`,,`,,`,`,,`---
In order to perform the safety verifications dealt with in this standard, geotechnical investigations are
necessary. The results shall be described in a ground investigation report according to DIN 4020 and shall
contain statements on
⎯ the ground with strata, faults, disturbances and inclusions;
⎯ the groundwater conditions;
⎯ the soil and rock properties and parameters;
⎯ the boundaries of the investigated areas and their boundary conditions.
5.1.2 Type and extent of investigations
(1) The type and extent of geotechnical investigations depend on the type of structure, the proposed
construction methods and the ground conditions, which are dealt with in detail in DIN 4020.
(2) As the investigation results can initially only be conjectured, it is absolutely necessary to allow for
adaptation of the investigations to knowledge gained and to the respective design situation.
5.2 Types of ground
5.2.1 General
(1) DIN 4022-1 makes a distinction between rock and soil.
(2) soil is referred to as natural if it was produced by a geological process.
(3) A soil is referred to as fill if it was artificially tipped.
(4) The definitions of non-cohesive, cohesive and organic or organogenic soils subsequently adopted here
are intended as an aid to enable distinctions to be made in construction practice, e.g. in the Tables in Annexes
33

DIN 1054:2005-01
A, B and C. If a more precise classification is required, e.g. when stipulating soil properties, the soil
classification used in DIN 18196 in conjunction with the information in DIN 4022-1 shall be adopted.
5.2.2 Non-cohesive soils
(1) In this standard, soils such as sand, gravel, stones and their mixtures are referred to as non-cohesive if
the proportion of components with grain sizes < 0,06 mm is less than 5 % by mass. This corresponds to the
coarse-grained soils of soil groups GE, GW, GI, SE, SW and SI to DIN 18196:1988-10, Table 5.
(2) Mix-grained soils with a proportion of components with grain sizes < 0,06 mm between 5 % by mass and
15 % by mass are also generally classified as non-cohesive soils. This corresponds to the soils of soil groups
GU, GT, SU and ST to DIN 18196:1988-10, Table 5. If in doubt, see (4).
(3) In exceptional cases it may be expedient to classify a mix-grained soil of soil groups GU*, GT*, SU* and
ST* to DIN 18196:1988-10, Table 5, as a non-cohesive soil. See (4).
(4) The mix-grained soils according to (2) and (3) are classified as non-cohesive soils on the basis of
--`,,```,,,,````-`-`,,`,,`,`,,`---
DIN 4022-1:1987-09, 6.2.2.2 if the fine-grained proportion does not govern the plastic behaviour of the soil.
However, see also 5.2.6.
NOTE In accordance with DIN 4022-1:1987-09, 6.2.2.2, the fine-grained proportion of a soil does not govern the
behaviour of a mix-grained soil if it demonstrates little or no dry strength in a dry strength soil test according to
DIN 4022-1:1987-09, 8.5 or if it is not malleable in a kneading test analogous to that described in DIN 4022-1:1987-09, 8.7.
5.2.3 Cohesive soils
(1) In this standard, soils such as clay, clayey silt, silt and their mixtures with non-cohesive soils are referred
to as cohesive if the proportion of components with grain sizes < 0,06 mm is greater than 40 % by mass. This
corresponds to the fine-grained soils of soil groups UL, UM and UA, and TL, TM and TA to
DIN 18196:1988-10, Table 5.
(2) Mix-grained soils with a proportion of components with grain sizes < 0,06 mm between 15 % by mass and
40 % by mass are also generally classified as cohesive soils. This corresponds to the soils of soil groups GU*,
GT*, SU* and ST* to DIN 18196:1988-10, Table 5. See (4).
(3) In exceptional cases it may be expedient to classify a mix-grained soil of soil groups GU, GT, SU and ST
to DIN 18196:1988-10, Table 5, as a cohesive soil. If in doubt, see (4).
(4) The mix-grained soils according to (2) and (3) are classified as cohesive soils based on
DIN 4022-1:1987-09, 6.2.2.3 if the fine-grained proportion governs the plastic behaviour of the soil. However,
see also 5.2.6.
NOTE In accordance with DIN 4022-1:1987-09, 6.2.2.3, the fine-grained proportion of a soil governs the behaviour of
a mixed-grain soil if it demonstrates at least medium dry strength in a dry strength test in accordance with
DIN 4022-1:1987-09, 8.5, or if it is malleable in a kneading test to DIN 4022-1:1987-09, 8.7.
5.2.4 Organic and organogenic soils
(1) Soils such as peat and sapropel are referred to as organic soils. This corresponds to the soils of soil
groups HN, HZ and F to DIN 18196:1988-10, Table 5.
(2) Non-cohesive soils according to 5.2.2 or cohesive soils according to 5.2.3 are known as organogenic in
this standard if the proportion of organic constituents of animal or vegetable origin is more than 3 % by mass
for non-cohesive soils and more than 5 % by mass for cohesive soils. This corresponds to the soils of soil
groups OU, OT, OH and OK to DIN 18196:1988-10, Table 5.
34

DIN 1054:2005-01
5.2.5 Fill
Fills are differentiated as follows:
⎯ uncompacted fill of arbitrary composition
⎯ compacted fill of non-cohesive or cohesive soil types or of inorganic materials, e.g. demolition waste, ash
and slag or ore residues, if the fill has been sufficiently compacted.
5.2.6 Supplementary information

--`,,```,,,,````-`-`,,`,,`,`,,`---
Mix-grained soils for which the limiting densities cannot be determined according to DIN 18126 due to the type
and amount of fines and for which the type of fine grain and the large proportion of grains > 0,4 mm do not
allow reliable determination of the consistency index according to DIN 18122-1 may not be classified as
non-cohesive soils according to 5.2.2 (4) or as cohesive soils according to 5.2.3 (4). For such soils a special
assessment requiring sound geotechnical competence and experience shall be carried out, see 4.1 (1).
5.3 Characteristic values of soil properties
5.3.1 Establishing characteristic values of soil properties
(1) In principle, characteristic values of soil properties to DIN 4020, determined on the basis of soil exposures
to DIN 4021, laboratory and field tests, and other information, shall be established for each soil type identified
such that the results of the calculations performed using these values are conservative.
(2) For volume-related parameters, e.g. weight density and constrained modulus, the characteristic value is a
cautious estimate of the mean value in the region of the ground for which the soil properties are established.
For unit area-related soil properties, and for shear strength in particular, a cautious estimate of the mean value
in the region of the probable governing slip surfaces shall be adopted. In both cases, it shall be considered to
what extent structures or parts of structures affect only parts of these ground regions. See (3) to (5) for related
provisions.
(3) If the coefficient of variation VG > 0,1 as a result of the statistical evaluation of the results of laboratory or
field tests, an upper and lower characteristic value of the soil properties shall be established. The most
unfavourable combination of upper and lower values of independent parameters shall then be assumed for
the calculations. Upper and lower characteristic values shall also be adopted where the particular problem
warrants this, e.g. when considering the stiffness of structures sensitive to differential settlement.
(4) The characteristic values of weight density may be established as mean values if the structure is not
sensitive to changes in permanent actions. If the structure is sensitive to such changes, in particular when
verifying the GZ 1A (UPL) limit state according to 4.3.1 in the form of uplift and hydraulic heave, the upper and
lower characteristic values of weight density shall be established.
(5) The ground properties from previous investigations may be adopted if it is known from local experience
that similar ground conditions exist.
(6) Characteristic values of soil properties required to determine actions due to the self-weight of soil and
earth pressure may be established using E DIN 1055-2.
5.3.2 Applying characteristic values of soil properties
(1) The capillary cohesion of a non-cohesive soil may only be taken into account if it cannot be lost by
complete drying or by flooding, e.g. due to rising groundwater or water ingress from above.
(2) The cohesion of a cohesive soil may only be taken into consideration if the soil demonstrates at least a
soft consistency and if the original consistency is not allowed to change, e.g. due to weathering, softening or
35

DIN 1054:2005-01
during the thawing process following a period of frost. Filled ground shall demonstrate a minimum Proctor
density according to DIN 18127 of DPr = 0,97. If these requirements are not fulfilled, or are only fulfilled in part,
cohesion may only be considered on the basis of special investigations.
(3) If non-cohesive and cohesive soils or a variety of cohesive soils occur in stratified ground, the values of
the most unfavourable soil types shall be adopted unless more precise investigations are carried out.
(4) When transferring the shear strength determined on laboratory samples to the behaviour of the in-situ soil
mass, it shall be considered that the shear strength of cohesive and rock-like soils can be greatly reduced by
hair cracks, fissures or intercalations of only slightly cohesive or of non-cohesive soils. In addition, certain slip
surfaces may be predetermined by faulting and inclined bedding planes.
(5) The possibility of excess pore water pressures occurring in cohesive layers shall be examined. Excess
pore water pressure can occur if the stress state alters, e.g. if the soil is loaded by application of a surcharge
or by an increase in the self-weight of the soil as a consequence of groundwater lowering. It decreases with
increasing consolidation of the ground. Unless more precise investigations of the alteration of pore-water
pressure with time are carried out, calculations should be performed with both the shear parameters ϕu and cu
of the undrained soil for the initial condition and with the shear parameters ϕ' and c' of the drained soil for the
final condition. For cyclic or dynamic actions it shall be considered that an increase in pore-water pressure can
lead to softening or even liquefaction of the ground.
(6) The characteristic values of soil properties required to determine actions due to the self-weight of soil and
earth pressure may be established using E DIN 1055-2.
(7) For vertical or sub-vertical flow through non-cohesive or cohesive soils, the effective weight density may
be reduced or increased. In a similar manner to such cases, special investigations are also deemed
necessary if saturated silts or fine sands assume liquid properties due to a local differential pressure head
caused by excavation or other measures.
(8) Adopting the characteristic values as cautious estimates of the mean values of shear strength according
to 5.3.1 (2) assumes that the ground behaves in an adequately ductile manner, i.e. that,
⎯ assuming adequate displacement, the adopted shear strength is fully mobilized in the slip surfaces
despite its dilatancy,
⎯ a ground failure is preceded by recognizable deformation.
This is not the case, for example, if cracks form in the ground or if saturated soil can become liquid with very
little disturbance due to its extremely high pore space, as may be the case with sands or quick clays with a
tendency to liquefaction.
(9) Structures on soils of inadequately ductile behaviour fulfil the requirements for classification in
Geotechnical Category GC 3.
6 Actions, effects of actions and resistances
6.1 Actions and effects of actions
6.1.1 General
(1) For verification of the safety against uplift (UPL) and hydraulic heave (GZ 1A) (HYD), for verification of
adequate dimensioning of (geotechnical) structures and structural elements (GZ 1B) (GEO-2 and STR), for
verification of overall stability GZ 1C (GEO-3) and for verification of serviceability (GZ 2) (SLS), the following
are differentiated:
36
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DIN 1054:2005-01
⎯ actions in the form of foundation loads imposed by a structure according to 6.1.2;
⎯ geotechnical actions according to 6.1.3;
⎯ dynamic actions according to 6.1.4;
(2) Actions from the structure, geotechnical actions and dynamic actions can occur simultaneously.
6.1.2 Actions from the structure
(1) Actions from the structure are given by the structural analyses of the structure specified in the applicable
regulations and standards. To enable further calculations and dimensioning, they shall be provided by the
structural engineer as effects of actions at the top of the foundation and for each relevant combination of
actions in the governing design situations
⎯ for the ultimate limit state (GZ 1) (ULS), and
⎯ for the serviceability limit state (GZ 2) (SLS).
(2) If the effects of actions were determined on a linear-elastic basis, they shall be given as the characteristic
values of the effects of actions EG,k and EQ,k or as representative values Erep according to table A.3 of
DIN 1055-100:2001-03. In non-linear systems, the design values of the effects of actions determined on the
basis of a criterion dependent on the investigated structure may be divided into a component resulting from
permanent actions EG,d and a component resulting from variable actions EQ,d. These components are divided
by the partial factors according to table A.3 of DIN 1055-100:2001-03 or other standards regulating governing
actions, thereby converting them to characteristic or representative values of effects of actions. In the further
course of calculations in both cases, other representative values are treated as characteristic values.
(3) In exceptional cases it may be necessary, for geotechnical assessment of the actions on foundations, to
make the characteristic values of the effects of actions available without consideration of combination values,
differentiated according to individual causes.
(4) When determining the effects of actions in groups of foundations, piled rafts and raft foundations with a
superstructure having sufficient strength and stiffness, the redistribution of the foundation loads as a result of
soil-structure interactions shall be taken into consideration.
6.1.3 Geotechnical actions
(1) Self-weight:
To determine the dead loads of geotechnical structures, the characteristic weight densities of materials
according to DIN 1055-1 shall be adopted. See 5.3 for the characteristic values of the weight densities of soils
as well as E DIN 1055-2.
--`,,```,,,,````-`-`,,`,,`,`,,`---
(2) Earth pressure:

See 10.3.1 for adoption of earth pressure.
(3) Fluid pressure:

The weight density of water may be uniformly adopted at γw = 10,0 kN/m3. See 10.3.2 for further details on
water pressure. When verifying the overall stability of a slurry trench, the characteristic value of the weight
density of the fluid according to DIN V 4126-100 shall be adopted.
(4) Lateral pressure and negative skin friction:

See 8.3.2 and 8.3.3 respectively for lateral pressure and negative skin friction on piles in cohesive soils.
37

DIN 1054:2005-01
(5) Variable actions:

Variable actions on geotechnical structures are the result of live loads, wind, snow, ice and wave action, for
example. These predominantly static or quasi-static actions are generally considered by means of equivalent
static loads. If these loads have not already been included in the foundation loads according to 6.1.2, they
shall be determined on the basis of DIN 1055-1, DIN 1055-3, E DIN 1055-4, E DIN 1055-5, DIN 1055-8,
DIN 1055-9 and DIN 1055-10 or in another manner. Actions caused by ice and waves shall be determined
regionally and shall be backed by empirical data. Favourable variable actions shall not be taken into
consideration.
(6) Deformations of the ground as a result of the loads during execution and use of the structure and as a
result of loading of adjacent ground shall be taken into consideration as imposed settlements or as horizontal
displacements of the foundation elements of varying magnitude.
(7) The soil-structure interaction shall be considered if the stiffness of the structure, in conjunction with the
stiffness of the ground, demands substantial redistribution of the forces acting on the ground. Suitable
calculation methods include, for example, constrained modulus methods, modulus of subgrade reaction
methods or continuum mechanics methods (e.g. a numerical solution using finite element methods).
(8) Extensive deformation of the ground, e.g. as a result of mining, tectonics or slope creep, shall be
considered as follows:
a) If the structure is able to adjust to the deformations (displacement principle), these shall be registered by
--`,,```,,,,````-`-`,,`,,`,`,,`---
measurements during the construction period and lifetime of the building and, if necessary, be
compensated for;
b) if the structure is unable to adjust to the deformations (resistance principle), the ensuing ground reactions
shall be classified as actions. In justified cases they may be treated as rare or unique actions according to
6.3.1.
(9) The influence of weathering on rock or rock-like soils shall be considered by reduction of the shear
strength parameters.
(10) Physically or chemically induced volume changes, e.g. as a result of temperature or moisture changes in
structural elements or as a result of swelling or shrinkage of the ground, shall be taken into consideration as
imposed deformations and, where necessary, also as increased or reduced ground reactions according to
(8) b).
(11) Further geotechnical actions may result from the boundary conditions of each case individually.
6.1.4 Dynamic actions
(1) Dynamic actions on the ground caused by standard loading on traffic areas, from site operations, and as a
result of dynamic loads may be considered as variable actions according to 6.1.3 (5). The same applies to
quasi-static cyclic actions.
(2) For substantial dynamic actions resulting from jolts due to collisions, impacts according to DIN 1055-9,
air- or water-borne pressure waves, or vibrations, e.g. from machinery, it shall be examined whether these
may be taken into consideration by static equivalent loads or whether special investigations are required to
determine the inertia and softening effects.
(3) See E DIN 4149 for consideration of seismic effects.
6.1.5 Characteristic effects of actions
The design values of effects of actions Ed according to 4.3.2 are required for verification of the GZ 1B (GEO-2
and STR) limit state conditions. To this end, the characteristic values Ek,i of the effects of actions in the
governing sections in the structure and in the soil-structure interface are first determined from the
38

DIN 1054:2005-01
characteristic values Fk,i of the actions under consideration. Determination of Ek,i shall be by means of action
effects (e.g. shear forces, support forces, bending moments), stresses (e.g. normal stresses, shear stresses,
equivalent stresses) or deformations (e.g. strains, displacements, deflection).
6.2 Resistances in soil and rock
6.2.1 Shear strength
(1) The characteristic values of shear strength parameters may be based on the cautious estimates of the
mean value according to 5.3.1 (1), if 6.2.1 a) or 6.2.1 b) does not apply. The following applies for adoption of
the upper or lower characteristic values according to 5.3.1 (3):
a) lower characteristic values shall be adopted if the actions are increased or the ground resistance is
reduced by a reduction in shear strength;
b) upper characteristic values shall be adopted if an increase in the shear strength parameters exercises an
unfavourable influence on stability or dimensioning, e.g. for pressures exerted by ground reactions
according to 6.1.3 (8) b).
(2) For verification of the GZ 1A, GZ 1B and GZ 2 limit states (EQU, UPL, HYD, GEO-2 and STR limit states
and the serviceability limit state (SLS)), the characteristic values ϕk and ck for friction and cohesion according
to 5.3 shall be adopted and the design values ϕd and cd according to 6.4.2 (3) for overall stability (GZ 1C)
(GEO-3).
6.2.2 Stiffness
(1) In the GZ 1B and GZ 2 (GEO-2, STR and SLS) limit states, the characteristic stiffness values of soil and
rock may be adopted
⎯ as cautious estimates of the mean values of stiffness parameters according to 5.3.1 (2), or
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ through upper and lower characteristic values of stiffness parameters according to 5.3.1 (3),
e.g. as shear modulus, modulus of compressibility, constrained modulus or deformation modulus for loading,
unloading and reloading. Preconsolidation and ageing of the soil shall be taken into consideration where
necessary.
(2) Mutual conversion of the stiffness parameters may be carried out based on characteristic values if these
are empirically founded. If Poisson’s ratio is incorporated in the conversion, it may be adopted at its nominal
value.
(3) The calculation is generally carried out using the characteristic values in the form of cautious estimates of
the mean values of the stiffness parameters. In case of doubt, upper and lower characteristic values shall be
adopted in order to properly consider the effects of both greater and lesser stiffness.
6.2.3 Bearing resistances
Bearing resistances as used in this context are taken to mean the greatest possible ground reactions below
foundations if the shear strength of the soil or the base friction angle is mobilized to the point of failure of the
soil. In particular, these are:
a) the bearing capacity, see 7.4.2;
b) the sliding resistance, see 7.4.3.
39

DIN 1054:2005-01
6.2.4 Passive earth resistance (passive earth pressure)
(1) The fully mobilized characteristic passive earth resistance is obtained assuming the nominal values of
ground inclination and wall inclination and adopting the characteristic values of the angle of shearing
resistance, the cohesion and the angle δp between the passive earth pressure and the normal to the wall.
(2) The characteristic value of the weight density may be adopted as a mean value, see 5.3.1 (4). See 6.2.1
a) for adoption of shear strength.
(3) The angle δp between the passive earth pressure and the normal to the wall without relative movement
between the wall and the soil is δp = 0. It increases with increasing relative movement to a positive or negative
maximum; it can attain the characteristic value ϕ'k of the angle of shearing resistance, assuming adequate
wall roughness. However, a favourable vertical passive earth pressure component shall not be adopted for
calculations at a greater value than permitted by the ΣV = 0 condition. See 10.6.3 (5).
(4) The mode of movement of the wall and the resulting magnitude and distribution of the passive earth
pressure shall be taken into consideration; if in doubt, comparative calculations shall be performed.
(5) If the wall is of limited width, e.g. for soldier piles and jacking abutments, the three-dimensional effect of
the passive earth pressure may be taken into account.
(6) For further details see E DIN 4085, E EAB and E EAU.
--`,,```,,,,````-`-`,,`,,`,`,,`---
6.2.5 Penetration resistance, pull-out resistance and transverse resistance
(1) The penetration resistance and pull-out resistance of piles, tension members and anchors shall not be
adopted on the basis of calculations, but on the strength of the following tests:
⎯ Pile load tests should be performed according to Section 8;
⎯ anchor load tests shall be performed according to Section 9;
⎯ random acceptance tests shall be carried out for flexible reinforcing elements and soil nails.
See 8.4.5 for determination of lateral resistance and ground resistance of piles.
(2) If the type and dimensions of the piles are similar and the ground conditions comparable, the results of
static loading tests on piles, anchors and tension members may be transferred to analogous conditions, see
8.4.4. The same applies to the results of suitability tests on temporary anchors.
6.3 Design situations
6.3.1 Combinations of actions
Combinations of actions (CA) are compilations of actions that may occur simultaneously at the limit states of a
structure, differentiated as follows according to cause, magnitude, direction and frequency:
a) General Combination CA 1:
Permanent actions and variable actions occurring regularly during the lifetime of the structure.
b) Rare Combination CA 2:
Apart from the actions of the General Combination, rare or unique design actions.
c) Accidental Combination CA 3:
Apart from the actions of the General Combination, any possible simultaneous accidental action, in
particular as a result of accident or catastrophe e.g. earthquake.
40

DIN 1054:2005-01
6.3.2 Safety Classes of resistances
Safety Classes (SC) take the differing safety requirements of resistances into consideration as a function of
the duration and frequency of the governing actions. The following are differentiated:
a) Conditions of Safety Class SC 1:

Conditions occurring during the complete lifetime of the structure.
b) Conditions of Safety Class SC 2:

Construction conditions during execution or repair of the structure and construction conditions caused by
construction measures adjacent to the structure.
c) Conditions of Safety Class SC 3:

Conditions occurring once or probably never during the complete lifetime.
Excavation structures are included in Safety Class SC 2.
6.3.3 Load Cases
(1) The Load Cases (LC) for the ultimate limit state ensue from the Action Combinations in conjunction with
the Safety Classes of the resistances. The following are differentiated:
a) Load Case LC 1:
General Combination CA 1 in conjunction with the condition of Safety Class SC 1. Load Case LC 1
corresponds to the “persistent design situation” according to DIN 1055-100:2001-03, 9.3 (1), first indent.
b) Load Case LC 2:
Rare Combination CA 2 in conjunction with the condition of Safety Class SC 1 or General Combination
CA 1 in conjunction with the condition of Safety Class SC 2. Load Case LC 2 corresponds to the
“transient design situation” according to DIN 1055-100:2001-03, 9.3 (1), second indent.
c) Load Case LC 3:
Accidental Combination CA 3 in conjunction with the condition of Safety Class SC 2 or Rare Combination
CA 2 in conjunction with the condition of Safety Class SC 3. Load Case LC 3 corresponds to the
“accidental design situation” and to seismic loading according to DIN 1055-100:2001-03, 9.3 (1), third and
fourth indent.
(2) The partial factors of actions and resistances respectively for Load Cases LC 1, LC 2 and LC 3 are
summarized in Table 2 and in Table 3.
(3) Load Cases LC 1, LC 2 and LC 3 encompass the principal combinations of actions and the Safety
Classes for resistances. In justified cases, intermediate stages may be employed for other combinations. In an
extreme case where Action Combination CA 3 and Safety Class SC 3 coincide, it may be appropriate, in
justified special cases, to define the partial factors of actions and resistances as γF = γR = 1,00.
(4) By introducing Load Cases LC 1, LC 2 and LC 3 for geotechnical structures, structures embedded in the
ground, geotechnical structures for temporary use and for earth structures, the representative values of
independent actions are determined directly. This makes an investigation of the simultaneous occurrence of
actions with the aid of combination factors superfluous.
(5) The Load Cases shall be applied as follows for foundations:
⎯ Load Case LC 1 is, with the exception of construction conditions, the governing case for all persistent and
transient design situations of the structure;
⎯ Load Case LC 2 is the governing case for temporary effects on the foundation during construction
conditions of the structure;
41
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DIN 1054:2005-01
⎯ Load Case LC 3 is the governing case for accidental design situations of the structure, where these act
unfavourably on the foundation.
(6) If foundation loads and specific geotechnical actions occur simultaneously, proceed accordingly.
6.4 Partial safety factors
6.4.1 Partial safety factors for actions and effects of actions
(1) The partial factors for actions and effects of actions are given in Table 2. They shall be adopted subject to
observance of the following rules.
Table 2 — Partial factors for actions and effects of actions
Load Case
Actions or effects of actions Symbol
LC 1 LC 2 LC 3
--`,,```,,,,````-`-`,,`,,`,`,,`---
GZ 1A (EQU, UPL and HYD): Limit state of loss of static equilibrium

Favourable permanent actions γG,stb 0,90 0,90 0,95
Unfavourable permanent actions γG,dst 1,00 1,00 1,00
Seepage force in favourable ground γH 1,35 1,30 1,20
Seepage force in unfavourable ground γH 1,80 1,60 1,35
Unfavourable variable actions γQ,dst 1,00 1,00 1,00

GZ 1B (STR and GEO-2): Limit state of failure of the (geotechnical) structure and of structural
elements
Effects of actions due to permanent actions, general a γG 1,35 1,20 1,00
Effects of actions due to permanent actions from earth γE0g 1,20 1,10 1,00
pressure at rest
Effects of actions due to unfavourable variable actions γQ 1,50 1,30 1,00
GZ 1C (GEO-3): Limit state of loss of overall stability
Permanent actions γG 1,00 1,00 1,00
Unfavourable variable actions γQ 1,30 1,20 1,00

GZ 2 (SLS): Serviceability limit state
γG = 1,00 for permanent actions and effects of permanent actions
γQ = 1,00 for variable actions and effects of variable actions
a including permanent and variable water pressure
(2) When verifying safety against uplift (UPL) and safety against hydraulic heave (HYD) (GZ 1A), and for
verification of overall stability (GZ 1C) (GEO-3), the characteristic values of actions Fk shall be converted to
design values of actions Fd with the aid of the partial factors for actions γF:
Fd = Fk × γ F or Fd = ∑ Fk,i × γ F. (2)
42

DIN 1054:2005-01
(3) When verifying dimensions dependent on geotechnical or rock mechanics parameters (GEO-2) and for
verification of the dimensioning of structures or structural elements (GZ 1B) (STR) as a function of structural
strengths, the actions shall always be introduced into the calculations as characteristic values, according to
4.3.2. Only when establishing the limit state condition may the characteristic effects of actions Ek be converted
to design values of effects of actions Ed by applying the partial factor for actions γF:
Ed = Ek × γ F or Ed = ∑ Ek,i × γ F. (3)
(4) In equations (2) and (3), the factor γF represents the partial factor given in Table 2 for the action in each
individual case, respectively.
(5) Differentiation of permanent actions into favourable and unfavourable actions in the GZ 1B (STR and
GEO-2) limit state is not necessary, with the exception of the special case given in 8.3.4 (2).
(6) When converting characteristic values to design values, an action or an effect of actions shall always be
dealt with as a single unit. If an action or an effect of actions is broken down into individual components, the
same partial factor shall be applied to each component.
(7) If large displacements of the structure are deemed tolerable, the partial factor γG for water pressure and
earth pressure may be suitably reduced in justified cases. Such a reduction may only downgrade the partial
factors from load case LC 1 to LC 2 and from load case LC 2 to LC 3. For further provisions specific to
waterfront structures, harbours and waterways see E EAU. For the reduction of the partial factor γG special
geotechnical competence and experience are necessary, see 4.1 (1).
6.4.2 Partial safety factors for resistances
(1) The partial factors for resistances are given in Table 3. The rules given below shall be observed when
adopting them.
(2) When verifying dimensions dependent on geotechnical or rock mechanics parameters (GEO-2) and for
verification of the dimensioning of structures or structural elements (STR) (GZ 1B) as a function of structural
strengths, the characteristic value of the ground resistances or the characteristic values of the resistances Rk
of the structural element shall be converted to design values Rd using the partial factor for resistances γR, from
4.3.2.
Rd = Rk/γR. (4)
The factor γR here represents the partial factor given in Table 3 for the resistance in each individual case.
NOTE The partial factors γp in Table 3 are not further differentiated according to Load Cases because sufficient
differentiation on the action side is already given in Table 2.
(3) When verifying overall stability (GZ 1C) (GEO-3), the characteristic shear strength values shall be
converted to design values of shear strength using the partial factors for resistances γϕ and γc or γcu:
tan ϕ′d = tan ϕ′k/γϕ (5a) c′d = c′k/γc (5b) cu,d = cc,k/γcu (5c)
(4) If the structural strength of tension members is utilized when verifying the stability of slope stabilisation
measures, equation (4) shall be adopted for determination of the design resistance, in conjunction with the
partial factors for the GEO-2 (GZ 1B) limit state.
(5) If the amount of effort expended on testing the bearing capacity of soil nails and flexible reinforcing
elements is similar to that expended on testing ground anchors, the partial factors may be appropriately
reduced.
43
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DIN 1054:2005-01
(6) If large displacements of the structure are deemed tolerable, the partial factor γEp for passive earth
pressure may be suitably reduced in justified cases. Such a reduction may only downgrade the partial factors
from load case LC 1 to LC 2 and from load case LC 2 to LC 3. For further provisions specific to waterfront
structures, harbours and waterways see E EAU. For the reduction of the partial factor γEp special geotechnical
competence and experience are necessary, see 4.1(1).
Table 3 — Partial factors for resistances
Load Case
Resistance Symbol
LC 1 LC 2 LC 3
GZ 1B (GEO-2): Limit state of failure of the (geotechnical) structure and of structural elements
Ground resistances
Passive earth pressure and bearing capacity γEp, γGr 1,40 1,30 1,20
Sliding resistance γGl 1,10 1,10 1,10

Pile resistances
Compressive pile capacity obtained from pile tests γPc 1,20 1,20 1,20
Tensile pile capacity obtained from pile tests γPt 1,30 1,30 1,30
Compressive and tensile pile capacity obtained γP 1,40 1,40 1,40
from empirical values
Ground anchor resistances
Resistance of a steel tendon (STR limit state) γM 1,15 1,15 1,15
Pull-out resistance of the grouted body γA 1,10 1,10 1,10
GZ 1C (GEO-3): Limit state of loss of overall stability

Shear strength
Angle of shearing resistance ϕ ′ of the drained and ϕ ′u
--`,,```,,,,````-`-`,,`,,`,`,,`---
of the undrained soil (the factor is applied to γϕ, γϕu 1,25 1,15 1,10
tan ϕ ′/ϕ ′u)
Cohesion c ′ of the drained soil and

γc, γcu 1,25 1,15 1,10
shear strength cu of the undrained soil
Pull-out resistances
Soil and rock nails, tension anchor piles γN, γZ 1,40 1,30 1,20
Grouted body of ground anchors γA 1,10 1,10 1,10
Flexible reinforcing elements γB 1,40 1,30 1,20
44

DIN 1054:2005-01
7 Shallow and spread foundations
7.1 Scope and general requirements
(1) This Section deals with pad foundations, strip foundations, raft foundations and beam foundations on
natural or artificially placed ground.
(2) The bases of the foundations of structures intended for continual use must remain frost-free. If frost
resistance cannot be verified by any other means, the distance from the ground surface to the foundation
base shall measure a minimum of 0,80 m.
--`,,```,,,,````-`-`,,`,,`,`,,`---
(3) The ground shall be protected against erosion and reduction of strength by flowing water, by weathering,
by current and, where necessary, by future site activity.
(4) Geotechnical investigation of the ground below the foundation base is of particular importance for shallow
and spread foundations. It shall be performed according to DIN 4020 and DIN 4021.
(5) At the latest on completion of the excavation it shall be checked whether the assumptions on the
character and geometry of the loadbearing strata made on the basis of the geotechnical investigations are
true. This shall be carried out by a suitably qualified and experienced person (cf. 4.1 (1)). The result of this
examination, which does not substitute the ground investigation, shall be recorded in the appropriate files.
7.2 Classification in Geotechnical Categories
(1) Application of the following features is recommended when assigning shallow and spread foundations to
Geotechnical Categories according to 4.2. The list is not exhaustive, however.
(2) Assigning a foundation to Geotechnical Category GC 1 assumes the ground and foundation conditions set
out in 7.7.1 (1).
(3) The following features generally require classification in Geotechnical Category GC 3:
⎯ an extensive raft foundation on ground of varying stiffness;
⎯ foundations adjacent to existing buildings, if the requirements of DIN 4123 do not apply;
⎯ execution of a foundation in part as a shallow or spread foundation, in part as a deep foundation;
⎯ execution of a foundation as a combined piled-raft foundation.
7.3 Actions and effects of actions in the foundation base
7.3.1 Characteristic effects of actions
(1) The resultant characteristic effect of actions in the foundation base shall be determined for verification of
the ultimate limit state and the serviceability limit state of shallow and spread foundations. This is obtained
from the characteristic values Fk,i of the independent actions being considered according to 6.1 and, where
necessary, taking the ground reaction on the vertical face of the foundation into consideration.
(2) Dynamic actions shall be taken into consideration according to 6.1.4. The incorporation of impact factors
in the design of foundations is only necessary if the impacts act directly upon the foundation.
(3) When verifying the ultimate limit state and the serviceability limit state of pad and strip foundations, the
characteristic bearing pressure may be assumed as being linearly distributed. For raft and beam foundations
and the long axis of strip foundations, the foundation-soil interaction should be taken into consideration when
determining the bearing pressure distribution. See DIN-Fachbericht 130 for details.
45

DIN 1054:2005-01
(4) The characteristic value of the effect of actions in the foundation is obtained from a determination of the
internal forces, applying the characteristic bearing pressure distribution according to (3) and the characteristic
values of actions on the surface of the foundation.
7.3.2 Design values of the effects of actions
(1) The design value Nd of the effect of actions normal to the foundation base is composed of the permanent
component NG,k of the characteristic effect of actions multiplied by the partial factor γG given in Table 2 for the
GZ 1B (GEO-2) limit state and the variable component NQ,k of the characteristic effect of actions multiplied by
the partial factor γQ given in Table 2 for the GZ 1B (GEO-2) limit state:
Nd = NG,k × γG + NQ,k × γQ. (6)
(2) The design value Td of the effect of actions parallel to the foundation base is composed of the permanent
component TG,k of the characteristic effect of actions multiplied by the partial factor γG given in Table 2 for the
GZ 1B (GEO-2) limit state and the variable component TQ,k of the characteristic effect of actions multiplied by
the partial factor γQ given in Table 2 for the GZ 1B (GEO-2) limit state:
Td = TG,k × γG + TQ,k × γQ. (7)
(3) If the design value of the effect of actions in the foundation base acts in two directions, x and y,
simultaneously, it is governed by
Td = Td,2 x + Td,2 y . (8)
Td,x and Td,y are determined in line with (2).
(4) The design values of effects of actions in the foundation are obtained from the characteristic values of the
effects of actions resulting from permanent and variable actions multiplied by the partial factors γG or γQ given
in Table 2 for the GZ 1B (GEO-2) limit state.
7.4 Ground reactions and ground resistances
7.4.1 Ground reactions at the vertical face of the foundation
(1) If a ground reaction for verification of the safety against sliding is adopted at the vertical face of a
foundation, its magnitude shall be determined as the characteristic passive earth pressure Ep,k according to
6.2.4. The greatest allowable design value Ep,d is obtained from the characteristic passive earth pressure Ep,k
according to 6.4.2 (2) by division by the partial factor γEp for the GZ 1B (GEO-2) limit state given in Table 3:
Ep,d = Ep,k/γEp. (9)
(2) If a foundation is embedded sufficiently deeply in the ground, tilting will be avoided by a force couple due
to ground reactions on both sides. The magnitude of the force couple may be derived from equilibrium
conditions, whereby the boundary condition
ep mob,k = 0,5ep,k (10)
46
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DIN 1054:2005-01
shall be adhered to, where:
ep mob,k is the mobilized component of the characteristic passive earth pressure stress;
ep,k is the characteristic passive earth pressure stress.
7.4.2 Bearing resistance
(1) The characteristic value Rn,k of the bearing resistance in the GZ 1B (GEO-2) limit state shall be
determined according to E DIN 4017, taking into account the inclination and eccentricity of the resultant
characteristic effect of actions in the foundation base according to 7.3.1.
(2) When determining the resultant characteristic effect of actions in the foundation base, a ground reaction
Bk at the vertical face of the foundation may be adopted as a characteristic action. However, the ground
reaction may only be as large as the characteristic effect of actions from actions according to 6.1 acting
parallel to the foundation base. In addition, taking the limit state condition at the vertical face and the
--`,,```,,,,````-`-`,,`,,`,`,,`---
displacements when mobilising the passive earth resistance into consideration, it may only be adopted at a
maximum of
Bk = 0,5 × Ep,k. (11)
(3) For annular foundations the width of the annulus is the governing factor for determination of the bearing
capacity.
(4) The outer dimensions of foundations with perforated base areas may be adopted as the governing
dimensions as long as the sum of the perforations does not exceed a maximum of 20 % of the total foundation
area.
(5) The design value Rn,d of the bearing capacity according to 6.4.2 (2) is obtained from the characteristic
bearing capacity Rn,k according to 7.4.2 (1) by division by the partial factor γGr for the GZ 1B (GEO-2) limit
state given in Table 3:
Rn, d = Rn, k / γ Gr (12)
where:
Rn,k is the component of the characteristic value of the bearing resistance normal to the foundation
base according to E DIN 4017.
7.4.3 Sliding resistance
(1) The characteristic sliding resistance Rt,k of foundations in the GZ 1B (GEO-2) limit state shall be
determined with the normal component of the characteristic effect of actions in the foundation base according
to 7.3.1 and the characteristic values of the shear parameters.
(2) The characteristic value Rt,k of the sliding resistance available at the foundation base shall be determined
as follows:
⎯ for rapid loading of a saturated soil (initial condition):
Rt,k = A × cu,k (13)
⎯ for complete consolidation of the soil (final condition):
Rt,k = Nk × tan δS,k (14)
47

DIN 1054:2005-01
⎯ for complete consolidation of the soil (final condition), if the failure plane passes through the soil, e.g. if a
spur is utilized on the foundation:
Rt,k = Nk × tan ϕ ′k + Ac′k (15)
where:
A is the foundation base area governing force transmission;
cu,k is the characteristic value of the shear strength of the undrained soil;
Nk is the component of the characteristic effect of actions in the foundation base or the failure plane acting
perpendicular to the foundation base or the failure plane, calculated from the most unfavourable
combination of vertical and horizontal actions;
δS,k is the characteristic value of the base friction angle;
ϕ ′k is the characteristic value of the friction angle of the soil in the failure plane through the soil;
c ′k is the characteristic value of the cohesion of the soil in the failure plane through the soil.
In special cases, intermediate conditions with partial consolidation shall also be considered.
(3) If the base friction angle δS,k is not determined separately, it may be taken to be equal to the characteristic
value of the friction angle ϕ ′k for in-situ concrete foundations, but shall not exceed ϕ'k = 35°. This shall be
2
reduced to ϕ ′k for precast foundations unless the precast components are installed in a mortar bed.
3
(4) The design sliding resistance Rt,d is obtained from the characteristic sliding resistance Rt,k according to
6.4.2 (2) by division by the partial factor γGl for the GZ 1B (GEO-2) limit state given in Table 3:
Rt,d = Rt,k/γGl. (16)
7.5 Verification of bearing capacity
7.5.1 Verification of safety against overturning
(1) Verification of safety against loss of equilibrium by overturning (GZ 1A) (EQU) cannot be performed for
shallow and spread foundations on non-cohesive and cohesive soils because the precise location of the point
of rotation is not known. Instead of verification of safety against overturning, it may be verified that the
eccentricity of the resultant effect of actions complies with (3).
(2) The governing effect of actions is the resultant characteristic effect of actions in the foundation base
ensuing from the most unfavourable combination of the characteristic values of permanent and variable
actions for Load Cases LC 1 and LC 2. The governing factor is the largest eccentricity.
(3) The eccentricity of the effect of actions may only be large enough that the foundation base remains under
compression as far as its centroid (2nd kernel width). For foundations with a full rectangular or circular plan,
the resultant characteristic effect of actions due to the most unfavourable combination of the characteristic
values of permanent and variable actions must therefore intersect the base plane in a region bounded by
⎯ the ellipse according to Figure 1 for a complete rectangle:
2 2
⎛ xe ⎞ ⎛⎜ ye ⎞⎟ 1
⎜⎜ ⎟⎟ + = (17)
b ⎜
⎝ x⎠ ⎝ y⎠b ⎟ 9
48
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DIN 1054:2005-01
— or by a circle with the radius
re = 0,59 × r (18)
for a circular plan.
In the above:
ex, ey are the eccentricity of the resultant characteristic effect of actions in the foundation base in the x and
y axes of the foundation at the highest allowable values xe and ye, respectively;
bx, by are the corresponding foundation widths;
r is the radius of circular foundations.
y
ex xe
--`,,```,,,,````-`-`,,`,,`,`,,`---
ey
ye
R
x x
by
by
6
by
6
bx bx y
6 6
bx
Figure 1 — Plan of a rectangular foundation; designations for eccentricity in both axes
(4) This provision may also be adopted accordingly for foundations on rock if calculations are not performed
in accordance with DIN 1055-100:2001-03, 7.1 (4) in conjunction with the partial factors for loss of static
equilibrium to DIN 1055-100:2001-03, Table A.3.
(5) For Load Case LC 3, verification of safety against overturning may be omitted if the bearing resistance
has been successfully verified according to 7.5.2.
7.5.2 Verification of bearing resistance
(1) To ensure adequate bearing resistance it shall be verified for the GZ 1B (GEO-2) limit state that
Nd ≤ Rn,d (19)
where:
Nd is the design value of the effect of actions normal to the foundation base according to 7.3.2 (1);
Rn,d is the design value of the bearing resistance according to 7.4.2.
49

DIN 1054:2005-01
(2) Any possible governing combinations of permanent and variable actions shall be investigated, in particular
⎯ the combination of the largest normal force Nk,max and the corresponding largest tangential force Tk,max
and
⎯ the combination of the smallest normal force Nk,min and the corresponding largest tangential force Tk,max.
(3) For pad and strip foundations below structural elements and for shallowly founded retaining walls,
verification of bearing resistance shall be performed individually for the GZ 1B (GEO-2) limit state for each
foundation. In special cases, e.g. for inclined ground or where soft layers are at greater depth, it may be
necessary to verify bearing resistance for the entire structure for spread foundations, beam foundations, for
pad and strip foundations with small separating distances and for pad and strip foundations united by a rigid
superstructure and which act as a unit across the whole footprint. This may also be demonstrated by means of
verification of overall stability in the GZ 1C (GEO-3) limit state according to 12.3.
(4) If construction stages or subsequent excavation work adjacent to foundations are foreseen in which the
ground reaction on the vertical face of the foundation is temporarily ineffective, verification of bearing
resistance for this construction stage may be based on Load Case LC 2 according to 6.3.3 (1).
7.5.3 Verification of safety against sliding
(1) To ensure adequate safety against sliding it shall be verified for the GZ 1B (GEO-2) limit state that
Td ≤ Rt,d + Ep,d. (20)
In the above:
Td is the design value of the effect of actions parallel to the foundation base according to 7.3.2 (2);
Rt,d is the design value of the sliding resistance according to 7.4.3;
Ep,d is the design value of the passive earth resistance parallel to the base acting on the vertical face of the
foundation according to 7.4.1.
(2) For a base inclined up towards the direction of slide and for foundations with a spur, adequate safety
against sliding in failure planes that do not pass through the base of the foundation, but which pass instead
through the ground, shall be additionally verified. Equation (15) then governs calculation of the characteristic
sliding resistance Rt,k.
(3) For pad and strip foundations below structural elements and for shallowly founded retaining structures,
verification of safety against sliding shall be performed individually for each foundation. For spread
foundations, beam foundations and pad and strip foundations united by a rigid superstructure and which act
as a unit across the whole footprint, verification of safety against sliding may be performed for the structure as
a whole.
(4) If construction stages or subsequent excavation work adjacent to foundations are foreseen in which the
ground reaction on the vertical face of the foundation is temporarily ineffective, verification of safety against
sliding for this construction stage may be based on Load Case LC 2 according to 6.3.3 (1).
7.5.4 Verification of safety against structural failure
(1) See 7.3.2 (4) for determination of the governing design values of the effects of actions.
(2) The material properties and partial factors given in the standards for the respective building types govern
the determination of the design resistances of structural elements.
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DIN 1054:2005-01
7.6 Verification of serviceability
7.6.1 Allowable location of the resultant effect of actions
A lack of contact as a result of the resultant characteristic effect of actions due to permanent actions may not
occur in foundations on non-cohesive and cohesive soils. This condition is fulfilled for rectangular foundations
if the bearing pressure resultant is within the 1st kernel width (hatched area in Figure 1).
7.6.2 Displacements in the foundation base
(1) For shallow and spread foundations, verification of safety against intolerable displacement of the
foundation base can be considered as given if,
⎯ when verifying safety against sliding according to 7.5.3, no ground reaction is adopted on the vertical face
--`,,```,,,,````-`-`,,`,,`,`,,`---
of the foundation, or if,
⎯ for at least medium-dense non-cohesive soil or at least stiff cohesive soil and adoption of the full value of
the characteristic sliding resistance, a ground reaction of less than 30 % of the characteristic passive
earth resistance in front of the vertical face of the foundation is necessary for equilibrium of the
characteristic forces parallel to the foundation base.
(2) If
⎯ the passive earth resistance in front of the vertical face of the foundation is mobilized to a larger degree
than given in (1), or if
⎯ the ground does not comply with the requirements given in (1),
it shall be verified that no intolerable displacement can occur in the foundation base of shallow or spread
foundations when adopting characteristic values of permanent and variable actions and as a result of the
characteristic values of rare or unique design actions.
7.6.3 Settlement
(1) The magnitude of settlement in shallow and spread foundations may be determined on the basis of
DIN V 4019-100, if the requirements stated therein are fulfilled.
(2) In non-cohesive soils, regularly recurring variable actions shall be taken into consideration when
determining settlement. When determining consolidation settlement in cohesive soil, variable actions may be
neglected if their duration is substantially shorter than the time required for the dissipation of the excess pore
water pressure.
(3) Where cyclic loads act, special investigations shall be carried out with regard to the associated
settlements, in particular for saturated, cohesive soils, if necessary in conjunction with the observational
method, see 4.5.
(4) The analytical settlements of the individual foundations of a building or other structures shall take the
structural system into consideration (see E EVB, for example).
(5) If the settlements are to be taken into consideration when dimensioning the superstructure, they shall be
given either
⎯ as characteristic values, these being cautious estimates of the mean value,
⎯ or as characteristic values of the smallest and the largest expected settlements.
51

DIN 1054:2005-01
See also 6.2.2 (1) and 6.2.2 (3).
(6) If the bearing capacity of the foundation is verified according to 7.7, it should be assumed that the
settlement given in 7.7.2.1 (3) for centrically loaded foundations will occur. If the allowable bearing pressure is
increased according to 7.7.2.2 (2) or 7.7.3.2, the expected settlement shall be increased accordingly.
7.6.4 Rotation
(1) If the eccentricity of the resultant bearing pressure complies with 7.6.1 it may be assumed for pad and
strip foundations on at least medium-dense, non-cohesive soil or on at least stiff, cohesive soil that no
intolerable rotation of the structure will occur.
(2) If there is evidence that differential settlements of the foundation or parts of the foundation could lead to
damage of the structure or its surroundings, rotation shall be determined on the basis of 7.6.3.
7.7 Allowable bearing pressure in simple cases
7.7.1 General
(1) In simple cases, the characteristic value of the bearing pressure and the allowable bearing pressure may
be compared as a substitute for verification of the GZ 1B (GEO-2) and (serviceability) GZ 2 limit states. The
following requirements first need to be fulfilled:
a) The ground surface and the layer boundaries are more or less horizontal;
b) the ground demonstrates adequate strength, to twice the foundation width below the foundation base, but
to at least 2,0 m; see 7.7.2.1 (4) for non-cohesive soil or 7.7.3.1 (4) for cohesive soil;
c) the foundation is not regularly or primarily dynamically loaded; in cohesive layers, no significant excess
pore-water pressure occurs;
d) the inclination of the resultant characteristic effect of actions in the foundation base fulfils the condition
tan δE = Hk/Vk ≤ 0,2;
e) the location of the resultant effect of actions fulfils the requirements of 7.5.1 (3) or 7.6.1.
(2) For determination of the characteristic value of the bearing pressure of an eccentric resultant effect of
actions in the foundation base, only the effective foundation area A′ may be adopted. For rectangular
foundations with side lengths bx and by and corresponding eccentricities ex and ey, this is the area given by
(see Figure 1):
A' = b'x × b'y = (bx – 2 × ex) × (by – 2 × ey). (21)

--`,,```,,,,````-`-`,,`,,`,`,,`---
(3) Adequate bearing resistance can be seen as verified if
σwork ≤ σallow (22)
where:
σwork is the characteristic bearing pressure on the effective foundation base area according to (2);
σallow is the allowable bearing pressure according to 7.7.2 or 7.7.3, if necessary increased according to
7.7.2.2 or 7.7.3.2 or reduced according to 7.7.2.3, 7.7.2.4 or 7.7.3.3.
52

DIN 1054:2005-01
(4) If the embedment depth d on all sides of the foundation > 2,00 m, the allowable bearing pressure may be
increased according to 7.7.2 or 7.7.3 by the stress resulting from ground unloading corresponding to the
additional depth. In this case, soil may neither be temporarily nor permanently removed as long as the
governing characteristic effect of actions prevails.
(5) The settlement given in 7.7.2.1 and 7.7.3.1 refers to centrically loaded individual foundations; it can
increase for mutual influence of neighbouring foundations. Eccentrically loaded foundations may tilt; this shall
be verified according to 7.6.3 if the serviceability limit state is substantially influenced.
7.7.2 Non-cohesive soil
7.7.2.1 Allowable bearing pressure
(1) If the requirements in 7.7.1 for
⎯ a soil of medium strength according to (4) and
⎯ vertical effects of actions
are fulfilled, the allowable bearing pressure σallow for strip foundations may be taken from Tables A.1 and A.2
of Annex A, as a function of the true foundation width b or the effective foundation width b'. The allowable
bearing pressure σallow given in Table A.1, which increases with increasing foundation width, was determined
using adequate bearing capacity; the allowable bearing pressure σallow given in Table A.2, which decreases
with increasing foundation width from b or b' > 1,00 m, is based on settlement limitation.
(2) Intermediate values to those given in Tables A.1 and A.2 may be linearly interpolated. If, for eccentric
loading, the smaller effective side length b' < 0,50 m, the values may be linearly extrapolated.
(3) The following apply to centric loading:
⎯ The foundations dimensioned on the basis of Table A.1 can settle by approximately 2 cm for foundation
widths up to 1,50 m and approximately proportional to the foundation width for wider foundations;
⎯ the foundations dimensioned on the basis of Table A.2 can settle by a value that does not exceed
approximately 1 cm for foundation widths up to 1,50 m and 2 cm for wider foundations;
(4) The medium strength required for adoption of the allowable bearing pressure σallow given in Tables A.1
and A.2 may be assumed if any one of the conditions given in Table A.7 is complied with. The respective
mean value of the measured values of relative density D, relative compaction DPr or cone resistance qc of the
CPT within the ground region described in 7.7.1 (1) b) shall apply.
(5) In cases not covered by Tables A.1 and A.2, the GZ 1B (GEO-2) and GZ 2 (serviceability) limit states shall
be verified.
7.7.2.2 Increasing the allowable bearing pressure
(1) For foundations at least 0,50 m wide and with an embedment depth of 0,50 m, it is permitted to increase
the allowable bearing pressure according to 7.7.2.1 as described below and to add the individual increases
together where expedient:
(2) For rectangular foundations with an aspect ratio bx : by < 2 or b'x : b'y < 2 and for circular foundations, the
allowable bearing pressures σallow given in Tables A.1 and A.2 may be increased by 20 %. This only applies
to the values determined on the basis of bearing capacity failure (Table A.1) if the embedment depth is greater
than 0,60 b or 0,60 b'.
53
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DIN 1054:2005-01
(3) The allowable bearing pressures σallow given in Tables A.1 and A.2 may be increased by up to 50 % if it
can be verified that the ground is sufficiently strong to the depth given in 7.7.1 (1) b). This is the case if any
one of the conditions given in Table A.8 is complied with. The respective mean value of the measured values
--`,,```,,,,````-`-`,,`,,`,`,,`---
of relative density D, relative compaction DPr or cone resistance qc of the CPT within the ground region
described in 7.7.1 (1) b) shall apply.
7.7.2.3 Reduction of allowable bearing pressure in groundwater
(1) The allowable bearing pressure σallow given in Table A.1 applies when the distance between the
groundwater table and the foundation base is at least as large as the governing foundation width b or b'
according to 7.7.1. If the groundwater table is at the foundation base, the allowable bearing pressure σallow
given in Table A.1 shall be reduced by 40 %.
(2) If the distance between the governing groundwater table and the foundation base is smaller than the
governing foundation width b or b', intermediate values may be linearly interpolated between the value
reduced by 40 % and the unreduced allowable bearing pressure, depending on the governing water table
height.
(3) If the groundwater table is above the foundation base, it is only sufficient to reduce the values of the
allowable bearing pressure given in Table A.1 by 40 % if the embedment depth is greater than 0,80 m and is
also greater than the foundation width b. If these two requirements are not fulfilled, the GZ 1B (GEO-2) and
(serviceability) GZ 2 limit states shall be verified.
(4) The allowable bearing pressure σallow given in Table A.2 applies to cases in which it is not larger than the
reduced allowable bearing pressure based on adequate safety against bearing resistance failure as given in
Table A.1. The smaller value shall apply.
7.7.2.4 Reduction of the allowable bearing pressure as a result of horizontal effects of actions
(1) In foundations upon which a horizontal component Hk acts in addition to the resultant vertical bearing
pressure Vk, the allowable bearing pressure σallow given in Table A.1, based on adequate safety against
bearing capacity failure and, where necessary, increased according to 7.7.2.2 or reduced according to 7.7.2.3,
shall be reduced as follows:
⎯ using the factor (1 – Hk/Vk) if Hk acts parallel to the longer foundation dimension and the aspect ratio
bx : by ≥ 2 or b'x : b'y ≥ 2;
⎯ using the factor (1 – Hk/Vk)2 in all other cases.
(2) The allowable bearing pressure σallow given in Table A.2 may be adopted unaltered in cases in which it is
no larger than the reduced value given in Table A.1 based on adequate safety against bearing capacity failure.
The smaller value shall apply.
7.7.3 Cohesive soil
7.7.3.1 Allowable bearing pressure
(1) If the requirements listed in 7.7.1 for cohesive soil are fulfilled, the allowable bearing pressure σallow for
strip foundations may be taken from Tables A.3 to A.6 of Annex A. The bearing pressure may act vertically or
be inclined.
(2) The values in Tables A.3 to A.6 are not applicable to soil types susceptible to sudden collapse of the grain
skeleton, e.g. loess.
54

DIN 1054:2005-01
(3) Adoption of the values for allowable bearing pressure given in Tables A.3 to A.6 can lead to settlement of
a magnitude of 2 cm to 4 cm for centrically loaded foundations.
(4) The soil strength required for adoption of the allowable bearing pressure σallow given in Tables A.3 to A.6
may be assumed as sufficient if any one of the following conditions is complied with:
⎯ either the strength is determined in laboratory tests to DIN 18122-1 or the consistency is determined in
hand roll tests to DIN 4022-1;
⎯ the strength is determined in an unconfined compression test to DIN 18136.
If results vary across a number of consistency tests or unconfined compression tests, the respective mean
value within the ground region described in 7.7.1 (1) b) shall apply.
(5) If results for undrained shear strength (cu) tests are available, the unconfined compression strength, qu,
may be approximately determined with ϕu = 0 using
qu,k = 2 × cu,k. (23)
(6) In cases not covered by Tables A.3 to A.6, the GZ 1B (GEO-2) and GZ 2 (serviceability) limit states shall
be verified.
7.7.3.2 Increasing the allowable bearing pressure
For rectangular foundations with an aspect ratio bx : by < 2 or b'x : b'y < 2 and for circular foundations, the
allowable bearing pressure, σallow, given in Tables A.3 to A.6, or determined according to 7.7.3.3 for greater
foundation widths, may be increased by 20 %.
7.7.3.3 Reduction of the allowable bearing pressure
(1) For foundation widths between 2,00 m and 5,00 m, the allowable bearing pressure σallow given in
Tables A.3 to A.6 shall be reduced by 10 % for each additional metre of foundation width.
(2) For foundation widths exceeding 5,00 m, the GZ 1B (GEO-2) and GZ 2 (serviceability) limit states shall be
verified.
7.7.4 Rock
(1) If the ground consists of homogeneous, unweathered rock of sufficient thickness, foundations may be
dimensioned assuming an allowable bearing pressure σallow The governing allowable bearing pressure σallow
for square foundations may be taken from the charts in Figure A.1 as a function of the unconfined
compression strength and the joint spacing.
NOTE Figure A.1 has been taken from DIN V ENV 1997-1. Preference should normally be given to national
experience.
(2) The following classification of rock types has been adopted:
Rock group 1: Pure limestone and dolomite, low porosity carbonate sandstone;
Rock group 2: Oolite and marly limestone, sandstones with good grain cementation, hard carbonate
siltstones, schists with flat cleavage;
55
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DIN 1054:2005-01
Rock group 3: Very marly limestones, poorly cemented sandstones, schist with steep cleavage;
Rock group 4: Weakly cemented clay and siltstones.
(3) The unconfined compression test values are assigned the following designations:
qu,k < 1,25 MN/m2: very weak;
1,25 MN/m2 ≤ qu,k < 5,0 MN/m2: weak;
5,0 MN/m2 ≤ qu,k < 12,5 MN/m2: moderately weak;
12,5 MN/m2 ≤ qu,k < 50,0 MN/m2: moderately hard;

qu,k ≥ 50,0 MN/m2: hard.
(4) The allowable bearing pressure stated here applies on condition that settlement of around 0,5 % of the
smaller width of the foundation can be tolerated. Allowable bearing pressures for other values of settlement
may be linearly interpolated.
7.7.5 Artificially placed ground
If artificially placed ground or fill
⎯ fulfils the conditions in 7.7.1 and
⎯ a mean relative compaction of DPr ≥ 100 %, but at least a lower limit of 97 % is verified for cohesive fill
material,
the values of the allowable bearing pressure according to 7.7.2 or 7.7.3 may be adopted for foundations on
this type of ground.
8 Pile foundations
(1) This Section deals with pile foundations made up of bored piles, displacement piles or micropiles. Bored
piles used as a diaphragm wall are also included in this category.
(2) Pile-like foundation elements, e.g. vibro-replacement concrete columns, well foundations or jet grouted
columns are not explicitly covered in this standard. However, the requirements of this standard also apply to
these elements provided that they are not covered by other special provisions. Nevertheless, the empirical
values of pile bearing capacity in Annexes B to D shall not be adopted for these types of pile-like elements.
Attention shall be given to building inspectorate approvals for proof of the usability of a certain method, for
example, the general approval relating to jet grouting.
(3) When installing pile foundations, the requirements of the standards for the execution of special
geotechnical works for
⎯ bored piles according to DIN EN 1536;
⎯ driven piles according to DIN EN 12699;
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DIN 1054:2005-01
⎯ precast concrete foundation piles according to E DIN EN 12794;
⎯ micropiles according to E DIN EN 14199
shall be fulfilled.
(4) Attention shall be given to the installation tolerances in the standards for construction works.
(5) In selecting the installation method, the condition and distance of the neighbouring structures, in particular
the sensitivity of the buildings to deformation and vibration (see also DIN 4150-1, DIN 4150-2, DIN 4150-3)
shall be taken into account.
NOTE A preliminary survey of the susceptibility of the neighbouring structures is recommended.
(6) The following investigations are required for pile foundations in addition to those mentioned in Section 5:
⎯ an investigation of the groundwater and the soil for substances aggressive to concrete (see DIN 4030-1)
or substances encouraging the corrosion of steel;
⎯ an investigation of the groundwater and the soil for properties that may affect the stability of the slurry in
the case of bored piles installed with the use of slurry;
⎯ an investigation of possible driving or drilling obstructions;
⎯ for displacement piles, an investigation whether the shear strength of the soil will be affected by the
driving or vibrating process and whether the piles can correctly be driven and reach the proposed depth
for the given ground conditions;
NOTE Excess pore pressure may be generated during the driving or vibrating process, which may result in a
--`,,```,,,,````-`-`,,`,,`,`,,`---
decrease of the shear strength or a permanent loss of strength in sensitive cohesive soils. This requires special
attention in the assessment of the effects of such methods of installation on neighbouring structures.
⎯ for cast-in-situ concrete piles, an investigation whether the ground can support the pressure from the
fresh concrete or whether the ground pressure may constrict the fresh concrete column, e.g. in soil layers
near the surface due to loads from the pile installation equipment.
(7) Further investigations may be necessary for pile foundations for special purposes and with special
boundary conditions. For example, when planning pile installation close to existing buildings, the location,
dimensions, mode of construction, material and strength of the existing foundations shall be investigated and
their bearing pressure shall be estimated.
(8) In order to estimate the horizontal ground reactions of vertical piles, e.g. by means of the modulus of
subgrade reaction or the passive resistance method, the stiffness and shear strength parameters of the soil
shall be provided. If no locally obtained empirical values are available and no load tests are performed, they
shall be determined from laboratory tests.
(9) For further specific types of test, see DIN EN 1536, DIN EN 1538, DIN EN 12699, E DIN EN 12794 and
E DIN EN 14199.
(1) The following features shall serve as a basis for assigning the pile foundations to Geotechnical Categories.
The list is not exhaustive, however.
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DIN 1054:2005-01
(2) The following features are generally required for classification in Geotechnical Category GC 2:
⎯ pile foundations whose settlement behaviour is critical to the superstructure;
⎯ determination of pile resistance based on empirical values according to 8.4.4;
⎯ pulsating, alternating and dynamic loading, provided that comparable experience is available;
⎯ active pressure on piles perpendicular to their axis, e.g. from structural loads;
⎯ piles with negative skin friction;
⎯ inclined tension piles that can be used as temporary anchors, similar to 9.2 (2).
⎯ pulsating, alternating and dynamic loading, provided that no comparable experience is available for the
pile type used and the corresponding ground conditions;
⎯ tension micropiles and displacement piles with an inclination of less than 45°;
⎯ passive pressure perpendicular to the pile axis, e.g. lateral pressure on piles, bending due to settlement;
⎯ highly loaded piles in conjunction with very low allowable settlement;
⎯ highly loaded piles in conjunction with shaft and/or base grouting;
⎯ combined piled-raft foundations;
⎯ inclined tension piles that can be used as permanent anchors, similar to 9.2 (3).
8.3.1 General
(1) The actions may consist of the following
⎯ foundations loads according to 6.1.2;
⎯ geotechnical loads according to, 6.1.3, 8.3.2 and 8.3.3;
⎯ dynamic loads according to 6.1.4.
(2) All possible governing combinations of permanent and variable loads shall be investigated.
(3) The inclination of the resultant load shall always be determined using the characteristic values. This
inclination shall also be used in the determination of the characteristic effects of actions of pile loading.
(4) The non-linear behaviour of the resistance-settlement curve of the piles shall be taken into account when
analysing the superstructure. By way of simplification, the secant method in Figure 3 may be used to derive a
spring constant.
(5) When determining the effects of actions on compression piles, their self-weight may be disregarded.
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DIN 1054:2005-01
8.3.2 Lateral pressure
(1) Bending stresses from lateral pressure may occur
⎯ in vertical piles as a result of horizontal ground movement;
⎯ in inclined piles as a result of settlement or heave of the ground.
(2) The lateral pressure on piles in soft cohesive soils shall be determined using the characteristic values of
the soil properties, both:
⎯ as the resultant earth pressure, which is the difference in earth pressures acting on opposite surfaces of a
pile element embedded in the ground, and
⎯ as the flow pressure of the yielding ground as a result of the flow of the soil mass around a pile element
embedded in the ground at fully mobilized shear strength.
The smaller of the two values shall apply. See also [2].
8.3.3 Negative skin friction
(1) Shear stresses on the interface between a structural element and the ground shall be considered as
permanent effects of actions, if the ground moves downwards relative to the structural element.
(2) The following equations may be used to obtain an approximation of the characteristic value of the
negative skin friction τn,k:
τn,k = cu,k (24)
for cohesive soils, and
τn,k = σ'v × K0 × tanϕ'k (25)
for non-cohesive soils. However, the resultant characteristic skin friction of the non-cohesive layer should not
exceed its weight.
In the above:
cu,k is the characteristic undrained shear strength of the soil;
σ'v is the effective vertical stress;
K0 is the coefficient of earth pressure at rest;
ϕ'k is the characteristic angle of shearing resistance of the non-cohesive layer.
Moreover, the negative skin friction τn,k should not be greater than the positive skin friction qs,k of a given layer.
(3) Negative skin friction may also arise when a relative displacement of only a few millimetres occurs
between the pile and the ground.
(4) The depth of the influence of the negative skin friction extends down to the so-called “neutral point”, below
which positive skin friction and end (base) resistance apply.
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DIN 1054:2005-01
(5) As long as the expected pile settlement in the GZ 1B (GEO-2) limit state is greater than the settlement of
the soft layer around the pile and the neutral point therefore remains in the upper reaches of the pile, the
negative skin friction may be reduced, to zero if appropriate, in the verification of the GZ 1B (GEO-2) limit
state.
8.3.4 Design values of effect of actions
(1) For piles subject to either compression or tension only, the characteristic effect of actions E1,k determined
as characteristic internal forces and moments according to 8.3.1 to 8.3.3, shall be converted to the design
effect of actions E1,d according to 4.3.2 (2), step 5, using the partial safety factors in Table 2 for the case of
GZ 1B (GEO-2) limit state.
(2) For piles subject to both compression and tension, (1) applies only to the determination of the design
values E1,d of compressive effects of actions. In contrast, when determining the design values of tensile
effects of actions E1,d, simultaneously acting characteristic effects of actions in compression from favourable
permanent actions shall be converted using the partial safety factor γG,inf = 1,00 according to
DIN 1055-100:2001-03, Table A.3.
(3) For the treatment of tension pile groups, see 8.5.4 and 11,4.
(4) For the verification of the serviceability limit state, the design effect of actions E2,d may be taken to be
equal to the characteristic effects of actions E2,k provided that no other specifications are necessary for the
particular cases.
8.4 Resistance
8.4.1 General
(1) The axial resistance R of a single pile consists of the following components: base resistance Rb(s)
(compression piles only) and shaft resistance Rs(s). These are dependent on the pile head settlement s.
NOTE In this standard the terms “pile resistance”, “pile base resistance” and “pile shaft resistance” refer to forces.
(2) In the GZ 1B (GEO-2) limit state and for a pile resistance R1, failure may occur either by
⎯ loss of the bearing capacity of the ground around the pile, or
⎯ loss of the bearing capacity (failure of structural elements) of the pile material.
(3) The pile resistance R2 shall be used for the verification of the serviceability limit state, see 8.6.
(4) In the verifications specified below, the dimensions, in particular the pile length and pile diameter, shall be
adopted as nominal values.
(5) The following information on pile resistance refers to single piles. Piles in pile groups and combined
pile-raft foundations may exhibit a different resistance-settlement behaviour compared to single piles, see
8.6.2 and 8.6.3. See also Annex E (informative) for lateral loading of pile groups.
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8.4.2 Axial pile resistance from static pile load tests
(1) The axial pile resistance of single piles shall be described by a resistance-settlement (or heave) curve.
The resistance-settlement (heave) curve should be defined on the basis of static load tests (see [1]) or based
on experience with comparable pile load tests. Creep under constant load shall also be taken into
consideration.
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DIN 1054:2005-01
(2) For the design procedures for pile resistance based on empirical values, see 8.4.4. If comparable load test
results are available with regard to pile type and ground conditions, they may be treated as if the load tests
had been performed on the site under investigation in accordance with the procedure described in (3) to (8).
The comparability shall be confirmed. This requires special geotechnical competence and experience, see 4.1
(1) and 4.2 (1) c).
(3) If the characteristic pile resistance R1,k in the GZ 1B (GEO-2) limit state is derived from measured values
R1m,i of one or more load tests, a factor ξ shall be applied to take into account the heterogeneity of the ground
and any possible irregularities during the pile installation.
(4) For single piles, the characteristic pile resistance R1,k shall be determined from the smallest value R1m,min
of the individual values R1m,i of the pile load test results according to equation (26):
R1,k = R1m,min/ξ. (26)
The factor ξ shall be taken from Table 4, column 4.
Table 4 — Factor ξ to take into account the number and

variation of the results of pile load tests
Number of load Factor ξ

tests Mean value Smallest value
N R 1m a R1m,min
Column 1 Column 2 Column 3 Column 4
sN = R1m = 0 sN = R1m = 0,25
1 – – 1,15
2 1,05 1,10 1,05
>2 1,00 1,05 1,00
a Intermediate values may be linearly interpolated.
(5) If the load is distributed to a number of piles, for example by means of a rigid pile cap, and the variation
coefficient sN / R1m ≤ 0,25, the factor ξ in Table 4, columns 2 and 3, may be applied to the mean value of the
load test results
R1,k = R1m / ξ .
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(27)
(6) The determination of the factor ξ according to, Table 4, columns 2 and 3 is based on:
∑ (R1m − R1m,i ) /(N − 1)

N
2
sN = (28)
i =1
where:
sN is the standard deviation;
R1m is the mean value of the pile load test results;
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DIN 1054:2005-01
R1m,i is the individual value of a pile load test result;
N is the number of pile load tests (N ≥ 2).
(7) If a limit value (failure) of the pile resistance R1m,i of compression piles cannot be identified from the
resistance-settlement curve of the pile load tests, or the failure occurs after settlements, s1, greater than
s1 = 0,10 × Db (29)
then
R1m,i = Rm,i (0,10 × Db) (30)
shall be adopted, where Db is the pile base diameter. In well-justified special cases, the pile resistance at limit
state may be defined for a different pile settlement value.
(8) A characteristic resistance-settlement (or heave) curve Rk(s) shall be derived from the resistance-
settlement (or heave) curves Rm,i(s) determined from the pile load test results, the individual test results as
well as the pile installation and ground conditions being weighted appropriately, where applicable. This
assessment requires special geotechnical competence and experience, see 4.1 (1).
(9) If the test piles are going to be used as structural piles, it shall be verified that the deformation behaviour,
which might already be affected by the load test, presents no hazard to the structure and that the bearing
capacity has not suffered under the test load.
(10) In the case of micropiles, pile load tests shall be performed on
⎯ at least 3 % of the projected number of piles,
⎯ but on a minimum of N ≥ 2 piles.
The results of a pull-out test on micropiles may be utilized to assess the bearing capacity of micropiles in
compression if the pile resistance primarily results from the shaft resistance in the ground.
8.4.3 Axial pile resistance from dynamic pile load tests
(1) The following information applies to the estimation of the characteristic axial pile resistance of single piles
from dynamic pile load tests (see [1]).
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(2) The characteristic axial pile resistance R1,k of displacement piles, and to certain extent (depending on the
hammer weight) bored piles, may be derived from dynamic load tests if the contractor carrying out the tests
can provide proof of a number of years of experience in this method. The load test shall be performed on at
least two piles per pile type and in homogeneous ground conditions.
(3) If the dynamic load tests are calibrated for static load tests on the same site and the dynamic
measurements are analysed by means of an extended procedure employing complete modelling (e.g.
CAPWAP method), the factor ξ in Table 4 may be used. However, the number of load tests given in column 1
of Table 4 should be doubled, i.e. 2, 4 or > 4. If only a direct method of analysis (e.g. CASE equation) is
adopted, the factor shall be increased by Δξ = 0,10. Again, the number of load tests required shall be doubled.
(4) In calibrating the dynamic test results for static pile load tests carried out at a different site but with the
same pile type and comparable ground conditions as well as the same installation equipment with a
comparable driving energy in the case of driven piles, the factor ξ in Table 4 shall be increased by Δξ = 0,05, if
the dynamic load test measurements are analysed by means of an extended procedure employing complete
modelling. If only a direct method of analysis is adopted, the factor shall be increased by Δξ = 0,15. With
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DIN 1054:2005-01
regard to the number of piles in column 1 of Table 4, double the number of piles shall be used, as stated in (3).
The static pile load test results, which are used to calibrate the dynamic load test results, and the
corresponding ground documentation shall be included in the report of the dynamic pile load test. More
emphasis shall be placed on the comparisons if a direct method of analysis is adopted as opposed to an
extended procedure employing complete modelling. However, see also (6).
(5) If the dynamic pile test loads are derived from justifiable or general empirical values, e.g. from [1], the
factor ξ in Table 4 shall be increased by Δξ = 0,15. In this case the analysis shall be performed by means of
an extended procedure employing complete modelling. The use of a direct method of analysis is not permitted.
With regard to the number of piles in column 1 of Table 4, double the number of piles shall be applied, as
stated in (3). However, see also (6).
(6) For piles in soils susceptible to creep or in plastic clays, the results of dynamic pile load tests shall always
be calibrated against static pile load tests carried out on the same site. Adoption of static load test results from
similar ground conditions is only possible with limitations.
(7) The characteristic axial pile resistance R1,k derived from dynamic pile load tests shall be verified for the
installation and the underground boundary conditions. For this purpose, the knowledge and experience of an
expert in the field of geotechnical engineering is required, see 4.1 (1) and 4.2 (1) c).
NOTE An additional dynamic integrity test carried out before the load application on a number of randomly selected
piles may serve as quality control and as a check of the structural bearing capacity of the piles.
8.4.4 Empirical axial pile resistance
(1) If no pile load tests are carried out and empirical values from directly comparable load tests are not
available, the characteristic axial pile resistance of a single pile may be determined from general empirical
values provided that the pile is embedded at least 5,0 m or 5 times the pile diameter in the bearing strata,
whichever is larger. A deviation from this is only permitted if expressly justified for a particular application. The
decision to omit pile load tests on tension piles requires special geotechnical competence and experience, see
4.1 (1) and 4.2 (1) c).
(2) The axial pile resistance of bored piles may be determined according to Annex B (informative). Skin
friction shall not be adopted for those parts of pile shafts protected by sleeves or for the under-reamed part of
a pile.
(3) For driven reinforced or prestressed concrete piles in non-cohesive soil, the information in informative
Annex C (and Annex C*) can be used for the determination of the axial pile resistance in the GZ 1B (GEO-2)
ultimate limit state.
(4) Load tests shall generally be carried out for micropiles. If, in exceptional cases, no load test is carried out
on grouted micropiles (injection piles), the empirical values according to Annex D (informative) may be used.
In such cases, the pile base resistance shall not be considered in addition.
(5) The applicability of the empirical values for bored, displacement and micropiles shall be justified, which
requires special geotechnical competence and experience, see 4.1 (1).
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8.4.5 Transverse load resistance
(1) The characteristic transverse resistance of a singe pile shall be determined on the basis of load tests [1]
or experience with comparable load tests. The load tests shall be performed to a magnitude equal to the
expected actions. In the case of restrained pile heads, the restraint need not be reproduced in the load tests.
(2) The transverse resistance shall only be adopted for piles with a shaft diameter Ds ≥ 0,30 m or a side width
as ≥ 0,30 m. The characteristic transverse resistance may be described by the characteristic modulus of
subgrade reaction ks,k, which can be determined from the load test results.
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DIN 1054:2005-01
(3) The characteristic modulus of subgrade reaction of the soil layers concerned may be calculated from
equation (31) if it only serves to determine the effects of actions:
ks,k = Es,k/Ds (31)
where:
ks,k is the characteristic modulus of subgrade reaction;
Es,k is the characteristic constrained modulus;
Ds is the pile shaft diameter as long as Ds < 1,00 m; otherwise Ds = 1,00 m shall be adopted when this is
greater than 1,00 m.
The range of the application of equation (31) is limited by a maximum characteristic horizontal displacement of
either 2,0 cm or 0,03 Ds, whichever is less.
(4) The magnitude and distribution of the characteristic modulus of subgrade reaction ks,k along the pile axis
shall be determined from the load tests if the deformation of the pile foundation is the governing factor for the
bearing behaviour of the superstructure and in the absence of relevant experience. This applies to the GZ 2
(serviceability) limit state and, if necessary, to the GZ 1B (GEO-2) limit state.
(5) The distribution of actions and resistance over each pile in a pile group under lateral loading may be taken
according to the specifications in Annex E (informative).
8.4.6 Pile resistance for cyclic and dynamic actions
(1) For pile foundations under axial cyclic loading and with pulsating and/or alternating components greater
than 20 % of the characteristic pile resistance R2,k under working loads, the bearing behaviour of the pile may
deteriorate considerably. Therefore, to determine the characteristic resistance-settlement curve, the cyclic
loading shall be realistically modelled with regard to the load span and the number of load cycles in addition to
performing load tests whenever axial cyclic loading occurs. The selection of the number of load tests and the
establishment of the characteristic pile resistance requires special geotechnical competence and experience,
see 4.1 (1) and 4.2 (1) c).
(2) An axial cyclic load test may be omitted if relevant experience with comparable piles is available. Piles are
comparable if they have the same method of installation, dimensions, soil types and loads.
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(3) For grouted micropiles in at least medium-dense non-cohesive soil above the groundwater table, the
values given in Annex D (informative) for characteristic load span may be adopted as a reference value.
(4) Regular monitoring of cyclically and/or dynamically loaded pile foundations shall be carried out to check
for any change in position.
(5) For impact-like horizontal actions in the sense of impact loads, the magnitude of the ground reactions may
lie above or below the static ground resistance during the impact or the movement of the pile. This is also
dependent on the dynamic behaviour of the system (e.g. mass moment of inertia, damping, excess pore
pressure). As an approximation, the modulus of subgrade reaction for static actions may be used for dynamic
actions.
8.4.7 Design values of pile resistance
The characteristic pile resistance determined according to 8.4.2 to 8.4.6 shall be converted to the design pile
resistance according to equation (4) using the partial safety factors given in Table 3 for GZ 1B (GEO-2) limit
states. The partial safety factors γP in Table 3 include both the base and the shaft resistance.
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DIN 1054:2005-01
8.5 Verification of the bearing capacity of piles
8.5.1 Axially loaded piles
(1) To verify adequate safety against failure of an axially loaded single pile due to the failure of the ground
around the pile (GZ 1B) (GEO-2), the equilibrium condition:
E1,d ≤ R1,d (32)
shall be fulfilled. See 8.3.4 for the design effect of actions E1,d, and see 8.4.7 for the design pile resistance
R1,d.
(2) For partially free-standing piles and for piles in soft soils with an undrained shear strength cu,k ≤ 15 kN/m2,
the safety of the pile against buckling shall be verified.
(3) Deformations of a pile foundation close to the serviceability limit state can, in rigid, statically undetermined
structures and structural elements, give rise to an ultimate limit state (GZ 1B) (STR). For the verification of the
safety against structural failure, the differential settlement of the superstructure or the structural elements that
causes restraint shall be determined according to 8.6.1 and the resulting effects of actions shall be increased
by applying the partial safety factors for imposed effects of actions according to the specific material standards.
(4) Safety against structural failure shall be verified according to 8.5.6.
8.5.2 Laterally loaded piles
(1) A verification of the safety against the bearing failure of flexible piles in the GZ 1B (GEO-2) limit state
--`,,```,,,,````-`-`,,`,,`,`,,`---
need not be performed if the piles are completely embedded in the ground and the horizontal characteristic
effect of actions is not more than 3% and 5% of the vertical effect of actions for Load Case LC 1 and LC 2
respectively. For all other cases, proceed as follows, deviating from 4.3.2:
⎯ define the input values for the determination of the ground reactions, e.g. modulus of subgrade reaction
according to 8.4.5;
⎯ determine the characteristic effect of actions using the characteristic actions and the characteristic
modulus of subgrade reaction;
⎯ convert the characteristic effects of actions or the characteristic stresses to design effects of actions by
multiplying them by the partial safety factors for actions from Table 2;
⎯ show that the characteristic normal stresses σh,k between the pile and the ground do not exceed the
characteristic passive earth pressure eph,k for plane strain conditions, see 10.4.2 (4);
⎯ show that the assumed horizontal soil reaction does not exceed the design value of the passive earth
pressure which may be allowed for the corresponding part of the embedment depth up to the point of
rotation, see 10.6.3 (3);
⎯ verify the safety against structural failure according to 8.5.6.
(2) In accordance with 4.3.2, proceed as follows for the verification of the bearing capacity of short single
piles and dolphin piles in the GZ 1B (GEO-2) limit state:
⎯ determine the characteristic reaction forces and the effects of actions with the characteristic soil
properties and an assumed pile length using the equilibrium condition;
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DIN 1054:2005-01
⎯ convert the characteristic soil reactions to the design forces by multiplying them by the partial safety
factors for actions given in Table 2 and compare them with the design values of the three-dimensional
passive earth pressure forces. The final pile length shall be determined iteratively;
⎯ to verify the safety against structural failure according to 8.5.6, convert the characteristic effects of actions
to the design values by multiplying them by the partial safety factors for actions given in Table 2.
8.5.3 Compression pile groups
(1) In axially loaded compression pile groups and piled rafts, the pile cap or the superstructure shall be
examined to check whether it has been sufficiently designed to compensate for the different
resistance-settlement behaviour of the individual piles within the group and to redistribute the loads
accordingly.
(2) In axially loaded compression pile groups and piled rafts with sufficiently stiff pile caps or superstructure,
the possibility of bearing capacity failure below the pile group may be ruled out and hence verification of the
bearing capacity of the pile group in the GZ 1B (GEO-2) limit state may be omitted. However, the serviceability
limit state shall be verified (see 8.6.2) for a large settlement of the group as opposed to individual piles.
(3) If the pile group or piled raft is subjected to two or more actions in which the effects of those actions on
certain piles in the group are such that the actions may cancel each other out and hence the piles may
theoretically carry only a small load, or none at all, the piles shall only be designed for construction measures.
8.5.4 Tension pile groups
(1) For the stability analyses of foundations and structures anchored in the ground by tension piles, the
following two limit states shall be investigated:
a) Assuming that each pile acts as a single pile, adequate safety against pull-out shall be verified for the
GZ 1B (GEO-2) limit state according to 8.5.1, see (2). Attention should be paid to 8.4.6 in the case of
cyclic and dynamic actions.
b) Assuming that the piles and the surrounding soil form a solid block due to the group effect, the GZ 1A
(UPL) ultimate limit state shall be verified according to (3).
(2) The design value of the action required to fulfil the requirement for safety against pull-out shall be
determined
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ according to 8.3.4 (1) if the piles are only subjected to tension loads;
⎯ according to 8.3.4 (2) if, for the most unfavourable combination of simultaneously acting compression and
tension loads, the characteristic tension load dominates.
For the latter case, the design tension load E1z,d shall be calculated from the equation
E1,d = E1Z,d = E1GZ,k × γG + E1QZ,k × γQ – E1GD,k × γG,inf (33)
where
E1GZ,k is the characteristic value of permanent tensile effects of actions;
γG is the partial safety factor for permanent effects of actions in the GZ 1B (GEO-2) ultimate limit state
according to Table 2;
E1QZ,k is the characteristic value of unfavourable variable tensile effects of actions;
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DIN 1054:2005-01
γQ is the partial safety factor for unfavourable variable effects of actions in the GZ 1B (GEO-2)ultimate
limit state according to Table 2;
E1GD,k is the characteristic value of simultaneously acting permanent compressive effects of actions;
γG,inf is the partial safety factor γG,inf = 1,00 for favourable permanent compressive effects of actions in
the GZ 1B (GEO-2)ultimate limit state according to 8.3.4 (2).
(3) In order to provide adequate safety against uplift of a foundation or a structure subjected to tensile forces
and anchored by tension piles, it shall be verified that equation (33) for the GZ 1A (UPL) ultimate limit state is
fulfilled:
Gk,dst × γG,dst + Qk × γQ,dst = Gk,stb × γG,stb+ GE,k × γG,stb (34)
where
Gk,dst is the characteristic value of unfavourable vertically upward-oriented actions;
γG,dst is the partial safety factor for unfavourable permanent actions in the GZ 1A (UPL) ultimate limit state
according to Table 2;
Qk is the characteristic value of variable and vertically upward-oriented actions;
γQ,dst is the partial safety factor for the unfavourable variable actions in the GZ 1A (UPL) ultimate limit
state according to Table 2;
Gk,stb is the lower characteristic value of the favourable permanent and vertically downward-oriented
actions;
γG,stb is the partial safety factor for the favourable permanent actions in the GZ 1A (UPL) ultimate limit
state according to Table 2;
GE,k is the characteristic weight of the soil block attached to the piles according to (4).
--`,,```,,,,````-`-`,,`,,`,`,,`---
(4) The weight GE,k of the soil block attached to the piles may be determined in accordance with Figure 2
using
⎡ ⎛ 1 ⎞⎤
GE,k = n × ⎢la × lb ⎜ L − × la2 + lb2 × cot ϕ ⎟⎥ × η × γ (35)
⎣ ⎝ 3 ⎠⎦
where, besides the variables defined above,
n is number of piles;
L is the length of the tension elements;
la is the largest grid spacing;
lb is the smallest grid spacing;
γ is the governing weight density of the attached soil block;
η is the calibration factor; equal to 0,80.
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DIN 1054:2005-01
For the corresponding geometric model, see Figure 2 which also applies to edge piles. The weight density γ
shall be partly or wholly replaced by the effective weight density γ´ of the submerged soil where applicable.
la
lb
Figure 2 — The soil mass attached to a single pile

--`,,```,,,,````-`-`,,`,,`,`,,`---
(5) In the verification of the safety of the piles against pull-out according to 8.5.1 and against uplift according
to (3), the effect of the shear forces FS,k may be taken into account according to 11.3.2:
a) In the verification of the safety of the piles against pull-out in the GZ 1B (GEO-2) ultimate limit state, the
shear forces shall be treated as favourable permanent compressive effects of actions in the determination
of the design tensile effect of actions according to equation (36):
E1,d = E1Z,d = E1GZ,k × γG + E1QZ,k × γQ – (E1GD,k × FS,k) × γG,inf. (36)
b) In the verification of the safety of the piles against uplift in the GZ 1A (UPL) ultimate limit state, the shear
forces shall be treated as favourable permanent actions according to equation (37):
Gk,dst × γG,dst + Qk × γQ,dst ≤ Gk,stb × γG,stb+ (GE,k × FS,k) × γG,stb. (37)
(6) For pile groups under uplift forces, see 11.4.
8.5.5 Combined pile-raft foundations
(1) The loadbearing behaviour of combined pile-raft foundations is characterized by the fact that the raft can
transmit the resultant actions from the superstructure to the ground via both the normal contact pressure and
the foundation piles, due to its flexural stiffness. For more information on calculations, see [3].
(2) The applicability of combined pile-raft foundations shall be established by verification of their suitablilty
(e.g. by building inspectorate approval) in each individual case.
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8.5.6 Structural failure of piles
(1) Safety against structural failure shall be verified for all piles according to the provisions specific to the type
of structure:
Ed ≤ RM,d. (38)
(2) The governing design values of the effects of actions Ed shall be determined according to 8.3.4 or 8.5.2.
(3) The material properties given in the respective standard for the type of structure shall govern the
determination of the design value of the resistance RM,d of the structural element.
8.6.1 Principles
(1) If an appropriate examination reveals that the deformations of the pile foundation would affect the safety
of the structure as a whole, verification of adequate safety against loss of serviceability shall be performed.
This is verified if the inequality in equation (39) is fulfilled.
E2,d = E2,k ≤ R2,d = R2,k. (39)
For the characteristic effects of actions E2,k, see 8.3.
(2) If only a minor differential settlement is expected between single piles or pile groups, the characteristic pile
resistance R2,k shall be derived on the basis of the pile load test results assessment according to 8.4.2 (8) and
8.4.3 or based on empirical values according to 8.4.4, with an assumed acceptable characteristic settlement
s2,k according to Figure 3a).
--`,,```,,,,````-`-`,,`,,`,`,,`---
R 2,k R 1,k R R 2,k R 1,k R
s 2,k min
s 2,k 2xΔ s 2,k
s 2,k
Secant for the
determination of a
spring constant s 2,k max
according to 8.6.2 (4)
Rk
s 1,k s1,k Rk
s s
a) b)
a) For cases where a minor differential settlement is expected between single piles or pile groups
b) For cases where a substantial differential settlement is expected between single piles or pile groups
Figure 3 — Determination of the characteristic pile resistance R2,k of single piles or pile groups as a
function of the corresponding settlement s2,k or Δs2,k
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DIN 1054:2005-01
(3) If a substantial differential settlement is expected between single piles or pile groups, proceed first as in
(2) for the single piles or the pile groups. In the range of the resulting pile resistance R2,k, the possible upper
limit s2,k max and lower limit s2,k min of the settlement s2,k shall be determined using equation (40) and Figure
3b)
Δs2,k = κ × s2,k. (40)
The factor κ shall be determined depending on the pile installation method, ground stratification and the
position of the piles within the group.
(4) The possible differential settlement Δs2,k according to equation (40) which is required to mobilize the
characteristic pile resistance R2,k may give rise to a GZ 1B (STR) ultimate limit state or the GZ 2 serviceability
limit state due to imposed effects of actions in the structure.
(5) It shall be examined whether the expected deformation of single piles or pile groups under working loads
could give rise to a GZ 1B (STR) ultimate limit state or the GZ 2 (serviceability) limit state in nearby structures
such as existing buildings and pipelines.
8.6.2 Pile groups
(1) In pile groups consisting predominantly of compression piles, it may be assumed by way of an
approximation that the total settlement is composed of
⎯ the settlement of the foundation structure as a whole, estimated with the assumption of an equivalent
deep seated spread footing and
⎯ the settlement of the individual piles.
(2) The area on which the first settlement component in the pile toe plane is based may be defined by a line
at a distance of three times the pile diameter, but at not more than 2,0 m, from the axes of the edge piles.
Inclined piles may only be included if the distance of their ends from the ends of the vertical edge piles
towards the outside of the group is not greater than the average spacing of the vertical piles.
(3) In a pile group consisting predominantly of friction piles, the settlement behaviour is mainly governed by
the compression of the ground between and near the piles as a result of skin friction. The contribution of the
ground to settlement shall be estimated and added to the settlements below the pile base due to the influence
of end pressure according to (1).
(4) Restraint in the structure due to either the pile settlement within a pile group or different pile groups shall
--`,,```,,,,````-`-`,,`,,`,`,,`---
be taken into consideration. When distributing the reactions of the structure amongst the piles of a pile group,
the spring constant derived from the secant of the resistance-settlement curve of a single pile according to
Figure 3 for the corresponding stress level may be taken to simulate the settlement behaviour of the piles. Any
possible change in the resistance-settlement curve due to the group effect, i.e. the deterioration of the bearing
behaviour of an individual pile due to the interaction between the piles in a pile group, shall be taken into
consideration. This may be taken into account using the information on the differential settlement, see 8.6.1.
(5) For transversely loaded pile groups, it shall be verified that the transverse load causes displacements,
rotation and tilting that are in agreement with the working loads of the pile group. It should be noted that, for
an imposed equal head displacement of all piles involved, the lateral load at the pile head is not equally
distributed amongst the piles, see Annex E (informative).
8.6.3 Combined pile-raft foundations
See 8.5.5.
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DIN 1054:2005-01
9 Grouted anchors
(1) This Section deals with ground anchors. For anchorage using piles, the principles for pile bearing capacity
according to Section 8 shall be adopted.
(2) DIN EN 1537 shall apply with regard to the installation of grouted anchors.
(3) When selecting the installation method, the configuration and length of the grouted anchor, the condition
of and distance from, the neighbouring structures shall be taken into consideration, in particular with regard to
the sensitivity of the structures to deformation and vibration.
NOTE A survey of the preliminary condition is recommended.
(4) When planning the anchor works on or close to existing structures, the location, dimensions, mode of
construction, materials and strength of the existing foundations shall be investigated and their bearing
capacity shall be estimated. This particularly applies with respect to the allowable grouting pressure in the
zone of influence of the grouted anchor.
(5) The groundwater and the soil shall be investigated for substances aggressive to concrete or substances
that promote steel corrosion.
(6) See DIN EN 1537 for further information on required ground investigations and specific technical
documents for different anchor types.
(1) The following features are recommended as a basis for assigning anchorages to Geotechnical Categories
(cf. 4.2). The list is not exhaustive, however.
(2) The following features are generally required for classification in Geotechnical Category GC 2 unless
there are reasons why classification in Geotechnical Category GC 3 is more appropriate:
⎯ pulsating and dynamic loading, provided that comparable experience is available;
⎯ temporary grouted anchors.
⎯ pulsating and dynamic loading, provided that comparable experience is not available;
⎯ permanent grouted anchors.
The characteristic effects of actions of grouted anchors are due to the characteristic effects of actions of
anchored structures or structural elements according to 6.1. They are known as the characteristic working
forces of the anchors Ek. They shall be converted to the design effect of actions, Ed, according to 6.4.1 using
the partial safety factors in Table 2. See also 10.4.4, 10.4.5 and 11.3.1.
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DIN 1054:2005-01
9.4 Resistance
9.4.1 Pull-out resistance
(1) The characteristic pull-out resistance of an anchor Ra,k in the GZ 1B (GEO-2) ultimate limit state is due to
the resistance of the grout which transfers the tensile force to the ground. It is determined on the basis of
suitability tests on at least three anchors installed under the same conditions as the working anchors using
test method 1 according to DIN EN 1537:2001-01, 9.4.
NOTE As a deviation from DIN EN 1537, the same steel cross-section as used for the anchors in the suitability test
shall be used for all anchors.
(2) The proof load, PP, for the suitability load test shall be determined from the characteristic effect of actions,
Ek, using
PP = ηk × Ek (41)
where
⎯ ηk ≥ 1,50 for anchors designed for active earth pressure or uplift and
⎯ ηk ≥ 1,33 for anchors designed for earth pressure at rest.
If an increased active earth pressure is used in the design, the factor ηk shall be interpolated between the
factors ηk for active earth pressure and earth pressure at rest.
(3) At least those grouted anchors used for the load test shall be designed for a proof load, PP, according to
9.5 (3).
(4) The pull-out resistance Ra,i in each load test is the force that generates a creep displacement rate of
ks = 2 mm. The creep displacement rate can be determined from the difference in the displacements sb – sa
divided by the logarithmic difference log (tb/ta) of the corresponding observation times. If a creep displacement
rate ks < 2 mm at a proof load, PP, is obtained in the suitability load test, this proof load shall be adopted as
the pull-out resistance of the anchor in each load test.
(5) The smallest value of pull-out resistance, Ra,k, obtained from the load test results shall be adopted as the
characteristic value.
(6) The design pull-out resistance Ra,d of each anchor in the GZ 1B (GEO-2) limit state shall be determined
using
Ra,d = Ra,k/γA (42)
where
Ra,k is the characteristic pull-out resistance;
γA is the partial safety factor according to Table 3.
(7) Anchor test method 1 according to DIN EN 1537:2001-01, 9.4 shall be adopted as the acceptance test for
the anchors. The proof load PP for the acceptance test shall be determined from the characteristic effect of
actions, Ek, as follows:
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DIN 1054:2005-01
⎯ for temporary anchors:
PP = 1,25 × Ek; (43)
⎯ for permanent anchors according to equation (41).
9.4.2 Resistance of a steel tendon
(1) The characteristic resistance of the steel tendon Ri,k can be determined using:
Ri,k = As × ft,0,1,k (44)
where:
As is the cross-sectional area of the steel tendon;
ft,0,1,k is the characteristic stress in the steel tendon at 0,1 % permanent strain.
The characteristic resistance of the anchorage shall be at least as large as the characteristic resistance of the
steel tendon, Ri,k.
(2) The design resistance of the steel tendon, Ri,d, in the GZ 1B (STR) limit state shall be calculated from
Ri,d = Ri,k/γM (45)
where:
Ri,k is the characteristic resistance of the steel tendon;
γM is the partial safety factor given in Table 3.
9.5 Verification of the bearing capacity
(1) All anchors of a similar group or located in the same row may be assigned equal actions. Adequate safety
against pull-out failure as well as failure of the steel tendon shall be verified for each anchor within the group
or row. This will be the case if equation (46) for the GZ 1B limit state (STR and GEO-2 limit states) according
to 4.3.2 is satisfied:
Ed ≤ Rd (46)
where Rd is the smaller of the values Ra,d (see 9.4.1) and Ri,d (see 9.4.2). For the design value of the effect of
actions Ed, see 9.3.
(2) Verification of the safety against failure of the ground for the groups of grouted anchors shall be performed
on the basis of the most unfavourable failure mechanisms expected:
a) for greatly inclined or vertical grouted anchors, verification of adequate safety against heave is required,
see 8.5.4;
b) for slightly inclined or horizontal anchors, verification of stability in the lower failure plane is required, see
10.6.7.
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DIN 1054:2005-01
(3) As far as the anchors are used for investigation, suitability or acceptance tests, the proof load Pp shall not
exceed the values 0,80 × As × ft,k and 0,95 × As × ft,0,1,k, where:
As is the cross-sectional area of the steel tendon;
ft,k is the characteristic tensile strength of the steel tendon;
ft,0,1,k is the characteristic value of the stress in the steel tendon at 0,1 % permanent strain.
The smaller value shall apply.
(1) The serviceability of each anchor shall be verified using the acceptance test according to DIN EN 1537.
(2) See E EAB for determination of the displacement and tilting of a soil block confined between grouted
anchors.
(3) See DIN EN 1537 for determination of the maximum anchor force and the tendon free length.
10 Retaining structures and structures embedded in the ground

--`,,```,,,,````-`-`,,`,,`,`,,`---
(1) This Section deals with all types of retaining structures, regardless of construction method and foundation
type, in soil or rock, as well as structures embedded in the ground, e.g. deep basements, cut and cover
tunnels and, where applicable, tunnels driven underground. It also applies to temporary retaining structures,
e.g. for excavations and jacking abutments.
(2) If the ground in front of a permanent retaining structure is utilized for support, the ground surface shall be
protected against excavation or erosion by surface water or flowing water by planting vegetation, surfacing or
other measures.
(3) Excavations or scouring in front of the toe of a retaining structure shall be avoided either by monitoring
and protective measures or shall be taken into account in stability verifications.
(4) Retaining structures and structures embedded in the ground shall not cause any harmful changes in the
hydrogeological balance.
(5) The extent of investigations and documentation required depends on the mode of construction of the
retaining structure, in addition to the basic requirements of DIN 4020. The following shall be observed:
⎯ for shallowly founded retaining structures, the information in 7.1 (4) and (5),
⎯ for retaining structures founded on piles, the information in 8.1 (6) to (9),
⎯ for anchored or nailed retaining structures, the information in 9.1 (4) to (6).
(1) When assigning retaining structures and structures embedded in the ground to Geotechnical Categories
according to 4.2, adoption of the following features is recommended. The list is not exhaustive, however.
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DIN 1054:2005-01
(2) The following cases may be allocated to Geotechnical Category GC 1:
⎯ retaining structures up to 2,0 m high in horizontal terrain without surcharge;
⎯ support of trench walls by trench lining systems according to DIN 4124:2002-10, Section 5;
⎯ standard supporting system according to DIN 4124:2002-10, 6.2 and 7.3.
(3) The following features generally require classification in Geotechnical Category GC 3:
⎯ very close displacement- or settlement-sensitive structures;

--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ earth pressure beyond earth pressure at rest caused by mining subsidence or tectonics;
⎯ inclined tension elements, e.g. grouted anchors, piles or soil nails, which are used as permanent anchors
analogous to 9.2 (3);
⎯ increase of the effect of actions, or displacements of structural elements with time, e.g. in anchors due to
pronounced creep of the ground;
⎯ confined groundwater table.
10.3 Actions
10.3.1 Earth pressure
(1) The characteristic earth pressure on retaining structures may generally be determined as the active earth
pressure. When dimensioning low-deformation retaining structures or structures embedded in the ground, the
increased active earth pressure, in exceptional cases the earth pressure at rest and, where necessary, the
compaction earth pressure as in (4) shall be used. See (5) for assumptions in respect of ground reactions.
(2) The surface geometry of the ground and the wall inclination may be incorporated in the calculations with
their nominal values. The angle δa between the earth pressure and the normal to the wall may be assumed to
be equal to the characteristic value of the wall friction angle used for determination of the active earth
pressure if adequate relative displacement is expected and as far as the equilibrium of the forces acting
parallel to the wall allow. If, for example, a negative wall friction angle according to 10.6.6 occurs, the
influence on the magnitude of the earth pressure shall be taken into consideration. The sign rules from
E DIN 4085 shall be observed. Adhesion may only be assumed in exceptional cases, and only when justified.
(3) The earth pressure distribution and the location of the resultant earth pressure force on retaining walls are
dependent, amongst other things, on the height and flexibility of the bracing or anchorages, the flexural rigidity
of the wall, and on the construction stage. In braced or anchored retaining walls, the expected earth pressure
distribution is established either
⎯ by defining realistic distributions for the earth pressure, or
⎯ by defining model factors for the effects of actions determined using classical earth pressure distribution
or an earth pressure rectangle.
(4) For back-filled retaining structures, compaction earth pressure shall be considered where necessary. A
distinction shall be made between structures that are largely immovable, e.g. a tunnel structure back-filled on
both sides, and structures in which displacements, tilting or deformation can occur during back-filling and
compaction, e.g. a gravity retaining wall.
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(5) Ground reactions resulting from movements of the structure or parts of the structure against the ground
can be greater than the active earth pressure or the earth pressure at rest and may at most reach the
magnitude of the passive earth pressure. They shall be adopted as actions if they act unfavourably.
(6) The active earth pressure and the earth pressure at rest from soil self-weight and permanent surcharges,
as well as compaction earth pressure (where necessary), are dealt with as permanent actions; the active earth
pressure and the earth pressure at rest from variable surcharges at ground level are dealt with as variable
actions if they exceed a wide-area live load of 10 kN/m2.
(7) Paragraphs (1) to (6) deal with the determination of the upper characteristic value of the earth pressure.
The lower characteristic value shall be used provided it is more unfavourable for the design. Half of the upper
value shall be taken as a rule for non-cohesive soils and Eah = 0 for cohesive soils unless more detailed
investigations are performed.
(8) For further provisions see E DIN 4085, E EAB, E EAU and ZTV-Tunnel.
10.3.2 Water pressure
(1) Both the highest and the lowest water levels shall be defined for determination of the characteristic water
pressure. Both water levels can contribute to the governing effects for the dimensioning of structures or parts
of structures. Their definition depends on the requirements of the case under consideration.
(2) An example of the highest governing water level for dimensioning in individual cases may be:
⎯ the highest water level expected during the period of use or lifetime of the structure;
⎯ the highest water level expected during a defined period, e.g. during construction;
⎯ the water level at which water can flow over the top of the structure;
⎯ the groundwater level defined by a dewatering system;
⎯ a contractually agreed water level at the occurrence of which it is planned to flood the structure or
excavation.
(3) An example of the lowest governing water level for dimensioning in individual cases may be:
⎯ the lowest water level expected during the period of use or lifetime of the structure;
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ the lowest water level expected during a defined period, e.g. during construction;
⎯ a contractually agreed water level to be achieved by dewatering.
(4) A groundwater table defined by a dewatering system according to (2) may only be adopted if maintenance
and control are ensured during the complete period of use or lifetime of the structure. Otherwise, abnormal
increases in the water level shall be taken into account.
(5) If percolation around wall-like structures occurs, the water pressure on the downstream side will fall while
that on the upstream side will rise. The increase in the effective weight density of the soil associated with the
seepage force shall be taken into account when determining the earth pressure according to 10.3.1 (6). The
decrease in effective weight density of the soil associated with the seepage force shall be taken into account
when determining the passive earth resistance according to 10.5.2 (2). In simple situations, e.g. with
homogeneous soil below ground water level, it is sufficient to adopt the hydrostatic water pressure or the
resultant positive water pressure as if percolation was inhibited, thus preventing the occurrence of seepage
forces.
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DIN 1054:2005-01
(6) The water pressure for a defined lowest water level shall be dealt with as a permanent action; higher
water pressure at higher water levels shall be dealt with according to local conditions:
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ as a recurring variable action as for the Combination of Actions CA 1;
⎯ as a rare or unique design action as for the Combination of Actions CA 2;
⎯ where necessary, also as an accidental action as for the Combination of Actions CA 3
according to 6.3.1. When determining the design values of effects of actions according to 6.1.5, the partial
factors for permanent loads given in Table 2 may be applied to the variable component of the water pressure.
(7) For further provisions see E DIN 4084, E DIN 4085, E EAB and E EAU.
10.3.3 Further actions
In individual cases it may be necessary to consider the following further actions:
⎯ foundation loads according to 6.1.2;
⎯ further geotechnical actions according to 6.1.3 (5);
⎯ dynamic actions according to 6.1.4.
10.4 Effects of actions
10.4.1 General
The governing design values of the effects of actions in the respective design section are compared to the
design resistances for verification of the dimensions of structures in the GZ 1B (STR and GEO-2) limit states
according to 4.3.2. The design values of the effects of actions are obtained from the characteristic values of
the effects of actions according to 10.4.5. The characteristic values of the effects of actions are obtained
⎯ directly as support forces in the interface between the structure and the ground, e.g. in gravity walls;
⎯ as normal forces, shear forces, bending moments or as stresses in the sections through the structural
elements under investigation, e.g. cantilever walls under bending loads and anchored walls.
10.4.2 Structures subjected to bending
(1) To determine the effects of actions in retaining structures subject to bending, e.g. cantilever walls, or in
structures embedded in the ground (e.g. tunnels), the usual rules of structural analysis shall apply. To
determine the effects of actions, including support forces, in wall-like retaining structures embedded in the
ground it is recommended, with regard to the structural model and the corresponding calculation procedures,
to differentiate between
⎯ unsupported walls embedded in the ground;
⎯ braced or anchored walls with a free earth support;
⎯ braced or anchored walls fixed or partially fixed in the ground.
NOTE In braced or anchored walls with a high degree of flexural stiffness a restraint effect does not generally occur
due to the low stiffness of the ground.
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DIN 1054:2005-01
(2) The actions from earth pressure according to 10.3.1, and where applicable water pressure according to
10.3.2, and any applicable further actions according to 10.3.3, shall be adopted as the characteristic values
acting on the structural model.
(3) Where the calculation assumptions for adoption and subsequent verification of the lateral resistance in
front of the wall play a role in determination of the effects of actions, the following shall be observed:
a) If the lateral resistance of the soil is adopted as passive earth pressure according to 6.2.4, the distribution
of the lateral resistance expected under working loads may be adopted as the mobilized passive earth
pressure distribution.
b) If a deformation-dependent lateral resistance of the soil is adopted on the basis of stiffness parameters
according to 6.2.2, calculations may generally be performed using the mean values of these parameters.
If in doubt, e.g. for statically undetermined structural models, it may be necessary to perform the
calculation with the upper and lower characteristic values of the stiffness parameters in order to study the
possible effects.
(4) Close to the surface, the characteristic stresses σh,k of the deformation-dependent lateral resistance of the
soil shall not exceed the greatest ground reaction due to the characteristic passive earth pressure stress eph,k.
Therefore, the condition
σh,k ≤ eph,k (47)
shall be fulfilled.
(5) If the lateral resistance of the soil is determined using the modulus of subgrade reaction method, the
following approach shall be used:
σh,k = ks,k × sh (48)
where:
ks,k is the characteristic value of the modulus of subgrade reaction;
sh is the local, horizontal displacement at depth.
If necessary to fulfil condition (47), the characteristic value of ks,k for the upper region of the wall shall be
reduced.
(6) If a deformation-dependent lateral resistance of the soil is incorporated into calculations to determine the
effects of actions of a retaining wall embedded in the ground, the horizontal component Bh,k of the resultant
characteristic support force Bk shall be determined by integrating the stresses σh,k for the corresponding part
of the embedment depth. See 10.6.3 (3).
(7) The axial force of the wall and the vertical component of the characteristic support force or the vertically
acting effect of the action of the ground support at the toe of sheet pile walls, diaphragm walls or bored pile
walls, or at the toe of soldier piles, shall be determined from the vertical components of the actions on the wall.
In particular, this incorporates
⎯ the self-weight of the wall;
⎯ the earth pressure;
⎯ loads acting directly on the wall, such as excavation covers or crane loads;
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DIN 1054:2005-01
⎯ the characteristic values of support forces of inclined ground anchors or tension piles.
10.4.3 Bracing elements
Horizontal or inclined struts are treated as elastic or rigid supports depending on their locking mechanism and
prestressing. The characteristic values of the effects of actions are obtained from the calculation according to
10.4.1 or 10.4.2. If struts are supported at opposite abutments that are embedded in the ground, the effect of
actions on the abutment shall be determined for the GZ 1B (GEO-2) limit state.
10.4.4 Grouted anchors and tension piles
Grouted anchors and tension piles are treated as elastic, partly elastic or rigid supports depending on their
locking mechanism and prestressing. The characteristic action effects are obtained from the calculation
according to 10.4.1 or 10.4.2.
10.4.5 Design values of effects of actions
(1) The characteristic effects of actions determined using the characteristic values of actions, in the form of
support forces, internal forces or stresses, shall be converted to design values of the effects of actions by
multiplying them by the partial factors γG or γQ for the GZ 1B (GEO-2) limit state given in Table 2, unless
dealing with increased active earth pressure or earth pressure at rest according to (2).
(2) For virtually rigid retaining structures, in particular for wall-like retaining structures with prestressed ground
anchors and for structures embedded in the ground, the design values of the effects of actions resulting from
earth pressure at rest caused by the self-weight of the soil may be determined using the partial factor γE0g
given in Table 2 if an earth pressure at rest approach is used. When adopting an approach based on
increased active earth pressure, a partial factor, which may be interpolated between the partial factor γE0g for
earth pressure at rest and the partial factor γG for active earth pressure, shall be applied. For the earth
pressure from variable actions (e.g. from live loads) the partial factor γQ shall apply if an extensive live load of
10 kN/m2 is exceeded.
(3) The design values of effects of actions for struts shall be determined by multiplying the characteristic
values of the effects of actions by the partial factors for Load Case LC 1 given in Table 2. This also applies if
--`,,```,,,,````-`-`,,`,,`,`,,`---
dimensioning of the remaining components is performed using the partial factors for Load Case LC 2.
10.5 Resistances
10.5.1 Bearing resistances
For retaining structures with a spread foundation, the bearing capacity shall be determined according to 7.4.2
and the sliding resistance according to 7.4.3.
10.5.2 Resistances in front of and below wall-like retaining structures
(1) Regardless of whether the lateral ground resistance is incorporated into the calculations in the form of
partially mobilized passive earth pressure or as a deformation-dependent ground reaction when determining
the effects of actions on a retaining wall embedded in the ground according to 10.4.2 (3), the characteristic
passive earth pressure according to 6.2.4 necessary for verification of the earth support shall be determined
for the same effective embedment depth.
(2) If, when dealing with water pressure or earth pressure on the ground side of the wall, percolation around
the retaining wall is taken into account according to 10.3.2 (5), a reduction of the weight density on the air side,
and thus the unfavourable effect of the groundwater flow on the passive earth pressure magnitude, shall be
taken into account.
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(3) The axial resistance of soldier piles, bored pile walls, diaphragm walls and sheet pile walls shall be
determined on the basis of 8.4. It is to be noted here that no shaft resistance can act on surfaces upon which
a downward directed earth pressure acts. A shaft resistance or the friction force Bh,k × tan δp may be adopted
on the inside of the wall.
10.5.3 Pull-out resistances
See 8.4 for determination of the characteristic resistance of tension piles and 9.4 for determination of the
characteristic resistance of anchor grouting.
10.5.4 Design values of resistances
(1) The design values of ground resistances, pile resistances and ground anchor resistances for the GZ 1B
(GEO-2) limit state shall be determined according to 6.4.2 by reducing the characteristic values by the partial
factors given in Table 3.
(2) If temporary digging in front of a retaining wall cannot be avoided by monitoring or protective measures,
this condition may be verified with the appropriate partial factors for Load Case LC 2 given in Table 3 for the
construction stage.
(3) See 10.6.8 for the design values of structural resistances.
10.6 Verification of bearing capacity
10.6.1 Verifications of the GZ 1B (STR and GEO-2) limit states
(1) For the GZ 1B (STR and GEO-2) limit states it shall be verified that the limit state condition (1) is fulfilled
both for the structure as a whole and for the individual components. For this purpose, all possible failure
modes which may cause a retaining structure to fail shall be considered. In particular these are the
verifications of safety against the following:
⎯ bearing capacity failure;
⎯ sliding;
⎯ failure of the earth support;
⎯ failure of the anchored ground in front of anchor plates and anchored walls;
⎯ failure of load transmission by tension piles or grouted anchors;
⎯ sinking of structural elements;
⎯ deep-seated stability failure;
⎯ structural failure.
(2) The loads from self-weight according to 6.1.3 (1), the actions from earth pressure according to 10.3.1 and,
where relevant, the actions from water pressure according to 10.3.2, variable actions according to 6.1.3 (5)
and dynamic actions according to 6.1.4 shall be adopted for these verifications. The supplementary
information in 10.6.2 to 10.6.9 shall be observed.
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10.6.2 Bearing resistance and sliding
(1) For shallowly founded retaining structures (e.g. gravity walls):
⎯ verification of bearing resistance according to 7.5.2, and
⎯ verification of safety against sliding according to 7.5.3
shall be performed, taking the actions in 10.6.1 into consideration.
(2) The verifications in (1) also apply to crib walls and other retaining bodies made from individual elements,
e.g. gabion walls. In this case, the base width of the retaining body is adopted in the same manner as that of a
massive gravity wall.
10.6.3 Failure of the earth support
(1) For braced or anchored, wall-like retaining structures, the stability of which is partially achieved by passive
earth pressure forces, or for retaining walls, the stability of which is achieved exclusively by means of passive
earth pressure forces, it shall be verified that the construction is sufficiently deeply embedded in the ground to
exclude the ultimate limit state by predominantly horizontal movement or tilting of the complete retaining
structure or a structural element.
(2) Adequate safety is verified if the following limit state condition is fulfilled:
Bh,d ≤ Eph,d (49)
where:
Bh,d is the design value of the horizontal component of the resultant support force;
Eph,d is the design value of the horizontal component of the passive earth pressure according to 10.5.4.
(3) The effects of actions of walls with a free earth support or of walls embedded in the ground according to
10.4.2 (3) may be determined on the basis of a deformation-dependent lateral resistance of the soil, e.g. using
the modulus of subgrade reaction method. If this method is employed, it shall be verified that the design value
of the horizontal component of the resultant support force, Bh,d, is not greater than the design value of the
--`,,```,,,,````-`-`,,`,,`,`,,`---
passive earth pressure for the corresponding part of the embedment depth.
(4) If the displacements of a wall need to be limited in consideration of serviceability (e.g. for retaining walls in
excavations adjacent to buildings or for support of the wall toe in soft, cohesive soil), it is recommended that
the characteristic passive earth pressure be reduced according to 4.4 (5) using a calibration factor η < 1 and
that safety against failure of the earth support be verified using the reduced design value of the passive earth
pressure:
Eph,d = η × Eph,k/γEp. (50)
(5) It shall be verified that, according to the condition
Vk = ∑ Vk,i ≥ Bv,k (51)
the negative wall friction angle δp according to 6.2.4 (3) used as the basis for determination of the passive
earth pressure conforms to the equilibrium condition Σ V = 0, where:
Vk is the vertical component of the downward directed characteristic actions concerned;
Bv,k is the upwardly directed vertical component of the characteristic support force.
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10.6.4 Failure of the anchored ground in front of anchor plates and anchor walls
It shall be verified that anchor plates and anchor walls do not push out the ground in front of them:
Zd = ∑ Z d,i ≤ Ep,d (52)
where:
Zd is the design value of the anchor force according to 10.4.5;
Ep,d is the design value of the passive earth pressure in front of the anchor plate or the anchor wall
according to 10.5.4 along the axis of the anchor.
See also E EAB and E EAU.
10.6.5 Failure of tension piles or grouted anchors
(1) For tension piles failure at the interface between the pile and the ground shall be verified according to
8.5.1 (1).
(2) For grouted anchors, failure at the interface between the body of the grout and the ground shall be verified
according to 9.5 (1).
(3) Verification of the safety against the structural failure of tension piles shall be performed according to
10.6.8, that of the safety against structural failure of the tendons of ground anchors according to 10.6.8 or
9.5 (1).
(4) See 11.4 for verification of the safety against uplift with the aid of tension piles or ground anchors.
10.6.6 Failure of structural elements due to settlement
It shall be verified that wall-like retaining structures, e.g. sheet pile walls, pile walls and diaphragm walls, and
soldier piles do not fail due to settlement as a result of actions parallel to the wall and generally vertical.
Adequate safety against failure due to settlement shall be deemed verified if the following limit state condition
is fulfilled:
Vd = ∑ Vd,i ≤ Rd (53)
where:
Vd is the design value of the vertical actions on the wall or soldier pile base according to 10.4.2 (7) and
10.4.5;
--`,,```,,,,````-`-`,,`,,`,`,,`---
Rd is the design value of the axial resistance of the wall or the soldier pile according to 10.5.2 (3) and
10.5.4.
When determining the resistance, negative wall friction may be considered where appropriate.
10.6.7 Failure in the lower failure plane
(1) For anchored retaining walls it shall be verified that the anchors are of adequate length for the GZ 1B
(GEO-2) limit state. This is the case if the soil body held by the anchorage cannot slide on a lower failure
plane if the wall rotates around a deep point. See E EAB and E EAU for details of the verification procedure.
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(2) If the conditions in 10.6.9 are met, the anchor lengths resulting from the verification of overall stability
according to 12.3 may be greater than those resulting from the verification of stability in the lower failure plane.
10.6.8 Structural failure of structural elements
(1) The safety against structural failure shall be verified according to the relevant provisions for all structural
elements of retaining structures or structures embedded in the ground:
Ed ≤ RM,d. (54)
(2) The governing design values Ed of the effects of actions shall be determined from the characteristic values
Ek according to 10.4.5, which occur as internal forces or as stresses in the design sections according to 10.4.1
to 10.4.4.
(3) The material properties and partial factors given in the respective standards for types of construction shall
apply when determining the design resistances of structural elements RM,d unless otherwise specified, see (4).
Corrosion of steel structural elements shall be taken into account by reducing the resistances unless it is
counteracted by means of structural or operational measures.
(4) Verification of safety against the structural failure of tension piles shall be performed according to 8.5.6,
that of the safety against structural failure of the tendon of a ground anchor according to 9.5 (1).
(5) For retaining constructions made up of individual blocks or prefabricated elements, verification of the
safety against sliding in the horizontal or inclined contact surfaces shall be performed on the basis of 7.4.3.
(6) In justified cases, lower safety levels may be defined in agreement with the responsible building authority.
10.6.9 Verification of the GZ 1A and GZ 1C (UPL, HYD and GEO-3) limit states
(1) If the relevant requirements are fulfilled, the following stability analyses shall be performed in addition to
those stated in 10.6.2 to 10.6.8:
⎯ safety against uplift according to 11.3 or 11.4 (GZ 1A) (UPL));
⎯ safety against hydraulic heave according to 11.5 (GZ 1A) (HYD);
⎯ verification of overall stability according to 12.3 (GZ 1C) (GEO-3).
(2) Verification of the overall stability of gravity walls and anchored retaining walls is required, particularly if
special conditions promote the occurrence of overall stability failure, e.g. if
⎯ the rear of the wall is heavily inclined towards the soil;
⎯ the ground rises behind the wall;
⎯ the ground drops off in front of the wall;
⎯ low strength soil is present below the wall;
⎯ particularly high loads act above the steep section of possible slip surfaces.
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10.7.1 Verification based on experience
(1) The verifications required in 10.6 for the GZ 1B and GZ 1C (STR, GEO-2 and GEO-3) limit states for at
least medium dense, non-cohesive soil and at least stiff, cohesive soil assume, on the basis of experience,
that retaining structures and their surroundings can withstand, without harmful effects, the displacements and
deformations anticipated due to the effects of actions in Load Case LC 1 according to 6.3.3. A separate
verification of serviceability is not required unless more stringent provisions apply. The following can be
assumed from experience.
(2) For retaining structures with shallow or spread foundations, harmful tilting is avoided by ensuring that the
bearing pressure resultant is located as permitted in accordance with 7.6.1. Intolerable displacements of the
foundation base are avoided by limiting the ground reaction at the vertical face in front of the foundation
according to 7.6.2; intolerable settlement is avoided if the allowable bearing pressure according to 7.7.2 or
7.7.3 is not exceeded.
(3) For retaining structures founded on driven displacement piles, intolerable settlements and tilting are not
expected to occur if dimensioning is based on the empirical values of characteristic pile resistances according
to (informative) Annex C (and Annex C*).
(4) For wall-like retaining structures embedded in the ground for which verifications according to 10.6.3 have
successfully been performed, the difference between the mobilized and characteristic passive earth pressure
will be sufficiently large so that an additional reduction of the design passive earth pressure to take account of
the dependence on the degree of movement will not generally be necessary.
(5) Verification of overall stability in the GZ 1C (GEO-3) limit state according to 12.5 also generally
incorporates adequate safety against reaching the serviceability limit state.
(6) It shall be examined on a case-by-case basis to what extent the above information also applies to Load
Case LC 2 according to 6.3.3.
10.7.2 Special verifications
(1) Separate serviceability limit state verifications shall be performed if, in individual cases, there is a risk to
neighbouring buildings, pipelines, other structures or traffic areas, e.g.
⎯ by settlement or tilting of a gravity wall;
⎯ by major displacements and low stiffness of the supporting soil in front of a wall-like retaining structure or
⎯ by displacement and tilting of a soil block held together by ground anchors.
They are obligatory if calculations are performed using an earth pressure that exceeds the active earth
pressure.
(2) Verification of serviceability shall be performed using the characteristic values of actions. The structural
model used shall be the same as that used for the verification of the GZ 1B (STR and GEO-2) limit states.
Variable actions are only considered if they generate irreversible displacements or deformations.
(3) See E EAB for determination of the displacement and tilting of a soil block held together by ground
anchors.
(4) Use of the observational method according to 4.5 is recommended, in particular for retaining structures
with pronounced soil/structure interaction and for retaining structures in soft soil.
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11 Uplift and hydraulic heave
(1) Uplift of a foundation, a complete structure, a soil layer or a structure to secure the bottom of an
excavation due to the buoyant force of water, and hydraulic heave of soil layers due to the upwardly directed
seepage force of flowing water represent a loss of static equilibrium in the sense of the GZ 1A (UPL and HYD)
limit states.
(2) If the structure or the bottom slab of an excavation is secured against uplift by means of tension piles or
ground anchors, these shall be dimensioned according to the rules pertaining to the GZ 1B (STR and GEO-2)
limit state.
(3) In simple cases, verification of safety against uplift or hydraulic heave may be performed according to 11.3
to 11.5. In more complex structures, e.g. for trough structures or similar structures with inclined anchors, more
--`,,```,,,,````-`-`,,`,,`,`,,`---
advanced investigations are necessary, see E EAB.
(4) For favourable permanent actions the lower characteristic values of the weight densities shall be used (e.g.
for soil according to 5.3.1 (4), plain concrete with γ = 23,0 kN/m3 and for reinforced concrete with
γ = 24,0 kN/m3).
(5) The following verifications assume ductile behaviour of the ground and the structure; see 4.3.4 and
5.3.2 (7).
(1) It is recommended that the following criteria be considered when classifying construction projects in
Geotechnical Categories according to 4.2. The list is not exhaustive, however.
(2) Verification of the safety against uplift of non-anchored structures may generally be placed in
Geotechnical Category GC 1 if no favourable shear forces are involved.
(3) The following criteria generally require classification into Geotechnical Category GC 3:
⎯ verification of safety against uplift of anchored structures;
⎯ verification of safety against hydraulic heave for three-dimensional flow.
11.3 Verification of safety against uplift of non-anchored structures
11.3.1 Verification with structure self-weight only
(1) In order to achieve adequate safety against failure due to uplift of a foundation structure, a complete
structure, a soil layer or the bottom slab of an excavation, it shall be verified for the GZ 1A (UPL) limit state
that the following limit condition is met:
Ak × γG,dst + Qk × γQ,dst ≤ Gk,stb × γG,stb (55)
where:
Ak is the characteristic uplift force according to 6.1.3 (3) and 10.3.2 acting beneath a foundation, a
complete structure, the soil layer in question or the bottom slab of an excavation;
γG,dst is the partial factor for unfavourable permanent actions in the GZ 1A (UPL) limit state given in
Table 2;
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Qk is the characteristic value of any possible unfavourable variable, vertical upward forces;
γQ,dst the partial factor for unfavourable variable actions in the GZ 1A (UPL) limit state given in Table 2;
Gk,stb is the lower characteristic value of favourable permanent actions;

--`,,```,,,,````-`-`,,`,,`,`,,`---
γG,stb is the partial factor for favourable permanent actions in the GZ 1A (UPL) limit state given in Table 2.
(2) In addition to the verification of safety against uplift for a soil layer, safety against hydraulic heave
according to 11.5 shall also be verified.
11.3.2 Verification with additional shear forces
(1) If favourable shear forces act on a structure, it shall be verified for the GZ 1A (UPL) limit state that
Ak × γG,dst + Qk × γQ,dst ≤ Gk,stb × γG,stb + FS,k × γG,stb (56)
where, in addition to the quantities and coefficients defined in 11.3.1:
FS,k is the characteristic value of the additional shear force.
(2) The additional shear force can be, for example:
⎯ the friction force
FS,k = η × Eah,k × tan δa (57a)
acting directly at the wall of the structure, or
⎯ the friction force
FS,k = η × Eah,k × tan ϕ'k (57b)
in an imaginary vertical plane in the ground starting at the end of a horizontal spur. In both cases the friction
force may be regarded as the vertical component of the active earth pressure. A calibration factor of η = 0,80
shall be used in Load Cases LC 1 and LC 2 and of η = 0,90 in load case LC 3. If cohesion is adopted in well
justified cases the cohesion force shall also be reduced by this calibration factor.
(3) To avoid the safety against uplift being heavily reliant on shear forces, it shall be additionally verified for
permanent structures that the limit condition (56) is fulfilled without adoption of shear forces using the partial
factors of Load Case LC 3.
11.4 Verification of safety against uplift of anchored structures
11.4.1 Verification of safety against uplift
(1) In order to achieve adequate safety against uplift failure for foundation structures or a complete structure,
anchored in the ground by tension elements, two limit states are to be investigated: the bearing resistance of
the individual tension elements according to (2) and failure due to uplift of the structure and a block of soil
containing piles according to (3).
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(2) Assuming that the bearing resistance of the individual tension elements is relevant to the design,
adequate safety against pull out failure according to 8.5.1 shall be verified for the GZ 1B (GEO-2) limit state.
According to 8.3.4 (2) the design value E1Z,d of the effect of actions on the tension elements is
E1,d = E1Z,d = A1GZ,k × γG + E1QZ,k × γQ – E1GD,k × γG,inf (58)
where, in addition to the quantities and coefficients defined in 8.5.4 (2):
A1GZ,k is the characteristic effect of actions on the tension elements due to the hydrostatic uplift force acting
beneath the foundation or the complete structure according to 6.1.3 (3) and 10.3.2.
For piles adequate safety is verified if according to 8.5.1 (1)
E1,d ≤ R1,d as in (32)
and for anchorages if according to 9.5 (1)
Ed ≤ Rd. as in (46)
--`,,```,,,,````-`-`,,`,,`,`,,`---
The provisions of 8.4.6 shall be followed if piles are loaded cyclically or dynamically. Equation (58) refers to
the sum of all effects of actions on the structure, equations (32) and (46) refer to the sum of the bearing
capacities of the tension elements.
(3) Assuming that due to group effects the tension elements and the surrounding soil act as a whole block,
adequate safety against uplift failure (GZ 1A) (UPL) shall be verified. This is the case if
Ak × γG,dst + Qk × γQ,dst ≤ Gk,stb × γG,stb + GE,k × γG,stb (59)
where, in addition to the quantities and coefficients defined in 8.5.4 (3)
Ak is the characteristic hydrostatic uplift force acting beneath the foundation or the complete structure
according to 6.1.3 (3) and 10.3.2.
(4) Shear forces FS,k according to 11.3.2 may be adopted in the verification of the pull-out resistance of the
tension elements according to (2) as well as the verification of safety against uplift failure according to (3).
a) In the verification of the pull-out resistance of the tension elements (GZ 1B (GEO-2) limit state) the shear
forces FS,k are treated as favourable permanent compressive effects of actions when determining the
design tensile effects of actions:
E1,d = E1Z,d = A1GZ,k × γG + E1QZ,k × γQ – (E1GD,k + Fs,k) × γG,inf. (60)
b) In the verification of safety against uplift failure (GZ 1A (UPL) limit state) the shear forces FS,k are treated
as favourable permanent effects of actions:
Ak × γG,dst + Qk × γQ,dst ≤ Gk,stb × γG,stb + (GE,k + Fs,k) × γG,stb. (61)
The quantities and coefficients are defined in 8.5.4 (2) and (3) and in 11.4.1 (2) and (3).
11.4.2 Dimensioning the base
Adequate safety against reaching the GZ 1B (STR) limit state in the base of the foundation or bottom slab of
the excavation shall be verified. In particular, uneven distribution of uplift, e.g. as a result of spurs or
unevenness in the base plane, and any uneven distribution of the loads from self-weight, e.g. due to the
arrangement of walls, shall be considered. Shear forces also influence the bending moments.
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11.5 Verification of safety against hydraulic heave
(1) If the ground is percolated from bottom to top it shall be verified for the GZ 1A (HYD) limit state that
S'k × γH ≤ G'k × γG,stb (62)
where:
S'k is the characteristic seepage force acting on the percolated ground;
γH is the partial factor for the seepage force in favourable or unfavourable ground in the HYD limit state
given in Table 2;
G'k is the characteristic submerged self-weight of the percolated soil mass;
γG,stb is the partial factor for favourable permanent actions in the GZ 1A (HYD) ultimate limit state given in
Table 2;
(2) The seepage force, S'k, is generally determined by evaluating the flow net, which is obtained using a
graphical procedure, by model tests on an electric analogous model or by numerical methods based on
potential theory. All unfavourable influences shall be considered, in particular soil stratification with an
increase in the hydraulic gradient in the endangered layer and the three-dimensional effect for narrow, round
or rectangular excavations. Approximate solutions may be utilized in simple cases.
(3) If the ground in front of a retaining wall is percolated from below, the seepage force in a body of soil, the
width of which may generally be assumed to be half of the embedment depth of the retaining wall, shall be
taken into consideration. Further boundary configurations for the body of soil shall be investigated for more
precise investigations.
(4) In layered ground there is always a greater hydraulic gradient and thus a greater seepage force in layers
with low permeability. This needs to be taken into account when the body of soil with the smallest safety is
determined for the verification according to equation (62).
(5) Gravel, gravel-sand, at least medium-dense sand with grain sizes greater than 0,2 mm and at least stiff,
clayey, cohesive soil are regarded as favourable ground; sand, fine sand, silt and soft, cohesive soil are
regarded as unfavourable.
(6) For unfavourable ground as in (5) it shall be examined whether piping failure presents a hazard.
Countermeasures shall be provided where necessary. See also E EAU, E 116.
(7) The partial factors for favourable ground may be adopted for unfavourable ground if a suitable protective
layer, at least 0,3 m thick and appropriate to the filter is installed.
NOTE According to 10.5.2 (2), the reduction in weight densities due to seepage pressure shall be taken into
consideration when determining the lateral resistance of a retaining structure.
Uplift and hydraulic heave generally occur in conjunction with retaining walls or embedded structures. The
serviceability limit state (GZ 2) (SLS) shall therefore be verified according to 10.7.
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12 Overall stability
(1) This Section deals with verification of the overall stability of terraces, defined as safety against slope
failure or general failure as in E DIN 4084. Essentially, the scope covers the structures described below.
(2) Natural and artificial slopes and embankments that are not secured, or are only secured by a surface
cover. In the GZ 1 (ultimate) limit state, a body of soil with an inclined ground surface may slide as a unit
owing to its self-weight, but possibly also under the additional influence of building loads or due to the
additional action of seepage pressure, resulting in failure of the slope (see 12.3).
(3) Non-anchored retaining structures in the form of gravity walls (e.g. massive retaining walls of plain
concrete, cantilever walls, crib walls, gabion walls and non-supported walls embedded in the ground, such as
sheet pile walls, bored pile walls, diaphragm walls and soldier pile walls). They can be displaced or can slip as
a unit in the GZ 1 (GEO-3) limit state, together with the ground in the region of the supported terrace (see
12.3).
(4) Retaining walls secured by single or multiple rows of anchors or tension piles (e.g. sheet pile walls,
diaphragm walls, bored pile walls or soldier pile walls which can transmit horizontal and vertical forces to the
ground by means of their embedded toes). In the GZ 1 (ultimate) limit state, they can slip, together with the
ground held by the anchors or tension piles, or on slip surfaces that intersect a number of the tension
elements (see 12.3).
(5) Structural slope stabilisation, e.g. slope dowelling, rock anchors, soil nails, element walls,
geotextile-reinforced slopes and geotextile-reinforced constructions, as well as reinforced earth structures,
which are characterized by the fact that the exterior skin cannot transmit any horizontal or vertical support
forces to the ground, with the exception of their own self-weight. In the GZ 1 (ultimate) limit state, stabilising
constructions such as these can slip together with the ground held by the tension element or on slip surfaces
--`,,```,,,,````-`-`,,`,,`,`,,`---
that intersect a number of the tension elements (see 12.4).
(6) The ground in a slope or an embankment or in front of and behind a retaining structure shall be protected
against erosion (cf. 7.1 (3)). The exposed surfaces of slopes shall be seeded or given other timely protection
from erosion by surface water.
(7) The documentation required for verification of slope and general stability is specified in E DIN 4084.
(1) In conjunction with verification of overall stability, it is recommended that the following features are used to
assign the types of structures stated in 12.1 to the Geotechnical Categories according to 4.2. This list of
features is not exhaustive.
(2) Sloped excavations and non-braced trenches to DIN 4124:2002-10, 4.2, may be assigned to Geotechnical
Category GC 1.
(3) The following features generally require classification of natural and artificial slopes and embankments
according to 12.1 (2), non-anchored retaining walls according to 12.1 (3) and slope stabilisation measures
according to 12.1 (5), in Geotechnical Category GC 3:
⎯ pronounced susceptibility to creep;
⎯ special measures for accelerated dissipation of pore-water pressure;
⎯ liquefaction hazard;
⎯ internal erosion hazard;
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⎯ embankments or structures in soft, cohesive ground;
⎯ insufficient two-dimensional modelling of the sliding mass;
⎯ seismic impacts.
(4) The following features generally require classification of single- or multiple-anchored retaining walls
according to 12.1 (4) in Geotechnical Category GC 3:
⎯ very close displacement- or settlement-sensitive structures;
⎯ increase in effects of actions with time;
⎯ complex groundwater conditions.
12.3 Verification of safety against slope failure and overall stability failure
(1) The following verifications apply to the situations and structures described in 12.1 (2) to (4).
(2) Adequate safety against slope failure according to 12.1 (2) and against general failure according to 12.1
(3) or 12.1 (4) shall be provided. This requirement is complied with if, for the failure mechanisms in question
(see E DIN 4084) and for the possible governing construction stages, the limit state conditions according to
E DIN 4084, in conjunction with the partial factors for the GZ 1C (GEO-3) limit state given in Table 3, are
adhered to:
Ed ≤ Rd (64)
where:
Ed is the design value of the resultant effect of actions parallel to the slip surface or the design value of the
moment of actions around the centre of rotation;
Rd is the design value of the resistance parallel to the slip surface or the design value of the moment of
resistances around the centre of rotation.
(3) For the slopes of tipped embankments on ground of low shear strength, the safety of deep-seated slip
surfaces against sliding (slope failure) shall be investigated.
(4) In soils that do not behave in a ductile manner according to 5.3.2 (7), the possibility of development of a
progressive failure mechanism shall be investigated, e.g. tipped soil on collapsible ground.
(5) When working on slopes, the possibility of reactivation of geologically predetermined slip surfaces shall be
taken into consideration.
(6) Three-dimensional failure mechanisms may be replaced by plane mechanisms if the ultimate limit state
can be ruled out with sufficient probability when using the latter.
(7) See E DIN 4084 for consideration of the loadbearing behaviour of tendons, dowels and piles intersected
by the slip surface.
(8) In rock, failure by rupture of the rock or by displacement on existing joints and bedding planes shall be
investigated as a function of the rock strength, orientation of joint and bedding structures and load direction. In
addition, for steep slopes in jointed rock, it shall be verified that failure by tilting of an isolated block or a series
of blocks cannot occur.
90
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DIN 1054:2005-01
12.4 Verification of structural slope stabilisation measures
12.4.1 General
(1) The following verifications apply to the structures according to 12.1 (5) that are described below:
⎯ Structures for slope stabilisation and nailed or anchored retaining structures, executed by excavating from
above with simultaneous installation of stabilising elements, e.g. rock anchors, element walls, soil and
rock nails and economical bracing. They consist of wall-like elements and anchors or nails; the wall-like
elements are not fixed or are fixed into the ground at a shallow depth and cannot transmit forces to the
ground.
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ Retaining structures of reinforced fill, e.g. soil reinforced with metal strips or geotextiles for slope
stabilisation, enclosed by a thin skin or a light wall that can only transmit its self-weight to the ground.
⎯ Reinforced retaining structures constructed from staggered, prefabricated, massive wall elements that are
anchored by means of geotextiles.
(2) Verification of stability is always required for structural slope stabilisation measures. Type-specific
provisions for verification of the stability of reinforced retaining structures or soil nailing are set out in
recommendations and building inspectorate approvals. The relevant recommendations are given in Section 2.
In the absence of such provisions, a stability verification for the GZ 1C (GEO-3) limit state is recommended. It
shall be kept in mind that proof of suitability issued by the building authorities, such as technical approvals for
reinforced retaining structures or soil nailing, may be required.
12.4.2 Actions and effects of actions
(1) The magnitude of the design value of the earth pressure (the design value of the action) on the surface
stabilisation of the retaining structure shall be determined as follows:
⎯ according to 6.4.1 (3) by determining the characteristic earth pressure using the characteristic values of
the shear parameters ϕ'k and c'k and subsequent conversion using the partial factors γG and γQ given in
Table 2 for the GZ 1B (GEO-2) limit state, or
⎯ according to 6.4.2 (2) by determining the design earth pressure using the design values ϕ'd and c'd of the
shear strength parameters, which are, in turn, obtained by reducing the characteristic values of the shear
strength parameters tanϕ'k and c'k using the partial factors γϕ and γc given in Table 3 for the GZ 1C
(GEO-3) limit state.
In individual cases, consult the provisions in the relevant recommendations or technical approvals.
(2) The following shall be observed when determining earth pressure:
⎯ The inclination of the earth pressure is adopted parallel to the inclination of the stabilising elements,
unless dictated otherwise by specific local circumstances.
⎯ If movement of the wall is significantly hampered by the anchor pre-stressing, increased active earth
pressure shall be adopted, see 10.3.1 (1).
⎯ The earth pressure distribution in nailed and anchored retaining structures may generally be assumed to
be rectangular; in reinforced, filled retaining structures it may assumed to be linear, increasing with depth.
In individual cases, consult the provisions in the relevant recommendations or technical approvals.
91

DIN 1054:2005-01
(3) The design values of the effects of actions of the surface stabilisation shall be determined from the design
values of the actions, taking the structural model of the wall elements and their support on the stabilising
elements into consideration. The design action may be reduced if allowed by the relevant recommendations
and technical approvals.
(4) The design value of the effect of actions of the linear or planar stabilising elements shall be determined
either
⎯ from the design value of the action and the area of surface stabilisation associated with the respective
element, or
⎯ from the deficit of the force or moment equilibrium in sliding bodies bounded by failure mechanisms with
planar or curved slip surfaces according to E DIN 4084 for the GZ 1C (GEO-3) limit state, where the
different slip surfaces intersect a number of the stabilising elements.
The larger value of the design effect shall be used in the design.
(5) If the force equilibrium deficit governs the design of a stabilising element, a correspondingly higher design
value of the earth pressure shall be adopted for the area of surface stabilisation associated with that element.
12.4.3 Pull-out resistances
(1) Determination of the characteristic value of the pull-out resistance of grouted anchors is given by 9.4.1.
The characteristic pull-out resistance of soil and rock nails, reinforcement strips or geosynthetics is
determined in accordance with the relevant recommendations and technical approvals.
(2) The design values of the pull-out resistances of grouted anchors, soil and rock nails and flexible
reinforcing elements are obtained according to 6.4.2 (2) from the characteristic values, reduced with the aid of
the partial factors given in Table 3 for the GZ 1C (GEO-3) limit state.
12.4.4 Verification of bearing capacity
(1) For soil and rock nailing and for reinforced retaining structures according to 12.4.1 (1), bearing capacity
shall be verified by investigating the possible governing failure mechanisms and their failure surfaces in the
GZ 1C (GEO-3) limit state. Here, in particular, the respective mode of construction, terrain configuration,
groundwater situation and the size and configuration of external loads shall be taken into account. The failure
surfaces may intersect all or a part of the reinforcing elements or avoid them completely.
(2) For the retaining structures given in (1), a fictitious rear wall shall be assumed at the ends of the nails or
the reinforcing elements. For the thus geometrically defined gravity wall:
⎯ the bearing capacity in the GZ 1B (GEO-2) limit state according to 7.5.2 and 7.5.3;
⎯ adherence to the allowable inclination of the bearing pressure resultant according to 7.5.1 or 7.6.1, and
⎯ the overall stability in the GZ 1C (GEO-3) limit state according to 12.3
shall be verified unless such verifications can be omitted on the basis of attestable experience.
(3) Adequate safety on the part of grouted anchors, soil or rock nails or reinforcing elements against pull-out
shall be verified. This is deemed to be the case if, for the GZ 1C (GEO-3) limit state,
Ed ≤ Rd (65)
92
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DIN 1054:2005-01
where:
Ed is the design value of the effect of pull-out actions according to 12.4.2 (4);
Rd is the design value of the pull-out resistance according to 12.4.3.
(4) The safety against structural failure in the GZ 1B (STR) limit state shall be verified according to the
relevant provisions for all structural elements in the retaining structures dealt with in 12.4.1. The following
points shall be taken into account:
⎯ The governing design values of the effects of actions are obtained from the design values of the actions
according to 12.4.2.
⎯ The resistance of the steel tendons of ground anchors shall be determined according to 9.4.2.
⎯ The material properties and partial factors given in the respective standards on types of construction and
in the relevant recommendations shall be used to determine the design values of the remaining
resistances of the structural elements.
(1) In at least medium dense, non-cohesive soil and at least stiff, cohesive soil, the partial factors given in
Tables 2 and 3 for Load Case LC 1 in the GZ 1C (GEO-3) limit state generally incorporate adequate safety
against reaching the serviceability limit state.
(2) For slopes in soft, cohesive soil, serviceability may be assessed on the basis of the shear strain
determined in triaxial tests.
(3) For terraces adjacent to buildings or traffic areas subject to more stringent serviceability requirements, it is
recommended in individual cases that serviceability also be established by adopting additional calibration
factors η < 1 according to 4.4 (4) for ground resistances when verifying the GZ 1C (GEO-3) limit state, or that
the observational method according to 4.5 be applied.
(4) When verifying the serviceability of retaining structures with non-prestressed tension members, the
compatibility of the deformations of the structure as a whole and the strains of the tension members shall be
checked.
93
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DIN 1054:2005-01
Annex A
(normative)
Allowable bearing pressure
Table A.1 — Allowable bearing pressure σallow for strip foundations on non-cohesive soil based on
adequate bearing capacity, subject to the conditions in Table A.7
Allowable bearing pressure σallow

Smallest embedment depth b or b'
of the foundation
kN/m2
m
0,50 m 1,00 m 1,50 m 2,00 m 2,50 m 3,00 m
0,50 200 300 400 500 500 500
1,00 270 370 470 570 570 570
1,50 340 440 540 640 640 640
2,00 400 500 600 700 700 700
For structures with embedment
depths 0,30 m ≤ d ≤ 0,50 m and
150
with foundation widths b or
b' ≥ 0,30 m
Table A.2 — Allowable bearing pressure σallow for strip foundations on non-cohesive soil based on
adequate bearing capacity and limitation of settlement, subject to the conditions in Table A.7

Smallest embedment depth b or b'
of the foundation
kN/m2
m
0,50 m 1,00 m 1,50 m 2,00 m 2,50 m 3,00 m
0,50 200 300 330 280 250 220
1,00 270 370 360 310 270 240
1,50 340 440 390 340 290 260
2,00 400 500 420 360 310 280
For structures with embedment
depths 0,30 m ≤ d ≤ 0,50 m and
150
with foundation widths b or
b' ≥ 0,30 m
94
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DIN 1054:2005-01
Table A.3 — Allowable bearing pressure σallow for strip foundations on silt
(UL according to DIN 18196) with widths b or b' of 0,50 m to 2,00 m for stiff to very stiff
consistency or a mean unconfined compression strength qu,k > 120 kN/m2
Smallest embedment depth of the foundation Allowable bearing pressure σallow

m kN/m2
0,50 130
1,00 180
1,50 220
2,00 250
Table A.4 — Allowable bearing pressure σallow for strip foundations on mix grained soils (SŪ, ST, GŪ,
GT according to DIN 18196; e.g. boulder clay) with widths b or b' of 0,50 m to 2,00 m

kN/m2
Smallest embedment depth
of the foundation Average consistency
m
stiff very stiff hard
(IC = 0,75 – 1,00) (IC ≈ 1,0 – 1,25) (IC > 1,25)
--`,,```,,,,````-`-`,,`,,`,`,,`---
0,50 150 220 330

1,00 180 280 380
1,50 220 330 440
2,00 250 370 500
Mean unconfined compression
120 to 300 300 to 700 > 700
strength qu,k in kN/m2
Table A.5 — Allowable bearing pressure σallow for strip foundations on clayey, silty soils
(UM, TL, TM according to DIN 18196) with widths b or b' of 0,50 m to 2,00 m

kN/m2
m
(IC ≈ 0,75 – 1,0) (IC ≈ 1,0 – 1,25) (IC > 1,25)
0,50 120 170 280

1,00 140 210 320
1,50 160 250 360
2,00 180 280 400
Mean unconfined compression
120 to 300 300 to 700 > 700
strength qu,k in kN/m2
95

DIN 1054:2005-01
Table A.6 — Allowable bearing pressure σallow for strip foundations on clay soil
(TA according to DIN 18196) with widths b or b' of 0,50 m to 2,00 m
--`,,```,,,,````-`-`,,`,,`,`,,`---

kN/m2
m
(IC ≈ 0,75 – 1,00) (IC ≈ 1,00 – 1,25) (IC > 1,25)
0,50 90 140 200

1,00 110 180 240
1,50 130 210 270
2,00 150 230 300
Mean unconfined
compression strength qu,k in 120 to 300 300 to 700 > 700
kN/m2
96

DIN 1054:2005-01
ds (mm) discontinuity spacing
qu (Mpa) unixial compressive strength

--`,,```,,,,````-`-`,,`,,`,`,,`---
ds (mm) discontinuity spacing
qu (Mpa) unixial compressive strength
NOTE Cases in the hatched regions shall be investigated individually.
Key:
1 very weak 9 allowable bearing pressure, which exceeds the

2 weak unconfined compression strength of the rock if the
joints are closed, or 50 % of this value if the joints
3 moderately weak are open
4 moderately hard 10 allowable bearing pressure
5 hard 11 Rock group 1
6 widely spaced joints (thick-bedded) 12 Rock group 2
7 medium spaced joints (medium-bedded) 13 Rock group 3
8 closely spaced joints (thin-bedded) 14 Rock group 4
Figure A.1 — Allowable bearing pressure σallow for square foundations on rock (informative examples)
97

DIN 1054:2005-01
Table A.7 — Requirements for application of the values of allowable bearing pressure
σallow according to Tables A.1 and A.2 in non-cohesive soil
Mean relative
Uniformity Mean cone
Mean relative degree of
coefficient resistance of CPT
Soil according to density according compaction
according to qc
DIN 18196 to DIN 18126 according to
DIN 18196
D****) DIN 18127 MN/m2
U***) DPr
SE, GE
SU, GU ≤3 ≥ 0,30 ≥ 95 % ≥ 7,5
GT
SE, SW
SI, GE
--`,,```,,,,````-`-`,,`,,`,`,,`---
>3 ≥ 0,45 ≥ 98 % ≥ 7,5

GW, GT
SU, GU
Table A.8 — Requirements for increasing the values of allowable bearing pressure
σallow according to 7.7.2.2 (3) in non-cohesive soil
Mean relative
Uniformity Mean cone
Mean relative degree of
coefficient resistance of CPT
Soil according to density according compaction
according to qc
DIN 18196 to DIN 18126 according to
DIN 18196
D****) DIN 18127 MN/m2
U***) DPr
SE, GE
SU, GU ≤3 ≥ 0,50 ≥ 98 % ≥ 15
GT
SE, SW
SI, GE
>3 ≥ 0,65 ≥ 100 % ≥ 15
GW, GT
SU, GU
***) Translator’s note: International symbol: CU.
****) Translator’s note: International symbol: DR.
98

DIN 1054:2005-01
Annex B
(informative)
Design of axially loaded bored piles based on empirical values
B.1 Determination of the resistance-settlement (heave) curve
Figure B.1 — Characteristic resistance settlement curve
(1) The elements of the characteristic resistance-settlement curve up to a settlement of s1 = sg are shown in
Figure B.1 where
s1 is the settlement in the ultimate limit state (GZ 1) (ULS);
sg is the limit settlement or settlement at failure.
(2) A distinction shall be made between the settlement-dependent pile base resistance Rb (s) and the pile
shaft resistance Rs (s).
(3) For Rb,k (s1 = sg), the limiting settlement is given by:
sg = 0,10 × Ds or sg = 0,10 × Db (B.1)
where
Ds is the pile shaft diameter;
Db is the pile base diameter.
For diaphragm walls, the thickness of the wall shall be inserted instead of the pile shaft diameter Ds.
99
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DIN 1054:2005-01
(4) For Rs,k (ssg) in MN, the limiting settlement in the ultimate limit state is given by:
--`,,```,,,,````-`-`,,`,,`,`,,`---
ssg = 0,50 × Rs,k (ssg) + 0,50 ≤ 3,00 cm. (B.2)
(5) The characteristic axial pile resistance can be determined from:
Rk ( s ) = Rb,k ( s ) + Rs,k ( s ) = qb,k × Ab + ∑ qs,k,i × As,i (B.3)

i
where:
Ab is the nominal pile base area;
As,i is the nominal pile shaft area in layer i;
qb,k is the characteristic pile base resistance according to Tables B.1 and B.2;
qs,k,i is the characteristic pile shaft resistance in layer i according to Tables B.3 and B.4;
Rk(s) is the settlement-dependent characteristic pile resistance;
Rb,k(s) is the settlement-dependent characteristic pile base resistance;
Rs,k(s) is the settlement-dependent characteristic pile shaft resistance;
ssg is the limit settlement for the settlement-dependent characteristic pile shaft resistance.
(6) To determine a characteristic axial pile resistance-heave curve, the limit heave
ssg,zug = 1,30 × ssg (B.4)
shall be adopted with ssg calculated according to equation (B.2).
B.2 Base and shaft resistance of piles

(1) Tables B.1 to B.4 show the characteristic base and shaft resistance of bored piles embedded at least
2,50 m in a loadbearing stratum and with values of Ds or Db between 0,30 and 3,00 m as functions of
⎯ the mean cone resistance, qc, in non-cohesive soil and
⎯ the undrained shear strength, cu,k, in cohesive soils.
This assumes that the piles are installed with the assistance of a casing or a slurry. This also applies to
diaphragm walls.
(2) In defining the governing mean cone resistance qc, (CPT), at least the parts of the soil layer
⎯ governing the pile base resistance, and
⎯ governing the pile shaft resistance
100

DIN 1054:2005-01
shall be distinguished. If the stratification has a large influence on the cone resistance (CPT), the mean cone
resistance governing the pile shaft resistance shall be determined separately for two or more zones.
(3) For the application of the values in Tables B.1 and B.2, it is assumed that
⎯ the thickness of the loadbearing layer below the pile base level is not less than three times the pile base
diameter and is at least 1,50 m, and
⎯ qc ≥ 10 MN/m2 or cu,k ≥ 0,10 MN/m2 for this area.
If these geometrical conditions are not satisfied, a verification of safety against punching failure shall be
performed. Moreover, it shall be verified that the ground below this does not negatively and substantially affect
the settlement behaviour.
(4) Assuming
⎯ a minimum embedment depth in rock of 0,50 m for an unconfined compressive strength qu,k ≥ 5 MN/m2,
or
⎯ a minimum embedment depth in rock of 2,50 m for an unconfined compressive strength

qu,k ≤ 0,50 MN/m2,
the characteristic values of qb,k and qs,k, the base and shaft resistance respectively of bored piles at failure
(GZ 1B (GEO-2)), are given in Table B.5 as a function of the unconfined compressive strength, qu,k, of the
rock. The intermediate values may be linearly interpolated. Tension piles shall be embedded at least 5,00 m in
the rock.
Table B.1 — Pile base resistance qb,k for non-cohesive soils
Base resistance qb,k

Normalized settlement of MN/m2
the pile head Mean cone resistance qc (CPT)
s/Ds or s/Db
MN/m2
10 15 20 25
0,02 0,70 1,05 1,40 1,75
0,03 0,90 1,35 1,80 2,25
0,10 ( =ˆ sg) 2,00 3,00 3,50 4,00
Intermediate values may be linearly interpolated. For underreamed piles, the

values shall be reduced to 75 %.
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101

DIN 1054:2005-01
Table B.2 — Pile base resistance qb,k for cohesive soils
Base resistance qb,k

Normalized settlement of MN/m2
the pile head Undrained shear strength cu,k
s/Ds or s/Db
MN/m2
0,10 0,20
0,02 0,35 0,90
0,03 0,45 1,10
0,10 ( =ˆ sg) 0,80 1,50
Intermediate values may be linearly interpolated. For underreamed piles, the

values shall be reduced to 75 %.
Table B.3 — Pile shaft resistance qs,k for non-cohesive soils
Mean cone resistance qc (CPT) Ultimate shaft resistance qs,k

--`,,```,,,,````-`-`,,`,,`,`,,`---
MN/m2 MN/m2
0 0
5 0,040
10 0,080
≥ 15 0,120
Intermediate values may be linearly interpolated.
Table B.4 — Pile shaft resistance qs,k for cohesive soils
Undrained shear strength cu,k Ultimate shaft resistance qs,k

MN/m2 MN/m2
0,025 0,025
0,10 0,040
≥ 0,20 0,060
Table B.5 — Pile base resistance qb,k and shaft resistance qs,k in rock
Unconfined
Ultimate shaft
compressive strength Base resistance qb,k
resistance qs,k
qu,k MN/m2
MN/m2
MN/m2
0,50 1,50 0,08
5,00 5,00 0,50
20,00 10,00 0,50
102

DIN 1054:2005-01
--`,,```,,,,````-`-`,,`,,`,`,,`---
(5) For the application of the empirical values given in Table B.5, it is assumed that
⎯ the rock is homogeneous and sufficiently thick;
⎯ the spatial orientation of the rock surface and the joint and bedding structures do not foster failure
mechanisms;
⎯ no open joints or bedding are present and no joints or bedding are filled with easily compressible material
and
⎯ a reduction in strength as a result of drilling will not occur, e.g. due to ingress of water in argillaceous or
marly rock.
(6) It shall be examined on a case-by-case basis whether the expected pile settlement in rock can mobilize
the shaft resistance in the higher layers. In case of doubt, this shaft resistance shall not be considered in the
design of the pile.
(7) The values in Tables B.1 to B.5 may also be applied to bored pile walls provided that only the effective
surface area in contact with the soil is used for the determination of the base and shaft resistance of the piles.
It shall be examined on a case-by-case basis whether the expected pile settlement in rock can mobilize the
shaft resistance in the higher layers. In case of doubt, this shaft resistance shall not be considered in the
design of the pile.
B.3 Investigation of the ground strength using penetration tests

(1) The strength of a non-cohesive soil for inclusion in Tables B.1 and B.3 may generally be defined in terms
of the cone resistance qc from CPT. Alternatively, the correlation between the cone resistance qc (CPT) and
the results from other types of penetration tests as specified in DIN 4094-2 and DIN 4094-3 may also be
applied. The undrained shear strength may be determined as specified in DIN 4094-4.
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DIN 1054:2005-01
Annex C
(informative)
Characteristic axial resistance of driven displacement piles based on

empirical values
C.1 Determination of the characteristic pile resistance in the GZ 1B (GEO-2) limit

state
(1) The characteristic pile resistance of driven piles may be determined as follows:
R1,k = Rb1,k + Rs1,k = qb1,k × Ab + ∑ qs1,k,i × As,i (C.1)

i
where
Ab is the nominal value of the pile base area;

--`,,```,,,,````-`-`,,`,,`,`,,`---
As,i is the nominal value of the pile shaft area in layer i;
qb1,k is the characteristic pile base resistance;
qs1,k,i is the characteristic pile shaft resistance in layer i;
R1,k is the characteristic pile resistance in the GZ 1B (GEO-2) limit state;
Rb1,k is the characteristic pile base resistance in the GZ 1B (GEO-2) limit state;
Rs1,k is the characteristic pile shaft resistance in the GZ 1B (GEO-2) limit state.
C.2 Pile base resistance and pile shaft resistance of precast reinforced or
prestressed concrete piles in the GZ 1B (GEO-2) limit state in non-cohesive soil
(1) The characteristic base and shaft resistances of precast displacement piles made of reinforced or
prestressed concrete in the GZ 1B (GEO-2) limit state are given in Tables C.1 and C.2 as a function of the
mean cone resistance qc (CPT) for non-cohesive soils. However, these values are limited to piles embedded
at least 3,0 m in the bearing layer and with values of Ds between 0,20 and 0,50 m. Rectangular or square piles
with corresponding edge lengths are assumed to be without bases.
(2) In defining the governing mean cone resistance qc (CPT), a distinction shall be made between the parts of
the soil layer
⎯ governing the pile shaft resistance.
If the stratification above the base level exhibits different values of qc, the mean cone resistance governing the
pile shaft resistance shall be defined separately for two or more zones.
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DIN 1054:2005-01
(3) For the application of the values in Table C.1, it is assumed that
⎯ the thickness of the bearing layer below the pile base level is not less than three times the pile base
⎯ qc ≥ 7,5 MN/m2 in this area.
(4) If these geometrical conditions are not satisfied, a verification of safety against punching failure shall be
(5) In using Tables C.1 and C.2 in the GZ 1B (GEO-2) limit state, a limit settlement s1 of approximately 7 to
8 % of the pile base diameter shall be expected. The edge lengths as of square or rectangular piles shall be
converted to an equivalent diameter.
(6) The values in Table C.2 shall only be used for compression piles under axial load.
Table C.1 — Base resistance qb1,k of precast reinforced or prestressed concrete driven piles in non-
cohesive soils
Mean cone resistance qc (CPT) Base resistance qb1,k

MN/m2 MN/m2
7,5 2,0
15 5,0
--`,,```,,,,````-`-`,,`,,`,`,,`---
≥ 25 12,0
Table C.2 — Shaft resistance qs1,k of precast reinforced or prestressed concrete driven piles in non-
cohesive soils
Mean cone resistance qc (CPT) Shaft resistance qs1,k

MN/m2 MN/m2
7,5 0,070
15 0,130
≥ 25 0,170
C.3 Characteristic pile base resistance and pile shaft resistance of precast
reinforced or prestressed concrete piles in the GZ 2 (serviceability) limit state in
non-cohesive soil
(1) A separate analysis of the pile loadbearing capacity in the GZ 2 (SLS) limit state is not required for precast
reinforced or prestressed driven piles.
(2) For the design of single piles according to C.2, the expected settlement in the GZ 2 (SLS) limit state
normally lies below 1,5 cm. This may also be assumed when using the values in tables C.3 to C.5 in C.4.
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DIN 1054:2005-01
C.4 Characteristic pile bearing capacity of precast reinforced or prestressed

concrete piles and steel and timber piles in cohesive soil
(1) No data are currently available on the characteristic pile base and shaft resistance of precast reinforced
and prestressed concrete piles in cohesive soil or for steel and timber piles in non-cohesive or cohesive soil.
(2) The characteristic pile bearing capacity R2,k in the GZ 2 (SLS) limit state can be derived by approximation
from the values in Tables C.3 to C.5. In this case, a separate analysis for the GZ 1B (GEO-2) limit state is not
required.
(3) In order to use the values in Tables C.3 to C.5, the bearing layer shall fulfil the following requirements:
⎯ a sufficiently strong non-cohesive soil with a cone resistance qc ≥ 10 MN/m2;
⎯ a cohesive soil of approximately stiff consistency; IC ≈ 1,0 or cu,k ≥ 150 kN/m2.
(4) The characteristic pile bearing capacity R2,k according to Tables C.3 to C.5 may be increased by up to
25 % for
⎯ particularly strong non-cohesive soils with a cone resistance qc ≥ 15 MN/m2;
--`,,```,,,,````-`-`,,`,,`,`,,`---
⎯ cohesive soils with a stiff consistency; IC > 1,0 or cu,k ≥ 200 kN/m2.
where
qc is the mean cone resistance of the cone penetration test (CPT);
IC is the consistency index according to DIN 18122-1;
cu,k is the characteristic undrained shear strength of the soil.
(5) If the bearing capacity of the soil is determined by means of penetration tests other than the CPT, the
procedure in Annex B may be followed.
Table C.3 — Characteristic pile bearing capacity R2,k of driven timber displacement piles
in cohesive or non-cohesive soils
Characteristic pile bearing capacity R2,k

kN
Embedment depth in the
bearing strata Pile base diameter Db
m cm
15 20 25 30 35
3,00 100 150 200 300 400
4,00 150 200 300 400 500
5,00 – 300 400 500 600
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DIN 1054:2005-01
Table C.4 — Characteristic pile bearing capacity R2,k of reinforced or prestressed concrete driven
displacement piles with square cross section in cohesive soils

kN
bearing strata Side length asa
m cm
20 25 30 35 40
3,00 200 250 350 450 550
4,00 250 350 450 600 700
5,00 – 400 550 700 850
6,00 – – 650 800 1 000

a Also applies to piles with approximately square cross-sections where the mean side length may be taken as as.
Table C.5 — Characteristic pile bearing capacity R2,k of driven steel displacement piles in cohesive or
non-cohesive soils

kN
Embedment c
depth in the Steel girder piles a Steel pipe piles b and steel box piles
bearing strata D or as
Width or height
m
cm cm c
30 35 35 or 30 40 or 35 45 or 40
3,00 - - 350 450 550
4,00 - - 450 600 700
5,00 450 550 550 700 850
6,00 550 650 650 800 1 000
7,00 600 750 700 900 1 100
--`,,```,,,,````-`-`,,`,,`,`,,`---
8,00 700 850 800 1 000 1 200

a Wide I-beam with height : width ≈ 1:1 (e.g. HE-B sections).
b The values apply only to piles with a closed base. For piles with an open base, 90 % of the values in the Table may be adopted if
it can be proven that a solid soil plug forms within the pile.
c D is the external diameter of a steel pipe pile or the mean diameter of a composite radial-symmetric pile; as is the mean side
length of approximately square or rectangular box piles of equal area.
107

DIN 1054:2005-01
Annex C*
(informative)
Design of axially loaded driven displacement piles based on empirical

values**)
C*.1 Determination of the characteristic pile resistance in the GEO-2 limit state**)
(1) The characteristic pile resistance of driven piles may be determined as follows:
R1,k = Rb1,k + Rs1,k = qb1,k × Ab + ∑ qs1,k,i × As,i (C*.1)

i
where
Ab is the nominal value of the pile base area;
qb1,k is the characteristic pile base resistance;
R1,k is the characteristic pile resistance in the GEO-2 limit state;
Rb1,k is the characteristic pile base resistance in the GEO-2 limit state;
Rs1,k is the characteristic pile shaft resistance in the GEO-2 limit state.
(2) The characteristic base and shaft resistances of precast displacement piles made of reinforced or
prestressed concrete in the GEO-2 limit state are given in Tables C*.1 and C*.2 as a function of the mean
--`,,```,,,,````-`-`,,`,,`,`,,`---
cone resistance qc (HPT) for non-cohesive soils. However, these values are limited to piles embedded at least
3,0 m in the bearing layer and with values of Ds between 0,20 and 0,50 m. Rectangular or square piles with
corresponding edge lengths are assumed to be without bases.
(3) In defining the governing mean cone resistance qc (HPT), a distinction shall be made between the parts of
the soil layer
⎯ governing the pile shaft resistance.
If the stratification above the base level exhibits different values of qc, the mean cone resistance governing the
pile shaft resistance shall be defined separately for two or more zones.
(4) For the application of the values in Table C*.1, it is assumed that
See page 6 for **).
108

DIN 1054:2005-01
⎯ the thickness of the bearing layer below the pile base level is not less than three times the pile base
⎯ qc ≥ 7,5 MN/m2 in this area.
(5) If these geometrical conditions are not satisfied, a verification of safety against punching failure shall be
(6) In using Tables C*.1 and C*.2 in the GEO-2 limit state, a limit settlement s1 of approximately 7 to 8 % of
the pile base diameter shall be expected. The edge lengths as of square or rectangular piles shall be
converted to an equivalent diameter.
(7) The values in Table C*.2 shall only be used for compression piles under axial load.
(8) For the design of single piles using Tables C*.1 and C*.2 in the GEO-2 limit state, the expected settlement
in the serviceability limit state normally lies below 1,5 cm.
Table C*.1 — Base resistance qb1,k of precast reinforced or prestressed concrete driven piles in
non-cohesive soils
Mean cone resistance qc (CPT) Base resistance qb1,k

MN/m2 MN/m2
7,5 2,0
15 5,0
≥ 25 12,0
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Table C*.2 — Shaft resistance qs1,k of precast reinforced or prestressed concrete driven piles in
non-cohesive soils
Mean cone resistance qc (CPT) Shaft resistance qs1,k

MN/m2 MN/m2
2,5 0,023
7,5 0,070
15 0,130
≥ 25 0,170
109

DIN 1054:2005-01
C*.2 Allowable pile bearing capacity of precast reinforced or prestressed concrete

piles as well as timber and steel piles**)
(1) No data are currently available on the characteristic pile base and shaft resistance of precast reinforced
and prestressed concrete piles in cohesive soils as well as timber and steel piles in non-cohesive or cohesive
soils.
(2) The allowable pile bearing capacity Rallow in the serviceability limit state can be derived by approximation
from the values in Tables C*.3 to C*.5.
(3) In order to use the values in Tables C*.3 to C*.5, the bearing layer shall fulfil the following requirements:
⎯ a sufficiently strong non-cohesive soil with a cone resistance qc ≥ 10 MN/m2;
⎯ a cohesive soil of approximately stiff consistency; IC ≈ 1,0 or cu,k ≥ 150 kN/m2.
(4) The allowable pile bearing capacity Rallow according to Tables C*.3 to C*.5 can be increased by up to
25 % for
⎯ particularly strong non-cohesive soils with a cone resistance qc ≥ 15 MN/m2;
⎯ cohesive soils with a very stiff consistency; IC > 1,0 or cu,k ≥ 200 kN/m2
where
qc is the mean cone resistance of the cone penetration test (CPT);
IC is the consistency index according to DIN 18122-1;
cu,k is the characteristic undrained shear strength of the soil.
(5) If the bearing capacity of the soil is determined by means of penetration tests other than the CPT, the
procedure in Annex B may be followed.
(6) For design of single piles using Tables C*.3 to C*.5 in the GEO-2 limit state, the expected settlement in
the serviceability limit state normally lies below 1,5 cm.
Table C*.3 — Allowable pile bearing capacity Rallow of driven timber displacement piles in cohesive or
non-cohesive soils
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Allowable pile bearing capacity Rallow

kN
bearing strata Pile base diameter Db
m cm
15 20 25 30 35
3,00 100 150 200 300 400
4,00 150 200 300 400 500
5,00 – 300 400 500 600
See page 6 for **).
110

DIN 1054:2005-01
Table C*.4 — Allowable pile bearing capacity Rallow of reinforced or prestressed concrete driven
displacement piles with square cross-section in cohesive soils

kN
bearing strata Side length asa
m cm
15 20 25 30 35
3,00 200 250 350 450 550
4,00 250 350 450 600 700
5,00 – 400 550 700 850
6,00 – – 650 800 1 000
a Also applies to piles with approximately square cross-sections where the mean side length may be taken as as.
Table C*.5 — Allowable pile bearing capacity Rallow of driven steel displacement piles in
cohesive or non-cohesive soils

kN
Embedment c
depth in the Steel girder piles a Steel pipe pilesb and steel box piles
bearing strata D or as
Width or height
m
cm cm c
30 35 35 or 30 40 or 35 45 or 40
3,00 – – 350 450 550
4,00 – – 450 600 700
5,00 450 550 550 700 850
6,00 550 650 650 800 1 000
7,00 600 750 700 900 1 100
8,00 700 850 800 1 000 1 200
a Wide I-beam with height : width ≈ 1:1 (e.g. HE-B sections).
b The values apply only to piles with a closed base. For piles with an open base, 90 % of the values in the table may be adopted if
it can be proven that a solid soil plug forms within the pile.
c D is the external diameter of a steel pipe pile or the mean diameter of a composite radial-symmetric pile; as is the mean side
length of approximately square or rectangular box piles of equal area.
111
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DIN 1054:2005-01
Annex D
(informative)
Design of grouted micropiles based on empirical values
D.1 Characteristic axial pile resistance in the GZ 1B (GEO-2) limit state
(1) If no load tests are performed on grouted micropiles (Ds ≤ 0,30 m) in exceptional cases, the characteristic
axial pile resistance, R1,k, in the GZ 1B (GEO-2) limit state may be determined from equation (D.1) using the
values in Table D.1 for compression and tension piles,
R1,k = Rs1,k = ∑ qs1,k,i × As,i (D.1)

i
where
R1,k is the characteristic pile resistance in the GZ 1B (GEO-2) limit state;
Rs1,k is the characteristic pile shaft resistance in the GZ 1B (GEO-2) limit state.
Table D.1 — Characteristic pile shaft resistance qs1,k of grouted micropiles in the exceptional case that
no pile load tests are carried out
qs1,k
Soil type
MN/m2
Medium and coarse gravel a 0,20
a
Sand and gravel-sand 0,15
Cohesive soil b 0,10
a Relative density D ≥ 0,40 (according to DIN 18126) or cone resistance (CPT) qc ≥ 10 MN/m2
b Consistency index IC ≈ 1,0 (according to DIN 18122-1) or undrained shear strength cu,k ≥ 150 kN/m2
D.2 Recommended values for the characteristic load span for grouted micropiles
under axial pulsating and alternating loads in the GZ 2 (serviceability) limit state
(1) The following information applies to grouted micropiles in at least medium-dense non-cohesive soils
above groundwater level.
(2) The load span is defined as the difference between the largest and the smallest load (for pulsating loads)
or between the largest tensile and the largest compressive load (for alternating loads).
112
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DIN 1054:2005-01
(3) The characteristic load span (actions) for axial pulsating and alternating loads can be derived from the
characteristic tensile pile resistance R2z,k under static loads in the GZ 2 (serviceability) limit state. This shall be
determined according to 8.4.2 on the basis of static tension tests or estimated from empirical values according
to 8.4.4.
(4) Recommended values for the characteristic load span are given in Table D.2 as a function of the expected
load cycle number.
Table D.2 — Recommended values for the characteristic load span
Expected number of cycles of loading Characteristic load span
1 1,00 × R2z,k
100 0,80 × R2z,k
10 000 0,68 × R2z,k
100 000 0,56 × R2z,k
≥ 1 000 000 0,40 × R2z,k
113
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DIN 1054:2005-01
Annex E
(informative)
Distribution of actions and resistances in laterally loaded pile groups
(1) In a pile group, in which all piles exhibit approximately equal horizontal head displacements, each pile
participates in sharing the lateral action load HG on the pile group in a different way. The distribution of the
action load Hi on a single pile i in a double-symmetrical pile group of similar piles may be calculated from
Hi α
= i (E.1)
H G Σα i
where
αi = αL × αQ. (E.2)
The factors αL and αQ depend on the pile spacing aL and aQ parallel and perpendicular to the direction of the
applied force respectively, and on the location of the pile within the pile group. These values can be taken
from Figures E.1 and E.2 and they shall be applied to the piles within the pile group according to Figure E.3.
(2) In determining the effect of actions and deformations based on the modulus of subgrade reaction, a
reduction factor αn according to (3) and (4) shall be applied to the modulus of the subgrade reaction for a pile
in the group.
(3) If the modulus of the subgrade reaction increases linearly with depth z as shown in equation (E.3) (this
may be assumed as an approximation for bored piles in normally consolidated cohesive and non-cohesive
soils),
k s,k ( z ) = k hE,k × z D s (E.3)
and with the elastic length L given by equation (E.4) the following applies:
0,2
⎛E×I⎞
L=⎜ ⎟ . (E.4)
⎜k ⎟
⎝ hE,k ⎠
For l/L ≥ 4: khi,k = αi1,67 × khE,k, and (E.5)
for l/L ≤ 2: khi,k = αi × khE,k. (E.6)
Linear interpolation is allowed for values 4 > l/L > 2,
where
E×I is the flexural stiffness of the pile;
khE,k is the characteristic modulus of subgrade reaction of a single pile at a depth z = Ds;
114
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DIN 1054:2005-01
khi,k is the characteristic modulus of subgrade reaction of pile i in the pile group at a depth z = Ds;
l is the length of the pile.
(4) For a constant modulus of subgrade reaction with a depth as shown in equation (E.7) (this may be
assumed as an upper limit for piles in overconsolidated cohesive soil),
ks,k (z) = ks,k = const. (E.7)
and with the elastic length L given by equation (E.8) and the modulus of subgrade reaction ksE,k of a single
pile, the following applies:
0,25
⎛ E×I ⎞
L=⎜ ⎟ (E.8)
⎜k ⎟
⎝ sE,k × Ds ⎠
for l/L ≥ 4: ksi,k = αi1,33 × ksE,k (E.9)
and
for l/L ≤ 2: ksi,k = αi × ksE,k. (E.10)
Linear interpolation may be allowed for values 4 > l/L > 2.
(5) Equations (E.1) to (E.10) shall apply equally to piles with a hinged and partially or fully fixed connection
with the pile cap.
--`,,```,,,,````-`-`,,`,,`,`,,`---
aL/Ds
Figure E.1 — Reduction factor αL as a function of the ratio of the pile centre-to-centre spacing aL in the
direction of the force and the pile shaft diameter Ds
115

DIN 1054:2005-01
aQ/Ds
Figure E.2 — Reduction factors αQA and αQZ as a function of the ratio of the pile centre-to-centre
spacing aQ perpendicular to the direction of the force and the pile shaft diameter Ds. If aQ/Ds < 2,
a continuous wall may be assumed (see, for example, E DIN 4085)
× ×
aQ
× ×
aQ
aQ
× ×
aQ
aL aL
Figure E.3 — Reduction factor αi as a function of the location of the pile within the pile group
(6) Because the axial stiffness of the piles (pile resistance/settlement of the pile head) may have a substantial
influence on the design of a pile for bending stresses, the determination of the effect of actions shall be carried
out using the upper and lower limit values.
(7) For irregularly distributed piles in a pile group, the αi values may analogously be estimated using Figures
E.1 and E.2.
(8) For piles in a pile group with different bending stiffness, the distribution of the force Hi to the ith single pile
due to the force HG acting on the group may be estimated approximately using the values of α given in
Figures E.1 and E.2 according to:
116
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DIN 1054:2005-01
Hi C
= i (E.11)
H G ΣCi
where
Ci = H0/y0 (E.12)
and
H0 is a horizontal unit load on the head of a single pile;
--`,,```,,,,````-`-`,,`,,`,`,,`---
y0 is the corresponding pile head displacement.
The values of Ci shall be calculated using the modulus of subgrade reaction according to equations (E.5) and
(E.6) or (E.8) and (E.10) and taking into account the degree of embedment and the deformation conditions at
the pile head.
117

DIN 1054:2005-01
Annex F
(normative)
Transition arrangements for standards based on the old concept of

analysis with global safety factors
Until all design standards and regulations based on them (such as the Empfehlungen der Deutschen
Gesellschaft für Geotechnik e. V.) Use the new concept of analysis using safety factors and until these are
available in a satisfactory form, the following information shall be noted. The standards based on the old
concept are in the process of adjustment to enable them to be used together with this standard and the new
partial safety concept.
Clause 2
Instead of the normative references from clause 2 listed below, the standards listed in table F.1 shall be
referred to until these are replaced by standards based on the new concept of partial safety factors. From then
on the undated references in the new standard will apply and the transition arrangements in this Annex will no
longer be relevant.
Table F.1 — Relationship of normative references to standards based on the old concept of analysis
Reference in Reference in
Title
clause 2 transition period
Calculations of stability failure of the ground mass and bearing
E DIN 4084 DIN 4084:1981-07
capacity failure
E DIN 4085 DIN 4085:1987-02 Principles for the calculation of earth pressure
10.3.1 (8)
To determine the characteristic effect of soil pressure to DIN 1054 in conjunction with DIN 4085:1987-02, the
design values of soil parameters cal ϕ′, cal c′, cal ϕ, cal cu and cal γ from DIN 1055-2:1976-02 shall be used
as the characteristic values on the lines of subclause 5.3 of the present standard.
Clauses 12, 12.1 and 12.3
If the analysis of safety against slope failure and overall stability failure is to be carried out in accordance with
DIN 1054 in conjunction with DIN 4084:1981-07, the following modifications to the latter shall be taken into
account.
Subclause 11.2, equations (1) and (2):
η is to be replaced by 1/μ.
1/η is to be replaced by μ.
The limit state shall be assumed to be μ ≤ 1, with μ the utilization factor.
Gi is to be replaced by Gi, d and Qi, d.
Gi, d = Gi, k × γG for the GZ 1C (GEO-3) limit state.
118
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DIN 1054:2005-01
Qi, d = Qi, k × γQ für the GZ 1C (GEO-3) limit state.
∑ M is to be replaced by ∑ Md.
∑ Md = ∑ MG, k × γG + ∑ MQ, k × γQ for the GZ 1C (GEO-3) limit state.
∑ MS is to be replaced by ∑ MR, d.
∑ MR, d = ∑ MR, k/γA (in the case of anchorages) for the GZ 1C (GEO-3) limit state.
∑ MR, d may also take into account the effect of the resistance of other structural elements.
ϕi and ci are to be replaced by ϕi, d and ci, d for the GZ 1C (GEO-3) limit state.
Subclause 11.3 no longer applies.
Subclause 11.4, 2nd sentence: Here the utilization factor is to be as follows: μ = tan β/tan ϕd ≤ 1.
Clauses 9 and 12 no longer apply.
--`,,```,,,,````-`-`,,`,,`,`,,`---
12.3 (7) and 12.4.2 (4)
E DIN 4084:2002-11, 7.2 may be applied to take into account the structural performance of steel tendons and
to determine the design value of the effect of the actions of linear safety elements.
6.2.4 (6), 9.6 (2), 10.3.1 (8), 10.3.2 (7), 10.6.4, 10.6.7 (1), 10.7.2 (3), 11.1 (3), 11.5 (6)
Existing recommendations (listed in column 2 of table F.2) shall be taken into account instead of those
documents specified as normative references in clause 2 that are as yet unpublished (see column 1 of table
F.2). The analyses in accordance with the old safety concept as required in these Recommendations are
cancelled until publication of the relevant documents based on the partial safety concept, from which point
onwards the new undated references in the Recommendations will apply.
Table F.2 — Relationship of normative references to recommendations based on the old concept
of analysis
Reference for transition

Reference in clause 2 Title
period
E EAB, 4th edition, in
EAB 1994, 3rd edition Empfehlungen des Arbeitskreises “Baugruben”
preparation
E EAU, 10th edition, in Empfehlungen des Arbeitsausschusses
EAU 1996, 9th edition
preparation “Ufereinfassungen”
E EVB, 2nd edition, in Empfehlungen “Verformungen des Baugrunds
EVB 1993, 1st edition
preparation bei baulichen Anlagen”
119

DIN 1054:2005-01
Annex G
(informative)
Transition arrangements for acknowledged technical rules for works

based on the old concept of analysis with global safety factors
Clause 2
The purpose of these transition arrangements is to bring the acknowledged technical rules for works
(Technische Baubestimmungen) based on the old concept of verification into line with the new partial safety
concept.
In place of the standards listed as normative reference standards (A) in clause 2, the corresponding reference
standards (B) shall be complied with until these are replaced by an acknowledged technical rule for works
based on the partial safety concept. The correspondence of the two types of reference standard is shown in
table G.1.
Once an acknowledged technical rule for works comes into force, it shall apply to the undated references. The
transition arrangements in this annex will then lose their validity.
Table G.1 — Relationship of normative references to acknowledged technical rules for works based
on the old concept of analysis
A B Title
DIN 1052-1:1988-04 Timber structures — Design and
DIN 1052
DIN 1052-1/A1:1996-10 construction
Design loads for structures — Soil

E DIN 1055-2 DIN 1055-2:1976-02 characteristics — Density, angle of friction,
cohesion and angle of wall friction
Design loads for structures — Imposed
DIN 1055-3 DIN 1055-3:1971-06
loads
DIN 1055-4:1986-08 Design loads for structures — Imposed

E DIN 1055-4 loads — Wind loads on structures not
DIN 1055-4/A1:1987-06 susceptible to vibration
DIN 1055-5:1975-06 Design loads for structures — Imposed
E DIN 1055-5
DIN 1055-5/A1:1994-04 loads — Snow load and ice load
DIN 4123:2000-09 Excavation, foundation and underpinnings

DIN 4123
DIN 4123/A1:2005 adjacent to existing buildings
Excavations and trenches — Slopes,

DIN 4124:2002-10 DIN 4124:1981-08 planking and strutting, breadths of working
spaces
Buildings in German earthquake zones —
DIN 4149-1:1981-04 Design loads, design, dimensioning,
DIN 4149
DIN 4149-1/A1:1992-12 design and construction of conventional
buildings
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120

DIN 1054:2005-01
A B Title
Ground anchorages — Design,
DIN EN 1537:2001-01 DIN 4125:1990-11
construction and testing
DIN EN 1538 Cast in-situ concrete diaphragm walls —
DIN 4126:1986-08
DIN V 4126-100 Design and construction
DIN EN 12699 Driven piles — Manufacture, design and

DIN 4026:1975-08
E DIN EN 12794 permissible loading
Injection piles (in-situ concrete piles and

composite piles) with small diameter —
E DIN EN 14199 DIN 4128:1983-04
Construction procedure, design and
permissible loads
4.1 (4), 4.3.5, 12.2 (2)
In simple cases, especially shallow foundations to 7.7 and slopes to DIN 4124:1981-08, 4.2, and when using
the standard planking and strutting technique for excavations and trenches to DIN 4124:1981-08, 6.2 und 7.3,
the procedures described in DIN 4124 shall be followed. The values in the tables may be used.
In the design of planking and strutting in excavations and trenches to DIN 1054 in conjunction with
DIN 4124:1981-08, the provisions in DIN 4124:1981-08 applying to the old concept are no longer valid.
DIN 4124:1981-08, clauses 9.1.2, 9.4.2 bis 9.4.5 are cancelled as they are now incorporated in the present
standard. See 4.3.2 (2) 6 with regard to clause DIN 4124:1981-08, 9.4.1.
4.3.2 (2) 2., 6.1.3 (1) and (5), 6.2.4
The load assumptions in acknowledged technical rule for works (DIN 1055-2:1976-02, DIN 1055-3:1971-06,
DIN 1055-4:1986-08, DIN 1055-5:1975-06) and earth pressure values calculated as in DIN 4085:1987-02 are
considered characteristic values of actions to DIN 1055-100:2001-03, 6.1.
4.3.2 (2) 3. and 6
In the design of timber components, DIN 1052-1:1988-04 (including DIN 1052-1/A1:1996-10) shall be taken
into account. The characteristic effects of actions determined according to this standard are considered action
effects used in design to DIN 1052-1:1988-04.
4.4, Note 1
The following phrase shall be added to the second sentence: “if included in the Musterliste der Technischen
Baubestimmungen (Model list of acknowledged technical rules for works)”.
6.1.4 (3)
The design of structures and components in earthquake zones 1 to 4 shall be according to the old concept
using global safety factors, and shall be carried out as specified in DIN 4149-1:1981-04 in conjunction with
DIN 1054:1976-11 and DIN 1045:1988-07.
8.1 (2)
For procedures that are not covered by this standard and other special procedures, regulations adopted by
the building inspectorate with the status of acknowledged technical rules for works or proof of usability issued
by the building inspectorate (such as general building inspectorate approvals) shall be taken into account.
121
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DIN 1054:2005-01
8.1 (3), 8.1 (9)
Pile foundation and diaphragm wall construction shall be to the relevant standards.
Bored piles dimensioned to DIN 1054 shall be constructed to DIN EN 1536.
Concrete driven displacement piles and precast concrete foundation piles designed to DIN 1054 shall be
constructed to DIN 4026:1975-08. In this case, DIN 4026:1975-08, clause 8 is no longer valid.
Injection piles with small diameter dimensioned to DIN 1054 shall be constructed to DIN 4128:1983-04. In
such cases there shall be an undated reference to DIN 1054 in DIN 4128:1983-04, Clauses 1 and 4.
DIN 4128:1983-04, 9.1, 9.3, 9.4 and 9.5 are then no longer valid. In DIN 4128:1983-04, 9.2 the following
amendments are made:
Clause 1, 1st sentence is deleted.
Clause 1, 2nd sentence is replaced by the following wording: “In the design of composite piles and in-situ piles
that do not conform to DIN 1045-1, proof of usability is required (e.g. taking the form of a general building
inspectorate approval).”
Clause 2 is replaced by the following wording “Verification of crack control on in-situ concrete piles shall be
carried out according to DIN 1045-1 for the relevant exposure class.”
Clause 3 is joined onto clause 2.
Clause 4 remains in its present form.
Diaphragm wall elements shall be constructed to DIN 4126:1986-08.

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Clause 9, 9.1
Grouted anchors dimensioned to DIN 1054 shall be constructed and tested to DIN 4125:1990-11. In such
cases DIN 4125:1990-11, 8.1 to 8.4 no longer apply. The terms and symbols from DIN 4125:1990-11 are
replaced as shown in Table G.2.
Table G.2 — Terms and symbols: Relationship between DIN 4125:1990-11 and DIN 1054
DIN 4125:1990-11 DIN 1054

Symbol Term Symbol Term
FW Working force Ek Charactestic effect of action
FK Limit force of grouted pile Ra, k Characteristic pull-out resistance
Proof load Proof load for anchor test
FP = ηK × FW ≤ 0,9 FS Pp = ηk × Ek
FP Pp
≤ 0,80 × As × ft,k
≤ 0,95 × As × ft,0,1,k
Creep displacement rate Creep displacement rate

ks ks
ks = (s2– s1)/lg (t2/t1) ks = (sb– sa)/lg (tb/ta)
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DIN 1054:2005-01
The following amendments are made to DIN 4125:1990-11, 8.5:
a) is replaced by the following: ”If temporary anchors are designed to resist passive earth pressure, it shall
also be verified that the limit state condition Ed ≤ Rd is met by the anchor and likewise by the
corresponding effect of actions, assuming redistribution of the active earth pressure”.
b) remains in its present form, however Table G.2 needs to be taken into account.
c) is deleted.
d) The first sentence is replaced by the following: “In addition there should also be an analysis of the proof
force for the component to be anchored”.
The second sentence is deleted.
The third sentence is replaced by the following: ”The partial safety factors for load case LC 3 from table 2
shall be used with the proof force for both permanent and temporary structures.”
The fourth sentence is replaced by the following: “For permanent structures made of reinforced concrete,
a verification of crack control under proof load to DIN 1045-1 is also required if the reinforcement cross
section has been calculated for this load case”.
e) remains in its present form.
f) is deleted.
g) remains in its present form.
9.4.1 (1) to (5)
Serviceability testing of grouted anchors shall be to DIN 4125:1990-11, clause 10.
9.4.1 (7), 9.6 (1)
Acceptance testing of grouted anchors shall be to DIN 4125:1990-11, clause 11.
9.6 (3)
The maximum anchor force shall be calculated as specified in DIN 4125:1990-11, 2.3.6, replacing FW by Ek.
See DIN 4125:1990-11, 12.4 for the determination of the tendon free length, substituting ΔPP for ΔFP.
10.2 (2)
Second indentation: In departure from table G.1, equipment may be used to make linings to support trench
walls, as specified in DIN 4124:2002-10, clause 5.
123
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Din 1054 2005

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Din 1054 2005

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DEUTSCHE NORM January 2005

Document comprises 123 pages

© No part of this translation may be reproduced without prior permission of

This standard is valid as from 1 January 2005.

Copyright Deutsches Institut Fur Normung E.V.

Preamble to this English translation ............................................................................................................9

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6.2.3 Bearing resistances........................................................................................................................ 39

Copyright Deutsches Institut Fur Normung E.V.

8.5.5 Combined pile-raft foundations .....................................................................................................68

10.3.2 Water pressure ................................................................................................................................76

Copyright Deutsches Institut Fur Normung E.V.

12 Overall stability ............................................................................................................................... 89

Table 1 — List of symbols .......................................................................................................................... 20

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See page 6 for **).

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See page 6 for **).

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Preamble to this English translation

Supplementary background information

Copyright Deutsches Institut Fur Normung E.V.

The serviceability limit state is referred to as GZ 2 (SLS).

⎯ Load Case 1 for permanent situations,

⎯ Load Case 2 for construction stage or temporary structures and

Copyright Deutsches Institut Fur Normung E.V.

⎯ the values of the partial safety factors,

⎯ the selected national design approaches,

⎯ specifications on the use of the informative annexes of EN 1997 and

Copyright Deutsches Institut Fur Normung E.V.

The following reference documents played a leading role:

and, to some extent,

DIN 1054:1976-11, Subsoil — Permissible loading of subsoil

DIN EN 1536:1999-06, Execution of special geotechnical work — Bored piles

DIN EN 1537:2001-01, Execution of special geotechnical work — Ground anchors

DIN EN 1538:2000-07, Execution of special geotechnical work — Diaphragm walls

DIN EN 12063:1999-05, Execution of special geotechnical work — Sheet pile walls

DIN EN 12699:2001-05, Execution of special geotechnical work — Displacement piles

DIN EN 12715:2000-10, Execution of special geotechnical work — Grouting

DIN EN 12716:2001-12, Execution of special geotechnical work — Jet grouting

E DIN EN 14199:2001-08, Execution of special geotechnical work — Micropiles.

Copyright Deutsches Institut Fur Normung E.V.

EN 1990:2002, Eurocode: Basis of structural design

E DIN EN 1997-1, Eurocode 7: Geotechnical design — Part 1: General rules.

The following amendments have been made to DIN 1054:2003-01.

a) Corrections and editorial amendments have been made.

b) The “Normative references” clause has been corrected.

DIN 1054:1934-08, 1940-08, 1953-10, 1969-11, 1976-11, 2003-01

Copyright Deutsches Institut Fur Normung E.V.

The standard applies primarily to the following structures and substructures:

a) foundations, e.g. shallow foundations, pile foundations;

b) retaining structures, e.g. gravity walls;

c) slope stabilisations, e.g. by means of soil and rock nails;

d) structures embedded in the ground, e.g. open-cut tunnels;

e) temporary geotechnical structures, e.g. retaining walls for excavations;

f) earthworks, e.g. embankments, cuts.

It also applies to natural slopes.

E DIN 1055-2, Actions on structures — Part 2: Soil properties

E DIN 1055-4, Actions on structures — Part 4: Wind loads

E DIN 1055-5, Actions on structures — Part 5: Snowloads and ice loads

DIN 1055-8, Actions on structures — Part 8: Actions during execution

DIN 1055-9, Actions on structures — Part 9: Accidental actions

Copyright Deutsches Institut Fur Normung E.V.