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2.1. INTRODUCTION
Peck`s 1969 State o the Art Report or the Seenth International Conerence on
Soil Mechanics and loundation Lngineering was the irst comprehensie reiew
o deep excaations in soil, and was a landmark in understanding the actors that
control the perormance o a deep excaation support system. Many papers on
deep excaations hae been published in the interening 29 years since Peck`s
paper. A preliminary search or reerences using an electronic database o
geotechnical engineering journals and conerence proceedings yielded almost 800
reerences with the keyword excaation. Approximately 80 o these were ound
to contain signiicant lessons concerning the behaior o deep excaations in soil,
and these are summarized and discussed in this chapter.
WHAT IS MEANT BY PERFORMANCE OF DEEP EXCAVATIONS?
Perormance o a deep excaation is related to both stability and deormation.
Deep excaations are designed to be stable and to limit deormations to
acceptable leels. A stable deep excaation is an excaation whose walls do not
collapse, and whose base does not heae uncontrollably. Ground deormations
around excaations can damage adjacent buildings, streets, and utilities. 1he
seerity and extent o damage depends on the magnitude and pattern o ground
moements around the excaation.
Chapter 2 Daid J. Bentler 8
Stability and deormation are related. I the actor o saety against collapse is
large, strains in the soil around the excaation will be small, and ground
moements will be small. On the other hand, i the actor o saety against
collapse is close to one, strains in the soil around the excaation will be large, and
ground moements can be large.
1hus, prediction o deep excaation perormance inoles analysis o both
stability and deormation. Lxperience has shown that stability can be ealuated
with suicient accuracy using simple limit equilibrium calculations.
Deormations, howeer, are signiicantly more diicult to predict, and inite
element analyses are oten used or this purpose when ground moements are
particularly important.
DEEP EXCAVATION SUPPORT SYSTEMS
1he excaation o soil rom a deep excaation has two main eects. 1he irst is
that the remoal o the weight o the excaated soil results in a decrease in the
ertical stress in the soil beneath the excaation. 1he second is that the remoal
o the soil in the excaation results in a loss o lateral support or the soil around
the excaation. 1he purpose o a deep excaation support system is to proide
lateral support or the soil around an excaation and to limit moement o the
surrounding soil.
Support systems or deep excaations consist o two main components. 1he irst
is a retaining wall. 1he second component is the support proided or the
retaining wall. Many types o walls and supports hae been used in deep
excaations. 1he principal types o walls are diaphragm structural slurry,, sheet
pile, soldier piles and lagging, tangent piles, contiguous piles, and deep soil mixed
walls. 1he principal types o supports are struts braces,, rakers, and tieback
anchors. 1he book by Puller 1996, describes these and other, less widely used
support systems in considerable detail.
Preious Reiews 9
ORGANIZATION OF LITERATURE REVIEW
1he reerences reiewed or this ealuation o published literature are diided
into three categories. 1he irst is state o the art papers or signiicant reiew
papers on deep excaations. 1he second is papers describing analytical studies o
deep excaation perormance. 1he third category is ield studies o deep
excaation perormance. 1he reerences in these categories are summarized and
discussed in the ollowing sections.
2.2. PREVIOUS REVIEWS
lie state o the art papers or signiicant reiews o excaation perormance were
ound during this reiew. 1hese are Peck 1969,, Lambe 190,, Goldberg et al.
196,, O`Rourke 1981,, and Clough and O`Rourke 1990,.
In the nearly 30 years since Peck`s landmark paper, the state o the art in deep
excaations has improed signiicantly with regard to the quality o construction
that can be achieed, the amount o ield perormance data aailable, and the
sophistication o analyses that can be perormed. 1his ealuation is relected
clearly in the literature.
PECK (1969)
Perhaps the best known and most reerenced paper on deep excaations is Peck`s
1969 state o the art paper on tunneling and deep excaations. Peck considered
deep excaations to be excaations with ertical sides that require lateral support.
Lateral moements, ground settlements next to excaations, base ailure by
heae, methods or reducing ground settlement next to excaations, and earth
pressure diagrams or deep excaation design are the main topics discussed by
Peck. 1he obserations in Peck`s paper are based on his personal experience and
inormation rom published case histories. 1here are three major themes in
Peck`s discussion o deep excaations. One is the importance o soil type and
properties on the perormance o deep excaations. 1he second is the
importance o the depth o excaation. 1he third is the importance o what Peck
called workmanship` in controlling moements. Vorkmanship includes actors
such as prompt installation o supports.
LAMBE (1970)
Lambe`s 190 paper on braced excaations ocused on design and analysis o
deep excaations and their support systems. Lambe reiewed actors inluencing
the moement o soils due to excaation and the engineering o deep
excaations. le included three case histories o excaations or the MB1A
subway in Boston, and applied the state o the art in design and analysis to each
o the three cases and then compared predictions to measured perormance.
Lambe concluded that the state o the art or the design and analysis o braced
excaations was ar rom satisactory, since support system loads and ground
moements could not be predicted with conidence. Lambe also suggested that
the inite element method, and experience shared through published case
histories, were the two most promising ways or gaining an understanding o
deep excaation perormance.
GOLDBERG ET AL. (1976)
In 196 Goldberg et al. wrote a three-olume report or the llVA on design
recommendations, design considerations, and construction techniques or lateral
support systems. 1he report is a comprehensie source o inormation on the
state o practice in 196. 1he authors used inormation rom the measurements
and perormance o 63 case histories as a basis or estimating maximum
horizontal wall moements, maximum ground settlements, and the shape o the
settlement proile o the ground surace adjacent to excaations. 1he authors
correlated the magnitude o deormations and the settlement proile to
excaation depth and soil type.
Preious Reiews 11
OROURKE (1981)
O`Rourke examined ground moements caused by braced excaations and
related construction actiities. le pointed out the importance o site preparation
actiities on ground moements. le listed relocation and underpinning o
utilities, dewatering, support wall construction, and deep oundation installation
as a ew o the site preparation actiities that can cause ground moements. le
also studied the relationship between the delected shape o the excaation
support wall and the ratio o horizontal to ertical moement o the ground
surace by reiewing perormance data rom seen case histories. le concluded
rom his analysis that the ratio o horizontal to ertical moements o the ground
surace is 1.6 or pure cantileer deormation and 0.6 or pure bulging
deormation o the wall. O`Rourke also drew conclusions about the eects o
brace stiness, pre-stressing o braces, and timing o brace placement. le
obsered that the eectie stiness o braces could be as low as two percent o
the ideal stiness AL,L, due to the eects o compression in connections and
bending o braces.
CLOUGH AND OROURKE (1990)
Clough and O`Rourke studied the moements due to deep excaations by
examining inormation rom case histories and preious studies. 1hey diided
moements into two types. One is moement due to the excaation and support
process, and the other is moement caused by auxiliary construction actiities.
1hey summarized moement inormation rom case histories to aid in estimating
maximum wall moements and settlement proiles o the ground next to
excaations. 1hey concluded rom their study that moements due to deep
excaations could be predicted within reasonable bounds i the signiicant
sources o moement are considered.
LESSONS LEARNED FROM PREVIOUS REVIEWS OF DEEP EXCAVATIONS
1he papers by Peck 1969,, Lambe 190,, Goldberg et al. 196,, O`Rourke
1981,, and Clough and O`Rourke 1990, made signiicant contributions to the
geotechnical engineering proession`s understanding o deep excaations.
Important lessons learned rom these reiews are:
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All o the preious reiew papers show that soil type is a key actor in the
perormance o deep excaations. Soil type is important because the
perormance o deep excaations is goerned by the interaction between the soil
and the support system.
Peck 1969, summarized inormation rom case histories on ground settlements
adjacent to excaations and showed that settlements next to deep excaations
correlate to soil type. Peck`s igure summarizing the case history settlement
inormation is reproduced in ligure 2.1. As can be seen in the igure, Peck
proposed three zones o settlement proiles based on soil conditions, and
workmanship.
Goldberg et al. 196, summarized inormation on wall moements rom case
histories. 1heir results show that wall moements or excaations in sand and
grael or ery sti to hard clay are usually less than 0.4 percent o the excaation
depth. 1heir results also showed that wall moements or excaations in sot
soils aeraged about 1 percent o the excaation depth.
Preious Reiews 13
ligure 2.1. Summary o settlements adjacent to open cuts in arious soils, as
unction o distance rom edge o excaation rom Peck, 1969,.
Goldberg et al. 196, and Clough and O`Rourke 1990, showed that the pattern
o settlements next to excaations is inluenced by soil type. ligure 2.2 shows
normalized settlement enelopes Clough and O`Rourke proposed or estimating
patterns o settlement next to excaations due to excaation and bracing
actiities.
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Another important lesson learned rom the preious reiews is that supports
must be placed promptly in order to minimize wall moements. Vall moements
can increase during delays in support installation due to two causes. One is time-
dependent deormation. 1ime-dependent deormation may be caused by
consolidation o soils, soil creep, or creep o structural members. 1he second
cause is oer-excaation. 1he term oer-excaation describes the delay o
support installation while excaation continues. Peck 1969,, O`Rourke 1981,,
Clough and O`Rourke 1990, emphasized that oer-excaation can lead to
signiicant increases in wall and ground moements.
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Goldberg et al. 196,, O`Rourke 1981,, and Clough and O`Rourke 1990,
emphasized that pre-stressing or pre-loading, tieback anchors or bracing is
eectie in minimizing wall moements. 1his obseration was based primarily
on inormation rom case histories. 1here are two reasons why pre-stressing is
beneicial. One is that pre-stressing braces remoes slack rom connections
O`Rourke, 1981,. Another reason is that the pre-stressing braces or tieback
anchors reloads the soil behind the wall, which also makes soils stier Goldberg
et al., 196, Clough and O`Rourke, 1990,.
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Peck 1969,, Lambe 190,, Goldberg et al 196,, and O`Rourke 1981, noted
that excaation dewatering can cause consolidation o soil and lead to settlement
Preious Reiews 15
ligure 2.2. Dimensionless settlement proiles recommended or estimating the
distribution o settlement adjacent to excaations in dierent soil
types rom Clough and O`Rourke, 1990,.
o the ground next to an excaation. Dewatering can cause settlements oer a
much larger area than the area aected by the excaation itsel. Dewatering can
also cause ground loss in ine sands or silty soils.
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Another important lesson learned rom the preious reiews is the importance o
construction sequencing. Construction sequencing is the order in which work
related to a deep excaation is perormed. Construction sequencing is important
because soils are non-linear and their behaior depends upon the loading path.
lor instance, consider a case where all o the soil is excaated beore the lateral
support bracing is installed, ersus excaating in seeral stages and installing
braces ater each stage. 1he behaior o the excaation would be ery dierent
or these two dierent construction sequences. 1he irst method might een lead
to collapse, while the second might limit moements to small amounts.
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Peck 1969, emphasized the importance o workmanship in the perormance o
deep excaations. le included workmanship as a actor in the three settlement
proile zones he proposed. Peck obsered that poor workmanship or example,
late or sloppy installation o supports, could easily cause larger moements.
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Another lesson learned rom the preious reiews is that many details that might
seem insigniicant can be important actors in the perormance o deep
excaations. Peck 1969, noted that the method o placing lagging in soldier pile
and lagging walls could be important. le considered our dierent methods that
are shown in ligure 2.3. Peck noted a case where methods a and b were used by
Preious Reiews 1
ligure 2.3. Methods or transerring earth pressure rom lagging to soldier piles,
a, lagging wedged against inside langes o soldier piles, b, lagging
set behind outside langes o soldier piles, c, grout illing between
lagging and soil, d, contact sheeting rom Peck, 1969,.
the same contractor on two neighboring sites in similar soils. 1he settlements
experienced next to the excaation with method b were three times larger than
with method a. Peck obsered that methods c and d are better than methods a
and b because the contact between the soil and the lagging is better.
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Goldberg et al. 196, included temperature-induced strain as a design
consideration or braced excaations. Changes in temperature can cause
signiicant thermal stresses or strains in braces.
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Peck 1969, noted that close spacing o bracing could substantially reduce lateral
moements. Lambe 190,, Goldberg et al. 196,, O`Rourke 1981,, and Clough
and O`Rourke 1990, made similar obserations. Goldberg et al. 196,
suggested quantiying the stiness o the support system by diiding the bending
stiness o the wall by the maximum support spacing h, raised to the ourth
power LI,h
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,. ligure 2.4, rom Clough and O`Rourke, illustrates the eect o
support system stiness on wall displacements.
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Another important lesson rom the preious reiew papers is that large initial
lateral soil stresses can adersely aect deep excaations. Peck 1969, noted that
basal ailure could occur in excaation in soils with large initial lateral stresses.
Peck also noted that the ground next to deep excaations in sti oer-
consolidated clays might rise instead o settle. Goldberg et al. 196, noted some
experiences in case histories that indicated the potential or ery large lateral
moements o tied back walls in oer-consolidated clays. Goldberg et al. cited
Vard 192, who had obsered horizontal strains two to three times ertical
strains in oer-consolidated London clay. Clough and O`Rourke 1990, pointed
Preious Reiews 19
ligure 2.4. Chart or estimating maximum lateral wall moements and ground
surace settlements or support systems in clays rom Clough and
O`Rourke, 1990,.
out that moements in the anchorage zone or tied back walls could occur in
oer-consolidated clays with high lateral stresses.
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Diaphragm walls are sti, are constructed in situ and in contact with the soil, and
are essentially watertight. Goldberg et al. 196, studied inormation rom case
histories and concluded that using diaphragm walls in weak soils reduced
moements to about a ourth o those experienced with sheet pile walls in weak
soils. Clough and O`Rourke 1990, also obsered that sti walls help limit
moements in sot soils. Clough and O`Rourke 1990, pointed out that the use
o diaphragm walls eliminates oid closure and running soil problems that can
occur with soldier pile and lagging walls.
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Another lesson learned rom the preious reiews is that auxiliary construction
actiities should be considered in ealuating or estimating deep excaation
perormance. lor example, O`Rourke 1981, obsered that driing and remoing
oundation piles caused about 30 o the measured ground moements at the
Lmbarcadero III Project in San lrancisco. O`Rourke 1981, also obsered that
ground loss during installation o drilled caissons in excaations could be another
source o moements, as could moements during support wall construction.
Clough and O`Rourke 1990, studied settlement measurements rom six case
histories o slurry wall construction. 1hey obsered that settlements as large as
0.12 o the wall depth had been obsered and that settlements occurred out to
a distance o twice the wall depth rom the edge o the wall.
Analytical Studies o Deep Lxcaations 21
2.3. ANALYTICAL STUDIES OF DEEP EXCAVATIONS
1he purpose o this section is to examine published analytical studies o deep
excaations. 1able 2.1 is a summary o 38 reerences concerned with analytical
studies o deep excaations.
LESSONS LEARNED FROM ANALYTICAL STUDIES OF DEEP EXCAVATIONS
1he papers summarized in 1able 2.1 show that the inite element method has
been used extensiely or inestigating the behaior o deep excaations. 1he
ollowing paragraphs summarize some important lessons learned rom analytical
studies.
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One important lesson learned rom the reerences in 1able 2.1 is that
consolidation is an important actor in the perormance o deep excaations in
clay. Osaimi and Clough 199,, \ong et al. 1989,, linno et al. 1991,, and Ou
and Lai 1994, show the importance o consolidation. 1hese our reerences are
described in the ollowing paragraphs.
Osaimi and Clough 199, presented one o the irst coupled consolidation inite
element studies o deep excaation perormance. Coupled consolidation inite
element analyses sole the equilibrium problem and the transient seepage
problem simultaneously. Osaimi and Clough`s objectie was to see whether or
not uncoupled undrained inite element analyses are a reasonable way o
predicting the perormance o excaations in clay. Uncoupled undrained inite
element analyses consider only the equilibrium problem in terms o total stresses
i.e. changes in pore pressures are not considered,. Osaimi and Clough
concluded that the partial drainage that occurs during excaations in clay can be
ery signiicant depending on the permeability o the clay, the construction time,
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1able 2.1. Analytical Studies o Deep Lxcaations.
1able 2.1. continued
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Clough, G.V. and 1sui,
\. 194,
Compared the perormance o tied back walls
and braced walls using inite element analyses.
Lxamined the eects o pre-stressing, anchor
stiness, anchor spacing, wall rigidity, and
excaation depth on tied-back walls with
parametric inite element studies
Concluded that tied-back walls are not
inherently better than braced walls, pre-stressing
and increasing wall and anchor stiness can
reduce soil moements with tied-back walls,
oer-excaation can easily double moements,
widely spaced tiebacks can cause large
concentrations in earth pressure at the anchor
leels.
1sui, \. and Clough, G.
194,
Inestigated the eects o the plane strain
assumption and the use o planar walls on the
results o 2-D inite element studies by using
model tests and analytical studies.
Presented a design chart, which allows error in
plane strain assumption to be estimated or tied
back excaations. Concluded that using the
plane strain assumption to analyze Berlin or
light sheet pile walls is inappropriate, but
structural slurry walls approximately satisy
plane strain conditions.
Osaimi, A, L. and
Clough, G. V. 199,
Studied the eects o consolidation during and
ater excaation with a coupled inite element
program.
Concluded that the undrained condition
commonly assumed to exist at the end o
excaation in clays is unlikely to exist.
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Clough, G. V. and
lansen, L. A. 1981,
Lxamined the eect o anisotropy on the
perormance o braced wall with limit
equilibrium analyses o basal stability and inite
element analyses o deormation. Perormed
parametric studies o the eects o anisotropy
using the inite element method.
Concluded that actors o saety computed or
basal heae without accounting or anisotropy
can be 50 too large. Parametric studies
showed that lateral wall moements and ground
settlements could be higher due to anisotropy.
Mana, A. I. and Clough,
G. V. 1981,
Studied behaior o braced excaations in clay
using ield perormance and parametric inite
element studies in order to deelop a simpliied
method or predicting moements.
Concluded that magnitude o moements could
be correlated with actor o saety against basal
heae. lound that increasing wall-bending
stiness, decreasing strut spacing, or increasing
pre-loading decrease moements. Concluded
that soil modulus is a ery signiicant actor in
perormance o braced excaations in clay.
Kaiser, P. K. and lewitt,
K. J. 1982,
Used numerical and simpliied models o low
to illustrate eects o seepage on resultant water
pressure, actie and passie earth pressures, and
piping and bulk heae potential.
lound that seepage can signiicantly reduce the
aailable passie resistance in ront o the toe o
a wall. Concluded that the assumption o low
patterns or homogeneous isotropic conditions
used in many design methods may lead to
unsae designs.
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Milligan, G. V. L. 1983, Studied the deormations behind lexible
retaining walls anchored at the top analytically.
Also, perormed model tests with dense sand to
study the deormations.
Proposed a elocity ield method or predicting
deormations behind lexible walls anchored at
the top rom the delected shape o the wall.
lound the the settlement proile behind a
lexible wall in sot clay should be
approximately the same as the delected wall
shape.
Jardine, R. J., Potts, D.
M., lourie, A. B., and
Burland, J. B. 1986,
Perormed a study using the inite element
method to assess the inluence o material non-
linearity o soil on behaior o ootings, piles,
excaations and pressuremeter tests. Sought to
identiy important eatures o non-linear stress-
strain characteristics, to discuss problems o
selecting elastic moduli or simple elastic
calculations, and to draw attention to diiculties
o interpreting in situ test results.
Concluded that non-linear behaior o soils
must be accounted or in order to properly
study soil-structure interaction problems.
Concluded that non-linear stress-strain
characteristics hae a signiicant inluence on
the magnitude o wall delections and the
pattern o ground settlements
Vong, K. S., Vong, I. l.,
and Broms, B. B. 198,
Studied three methods or stabilizing braced
excaations in sot ground using inite element
analyses. 1he methods studied were jet
grouting between the support walls, driing
timber piles in ront o the toe o the support
walls, and excaating under water.
lound that all three methods improed the
stability o the excaation. Concluded that
excaation under water appeared ery eectie.
Suggested that transerse diaphragm wall
members below the excaation and between the
support walls could be another eectie
method or stabilizing braced excaations.
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Clough, G. V., Smith, L.
M., and Sweeney, B. P.
1989,
Presented a method using moement control as
a central ocus in the design o excaation
support systems. Discussed procedures to
guide the estimation o excaation support
system moements. Used case histories to
illustrate beneits o the proposed method.
Concluded that the proposed method
represents a means o designing support
systems based on deormation criteria rather
than strictly on stability criteria. Presented a
chart or calculating settlements in loose sands
due to sheet pile driing.
Vong, K. S. and Broms,
B. B. 1989,
Studied the inluence o undrained shear
strength, excaation width, excaation depth,
wall stiness, wall penetration, and depth to
hard stratum on lateral delections o braced or
anchored sheet pile walls in clay with the inite
element method. Proposed a simple procedure
to estimate lateral delections.
1he inite element analyses showed that the
actor o saety against basal heae controls
settlements and lateral delections. Concluded
that wall stiness and spacing between struts
are important actors. lound that decreasing
spacing between struts helps to minimize
moements.
\ong, K. \., Lee, l. l.,
Parnploy, U., and Lee, S.
L. 1989,
Compared the results o undrained and
consolidation inite element analyses with
measured perormance o an actual deep
excaation in clay.
Undrained analysis underestimated sheet pile
moement. Consolidation analysis captured
progressie moement o sheet pile and
increase in strut loads.
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Borja, R. I. 1990, Studied problems associated with accurate
incremental excaation modeling. Presented a
new inite element program or soil-structure
problems. Perormed plane strain,
axisymmetric, and 3-D drained and undrained
analyses o trial excaation problems in clay
using the Modiied Cam Clay model. Also used
the inite element program to analyze a braced
excaation case history rom San lrancisco.
Concluded that analytically correct and accurate
algorithms are needed to understand the
signiicance o arious actors on excaation
perormance.
Goh, A. 1. C. 1990, Perormed parametric studies using the inite
element method to assess the eects o the wall
properties, depth to competent soil, excaation
width, and wall embedment on deep excaation
stability in clay. Presented a procedure or
predicting the basal stability o braced
excaations in sot clay.
Parametric studies showed that thickness o the
clay layer beneath the excaation, embedment
depth o wall, and the stiness o the wall are
important actors aecting basal stability.
Liao, S. S. C. and Ne, 1.
L. 1990,
Presented a rational ramework or estimating
actual earth pressures or the design o deep
excaation supports. Used Lambe`s stress path
method to examine soil behaior in clays during
and ollowing excaation.
Proposed using intermediate earth pressures
between actie and passie, that depend upon
anticipated moements or allowable
moements, as design earth pressures.
Concluded that long term increases in lateral
earth pressure in cohesie soils ollowing an
excaation is due to dissipation o excess pore
pressures.
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Athanasiu, C. M.,
Simonsen, A. S., and
Ronning, S. 1991,
Presented an anisotropic kinematic strain
hardening model based on Bjerrum's work or
clays. Used the inite element program
SSlLAX and the new model to analyze the top
down construction o the Old Viking lotel and
an anchored sheet pile wall or the excaation
o the Bank o Norway in Oslo, Norway.
Concluded that inite element analyses gae
satisactory results.
linno, R. J., larahap, I.
S., and Sabatini, P. J.
1991,
Perormed parametric studies o the behaior
o the lDR-4 braced excaation with a coupled
inite element ormulation to ealuate the
current state o the art. Considered the eects
o constitutie model, boundary conditions,
construction process, and oer-excaation.
Concluded that soil response on the passie
side o the support wall controls behaior,
anisotropy is an important actor that should be
considered, and sheet-pile delections can be
accurately computed throughout the excaation
process. Also ound that predicted settlements
dierge rom obsered moements due to large
strains and the inability o soil models to model
strain localization.
lo, D. K. l. and Smith,
I. M. 1991,
Lxamined the importance o construction
processes on braced excaation perormance by
analyzing the Vaterland I and lDR-4
excaations with a inite element program using
an elastic-plastic soil model.
lound that inite element calculations can
capture most o the physical eatures obsered
in deep excaations. Suggested that
disagreement in patterns o obsered and
calculated moements was due to assumption
o initial perectly elastic soil response.
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Powrie, V. and Li, L. S.
l. 1991,
Inestigated the behaior o cantileer
structural slurry walls orming permanent
retaining wall system or a depressed highway
with parametric inite element studies o the
eects o soil, wall, and prop stiness, and
lateral earth pressure coeicient K
o
,.
lound soil stiness, the alue o K
o
, and the
structural connection between the roadway slab
and the wall were important actors in the
behaior o the walls. lound that reducing the
thickness o the concrete roadway reduced wall
delections.
Smith, I. M. and lo, D.
K. l. 1992,
Perormed inite element analyses o our
construction scenarios o a braced excaation
using elastic-plastic soil model. 1he scenarios
diered in the sequencing and timing o strut
placement. Compared settlement proiles to
Peck 1969,.
lound that the eect o increasing wall stiness
can be almost zero depending upon
construction technique. Concluded that
knowing construction technique is at least as
important as soil characterization when
analyzing deep excaations.
Comodromos, R.,
latzigogos, 1., and
Pitilakis, K. 1993,
Presented a multi-stage inite element algorithm
or simulating excaation in elastic-plastic soils.
lound that inal solution or excaations in
elastic-plastic soils is dependent on the number
o stages used.
Kishnani, S. S. and Borja,
R. I. 1993,
Studied the inluence o drainage conditions
and wall to soil interace on wall pressures and
wall deormation using a non-linear inite
element code. Perormed mesh conergence
studies to assess discretization errors.
lound that wall pressures and deormation
increase with decrease in adhesion between
sheet pile wall and soil. Concluded that seepage
is the most important actor in wall
perormance, since it changes earth pressures
behind and in ront o the wall.
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Balasubramaniam, A. S.,
Bergado, D. 1., Chai, J.
C., and Sutabutr, 1.
1994,
Analyzed the perormance o six deep
excaations with dierent support systems and
construction methods in Bangkok subsoils.
Parametric inite element studies o the eects
o pre-loading, barrette pile and oundation pile
installation, embedment depth, and surcharge
are also presented.
Analytical results agreed in general with
obsered behaior. Concluded that the
stiness o the retaining wall and bracing
elements control deormations. lound that
diaphragm walls perormed better smaller
moements, than sheet-pile walls. lound that
wall embedment depth was a more signiicant
perormance actor with sheet pile walls than
diaphragm walls.
lourie, A. B. 1994, Used the inite element method to examine the
eect o strut stiness, wall stiness, pre-
stressing, depth o sot clay beneath excaation,
and excaation width on the Vaterland, Norway
braced excaation in sot clay. 1he Modiied
Cam Clay model was used.
Concluded that Peck's apparent earth pressure
diagrams may not always be conseratie and
should be applied with caution. lound that
depth o the sot clay layer below the excaation
had a signiicant eect on the pattern o ground
moements.
Goh, A. 1. C. 1994, Inestigated basal stability o braced
excaations in sot clay by repeated inite
element analyses with actored strength and
constant modulus to strength ratio. Instability
was deined by large displacements.
Concluded that 1erzaghi's method or actor o
saety may be conseratie when thickness to
hard stratum is less than excaation width.
lound that increasing wall stiness slightly
increased actor o saety against basal heae.
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Ou, C.-\. and Lai, C.-l.
1994,
Sought a rational procedure or determining soil
parameters or inite element analyses o deep
excaations. Studied the eects o
consolidation on wall deormation and
settlements.
lound that consolidation analysis results agree
better with obsered behaior than undrained
analysis results or excaations with long
construction periods. lound that pore water
pressures beneath excaation abruptly decrease
and then recoer with time ollowing
excaation.
Richards, D. J. and
Powrie, V. 1994,
Lxamined the eects o construction sequence
and pre-excaation lateral earth pressures on the
behaior o an in situ wall braced at the top and
bottom using inite element analyses.
lound that minimum wall moements occurred
with top down construction with temporary
props. Minimum bending moments occurred
in open cut. Largest wall displacements
occurred or open cut. Increasing the
coeicient o in situ lateral earth pressure
increased bending moments and strut loads, but
did not signiicantly change deormations
because soil stiness increased with mean
eectie stress.
Rodriguez-Ortiz, J. M.
1994,
Used a 1-D beam on subgrade program to
study tied-back and braced excaations.
Concluded that sti walls with tie back anchors
limit delections, and wall moements can
double i support stiness is low and pre-
loading is zero. lound that rigid walls exhibit
cantileer type displacements compared to
lexible walls, which tend to bulge near the
bottom o the excaation.
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Schweiger, l. l. and
lreiseder, M. 1994,
Lxamined the eects o the diaphragm panel
construction on in situ stresses. Simulated the
construction o diaphragm wall panels in a
sandy silt,clay using 3-D elastic-plastic inite
element analyses. Studied the eects o
bentonite slurry leel in the panel and the luid
pressure o iscous resh concrete on the soil
and presented patterns o moements.
Concluded that signiicant settlements may
occur during wall construction or the gien soil
conditions. Settlements rom construction
stage were approximately 50 o inal
settlements. lorizontal stresses increased by
about 10 rom in situ stresses due to wall
construction.
Goh, A. 1. C., Vong, K.
S., and Broms, B. B.
1995,
Deeloped a neural network or predicting wall
displacements in braced excaations. 1he
neural network learned rom perormance data
and parametric inite element studies.
1he neural network produced reasonably
accurate wall displacements ater learning rom
inite element study results. Concluded that the
ability o neural networks to absorb new data
and quickly make predictions makes neural
networks a useul tool.
Ng, C. V. V. and Lings,
M. L. 1995,
Lxamined the eects o soil model type and
method o modeling the wall construction on
the quality o inite element analysis predictions.
Compared Mohr-Coulomb MC, elastic-plastic
and Simpson 1992, nonlinear brick` soil
models. Compared wishing` wall into place
ersus modeling wall construction.
lound that using the brick` model and
modeling wall construction gae the best
agreement with obserations, using the MC
model and wishing the wall into place gae
reasonable results, and using the MC model and
modeling wall construction gae unsatisactory
results. Concluded that correct assessment o
appropriate mean soil stiness is ery important
when using the MC model.
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Ng, C. V. V., Lings, M.
L., Simpson, B., and
Nash, D. l. 1. 1995,
Studied 3-D eects o diaphragm panel
construction using plane strain and plane stress
2-D inite element analyses. Analyzed the
diaphragm wall at Lion \ard, Cambridge using
a two step modeling approximation.
Concluded that horizontal arching and
downward load transer dominate stress
changes during wall panel construction.
Downward load transer caused decrease in
lateral stress in soil next to panel. lound that
horizontal arching causes stress redistribution
during panel by panel construction, but does
not signiicantly reduce stresses at the end o
wall construction.
1abrizi, K.S., Gucunski,
N., and Maher, M.l.
1995,
Studied an excaation supported by a soil nailed
wall with three rows o nails using 3-D inite
element analyses.
lound that soil nails hae a negligible eect on
ertical stresses. Concluded that soil nails sere
to lock in a portion o the in situ compressie
horizontal stresses. Stress in soil nails increased
with increasing excaation depth. Soil nail
stresses were higher in nails closer to bottom o
excaation.
lashash, \. M. A. and
Vhittle, A. J. 1996,
Inestigated the eects o wall embedment
depth, support conditions, and stress history
proile on the perormance o a braced
diaphragm wall in Boston Blue Clay using
nonlinear coupled undrained inite element
analyses. Summarized parametric study results
into charts or estimating ground moements as
unction o the excaation depth, support
conditions, and wall length.
Concluded that limit equilibrium methods or
estimating actor o saety against basal heae
oerestimate the stable depth, because they
don't consider strength anisotropy and the
increase o strength with depth. lound that
deep-seated moements below excaation grade
control wall deormation and ground
settlements.
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Ou, C.-\., Chiou, D.-C.,
and Vu, 1.-S. 1996,
Proposed a nonlinear, three-dimensional inite
element technique or analyzing deep
excaations. Studied the eect o the existence
o corners on the delection behaior o an
excaation by analyzing a typical excaation in a
sot to medium sti clayey subsoil stratum.
Proposed a relationship or estimating 3-D
maximum wall delection based on 2-D lLM
results. 3-D analyses showed that corners
restrained wall deormations. 1he restraining
eect o corners decreased as the distance rom
a corner increased.
Ou, C.-\., Vu, 1.-S., and
lsieh, l.-S. 1996,
Proposed a method or ealuating composite
properties o soil masses subject to soil
improement with jet grouting or deep soil
mixing. Demonstrated method by perorming
3-D inite element analysis on a hypothetical
excaation
lound that computational saings are achieed
by using one composite material. linite
element analysis results agreed well with
obsered behaior rom case history
lsieh, P.G. and Ou, C.\.
199,
Lxtended Duncan and Chang's hyperbolic
model with plasticity theory or the ~ 0
condition. Studied a case history o an
excaation using a inite element analysis and
the modiied hyperbolic model.
linite element analysis using modiied
hyperbolic model gae reasonable agreement
with obsered wall and soil behaior.
Lee, l.l., \ong, K.\.,
Quan, K.C.N., and Chee,
K.1. 1998,
Studied the eects o corners on the behaior
o the braced excaation or the Immigration
Building in Singapore with 2-D and 3-D inite
element analyses.
Concluded that corners inluenced the wall
moements and settlement o the ground next
to the excaation. lound that 3-D analyses
agreed well with the obsered behaior.
Obsered that excaation geometry and
construction sequence must be modeled
accurately to obtain reasonable predictions with
inite element analyses.
and the boundary conditions, and that careul thought should be gien beore
using undrained analyses or deep excaations in clay.
\ong et al. 1989, studied the behaior o a braced excaation in clay with a
coupled consolidation inite element program. 1heir analyses showed that the
excaation process generated negatie excess pore pressures under the base o an
excaation and that the dissipation o these excess pore pressures caused loss o
passie soil resistance and time-dependent wall deormations.
linno et al. 1991, used a coupled consolidation inite element program to study
the lDR-4 braced excaation in Chicago. 1heir results showed that
consolidation during excaation caused loss o passie soil resistance and time-
dependent wall and ground moements.
Ou and Lai 1994, studied the eects o consolidation on wall deormation and
wall settlements by comparing results rom undrained and coupled inite element
analyses o an actual deep excaation. 1hey ound that the results o the coupled
analyses agreed well with the obsered behaior.
1he papers by Osaimi and Clough 199,, \ong et al. 1989,, linno et al. 1991,,
and Ou and Lai 1994, show that signiicant consolidation can take place during
the construction o a deep excaation in clay and that the eects o consolidation
are signiicant. Consolidation and swelling during excaation result in changes in
the shear strength o soils and time-dependent deormations.
Anisotropy is an important factor in the performance of deep
excavations
Another lesson learned rom reiewing the reerences in 1able 2.1 is that
anisotropy o strength and stress-strain behaior in soils can hae a signiicant
eect on excaation perormance. 1he papers by Clough and lansen 1981, and
linno et al. 1991, show that anisotropy inluences the magnitude and pattern o
deormations in the cases they studied.
Clough and lansen 1981, studied the eects o anisotropy on basal heae, wall
moements, and loads on the support system. 1hey included strength anisotropy
in limit equilibrium studies o basal heae potential. 1hey concluded that
anisotropy can hae a signiicant eect on basal heae potential. 1hey also
perormed parametric studies with uncoupled undrained inite element analyses
on a hypothetical braced excaation. Undrained shear strength and the tangent
modulus were assumed to ary with the angle o principal stress reorientation.
Clough and lansen concluded rom their inite element studies that anisotropy
can increase wall moements and settlements, and can change the distribution
and magnitude o loads on braces.
linno et al. 1991, perormed parametric studies o the well-instrumented lDR-
4 braced excaation in sot to medium saturated clays in Chicago using coupled
inite element analyses. 1hree constitutie models were used Modiied Cam
Clay, anisotropic bounding surace, and isotropic bounding surace,. linno et al.
ound that using the anisotropic bounding surace model Banerjee and \ousi,
1986, gae the best agreement with the obsered perormance o the excaation,
and concluded that anisotropy reduced the aailable passie resistance o the clay
in ront o the sheet pile wall, which allowed larger wall moements.
Wall construction can cause significant movements before excavation,
and can be an important factor in the performance of deep
excavations
linno et al. 1991,, Schweiger and lreiseder 1994,, and Ng et al. 1995, noted
that case histories suggested signiicant moements and stress changes could
occur during support wall construction, prior to any excaation. Lach o these
three reerences used inite element studies to inestigate the eects o wall
construction.
linno et al. 1991, examined sheet-pile installation eects in their 2-D inite
element studies o the lDR-4 braced excaation. 1hey obsered that pore
pressures and displacements changed during sheet-pile installation. 1he pore
pressure changes were signiicant because they caused asymmetric behaior o
the excaation around the excaation centerline. Using an anisotropic bounding
surace model and modeling the actual construction sequence ery closely were
instrumental to their indings. ligure 2.5 shows linno et al`s comparison o
analyses with measured wall deormation. linno et al. concluded that sheet-pile
installation eects are signiicant in sot to medium clays and need to be included
or accurate simulation o induced stresses.
Schweiger and lreiseder 1994, used uncoupled undrained 3-D non-linear elastic-
plastic inite element analyses to inestigate the eects o diaphragm wall
construction in sandy silts and sandy clays. Schweiger and lreiseder noted that
eects o wall construction are usually ignored in inite element analyses o
excaations because o the increased modeling complexity. 1heir results showed
that settlements during wall installation were approximately equal to the
settlements that occurred during excaation. 1hey also obsered that wall
installation changes the in situ horizontal stresses, which can aect excaation
perormance.
Ng et al. 1995, use uncoupled undrained 2-D inite element analyses to examine
the 3-D eects o diaphragm panel construction in sti clay. 1hey analyzed
horizontal and ertical cross sections through a diaphragm wall. 1he horizontal
cross section was analyzed assuming plane stress conditions. 1he ertical cross
section was analyzed assuming plane strain conditions. Ng et al. concluded that
moements during wall construction depend on two actors. One is the
ligure 2.5. Computed deormations: eects o sheet-pile installation rom
linno et al., 1991,.
dierence in the initial horizontal soil stresses, the slurry pressures, and the wet
concrete pressures. 1he other actor is the soil stiness, which determines the
deormations that occur in response to the dierent pressures. Ng et al. also
concluded that substantial stress increases could occur beneath the diaphragm
wall due to load redistribution during panel construction.
Iinite element analysis is useful for studying deep excavations
1he reerences in 1able 2.1 demonstrate that inite element analysis o deep
excaations is a useul way to inestigate many o the actors that control the
perormance o deep excaations, through parametric studies. It is easier and
cheaper to study deep excaation behaior with inite element analysis than it is
to instrument and monitor deep excaations.
Constitutive models are important in finite element analysis of deep
excavations
Another lesson learned rom the reerences in 1able 2.1 is that the understanding
o deep excaations has eoled as the constitutie models used in inite element
analyses o deep excaations hae improed. Constitutie models are important
because understanding the many aspects o deep excaation perormance
requires constitutie models that exhibit many o the aspects o real soil behaior.
1he inite element studies o the lDR-4 excaation by linno and his coworkers
demonstrates that using adanced constitutie models in conjunction with
accurate modeling o construction can yield analytical results that agree well with
measured perormance.
3-D finite element analyses are uncommon
O the 38 reerences in 1able 2.1, only ie Borja 1990,, Schweiger and
lreiseder 1994,, 1abrizi et al. 1995,, Ou et al. 1996,, and Lee et al. 1998,, used
3-D inite element analysis to study deep excaations. 1he reason or this
appears to be that 3-D analyses are much more complex than 2-D analyses.
lield Perormance Studies o Deep Lxcaations 39
3-D effects can be important in deep excavations
Ou et al. 1996, and Lee et al. 1998, perormed 3-D inite element analyses o
deep excaations with corners. 1heir results show that corner restraint causes a
signiicant reduction in deormations near the corners o excaations as
compared to deormations calculated or the plane strain condition.
2.4. FIELD PERFORMANCE STUDIES OF DEEP
EXCAVATIONS
1he purpose o this section is to reiew ield perormance studies o deep
excaations. 1able 2.2 is a summary o 38 reerences on measured perormance
published ater 1989. 1he reerences reiewed were limited to papers published
ater 1989 because the Clough and O`Rourke 1990, reiew included studies
published prior to 1990.
It is important to study measured ield perormance studies o deep excaations
or two reasons. 1he irst is that ield perormance studies proide insight
through experiences gained during design and construction o real excaations.
1he perormance obsered in a deep excaation does not depend on
assumptions, approximations, constitutie models, or ormulations, unlike
analytical studies. A great deal can be learned about the behaior o deep
excaations when careul obserations o construction actiities, site conditions,
and other actors accompany careul measurements o perormance. Another
reason or reiewing ield perormance studies is to learn about actors that are
not usually modeled analytically, or that cannot be modeled well. lor instance,
inite element analyses o deep excaations typically do not model the
construction o support walls or the installation o tieback anchors. Other actors
such as workmanship are diicult to model analytically.
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1able 2.2. lield perormance studies published in 1990 through 1998.
Caliendo, J. A., Anderson,
L. R., and Gordon, V. J.
1990,
Described the perormance o a deep
excaation supported with soldier piles and
tiebacks or a below ground parking structure in
Salt Lake City. Presented perormance, creep,
and proo tests o tiebacks. lield
measurements included inclinometer readings
rom seeral soldier piles and strain gage
readings rom anchor tendons. Perormed a 2-
D inite element analysis ater the excaation.
1op o wall moed away rom excaation,
indicating design earth pressures and prestress
loads were too large. Measurements showed
that tieback loads were attenuated in a linear
ashion along the grouted anchor portion o
each tieback.
Gill, S. A. and Lukas, R.
G. 1990,
Discussed ground moements or deep
excaations o eight building sites in downtown
Chicago. 1he excaations were two or more
basement leels deep and used steel sheeting,
soldier piles or diaphragm walls. Measured
displacements were compared with predicted
displacements
lound that measured moements compared
well with moements predicted by Clough and
Mana's procedure or systems with rakers.
Measured moements were about hal o
predicted moements when cross-lot braces
were used. Concluded that drilled pier
installation and compression o backill were
two important additional sources o ground
moement. Stated that the most important
parameters or minimizing ground moement
are the stiness o the system and the actor o
saety against basal heae.
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loughton, R. C. and
Dietz, D. L. 1990,
Presented the measured perormance o a large
deep excaation or the 125 ligh Street project
in Boston. Soldier piles with lagging, bracket
pile underpinning, and tangent piles with
tieback anchors were used to support the
excaation. Ground moements and stresses in
the soldier piles were monitored extensiely.
Global stability problems caused signiicant wall
delections and reductions in tieback loads on
one side o the excaation. Recommended
taking borings in the area o tieback anchorage,
during design o deep excaations. lriction on
piles took up to 50 o the ertical load rom
the tiebacks.
Swanson, P. G. and
Larson, 1. V. 1990,
1he ailure o a braced excaation on the
Vashington Metro project is described and
studied.
1he ailure was due to undrained shear
strengths being oerestimated. Insuicient ield
data regarding S
u
was obtained in the region
that ailed. Design parameters based on other
sections o the subway alignment were used
inappropriately, in the design o the section
that ailed.
1hompson, S. R. and
Miller, I. R. 1990,
Presented the design, construction and
perormance o a soil nailed wall or a deep
excaation in Seattle.
Maximum wall moements was about 0.1 o
wall height. Creep behaior o grout had a
signiicant eect on loads in Dywidag bars soil
nails,. Loads in soil nails increased rom the
bottom o the wall to the top. Concluded that
apparent earth pressure diagrams or braced
excaations may proide reasonable design
loads or soil nails.
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Vinter, D. G. 1990, Presented the perormance o a 23-m deep
excaation in Seattle. lield data included load
cells on anchors, moements o soldier piles
and control points surrounding site rom
surey, and slope inclinometers on our soldier
piles.
Loss o ground during drilling or tiebacks and
dewatering caused signiicant settlement o an
adjacent street. 1ypical wall delections were
less than 1,2 inch. Actual apparent earth
pressures were about 1,3 o that suggested by
1erzaghi & Peck. Recommended that research
should be done to inestigate 3-D eects o
corners.
Brassinga, l. L. and Van
1ol, A. l. 1991,
Presented the Design and perormance o a 20-
m deep braced excaation in Rotterdam next to
a high-rise building on wood piles. Llastic-
plastic 2-D inite element analyses were used to
predict perormance.
Calculated deormations rom inite element
analyses were slightly higher than measured
deormations. Settlements continued ater
excaation ceased.
Cepollina, M., Libano, N.,
Barbera, A., Castilho, P.,
and Gonzales, N. 1991,
Described three dierent excaation support
methods used inside a actory to construct deep
oundations or ie industrial stamping presses.
Jet grouted secant piles, soldier piles, and pre-
stressed root piles were used in dierent
combinations or the ie dierent excaations.
Support systems perormed satisactorily.
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linno, R. J. and larahap,
I. S. 1991,
Compared the results o a coupled inite
element simulation o the 40-oot deep lDR-4
excaation in saturated clays in Chicago to
measured moements, pore water pressures,
and delections. Lxamined the eects o
construction sequence on excaation
perormance.
Computed sheet pile deormations agreed well
with obsered deormations throughout the
dierent excaation stages. Sheet pile
installation had a great eect on pore water
pressures. Concluded that anisotropy must be
considered when ealuating potential ground
moements or excaations in sot to medium
clays. lorizontal moements in ground behind
the wall were greater than the wall delections.
Concluded that modeling actual construction
closely is the single most important aspect o a
successul inite element analysis o an
excaation, assuming constitutie models are
reasonable.
Lee, S., Parnploy, U.,
\ong, K., and Lee, l.
1991,
Presented obserations o a support system that
continued to deorm ater excaation.
Perormed a coupled consolidation inite
element analysis o the excaation to assess role
o consolidation in perormance.
linite element results agreed well with obsered
perormance. lound that consolidation was
primarily responsible or the obsered time-
dependent wall deormation
Lings, M. L., Nash, D. l.
1., Ng, C. V. V., and
Boyce, M. D. 1991,
Presented and compared the perormance o a
deep excaation constructed by top-down
methods in Gault clay to design predictions.
Larth pressures, heae, and pore pressures were
measured.
Diaphragm wall construction caused a
signiicant decrease in lateral stresses.
Delections, prop orces, and bending moments
were substantially lower than predicted.
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Steiner, V. and Verder,
l. 1991,
Described the design and perormance o a tied
back tangent pile wall supporting a 1-m deep
excaation. Large surcharges were present next
to the cut during excaation due to truck cranes
which lowered components o a slurry shield
machine into the cut.
lound that surcharges on ground surace
strongly inluenced tieback anchor loads.
Lateral moement o the wall was about 0.1
o excaation depth 0.1 l, or inal
excaation. Moement during the two stage
lit-in o the slurry machine amounted to 0.02
l
1amano, 1., lukui, S.,
Kadota, S., and Ueshita,
K. 1991,
Studied the mechanical behaior o ground
heae due to 21-m deep excaation in Osaka.
Compared measured alues o base heae to
alues computed rom a 2-D inite element
analysis.
Signiicant heae occurred below the
excaation. 50 m below the 21-m excaation
heae o 25 mm was measured. Coupled inite
element results agreed well with obsered
heae.
Bono, N. A., Liu, 1. K.,
and Soydemir, C. 1992,
Presented the construction perormance o an
internally braced diaphragm wall at a site near
Boston larbor. Boston larbor was within a
ew eet on one side and a building was a ew
eet rom the opposite side o the excaation.
1emperature changes caused signiicant
changes in strut loads and caused some
oerstressing. Asymmetry o soil conditions
caused asymmetric moements.
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linno, R. J. 1992, Reiewed ground moements adjacent to deep
excaations made through sot Chicago clay.
Studied the eects o wall and deep oundation
installation, cycles o excaation and bracing,
and strut remoal on obsered moements.
Construction actiities that can change stresses
in the ground should be considered when
estimating moements. Concluded that use o
inite element analyses to predict excaation
perormance is limited by ability to model
construction actiities, and that ground
moements can be estimated reasonably well
using past perormance data rom Peck 1969,,
Goldberg et al. 196,, and Clough and
O'Rourke 1990,.
Garin, R. and Boward, J.
1992,
Described the cut-and-coer construction o a
ie leel underground parking structure in
Pittsburgh. A diaphragm wall with tiebacks was
used to support the -m to 8-m excaation.
Moements and groundwater leels were
monitored during construction.
Slurry wall system perormed well. Slurry wall
permitted dewatering within the excaation
with a minimum inluence on groundwater
leels outside excaation. Maximum lateral
moements or the excaation were between 10
and 20 mm. An adjacent 80 year old sandstone
structure experienced no distress
Giord, D. and Vheeler,
J. 1992,
Described the perormance o a structural slurry
wall used to support an excaation or a 5-leel
underground parking garage in Baltimore.
1he use o a slurry wall simpliied construction
operations. 1he slurry wall was relatiely
watertight and moements were acceptable.
Most o the settlement was caused by pre-
trenching operation. Lxcessie grouting
pressures during tieback installation caused 1,2
inch o wall moement towards excaation.
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lsi, J. P. and Small, J. C.
1992,
Studied the perormance o a 21-m deep
excaation in Kaoshung, 1aiwan, using inite
element analysis using a coupled consolidation
ormulation and an elastic-plastic model.
Predicted moements were sensitie to
modulus alues used.
Kirsten, l. A. D. and
Dell, A. G. 1992,
Presented the design and perormance o a soil
nailed wall used to support a basement
excaation. Discussed the use o limit
equilibrium methods to design the wall.
Aerage oundation pressure does not proide a
reliable design procedure, since stresses at toe
o wall are considerably greater. Some minor
ailures occurred when installation o shotcrete
acing and soil nails were delayed.
Patel, A. and Castelli, R.
1992,
Presented the design and perormance o the
deep excaation or the Shot 1ower Station o
the Baltimore Metro system. Described the
design criteria and methodology, and the
preliminary indings o the instrumentation
monitoring program.
Maximum lateral wall moements were about
0.06 l
Schoenwol, D. A.,
Vhitman, R. V., Abbott,
L. L., and Becker, J. M.
1992,
Described the perormance o a structural slurry
wall used in the top-down construction o the
seen-leel 24.4 m deep excaation, garage or
the Post Oice Square project in downtown
Boston. Compared measured moements to
moements predicted with inite element
analyses.
Moements during diaphragm wall construction
were less than 8 mm and small rebound o
ground during concreting o panels was noted.
Shrinkage and creep related moements o
structural garage loor slabs were noted. Large
temperature drop during initial stages o
construction caused inward moement o walls.
Stiness o bedrock and its resistance to
moement o the toe o the wall was
underestimated in design.
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Vinter, L., Skep, N., and
1allard, G. 1992,
Described the perormance o a 10-m deep
excaation supported by a structural slurry wall
with tiebacks adjacent to the Church o the
Lpiphany in Vashington, D.C. Reported
ground moements and slurry wall
deormations.
Moements measured during wall installation
next to the church were 3 mm or less. Very
minor displacements were recorded during
excaation. Maximum horizontal displacement
o wall was 0.15 l
lsi, J. P. and Small, J. C.
1993,
Presented a inite element back-analysis o a 13
m deep excaation in silty clay or the long-
lis Garden lield Building in 1aipei. linite
element results were compared to the measured
perormance.
lound good agreement between the inite
element predictions and the measured
perormance.
Ou, C.-\., lsieh, P.-G.,
and Chiou, D.-C. 1993,
Studied the characteristics o ground surace
settlement during excaation by examining data
rom ten case histories o deep excaations in
1apei. Lxamined maximum wall delection and
the relationship between wall delection and
ground settlement. Proposed normalized
settlement cures or design.
1here are two general shapes o settlement
troughs adjacent to deep excaations.
Maximum lateral wall delection oten occurs
near the bottom o an excaation. Upper limit
on maximum ground settlement is the
maximum lateral wall delection, in general
ground settlement is about 50 to 0 o
maximum wall delection. Maximum wall
delections were usually between 0.2 and
0.5 o the excaation depth.
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1anaka, l. 1993, Lxamined the perormance o seeral 15-m to
21-m deep braced excaations in sot clay. Soil
beneath excaation and between walls was
treated with deep soil mixing in an eort to
reduce heae.
Large heae o ertical strut supports piles
drien into excaation base, was obsered.
Proposed a stability number or basal heae to
relect the strength o the treated and untreated
soils.
Vhittle, A. J., lashash,
\. M. A., and Vhitman,
R. V. 1993,
Described a inite element back-analysis o the
top-down construction o the seen story
underground parking garage or the Post Oice
Square project in Boston. Compared results o
the ully coupled nonlinear analysis to extensie
ield data.
Concluded that reliable and consistent
predictions o soil deormations and
groundwater low can be achieed without
resorting to parametric iteration. Lmphasized
the need to ealuate analysis results by
comparison to a ariety o measurements pore
pressures, moements at arious locations,.
Concluded that adequate soil characterization is
a prerequisite to accurate inite element analysis
results. Recommended including thermal
moements o loor system in inite element
analyses.
Cheng, S. and lansen, L.
1994,
Described the perormance o a soiled wall in
supporting a 5-m to 16.5-m excaation in
Puerto Rico. Inclinometers proided wall
deormation data. Strain gages monitored loads
in soil nails.
Concluded that the wall behaed as a reinorced
retaining wall and not as a wall with anchorage.
Soil nail loads were obsered to decrease rom
top to bottom along the wall.
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laghayeghi, A.R. and
Mirzakashani, M. 1994,
Lxamined the behaior o a structural slurry
wall on the North Station underground garage
project in Boston using beam-on-elastic-
oundation analyses.
Actual and theoretical results did not correlate
well. Discrepancies between actual and
theoretical results were attributed to improper
spring constants, creep o garage slabs under
load, and shrinkage o garage slabs.
Ikuta, \., Maruoka, M.,
and Sato, L. 1994,
Discussed the use o the obserational method
to modiy and optimize the excaation
sequence during the top-down construction o a
basement or a high-rise oice building.
1he use o the obserational method made it
possible to complete the excaation saely and
eiciently. Modiying the support system in the
later stages o excaation reduced costs.
Katzenbach, R., lloss, R.,
and Schwarz, V. 1994,
Presented the case history o a deep excaation
in sot lacustrine clays. A 2-m thick shotcrete
slab anchored with injection piles at the base o
the excaation proided additional support or
the toe o the wall and sered to restrain basal
heae.
Lateral moements o the sheet pile wall in the
-m excaation were limited to about 2 cm.
Strut loads increased due to rise in temperature.
Moh, Z. C., Chou, L. L.,
and lwang, R. N. 1994,
Summarized the use o compaction grouting,
pre-loading, bored piles, jet grouting, and deep
soil mixing to minimize soil moements during
construction o MR1.
Pre-loading struts to hal o design load was
eectie in reducing moements. Soil
improement within the excaation was also
successul in reducing moements. Jet grouting
and diaphragm wall construction techniques
were used successully to construct below
excaation bracing between walls.
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Reinurt, J. L., Anderson,
1. C., Reitz, P., and
Licari, 1. 1994,
Described the design, construction, and
monitoring o temporary shoring systems or
two stations o the Metro Link St. Louis Light
Rail System. 1he contractor was ully
responsible or the design and construction o
the support systems. 1he excaations were
about 30 t deep and were in sot to medium
sti soils.
Moements were less than those predicted
using Clough and O'Rourke 1990,. Maximum
moements and settlements were essentially less
than 0.2 l. Some consolidation settlements
were noted.
1anaka, l. 1994, Inestigated the undrained shear strength
mobilized beneath an excaation in sot soil at
the 1okyo International Airport. Studied the
inluence o wall adhesion, swelling, strain rate,
and conining stress on passie earth pressure.
Described lateral wall moements, basal
moements, and earth pressure distribution on
support walls.
Large displacements ollowed the excaation o
the single sand layer in the soil proile.
Maximum wall moements occurred below the
base o the excaation. Passie earth pressures
based on undrained shear strengths rom triaxial
extension tests agreed better with obsered
behaior than unconined compressie
strengths.
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\oung, D. K. and lo, L.
V. L. 1994,
Described the use o the obserational method
in the design and construction o a sheet pile
wall with tieback anchors. Presented and
compared results o ield perormance to inite
element modeling results. Also examined
moements during installation and extraction o
sheet piles. Presented the results o large-scale
trials o sheet pile wall and bored piles.
1he excaation perormed satisactorily and did
not disrupt a nearby major underground
powerline. Maximum displacement due to
driing o sheet piles was 30 mm. Ground
moements due to pile driing were noted up
to 10 m away. Moements due to pile driing
were more closely related to ibration leels
than pile size. 1ime-dependent moements
occurred ollowing excaation. Variability in
moements o surey points in surrounding
ground was attributed to temperature and
weather eects.
Vong, I. l., Poh, 1. \.,
and Chuah, l. L. 1996,
Presented the perormance o deep excaations
or the Central Lxpressway C1L, Phase II
project in Singapore. Lxamined lateral wall
delections, soil settlements, and prop loads or
the dierent support systems used and soil
conditions encountered.
lound that maximum wall moements were
typically less than 0.5 l or excaations with
a combined thickness o sot soil layers o 0.9 l
oerlying sti soils. lound that maximum wall
moements were typically less than 0.35 l
or excaations with a combined thickness o
sot soil layers o 0.6 l oerlying sti soils.
Concluded that placing the irst layer o struts
near the top o braced walls is eectie in
reducing moements or walls embedded in
sti soil.
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O'Rourke, 1. D. and
O'Donnell, C. J. 199,
Presented the case history o a tied-back
excaation in deep deposit o medium to sti
clay or the construction o I-90 near Logan
Airport in Boston. Lxamined use o deep soil
mixing DSM, and jet grouting to control
ground moements. Presented ield
measurements o displacements, tieback loads,
and pore pressures.
DSM and jet grouting were used ater
excaation had proceeded to a point where
stability was in question. During DSM and jet
grouting additional moements were recorded,
apparently due to temporary sotening. Soil-
mixed wall acted as a ree drainage surace in
the marine clay. Concluded that use o tiebacks
in sot clays should be ealuated careully.
O'Rourke, 1. D. and
O'Donnell, C. J. 199,
Presented the case history o a tied-back
excaation in deep deposit o medium to sti
clay or the construction o I-90 near Logan
Airport in Boston. Parametric studies using
S1ABL,G were perormed to deelop stability
charts or deep rotational ailure o tied-back
excaations in clay.
linite element analyses o showed that wall and
tied-back anchors moed as a unit due to a deep
rotational ailure mechanism. lound that the
most critical parameter or deep rotational
stability is the undrained shear strength o the
basal clay. Concluded that excaations with 0.5
V,l 4 are likely to hae lS or deep
rotational stability less than lS or local bearing
ailure.
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Lee et al. 1998, Studied corner eects on the behaior o a
strutted excaation or the Immigration
Building in Singapore. Compared ield
measurements o wall moements and
settlements o the ground next to the
excaation to 2-D and 3-D inite element
analyses.
Concluded that reasonable predictions o ield
behaior can be obtained with 3-D inite
element analyses when actual excaation
geometry and construction sequence are used.
Agreement between predicted behaior and
measured behaior was much better with 3-D
analyses than 2-D analyses. Concluded that the
signiicance o corner eects depends on the
length-to-depth ratio o the excaation, the
depth to competent stratum, and the strutting
system stiness.
1his section is diided into two parts. 1he irst part is concerned with lessons
learned rom the ield perormance studies summarized in 1able 2.2. 1he second
part compares perormance data rom papers published since 1990 with
perormance data rom Goldberg et al. 196,.
LESSONS LEARNED FROM FIELD PERFORMANCE STUDIES OF DEEP
EXCAVATIONS
1he ollowing paragraphs summarize lessons learned rom reiewing the
reerences in 1able 2.2. Some o the lessons reinorce those discussed preiously.
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1he importance o consolidation on the perormance o deep excaations in clay
was noted aboe, based on preious reiews and analytical studies. Seeral o the
ield perormance studies in 1able 2.2 reinorce the importance o consolidation
in deep excaations.
Brassinga and Van 1ol 1991, described the response o a high-rise building next
to a braced excaation in sot soils in Rotterdam. ligure 2.6 contains seeral
igures rom their paper that illustrate the project and the settlement o the high-
rise building ersus time. 1he continuing settlements with time ater excaation
shows the signiicance o consolidation. Brassinga and Van 1ol attributed the
moements prior to the irst stage o excaation to the construction o the
diaphragm walls, and to dewatering.
linno and larahap`s 1991, inestigation o the perormance o the lDR-4
excaation included pore pressure measurements rom behind the sheet pile walls
used to support the excaation. Signiicant pore pressures deeloped during the
installation o the sheet piles, and then dissipated during excaation. ligure 2.
contains plots rom linno and larahap 1991, that summarize the time history
ligure 2.6. Consolidation eects or Vitte luis excaation rom Brassinga and
Van 1ol, 1991,.
ligure 2.. Obsered sheet-pile delections, ground moements, and pore
pressures measurements rom lDR-4 Lxcaation rom linno and
larahap, 1991,.
o sheet pile moements and pore pressures. It can be seen that signiicant pore
pressure changes occurred due to sheet-pile installation and excaation.
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Another important lesson rom the reiew o ield perormance studies is the
importance o accurate characterization o soil and site conditions. 1his is not a
new obseration, since geotechnical engineers know the importance o proper
characterization o material properties and boundary conditions. loweer, the
act that characterization is necessary doesn`t mean that it always receies the
attention that it should. A ew o the case histories in 1able 2.2 sere as
reminders o the importance o understanding and properly characterizing site
conditions or deep excaations.
Swanson and Larson 1990, describe the ailure o a section o a braced
excaation or the Vashington Metro Project. 1he excaation was in clay, and
the stability o the excaation was analyzed using undrained shear strengths. No
soil borings or lab tests were perormed in the section that ailed. 1he shear
strengths o the soils in the section that ailed were assumed to be the same as or
soils elsewhere along the excaation alignment. 1his assumption was wrong, as
demonstrated by the ailure.
loughton and Dietz 1990, describe signiicant moements that occurred or a
tied-back wall due to global stability problems. loughton and Dietz noted that
insuicient ield data was gathered to characterize the soil in the area where the
tiebacks were anchored.
Vhittle et al. 1993, compared inite element predictions to the actual
perormance o a deep excaation in Boston. 1hey concluded that adequate soil
characterization is a prerequisite to accurate inite element calculations. 1hey
obsered that many times analysts go through iterations in back analyses o deep
excaations to arrie at soil parameters. Vhittle et al. suggested that careul
characterization o the soil should reduce the need or parametric iterations to
determine soil parameters.
It is important to keep in mind the requirement or accurate soil and site
characterization when perorming analyses o deep excaations, especially with
the inite element method. 1he quality o an analysis is controlled by the quality
o the data on which it is based.
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Seeral o the reerences in 1able 2.2 illustrate that temperature changes can hae
an important eect on the perormance o deep excaations.
Bono et al. 1992, described thermal eects in the steel struts o an excaation in
Boston. 1he excaation described by Bono et al. began in March and continued
through May, and thus experienced signiicant seasonal warming. Some struts in
the excaation were also exposed to direct sunlight. 1he load increases in the
steel struts rom thermal expansion caused oerstressing in some o the jacking
boxes. ligure 2.8 illustrates the eect o temperature on the compressie orce
in one strut. ligure 2.8 shows that temperature changes caused a 200 kip increase
in strut load. Lmergency repairs were perormed to reinorce the jacking boxes
in order to preent ailure. 1he contractor proided artiicial shade to keep the
struts out o direct sunlight and to moderate the temperature luctuations ater
the problem occurred.
ligure 2.8. 1emperature eect on strut load rom Bono et al., 1992,.
Katzenbach et al. 1994, monitored strut loads and ambient air temperature or a
braced excaation in lacustrine clays in Germany. ligure 2.9 shows the rise and
all in strut loads that ollow the rise and all in temperature. 1he aerage strut
load increased because the depth o excaation increased.
Vhittle et al. 1993, described an excaation in Boston where top-down
construction was used. Vhittle et al. reported that a 25C temperature rise in
ambient temperature rom lebruary to July caused thermal expansion o
structural loors, which caused the top o the diaphragm walls to moe outward
about 5 to 10 mm.
\oung and lo 1994, noted another eect o temperature on excaation
perormance. 1hey obsered substantial scatter in the moements o surey
reerence points in the ground during the initial phases o construction or an
excaation, and noted that the moements corresponded to luctuations in
temperature and general weather patterns. 1he magnitude o the displacements
due to temperature luctuations was approximately the same as those caused by
construction.
1hese experiences with thermal eects show that temperature needs to be
considered in two respects. 1he irst is expansion or contraction o structural
members due to temperature changes. 1he second is the inluence o
temperature on the instruments used to monitor deep excaations.
ligure 2.9. 1emperature eects on strut loads rom Katzenbach et al., 1994,.
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1op-down construction inoles constructing the basement o building rom the
top ground leel, downward. 1he structural loors o a basement are
constructed as excaation proceeds. 1he loors o the basement support the
excaation walls. Vhittle et al. 1993, noted that contraction o structural loors
due to concrete shrinkage caused moements o excaation support walls.
laghayeghi and Mirzakashani 1994, also cited moements due to shrinkage o
concrete loors.
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Seeral o the reerences summarized in 1able 2.2 describe the application o soil
improement techniques to deep excaations in sot soils. 1echniques such as jet
grouting and deep soil mixing can be used to strengthen the soils in the base o
an excaation. 1his increases the actor o saety against basal heae and reduces
the magnitude o moements that occur during excaation.
Moh et al. 1994, described the use o jet grouting and deep soil mixing below the
excaation grade to reduce soil moements o the excaations or the MR1
project in Singapore. 1anaka 1993, reported the use o deep soil mixing beneath
an excaation in sot 1okyo Bay soils to reduce basal heae and instability.
Katzenbach et al. 1994, reported successul use o a shotcrete slab anchored
with injection piles to stabilize the base o an excaation in sot lacustrine clays.
O`Rourke and O`Donnell 199, described the use o deep soil mixing and jet
grouting to stabilize an excaation in sot marine clays in Boston.
7LHEDFNLQVWDOODWLRQFDQEHDVRXUFHRIJURXQGPRYHPHQWVGXULQJ
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Vinter 1990, reported that signiicant settlements occurred next to a deep
excaation due to ground loss during drilling or tieback installation. Giord and
Vheeler 1992, reported that excessie grouting pressure during tieback
installation caused wall moement towards the excaation. 1hese two
experiences show that tieback installation needs to be careully monitored and
controlled to preent problems.
'HIIHFWVDUHLPSRUWDQWLQGHHSH[FDYDWLRQV
1he papers by Bono et al. 1992, and Lee et al. 1998, reported 3-D eects on
wall moements. ligure 2.10 rom Bono et al. 1992, shows the excaation
geometry and the pattern o wall moements in plan iew. ligure 2.11 rom Lee
et al. 1998, shows the excaation geometry and wall moements plotted ersus
distance rom the nearest corner. 1he restraining eect o the corners is
apparent in both cases.
1here are two important issues concerning 3-D eects in deep excaations. One
is the eect o 3-D geometry on excaation perormance. Plane strain analysis
models are used to design most deep excaations. Because o the restraining
eect o corners, use o plane strain analyses is conseratie, and 3-D eects are
beneicial. 1he second issue o 3-D eects is the inluence on the interpretation
o excaation perormance. I 3-D eects are not considered when analyzing
excaation perormance, mistaken interpretations can result. lor example,
consider a case in which a 2-D inite element analysis is used to predict the
perormance o a deep excaation that is square in its plan dimensions. I
eerything about the inite element analysis was correct` except or the plane
strain assumption, the predicted wall moements would be larger than the actual
wall moements. I a back analysis was perormed to calibrate` the 2-D model,
ligure 2.10. 3-D eects on wall moements rom Bono et al., 1992,.
ligure 2.11. 3-D eects on wall displacements rom Lee et al., 1998,.
the soil stiness would hae to be increased in order to match the obsered
moements. Inaccurate conclusions would thereore result rom ignoring 3-D
eects.
PERFORMANCE DATA
1he behaior o a typical deep excaation is complex, and there are many
uncertainties inoled in predicting perormance. Predicting the magnitude o
wall and ground moements is oten the most challenging task acing the
designers o a deep excaation, especially or an excaation in an urban
enironment. Lxperience rom the perormance o preious deep excaations
proides a useul guide when making predictions or new deep excaations.
Peck 1969,, Goldberg et al. 196,, and Clough and O`Rourke 1990, examined
perormance data rom case histories o deep excaations to establish ranges o
expected moements based on soil type and excaation depth. 1hese
compilations o perormance data are useul to designers who wish to estimate
the magnitude o moements, or to check the results o a inite element analysis
o a deep excaation to see i the results are reasonable.
1he purpose o this section is to compare maximum wall moements and ground
settlements rom recent deep excaations to data published by Goldberg et al.
196,. Goldberg et al. 196, was chosen or comparison because their data was
tabulated as well as plotted. Goldberg et al`s data is thereore readily accessible,
whereas some inestigators hae only presented data graphically.
1able 2.3 is a summary o data gathered by Goldberg et al. o the perormance o
6 deep excaations. 1able 2.4 is a summary o moement data gathered during
this reiew rom papers published ater 1989 about the perormance o 48 deep
excaations. Both tables list the reerence source, support wall type, lateral
support system, soil category, excaation depth l,, maximum settlement
h
max
,,
1able 2.3. Goldberg et al. 196, perormance data.
Reerence Vall type Support type Soil l
m,

max
cm,
h
max
cm,
Liu and Dugan
192,
soldier pile tieback anchors sand and
grael
16.8 2 2.5
Larson, Villette,
lall, and
Gnaedinger 192,
grael
15.2 2.5 2.5
Dietrich, Chase,
and 1eul 191,
grael
16.5 6.3 4.6
Cunningham and
lernandez 192,
diaphragm
wall
tieback anchors sot to sti
clay
- 10.2
Cole and Burland
192,
diaphragm
wall
rakers ery sti to
hard clay S
u
2000 ps
18.4 3.8 6.3
1ait and 1aylor
194,
diaphragm
wall
bracing -
prestressed
sot to sti
clay
13.8 - 2.3
Armento 193, diaphragm
wall
bracing -
prestressed
sot to sti
clay
21.4 4.3 2.5
Cunningham and
lernandez 192,
diaphragm
wall
bracing sot to sti
clay
9.8 13.9 8.9
1an 193, diaphragm
wall
slabs sot to sti
clay
13.2 15.2 -
Breth and
Vanoscheck 1969,
diaphragm
wall
bracing ery sti to
hard clay S
u
2000 ps
18.4 - 1
luder 1969, diaphragm
wall
slabs ery sti to
hard clay S
u
2000 ps
19.9 - 3.6
1hom and larlan
193,
diaphragm
wall
bracing -
prestressed
sot to sti
clay
23.8 2.5 3
Barla and Mascardi
194,
secant pile tieback anchors ery sti to
hard clay S
u
2000 ps
25.9 - 6.6
leeb, Schurr,
Bone, lenke, and
Muller 1966,
soldier pile bracing sand and
grael
12.2 - 2
Breth and
Romberg 192,,
Romberg 193,
soldier pile tieback anchors sot to sti
clay
20.8 - 14.9
Schwarz 192, and
Andra, Kunzt, and
Rojek 193,
secant pile tieback anchors ery sti to
hard clay S
u
2000 ps
29.8 0.51 1.5
Gorbett, Daies,
and Langord
194,
diaphragm
wall
rakers ery sti to
hard clay S
u
2000 ps
0 - 0.51
m,

max
cm,
h
max
cm,
lodgson 194, diaphragm
wall
tieback anchors ery sti to
hard clay S
u
2000 ps
.9 - 0.3
Gorbett and Stroud
194,
grael
15.6 - 2
Litttlejohn and
Maclarlane 194,
diaphragm
wall
hard clay S
u
2000 ps
5.5 - 2
Saxena 194, diaphragm
wall
tieback anchors other soils 16.8 - 6.9
Vare 194,
personal
communication
diaphragm
wall
bracing -
prestressed
sand and
grael
18.9 - 3.2
Goldberg, Zorno,
And Associates
iles
soldier pile tieback anchors ery sti to
hard clay S
u
2000 ps
13.8 3.8 2.5
Burland 194, and
St. John 194,
diaphragm
wall
ery sti to
hard clay S
u
2000 ps
.9 - 1.3
NGI 1962, sheet pile bracing -
prestressed
sot to sti
clay
.9 9.9 13.9
NGI 1962, sheet pile bracing -
prestressed
sot to sti
clay
.9 10. 5.1
NGI 1962, sheet pile bracing sot to sti
clay
11 20.1 22.9
NGI 1962, sheet pile slabs sot to sti
clay
11.3 19 -
clay
9.2 9.9 14.9
Maljian and Van
Beeren 194,
hard clay S
u
2000 ps
33.6 .6 5.1
Jennings case
reported by
Littlejohn and
Maclarland 194,,
hard clay S
u
2000 ps
14. - .6
Jennings case
reported by
Littlejohn and
Maclarland 194,,
hard clay S
u
2000 ps
14. - 3.8
Jennings case
reported by
Littlejohn and
Maclarland 194,,
hard clay S
u
2000 ps
22.6 - 3.8
m,

max
cm,
h
max
cm,
Jennings case
reported by
Littlejohn and
Maclarland 194,,
hard clay S
u
2000 ps
14. - 4.9
Jennings case
reported by
Littlejohn and
Maclarland 194,,
hard clay S
u
2000 ps
18 - 2.5
Littlejohn and
Maclarlane 194,
diaphragm
wall
hard clay S
u
2000 ps
14.4 2.3 2.3
Lambe, Volskill &
Vong 190,
sheet pile bracing -
prestressed
other soils 1. 12.8 22.9
O'Rourke and
Cording 194,
soldier pile bracing -
prestressed
sand and
grael
18.3 3.8 2.3
O'Rourke and
Cording 194, th
& G street
prestressed
sand and
grael
25 3.8 3.2
O'Rourke and
Cording 194, 4th
and G street
grael
12.2 1.8 5.1
Lambe, Volskill
and Jaworski
192,
diaphragm
wall
bracing -
prestressed
sot to sti
clay
15.2 2.5 3
Burland 194, and
St. John 194,
diaphragm
wall
slabs ery sti to
hard clay S
u
2000 ps
15.9 1.5 2.5
Burland 194, and
St. John 194,
diaphragm
wall
hard clay S
u
2000 ps
.9 2.8 5.6
O'Rourke and
Cording 194,
11th and G street
prestressed
ery sti to
hard clay S
u
2000 ps
1 0.2 -
Burland 194, and
St. John 194,
diaphragm
wall
bracing ery sti to
hard clay S
u
2000 ps
15.9 1.3 1.5
clay
5.9 .6 -
clay
11 22.6 13
McRostie, Burn
and Mitchell 192,
sheet pile tieback anchors sot to sti
clay
12.2 11.4 -10.2
DeBragio and Ros
192,
diaphragm
wall
slabs sot to sti
clay
18.9 4.1 2.5
clay
11.3 1.8 16
m,

max
cm,
h
max
cm,
Shannon and
Strazer 190,
hard clay S
u
2000 ps
23.8 .6 .6
Swatek, Astow, and
Seitz 192,
prestressed
sot to sti
clay
21.4 22.9 5.8
Rodriguez and
llamand 1969,
prestressed
sot to sti
clay
11.3 - 20.1
Scott, Vilson and
Bauer 192,
sheet pile bracing sand and
grael
15.3 - 20.3
Chapman, Cording
and Schnabel
192,
prestressed
sand and
grael
13.8 0.64 2.5
Boutsma and
lorat 1969,
sheet pile bracing other soils 10.1 35.6 15.2
Insley 192, soldier pile rakers sot to sti
clay
.6 - 6.4
1ait and 1aylor
194,
sheet pile bracing sot to sti
clay
13.8 15.2 19.1
lansbo, loman
and Mosesson
193,
sheet pile bracing sot to sti
clay
5.1 5.1
Prasad, lreeman,
and Klajnerman
192,
hard clay S
u
2000 ps
13.8 - -5.1
Mansur and
Alizadeh 190,
hard clay S
u
2000 ps
13.8 1.3 1.3
Sandqist 192, sheet pile tieback anchors other soils 5.9 20.1 5.1
Sigourney 190, soldier pile tieback anchors sand and
grael
- 1.3
Goettle, llaig,
Miller, and
Schaeer 194,
grael
0.64 0.64
Sigourney 190, soldier pile tieback anchors sand and
grael
12 - 0.25
Clough, Veber,
and Lamont 192,
hard clay S
u
2000 ps
19.6 3.2 2.5
Nelson 193, soldier pile tieback anchors ery sti to
hard clay S
u
2000 ps
2.5 2.5 10.2
1able 2.4. Perormance data rom this reiew.
1able 2.4 continued
Reerence Vall type Support
type
Soil l
m,

max
cm,
h
max
cm,
Bono, N. A., Liu, 1.
K., and Soydemir, C.
1992,
diaphragm
wall
bracing other soils
loose ill,
organic silt,
clay,
18 4. 4.4
Borst, A.J., Conley,
1.L., Russell, D.P.,
and Boirum, R.N.
1990,
soldier pile
and lagging
tieback
anchors
ery sti
to hard
clay
20.4 0.2 1.3
and Boirum, R.N.
1990,
soldier pile
and lagging
bracing sand and
grael
18.9 1.0 1.3
and Boirum, R.N.
1990,
soldier pile
and lagging
bracing ery sti
to hard
clay
16.15 0.5 0.5
Brassinga, l. L. and
Van 1ol, A. l.
1991,
diaphragm
wall
bracing sand and
grael
20 2.2
Cacoilo, D.M.,
Ldinger, P.l., and
1amaro, G.J. 1996,
sheet Pile tieback
anchors
other soils
loose ill,
organic silt,
clay,
15.8 16.0
Caliendo, J. A.,
Anderson, L. R., and
Gordon, V. J.
1990,
soldier pile
and lagging
tieback
anchors
sot to sti
clay
12.49 2.4
Cheng, S. and
lansen, L. 1994,
shotcrete &
wire mesh
soil nails sot to sti
clay
15.84 2.8
Day, P. 1990, contiguous
bored pile
tieback
anchors
sot to sti
clay
16 2.2 1.8
linno, R. J. and
larahap, I. S. 1991,
sheet Pile bracing sot to sti
clay
12.19 25.4 1.8
Garin, R. and
Boward, J. 1992,
diaphragm
wall
tieback
anchors
sand and
grael
8.2 1.4
Giord, D. and
Vheeler, J. 1992,
diaphragm
wall
tieback
anchors
sand and
grael
15.23 1
Gill, S. A. and Lukas,
R. G. 1990,
sheet Pile rakers sot to sti
clay
9.44 8.9
Gill, S. A. and Lukas,
R. G. 1990,
diaphragm
wall
bracing sot to sti
clay
10.66 6.8
1able 2.4 continued
type
Soil l
m,

max
cm,
h
max
cm,
lata, S., Ohta, l.,
\oshida, S.,
Kitamura, l., and
londa, l. 1985,
diaphragm
wall
tieback
anchors
sot to sti
clay
2.5 0.9
loughton, R. C. and
Dietz, D. L. 1990,
soldier pile
and lagging
tieback
anchors
ery sti
to hard
clay
15.84 10.8 8.9
lsi, J. P. and Small,
J. C. 1992,
diaphragm
wall
bracing sot to sti
clay
20.8 3.2
lsi, J. P. and Small,
J. C. 1993,
diaphragm
wall
bracing sot to sti
clay
13 .0 12
Ikuta, \., Maruoka,
M., and Sato, L.
1994,
diaphragm
wall
structural
loors: top-
down
construction
sot to sti
clay
18 2.0
Kirsten, l. A. D.
and Dell, A. G.
1992,
shotcrete &
wire mesh
soil nails sand and
grael
11.9 .0
Lee, l.l., \ong,
K.V., Quan K.
C.N., and Chee K.1.
1998,
diaphragm
wall
bracing sot to sti
clay
1.3 .0 5.3
Lee, S., Parnploy, U.,
\ong, K., and Lee,
l. 1991,
sheet Pile tieback
anchors
sot to sti
clay
12 13
Lings, M. L., Nash,
D. l. 1., Ng, C. V.
V., and Boyce, M.
D. 1991,
diaphragm
wall
structural
loors: top-
down
construction
ery sti
to hard
clay
10 1.4
O'Rourke, 1. D. and
O'Donnell, C. J.
199,
soil mixed
wall
tieback
anchors
sot to sti
clay
15.25 18
Ou, C.-\., lsieh, P.-
G., and Chiou, D.-C.
1993,
sheet Pile bracing sot to sti
clay
.65 .8
1993,
secant or
contiguous
pile
sot to sti
clay
12.8 .2
1993,
secant or
contiguous
pile
bracing sot to sti
clay
9.6 2.4
1993,
diaphragm
wall
bracing sot to sti
clay
16.20 8.0
1993,
diaphragm
wall
bracing sot to sti
clay
10. .1
1able 2.4 continued
type
Soil l
m,

max
cm,
h
max
cm,
1993,
diaphragm
wall
structural
loors: top-
down
construction
sot to sti
clay
13.9 6.8
1993,
diaphragm
wall
tieback
anchors
sot to sti
clay
15. 6.2
1993,
diaphragm
wall
structural
loors: top-
down
construction
sot to sti
clay
20 13.
1993,
diaphragm
wall
bracing sot to sti
clay
18.45 6.3
1993,
diaphragm
wall
bracing sot to sti
clay
21 6.
Patel, A. and Castelli,
R. 1992,
SP1C
soldier pile
tremie
concrete
bracing other soils
loose ill,
organic silt,
sand and
grael,
16.6 1.0
Schoenwol, D. A.,
Vhitman, R. V.,
Abbott, L. L., and
Becker, J. M. 1992,
diaphragm
wall
structural
loors: top-
down
construction
sot to sti
clay
24.4 1.3 5.1
Steiner, V. and
Verder, l. 1991,
tangent pile tieback
anchors
sand and
grael
1.3 1.0
1amano, 1., lukui,
S., Kadota, S., and
Ueshita, K. 1991,
diaphragm
wall
bracing sot to sti
clay
20.8 5.2
1anaka, l. 1994, sheet Pile bracing sot to sti
clay
11 1.5 3.0
1hompson, S. R.
and Miller, I. R.
1990,
shotcrete &
wire mesh
soil nails sand and
grael
16.8 1.5
Vinter, D. G. 1990, soldier pile
and lagging
tieback
anchors
ery sti
to hard
clay
22.86 6.2 2.3
Vinter, L.,
Nordmark, S. 1.,
and 1allard, G.
1992,
diaphragm
wall
tieback
anchors
sot to sti
clay
10 1.0
Vong, I.l., Poh,
1.\., and Chuah,
l.L. 1996,
contiguous
bored pile
tieback
anchors
sot to sti
clay
16.8 .5
1able 2.4 continued
type
Soil l
m,

max
cm,
h
max
cm,
Vong, I.l., Poh,
1.\., and Chuah,
l.L. 1996,
diaphragm
wall
bracing sot to sti
clay
9.9 2.
Vong, I.l., Poh,
1.\., and Chuah,
l.L. 1996,
soldier pile
and lagging
bracing sot to sti
clay
12.4 11.5
Voo, S.M. 1991, diaphragm
wall
bracing sot to sti
clay
11.2 1.5
wall
bracing sot to sti
clay
13. 3.8
wall
bracing sot to sti
clay
15.5 2
and maximum wall displacement
h
max
, or each excaation. 1he soil conditions
or each deep excaation in 1ables 2.3 and 2.4 are categorized as sand and grael,
sot to sti clay, ery sti to hard clay, or loose ill and organic soils.
Compiling perormance data rom case histories has some inherent diiculties.
One is that the wide ariation o styles and quality o published case histories
makes gleaning perormance data rom the literature challenging. Another
diiculty is to characterize the soil conditions or any site into one o our
categories i.e. sand and grael, sot to sti clay, ery sti to hard clay, or loose
ills and organic soils,.
Soil conditions are rarely homogeneous, and placing site into a speciic category
can be arbitrary. Another diiculty is that groundwater conditions, surcharge
loads adjacent to excaations, construction techniques, and other important
actors are diicult to account or. In addition, the moements in published case
histories are only those that hae been measured. 1he maximum reported
moements might not be the maximum moement at the site. 1hus there are
oten signiicant shortcomings in summaries o published case histories.
1wo obserations are apparent by examining 1ables 2.3 and 2.4. One is that wall
moements are the most common perormance data reported in published case
histories. 42 o the 48 cases summarized in 1able 2.4 included maximum wall
displacements, while only 1 included maximum ground settlement. 63 o the 6
cases summarized in 1able 2.3 included maximum wall displacements, while 42
included maximum ground settlement. 1his is unortunate, because the
settlements next to a deep excaation are oten more important because they are
the cause o damage to surrounding structures. 1he reason that settlements are
not reported as oten as wall moements might be that settlements o ground
adjacent to an excaation are more diicult to measure than wall moements.
Measuring settlements next to a deep excaation is generally challenging because
o the construction actiities or traic around the excaation perimeter. Another
obseration is that 21 o the 6 31, cases in 1able 2.3 and 26 o the 48 cases
54, in 1able 2.4 used diaphragm walls. I it is assumed that neither table is
biased, this indicates that diaphragm walls hae become more common in deep
excaations.
ligure 2.12 is a plot o the maximum obsered ground settlements,
max
, rom
1ables 2.3 and 2.4 ersus the depth o excaation, l. ligure 2.13 is a plot o the
maximum obsered wall displacements,
h
max
, rom 1ables 2.3 and 2.4 ersus l.
It can be seen that there is a great deal o scatter in the data. 1he scatter is
undoubtedly due to ariations in actors such as groundwater conditions,
workmanship, and construction sequencing that are not included in either igure,
but which hae an important eect on excaation behaior.
ligure 2.12 and ligure 2.13 do not suggest a clear relationship between the
magnitude o moements and the depth o the excaation. 1his seems surprising
at irst, because the potential or moements increases with increasing excaation
depth. 1he lack o a clear relationship is due to ariations in design and
construction procedures. Many deep excaations take place in urban
enironments. 1he moements that the surrounding structures can endure
without sustaining damage usually goern the design o deep excaations. Design
and construction methods are oten chosen to meet moement tolerances, which
are the same regardless o the depth o excaation. 1hereore, designs become
more conseratie and construction tolerances tighter or deeper excaations
than or shallower excaations. 1hus, conseratism in design and construction
counteract the tendency or moements to increase as depth o excaation
increases.
l
i
e
l
d

P
e
r
o
r
m
a
n
c
e

S
t
u
d
i
e
s

o

D
e
e
p

L
x
c
a
a
t
i
o
n
s
ligure 2.12. Maximum settlements adjacent to excaation ersus excaation depth.
8
C
h
a
p
t
e
r

2
D
a
i
d

J
.

B
e
n
t
l
e
r
ligure 2.13. Maximum wall displacements ersus excaation depth.
Conclusions 9
1able 2.5 is a summary o the aerage and standard deiation o the maximum
wall moements and ground settlements rom 1ables 2.3 and 2.4. 1he sand
and grael and ery sti to hard clay soil categories were grouped together in
1able 2.5, since there were ew data and perormance was similar. 1able 2.5
shows the wide ariability or maximum moements. 1able 2.5, ligure 2.12,
and ligure 2.13 show that typical moements experienced in sot soil
conditions hae decreased since Goldberg et al. perormed their reiew.
2.5. CONCLUSIONS
A comprehensie reiew o literature on deep excaations in soil was
perormed to study the actors that control the perormance o deep
excaations. 1he publications reiewed indicate that the important actors that
inluence the perormance o deep excaations in soil are:
1. 1ype o soil and its mechanical behaior
2. Construction method
3. Construction sequencing
4. Initial soil stresses
5. Groundwater conditions
6. Support system
. Vorkmanship , quality o construction
8. 1emperature
9. Lxcaation geometry
1he role o these arious actors on the perormance o deep excaations is
complex. 1his makes designing support systems or deep excaation
challenging.
linite element analysis and instrumentation monitoring o deep excaations
are naturally complementing tools or studying deep excaations. linite
element analysis acilitates parametric studies o the actors that inluence deep
excaation perormance. It is easier and cheaper to perorm a inite element
8
0
C
h
a
p
t
e
r

2
D
a
i
d

J
.

B
e
n
t
l
e
r
1able 2.5. Statistics rom perormance data.
PD[LPXPPRYHPHQWV
max
cm,
h
max
cm,
Source Soil Condition
n Aerage Std. De. n Aerage Std. De.
sand & grael, ery
sti to hard clays
21 2.9 2.2 24 3. 3.5
Goldberg et al. 196,
sot to sti clays,
other soils
21 13.5 8.3 39 10.4 6.
sand & grael, ery
sti to hard clays
5 4.0 4.5 10 2.6 2.9
1his reiew
sot to sti clays,
other soils
12 6.8 6.4 31 6.4 5.1
PD[LPXPQRUPDOL]HGPRYHPHQWV
max
,l ,
h
max
,l ,
Source Soil Condition
n Aerage Std. De. n Aerage Std. De.
sand & grael, ery
sti to hard clays
21 0.11 0.098 24 0.24 0.229
Goldberg et al. 196,
sot to sti clays,
other soils
21 1.22 0.928 39 0.90 0.620
sand & grael, ery
sti to hard clays
5 0.220 0.2 10 0.186 0.208
1his reiew
sot to sti clays,
other soils
12 0.545 0.5 31 0.452 0.362
Conclusions 81
analysis than it is to construct and monitor a deep excaation. loweer, the
assumptions and modeling approximations necessary in an analysis limit the
accuracy o inite element analysis o deep excaation problems. Instrumentation
monitoring o deep excaations complements inite element analysis by proiding
inormation on the perormance o deep excaations that is unettered by
assumptions and approximations.
Another important aspect o the complementary relationship o inite element
analysis and instrumentation monitoring o deep excaations is related to the
amount o inormation proided by analyses as compared to ield studies. A
disadantage o instrumentation monitoring is that moement and pore pressure
inormation is gathered at relatiely ew points, because o the cost inoled. A
inite element analysis, on the other hand, gies deormations and stresses oer
the entire domain analyzed.
1he understanding o deep excaation behaior has eoled as the tools or
analyzing and monitoring deep excaation hae improed. 1he increased use o
inite element analysis as a research and design tool or deep excaations is one
example o this. An oerwhelming majority o the recent publications on deep
excaations hae inoled inite element analysis. 1he literature shows that the
quality and complexity o the analysis o deep excaations is steadily increasing.
1he use o inite element analysis is one o the biggest changes in the state o the
art or deep excaations since Peck`s paper in 1969. Another ery signiicant
change has been increased concern with moements around excaations in urban
settings, which has led to more conseratie design, more extensie perormance
monitoring, and tighter control o construction operations.
Perormance data rom recent published case histories were compared to the
perormance data compiled by Goldberg et al. 196,. 1he recent published case
histories showed that diaphragm walls are now used extensiely to support deep
excaations. Comparison o recent perormance data with that collected by
Goldberg et al. showed that the typical maximum wall and ground moements
experienced in deep excaations in sot soil conditions has decreased. 1his
beneit is belieed to be a result o the increased use o diaphragm walls and
tighter control on construction operations.

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