A simple estimation model for 3D braced excavation wall deflection

A series of two-dimensional (2D) and three-dimensional (3D) finite element analyses using the Hardening Soil (HS) model were carried out to investigate the influences of soil properties, wall stiffness, excavation length, excavation depth, clay thickness at the base of the excavation and wall embedment depth, on the maximum wall deflection induced by braced-excavation. The results show that the 3D maximum wall deflections are generally much smaller than those for 2D. Comparisons were also made with other commonly used semi-empirical charts. Based on the finite element results in this study, a simple wall deflection equation was developed for estimating the maximum wall deflection that takes the 3D effects into consideration through different ratios of excavation length over excavation width.     

Stability of an unsupported vertical circular excavation in clays under undrained condition

By using the axisymmetric finite elements static limit analysis formulation, proposed recently by the authors, the stability numbers (γH/c_o) for an unsupported vertical circular excavation in clays, whose cohesion increases with depth, have been determined under undrained condition; γ = unit weight, H = height of the excavation and c_o = cohesion along ground surface. The results are obtained for various values of H/b and m; where b = the radius of the excavation and m = a non-dimensional parameter which accounts for the rate of the increase of cohesion with depth. The values of the stability numbers increase continuously both with increases in H/b and m. The results obtained in this study compare well with those available in literature.     

Reliability assessment of excavation systems considering both stability and serviceability performance

Excavation projects related to urban redevelopment and infrastructure improvement are often governed by serviceability-based design, rather than failure prevention criteria. Deformation tolerance specifications are often prescribed based on minimizing potential damage to adjacent structures. A risk-based approach to serviceability performance that systematically incorporates design parameter uncertainty will allow engineers to address soil uncertainty in performance-based design. This paper demonstrates the use of various kinds of reliability methods, such as response surface method (RSM), first-order reliability method (FORM), second-order reliability method (SORM), adaptive importance sampling (AIS), Monte Carlo simulation (MCS) and system reliability, to assess the risk of stability and/or serviceability failure of an entire excavation support system throughout the entire construction process. By considering multiple failure modes (including serviceability criteria) of an excavation, the component and system reliability indices for each excavation step are assessed during the entire excavation process. Sensitivity analyses are conducted for the system reliability calculations, which demonstrate that the adjacent structure damage potential limit state function is the dominant factor for determining excavation system reliability. An example is presented to show how the serviceability performance for braced excavation problems can be assessed based on the system reliability index.     

Investigating the effect of soil models on deformations caused by braced excavations through an inverse-analysis technique

In this study, a series of inverse-analysis numerical experiments was performed to investigate the effect of soil models on the deformations caused by excavation by using the finite element method. The nonlinear optimization technique that was incorporated into the finite element code was used for the inverse-analysis numerical experiments. Three soil models (the hyperbolic model, pseudo-plasticity model, and modified pseudo-plasticity model) were employed in the intended numerical experiments on a well-documented excavation case history. The results indicate that wall deflection due to excavation can be accurately back-figured by each of the three soil models, while the ground surface settlement can be reasonably optimized only by the pseudo-plasticity model and the modified pseudo-plasticity model. Importantly, the modified pseudo-plasticity model can yield more reasonable simulations when the wall deflection and the ground surface settlement are simultaneously back-figured. The results show that selection of an adequate soil model that is capable of adequately describing the stress–strain-strength characteristics of the soils is essentially crucial when predicting the excavation-induced ground response.     

Comparison of two inverse analysis techniques for learning deep excavation response

Performance observation is a necessary part of the design and construction process in geotechnical engineering. For deep urban excavations, empirical and numerical methods are used to predict potential deformations and their impacts on surrounding structures. Two inverse analysis approaches are described and compared for an excavation project in downtown Chicago. The first approach is a parameter optimization approach based on genetic algorithm (GA). GA is a stochastic global search technique for optimizing an objective function with linear or non-linear constraints. The second approach, self-learning simulations (SelfSim), is an inverse analysis technique that combines finite element method, continuously evolving material models, and field measurements. The optimization based on genetic algorithm approach identifies material properties of an existing soil model, and SelfSim approach extracts the underlying soil behavior unconstrained by a specific assumption on soil constitutive behavior. The two inverse analysis approaches capture well lateral wall deflections and maximum surface settlements. The GA optimization approach tends to overpredict surface settlements at some distance from the excavation as it is constrained by a specific form of the material constitutive model (i.e. hardening soil model); while the surface settlements computed using SelfSim approach match the observed ones due to its ability to learn small strain non-linearity of soil implied in the measured settlements.     

Probabilistic analysis of the inverse analysis of an excavation problem

This study presents the probabilistic analysis of the inverse analysis of an excavation problem. Two techniques are used during two successive stages. First, a genetic algorithm inverse analysis is conducted to identify soil parameters from in situ measurements (i.e. first stage of the construction project). For a given tolerable error between the measurement and the response of the numerical model the genetic algorithm is able to generate a statistical set of soil parameters, which may then serve as input data to a stochastic finite element method. The second analysis allows predicting a confidence interval for the final behaviour of the geotechnical structure (i.e. second stage of the project). The tools employed in this study have already been presented in previous papers, but the originality herein consists of coupling them. To illustrate this method, a synthetic excavation problem with a very simple geometry is used.     

Probability of serviceability failure in a braced excavation in a spatially random field: Fuzzy finite element approach

A simplified framework is proposed for evaluating the probability of “serviceability failure” in a braced excavation in a spatially random field. Here, the “serviceability failure” is said to occur when the excavation-induced wall or ground movement exceeds specified limiting values. Knowledge of this probability can aid in engineering decision-making to prevent damage to adjacent infrastructures. The proposed framework consists of five elements: (1) finite element method (FEM) for analyzing wall and ground responses in a braced excavation, (2) fuzzy set modeling of parameter uncertainty, (3) spatial averaging technique for handling spatial variability, (4) vertex method for processing fuzzy input through FEM model, and (5) interpretation of fuzzy output. The proposed framework is demonstrated through a well-documented case history. The results show the proposed framework is simple and effective for assessing the probability of serviceability failure in a braced excavation in a spatially random field. To focus on the proposed fuzzy FEM approach, the scope of this paper is limited to one-dimensional modeling of spatial variability with an assumed exponential autocorrelation function.     

Three-dimensional topology optimization for geotechnical foundations in granular soil

This article presents three-dimensional structural optimization in geotechnical engineering for foundations in granular soil. The general design (topology) of a shallow foundation is optimized with respect to its deformational behaviour within the service limit state. The SIMP (solid isotropic material with penalization) method is applied to optimize the distribution of foundation material. The soil is modelled as a hypoplastic material with a constitutive model suitable for optimization using finite element analysis. Two load cases are examined. The optimized topology is validated against two-dimensional optimization and 1g-model test results. The present study proves the applicability and shows the potential of topology optimization in geotechnical engineering.     

Numerical investigation of the failure of a building in Shanghai,China

The overturning failure of a 13 storey residential building in Shanghai, China, has been investigated by plane strain finite element analysis (FEA). The results of the FEA indicate that ultimate failure of the building was probably initiated by the formation of tensile cracking in the reinforced concrete piles located under the side of the building adjacent to an excavation. This eventually led to complete structural failure of the piles located along the excavation side, which probably caused further settlement of the building, leading eventually to a toppling failure resulting in overturning of the entire building. Excessive tensile stress in the piles was probably caused by the combination of excavation of soil at one side of the building and the temporary dumping of the excavated soil on the opposite side of the building. It is likely that the effect of temporary dumping of the excavated soil adjacent to the building was either not considered or not properly taken into account in the foundation design nor the construction operations. A simple but important lesson to be draw from this failure is the need for engineers who design foundations in soft soil regions to consider not only the final loading conditions, but also any temporary and transient loading conditions during the construction process.     

考虑基坑开挖影响的群桩基础竖向承载性状数值分析

对土体采用Mohr-Coulomb弹塑性本构模型,用接触面单元模拟桩-土相互作用,利用ABAQUS建立桩筏基础--地基--基坑开挖三维有限元分析模型。对基坑开挖影响下的群桩基础竖向承载性状进行了分析,讨论了桩顶反力分布、桩身轴力、桩侧摩阻力以及开挖引起的桩身水平位移及其弯矩的变化规律,并进行了考虑基坑开挖与不考虑基坑开挖的群桩基础竖向承载性状的对比分析。通过研究,取得了基坑开挖对高层建筑桩筏基础影响的基本认识,这些认识对于改进桩筏基础设计理论有一定的参考意义。     

Discrete element modeling of crushable sands considering realistic particle shape effect

This study proposed a novel approach for generating crushable agglomerates with realistic particle shapes in discrete element modeling (DEM). The morphologies of sand particles were obtained by X-ray micro-computed tomography scanning and image processing. Based on the particle surface reconstructed by spherical harmonic analysis, the crushable agglomerates with realistic particle shapes can be generated in DEM simulations. The results of single particle crushing tests showed that particle shapes significantly influence the fracture patterns and crushing strengths of sand particles. Furthermore, two one-dimensional compression tests were conducted to investigate the particle shape effect on micro- and macro-mechanical behaviors of crushable sands.     

考虑K0固结的软土基坑工程三维非线性有限元分析

为考虑基坑工程的空间效应,土体分别采用K0固结和正常固结试样固结不排水(CU)试验得到的Duncan-Chang非线性弹性模型和Mohr-Coulomb理想弹塑性模型,运用ABAQUS软件按照三维实体单元、壳单元、梁单元考虑接触相互作用的耦合有限元法,建立了福州市一典型软土基坑工程整体三维有限元分析模型,对基坑施工的各工况下整个体系的响应进行了数值模拟"目标试验",并与实测结果和二维数值模拟结果进行了比较,结果表明,采用K0固结试样CU试验参数的Duncan-Chang模型对该基坑进行的三维非线性数值模拟分析方法是较为可靠的,较之Mohr-Coulomb理想弹塑性模型和二维有限元分析,其结果的优势是明显的,是值得推崇和具有较好应用价值的方法。     

Construction of three-phase data to model multiphase flow in porous media: Comparing an optimization approach to the finite element approach

Multiphase flow modelling is a major issue in the assessment of groundwater pollution. Three-phase flows are commonly governed by mathematical models that associate a pressure equation with two saturation equations. These equations involve a number of secondary variables that reflect the fluid behaviour in a porous medium. To improve the computational efficiency of multiphase flow simulators, several simplified reformulations of three-phase flow equations have been proposed. However, they require the construction of new secondary variables adapted to the reformulated flow equations. In this article, two different approaches are compared to quantify these variables. A numerical example is given for a typical fine sand.     

Parametric study on seismic ground response by finite element modelling

In this paper the results of 2D FE analyses of the seismic ground response of a clayey deposit, performed adopting linear visco-elastic and visco-elasto-plastic constitutive models, are presented. The viscous and linear elastic parameters are selected according to a novel calibration strategy, leading to FE results comparable to those obtained by 1D equivalent-linear visco-elastic frequency-domain analyses. The influence of plasticity on the numerical results is also investigated, with particular reference to the relation between the hysteretic and viscous damping effects. Finally, different boundary conditions, spatial discretisation and time integration parameters are considered and their role on the FE results discussed.     

A simple prediction model for wall deflection caused by braced excavation in clays

Deep excavations particularly in deep deposits of soft clay can cause excessive ground movements and result in damage to adjacent buildings. Extensive plane strain finite element analyses considering the small strain effect have been carried out to examine the wall deflections for excavations in soft clay deposits supported by retaining walls and bracing. The excavation geometry, soil strength and stiffness properties, and the wall stiffness were varied to study the wall deflection behavior. Based on these results, a simple Polynomial Regression (PR) model was developed for estimating the maximum wall deflection. Wall deflections computed by this method compare favorably with a number of field and published records.     

Numerical modeling of ground borehole expansion induced by application of pulse discharge technology

Pulse discharge technology (PDT) is an innovative technique that can be used to enhance bearing capacity of piles and resisting capacity of anchors. It enlarges the section area and compacts the surrounding soil by high-powered shock wave pressure induced by an underwater electrical discharge. This study aims to establish a suitable numerical model for the simulation and prediction of ground borehole expansion induced by PDT. In order to examine the relationship between electricity and the characteristics of shockwaves generated by PDT, laboratory pulse discharge tests were performed using PDT equipment used in current practice. Then, based on the underwater explosion (UNDEX) model and a coupled acoustic–structural analysis scheme, the results of laboratory PDT tests were analyzed and numerically benchmarked to determine the equivalent UNDEX model parameters for providing shock loading input in a ground borehole expansion simulation. A series of expansion simulations for undrained clayey and sandy soils were performed, and the predicted borehole expansion behaviors were compared with the test results. Moreover, a parametric study was conducted to examine the effects of soil properties on the expansion behavior. The results of the numerical work in this study appeared to be consistent with field test results published in the literature and showed that the soil characteristics related with packing, state of stresses, and degree of saturation were important when analyzing borehole expansion behavior.     

A continuum mechanics‐based framework for boundary and finite element mesh optimization in two dimensions for application in excavation analysis

The determination of the optimum excavation sequences in mining and civil engineering using numerical stress analysis procedures requires repeated solution of large models. Often such models contain much more complexity and geometric detail than required to arrive at an accurate stress analysis solution, especially considering our limited knowledge of rock mass properties. This paper develops an automated framework for estimating the effects of excavations at a region of interest, and optimizing the geometry used for stress analysis. It eliminates or simplifies the excavations in a model while maintaining the accuracy of analysis results. The framework can equally be applied to two‐dimensional boundary and finite element models. The framework will have the largest impact for non‐linear finite element analysis. It can significantly reduce computational times for such analysis by simplifying models. Error estimators are used in the framework to assess accuracy. The advantages of applying the framework are demonstrated on an excavation‐sequencing scenario. Copyright © 2005 John Wiley & Sons, Ltd.     

Assessment of strut forces for braced excavation in clays from numerical analysis and field measurements

One important consideration in the design of a braced excavation system is to ensure that the structural bracing system is designed both safely and economically. The forces acting on the struts are often determined using empirical methods such as the Apparent Pressure Diagram (APD) method developed by Peck (1969). Most of these empirical methods that were developed from either numerical analysis or field studies have been for excavations with flexible wall types such as sheetpile walls. There have been only limited studies on the excavation performance for stiffer wall systems such as diaphragm walls and bored piles. In this paper, both 2D and 3D finite element analyses were carried out to study the forces acting on the struts for braced excavations in clays, with focus on the performance for the stiffer wall systems. Subsequently, based on this numerical study as well as field measurements from a number of reported case histories, empirical charts have been proposed for determining strut loads for excavations in stiff wall systems.     

考虑岩体本构及结构尺度效应的地下洞室模型有限元分析

对于地下洞室围岩稳定而言,存在两种尺度效应：一是本构尺度效应,二是结构尺度效应。在地下洞室模型的有限元分析中考察了两种尺度效应的作用。拟定了两种工况：①围岩中任一点的力学性质是该点到洞室中心距离的负幂函数,洞室由小到大,即同时考虑本构尺度效应和结构尺度效应;②围岩的力学性质一定,洞室由小到大,即只考虑结构尺度效应。对两种工况进行了平面应变弹塑性计算,分析了围岩中的应力、位移、及塑性区。从研究结果可知：当考虑岩体力学性质的尺度效应时,洞室围岩中的位移及塑性区均较小;而应力值较高,而不考虑岩体力学性质的尺度效应时的情况与之相反。     

地下隧洞结构区间分析的优化方法

工程中的不确定性问题可以用区间理论、随机理论或模糊理论进行求解。采用区间分析方法来处理地下隧洞结构开挖支护过程中的不确定性问题时。将结构系统中的不确定性参数用区间数来表示,用有限元方法建立系统的控制方程。该控制方程是一个包含不确定性几何参数的复杂的非线性区间方程组。讨论了两种优化计算模型,分别将方程组中的所有区间数作为设计变量,区间量的变化区间作为相应的设计变量的边界约束,运用遗传模拟退火算法求出位移和应力等响应量的最大值和最小值。通过工程算例验证了文中方法的合理性及可行性,并与端点组合方法的结果进行了比较分析。