Dong, Y. P. et al. (2016). Gotechnique 66, No. 1, 115 [http://dx.doi.org/10.1680/jgeot.14.P.

234]

Finite-element analysis of a deep excavation case history

Y. P. DONG
, H. J. BURD and G. T. HOULSBY

The design of deep excavations requires careful consideration of the influence of various soil/structure
interaction mechanisms and detailed issues relating to the construction processes and the mechanics of
the soil. Finite-element analysis provides a useful design tool for deep excavations, but care needs to
be taken to ensure that an appropriate level of detail is included in the model. This paper describes a
three-dimensional finite-element analysis of a deep excavation supported by a diaphragm wall, recently
constructed in Shanghai. The principal purpose of the study is to investigate the level of detail that is
required in the finite-element model to obtain results that provide a realistic representation of the wall
and ground movements measured during the construction process. Studies are conducted on (a) the
influence of the soil constitutive model on the quality of the results; (b) procedures to model the effect of
post-cure shrinkage in the concrete floor slabs; (c) procedures to model the construction joints in the
diaphragm wall; (d ) the relative merits of using shell and solid elements to model the diaphragm wall;
and (e) the sensitivity of the analysis to the assumed initial horizontal stresses in the soil.

KEYWORDS: case history; excavation; finite-element modelling; retaining walls; soil/structure interaction

INTRODUCTION available software and hardware. Experience gained during

The design of deep excavations requires careful consideration
of the strength and stability of the various structural elements
at all stages during the construction process. In addition, the
ground movements induced by the excavation need to be
carefully controlled, to ensure that damage to any nearby
buildings and services is kept within acceptable levels. The
performance of a deep excavation depends on the method of
construction as well as the local ground conditions. Making
reliable predictions of performance often presents a con-
siderable challenge.
A substantial body of field data from previous deep ex-
cavation projects is available in the literature, for example,
in the UK (Skempton & Ward, 1952; Wood & Perrin, 1984;
Simpson, 1992), the USA (Finno & Nerby, 1989; Finno
et al., 1989; Finno & Bryson, 2002), and Shanghai, China
(Liu et al., 2005, 2011; Wang et al., 2005; Xu, 2007; Ng et al.,
2012; Tan & Wei, 2012). Case histories of this sort provide
valuable information on the performance of various forms of
retaining system that can be used to calibrate finite-element
modelling procedures; information of this sort may also be
used to establish an appropriate level of confidence in the
results of finite-element analysis when used as part of the
design process for deep excavations.
Rapid recent advances in computing resources open up
new possibilities for the use of finite-element modelling for
the routine design of deep excavations. Considerable care
needs to be taken, however, to ensure that appropriate pro-
cedures are employed. If the model is too simplistic then
the results will be unreliable. Alternatively, if an attempt is
made to develop a model with an excessive level of detail,
then difficulties may arise in the selection of material and
construction parameters, or in limitations imposed by the
calibration exercises, in which the results of finite-element
analyses are compared with field data, may be used to suggest
appropriate numerical procedures to adopt and pitfalls to
avoid.
To obtain a satisfactory numerical model of the per-
formance of a deep excavation, a detailed three-dimensional
(3D) model is typically required (Gourvenec et al., 2002;
Zdravkovic et al., 2005; Lee et al., 2011). Furthermore, the
analysis needs to take account of the small strain non-
linearity of soil (Simpson, 1992; Potts & Zdravkovic, 2001),
potential post-cure thermal effects associated with the floor
slabs that act to support the retaining structures (Whittle
et al., 1993), and the initial stress state in the ground (Potts
& Fourie, 1984). Other issues to be considered include the
choice of element type (i.e. continuum or shell) to model the
retaining wall, and the development of an appropriate ap-
proach to model the structural influence of any construction
joints in the retaining wall (Zdravkovic et al., 2005).
This paper describes a detailed analysis of a complex
deep excavation case history (the basement excavation for
Shanghai Xingye Bank building) using Abaqus V611. This
project involved the top-down construction of a deep
excavation, supported by a diaphragm wall. The purpose of
the current study is to investigate the influence of various
modelling approaches and procedures on the computed
behaviour. Studies are conducted on the relative merits of
alternative approaches for modelling the soil, the retaining
wall and the supporting structures. Detailed field measure-
ments are available for this project (Xu, 2007); these data are
used to assess the reliability of the finite-element results.

CASE HISTORY DESCRIPTION

Manuscript received 19 November 2014; revised manuscript
accepted 14 July 2015. Published online ahead of print 14
September 2015.
Discussion on this paper closes on 1 June 2016, for further details see
p. ii.

SingaporeMIT Alliance for Research and Technology, Singapore;
former DPhil student at University of Oxford, UK.
Department of Engineering Science, University of Oxford,
Oxford, UK.
General description
The Shanghai Xingye Bank is a high-rise building (825 m
high) with a three-level deep basement. The structure em-
ploys a reinforced concrete frame, founded on bored piles
(Xu, 2007). The basement excavation is approximately
80 m  90 m in plan (Fig. 1). The excavation depth, as
shown in Fig. 2, is 142 m on the west side and 122 m on
the east side. The excavation is adjacent to 15 densely packed

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 2 DONG, BURD AND HOULSBY

Drainage pipeline
Telephone cable
Lainhe
(B4) Gas pipeline
Zhongnan building
(B7) (B6) (B5) Water supply pipeline
building
Electric power pipeline

Hankou Road Soil cement columns

East China Architecture

Design Institute
Diaphragm wall
A 144 m 124 m Custom House
(ECADI)
Xingye Bank

Middle Sichuan Road

Spiral injection piles
Soil cement columns
( 600 mm)

HSBC Bank
(62 m wide)
Middle Jiangxi Road

Communication Bank
(CB)

Sanjing Bank Electric power pipeline

(SJB) Water supply pipeline

(B1) (B2) (B3)
Sewerage pipeline
Xincheng building
Telephone cable
Drainage pipeline

Fuzhou Road Root piles ( 300 mm)

0 5 10 15 20 m
N

Fig. 1. Plan view of the deep excavation (Xu, 2007)

14050 m

9450 m

Crab 4950 m
Soil cement
Spiral injection piles columns
0200 m 0100 m
1
Temporary Steel lattice Steel pipe
2 1350 m strut ( 0609 m) 1350 m
column 3900 m

3 6650 m Temporary
7100 m strut
Temporary
strut
10700 m 10400 m
4
Bottom slab
Root piles 12400 m
( 03 m)
14400 m Concrete cushion
(02 m thick)
Soil cement
5 11
columns
Soil cement columns

Diaphragm wall Bored pile ( 08 m)Bored pile ( 09 m) Diaphragm wall

5 12 3 (08 m thick)
(10 m thick) 60 m deep below ground level

Fig. 2. Cross section AA, see Fig. 1 (Xu, 2007)

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY
buildings (eight of which have historic significance) and
several existing underground service pipes.
The retaining system, shown in Fig. 2, consists of a dia-
phragm wall (with thickness varying between 08 m and
10 m), vertical columns and piles (08 m and 09 m in dia-
meter, 60 m deep), three levels of horizontal concrete floor
slabs (015 m thick), a grid of reinforced concrete beams
(05 m  08 m in section) and several temporary struts.
A plan view of the ground floor slab and the grid of sup-
porting beams is shown in Fig. 3. Openings in the floor slab
were designed to facilitate the removal of the excavated soil
and to provide lighting and ventilation to the lower levels.
The excavation was constructed using a typical top-down
approach. The sequence is summarised in Table 1.
Soil modelling procedures
The Xingye Bank is located at a site in Shanghai which is
underlain by thick, relatively soft, quaternary alluvial and
marine deposits known as Shanghai Clay. As described later,
these deposits include various clay and silty clay layers with a
3
9
low coefficient of permeability (typically 10 m/s). The
linear dimensions of the excavation are relatively large (of the
order of tens of metres) and, although some dissipation of
excess pore pressures is likely to occur during the construc-
tion process, it is assumed in the current analysis that these
drainage effects are minimal. The analyses described in the
current paper are therefore based on the assumption of
undrained soil behaviour.
It is noted that the ground movements that are caused by
deep excavation construction in Shanghai Clay are typically
observed to vary with time. Liu et al. (2005), for example,
report field data relating to a 17 m deep diaphragm wall-
supported excavation in Shanghai. These authors conclude
that the observed time-dependency in the measured ground
settlements around the excavation provide evidence that sig-
nificant dissipation of excess pore pressures occurred during
the construction process. Conversely, Tan & Wei (2012)
suggest, in connection with a separate set of deep excavation
field data in Shanghai Clay, that the time-dependent nature
of the observed post-construction settlements is a conse-
quence of the known tendency of soils in this region to

Reinforced concrete
strut

Reinforced concrete
strut

Steel strut

Fig. 3. Plan view of the ground floor slab and supporting beams (Xu, 2007)

Table 1. Construction sequence (Xu, 2007)

Stages Period: dates Interval: Construction activities

days
1 02/03/2002 218 Install diaphragm walls, pile foundations; conduct ground improvement and dewatering
06/10/2002
2 07/10/2002 13 Excavate to elevation 15 m first, then excavate to elevation 53 m with slope ratio 1:15; slope
19/10/2002 shoulder 10 m on the west and south side, and 8 m on the other two sides
3 20/10/2002 53 Cast the beams and slabs for the top level of the basement
11/12/2002
4 12/12/2002 19 Excavate the berms surrounding the wall remaining from the previous stage to elevation 53 m
30/12/2002
5 31/12/2002 59 Cast the 1st level beams and floor slabs and the ground floor slab
27/02/2003
6 28/02/2003 25 Excavate to elevation 855 m
24/03/2003
7 25/03/2003 48 Cast beams and slabs for the 2nd level, and structures for the first floor above ground level
11/05/2003
8 12/05/2003 60 Excavate to elevation 107 m first, then excavate to 124 m with slope ratio 1:15; excavate berms
10/07/2003 to elevation 113 m
9 11/07/2003 76 Cast the bottom slab (2 m thick) and add temporary struts for 3rd level; construct the structures
24/09/2003 for the 2nd floor above ground level
10 25/09/2003 27 Excavate the remaining soil to elevation 144 m (west side) and 124 m (east side) respectively
21/10/2003
11 22/10/2003 51 Cast the bottom slab on the west side; remove the temporary struts; construct the other structures
11/12/2003 of the basement

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 4 DONG, BURD AND HOULSBY
exhibit creep. It also seems plausible that post-cure mechan- Geotechnical conditions and soil properties
isms in any reinforced concrete components (e.g. diaphragm According to the original site investigation report (SGIDI,
walls or slabs) will contribute to the tendency of the nearby 1997), the site is located on a flat coastal plain, with ground
ground to exhibit time-dependent movements. Soil creep elevation between 480 m to 387 m. The water table is
effects are excluded in the modelling procedures described between 05 m and 1 m below the ground surface. The site is
later in this paper, although an attempt is made to incor- underlain by deposits of Shanghai Clay. The geological
porate post-cure shrinkage of the floor slabs within the profile and soil properties from the site investigation report
analysis. are shown in Fig. 4. The soil profile is divided into nine layers
Two alternative soil modelling procedures are available according to differences in soil characteristics, physical
for the analysis of undrained problems in geotechnical and mechanical properties. The natural water content of
engineering. One approach, which has been previously used the clay and the silty clay layers is close to, or in some cases
in the analysis of deep excavations (e.g., Ng & Lings, 1995; higher than, the liquid limit, suggesting that the soil is
Hashash & Whittle, 1996; Zdravkovic et al., 2005; Kung either normally consolidated or lightly overconsolidated.
et al., 2009), is to adopt an effective stress model for the soil The undrained shear strength, su, determined from field vane
that is coupled with a nearly incompressible model for the shear testing, is significantly higher than the values normally
pore fluid. This approach has the disadvantage, from a prac- associated with clay at the liquid limit, suggesting that the
tical perspective, that measured data on undrained shear clay is likely to be sensitive.
strength cannot be correlated directly with the model para- The data in Fig. 4 are insufficient to calibrate a soil model
meters; instead, a separate calibration process is required. in which the small strain non-linearity is included. In ad-
The alternative approach, adopted in the current paper, is to dition, the data only provide information on the undrained
formulate the soil model as a single phase material in terms shear strength to a depth of about 24 m below the ground
of total stresses. In this case, (approximately) zero volumetric level, but the numerical analysis requires strength data to
strains are enforced by way of constraints that are implicit a greater depth. To supplement the information provided in
within the constitutive model. This latter approach has the the original site investigation report, additional data were
considerable advantage, from a practical perspective, that collected from published soil properties on Shanghai Clay, as
undrained shear strength is treated as a material parameter; described below.
measured spatial variations of undrained shear strength are A set of undrained shear strength data (Dassargues et al.,
therefore incorporated, in a straightforward way, within the 1991) measured using shear box tests on soils from the
constitutive model. Moreover, total stress models are in central zone of Shanghai, and additional undrained shear
general more robust computationally than effective stress strength data determined using the field vane at two separate
models and typically involve significantly less computational sites in Shanghai (Liu et al., 2005; Ng et al., 2012), are
effort. For the detailed analysis presented in this paper, reproduced in Fig. 5. The undrained shear strength data from
the robustness of the total stress approach is particularly the Xingye Bank site investigation (Fig. 4) are also included
advantageous. in this plot.

t: kN/m3 w n , w l, w p : % e Cc su: kPa c: kPa : degrees

Soil layers
16 18 20 20 40 60 05 10 15 05 10 0 20 40 0 10 0 10 20 30
0
Fill
clay
Silty clay

10
Mucky clay

Silty clay,
with clay
Depth below ground level, z: m

20

30
Silty clay,
with clayey
silt

40
wn

wl

50 wp
Sandy silt

Silty clay, with

sandy silt
60 Silty clay, with
silty sand
Note: t = unit weight, wn = water content, wp = plastic limit, w1 = liquid limit, e = void ratio, Cc = compressive index,
su = field vane shear strength, c = cohesive strength, = internal friction angle

Fig. 4. Geotechnical profile and soil properties from the site investigation (Xu, 2007)

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY 5
su: kPa On the basis of the data in Fig. 6, G0 is assumed to increase
0 50 100 150 200 250 linearly with depth. The following correlation is assumed in
0
the analyses described later in this paper
Dassargues et al. (1991)
10 Xu (2007) G0 20 2z 2
Ng et al. (2012)
Depth below ground level, z: m

20
Liu et al. (2005)
Equation (1)
30
40
50
60 su = (20 + 2z) kPa
70
Fig. 5. Undrained shear strength profiles determined from four
separate sites in Shanghai
On the basis that the soil is normally consolidated, or
lightly overconsolidated, it is assumed that the undrained
shear strength increases linearly with depth. The following
variation of shear strength with depth is assumed in the
finite-element analyses described in this paper (where z is
depth in units of metres and su is undrained shear strength in
units of kPa)
su 20 z
Most of the finite-element analyses described later in this
paper are based on the use of a multi-surface kinematic
hardening plasticity model (Houlsby, 1999) to represent the
soil. (Two subsidiary analyses, based on the use of an elastic
perfectly plastic model, have also been conducted for com-
parison purposes.) To calibrate the kinematic hardening
plasticity model, data are required on the small strain stiff-
ness behaviour, that is, the small strain shear modulus, G0,
and the variation of tangent shear modulus with shear strain.
Appropriate values of G0 can be determined from shear-
wave velocity tests. Relevant data are given in Cai et al. (2000)
(from the Quyang district of Shanghai), Chen et al. (2011)
(from the site of Shanghai Hongqiao station) and Lou et al.
(2007) (from two further sites in Shanghai). Additional data
on characteristic values of shear wave velocity for depths of
up to 100 m in Shanghai are reported by Gao & Sun (2005).
Data from these sources are plotted in Fig. 6.
where the depth z is in units of metres and G0 is in units of
MPa. Equations (1) and (2) imply a rigidity index of Ir 1000
(where Ir G0/su) that is invariant with depth.
It should be noted that there is a potential difficulty in the
use of the relatively simple model for strength and stiffness
given in equations (1) and (2). As indicated in Fig. 1, the
Xingye Bank site is surrounded by a range of existing build-
ings; the self-weight of these buildings is likely to have
caused additional consolidation in the soil. This is par-
ticularly the case at this site where the soil is normally con-
solidated or lightly overconsolidated. It would be possible,
in principle, to include the effects of these consolidation
processes (which would tend to increase the strength and
stiffness of the soil beneath the neighbouring buildings) in the
model. However, this has not been attempted in the current
analysis.
Only limited data are available in the literature on the
small strain stiffness properties of Shanghai Clay. Lu et al.
(2005) report the results of resonant column tests and cyclic
triaxial tests on three different types of remoulded soil (sandy
silt, silty clay and medium sand). Huang et al. (2001) give
various data determined from triaxial and resonant column
tests. Wang (2004) presents data from bender element tests.
These data, all in terms of secant shear modulus, Gs, nor-
1 malised by G0, are reproduced in Fig. 7. The data present a
consistent pattern, with the exception of the data from Wang
(2004), which falls below the general trend.
The data in Fig. 7 may be represented, reasonably well, by
the equation
Gs 1
3
G0 1 =05
where is the shear strain and 05 is a reference strain at
which Gs/G0 05. Similar expressions have been used by
previous researchers (e.g. Hardin & Drnevich, 1972; Stokoe
et al., 1999; Darendeli, 2001; Santos & Correia, 2001). It is
straightforward to show that, for the particular correlation in
equation (3), the reference shear strain is related to rigidity
index by
1
05 4
Ir

G0: MPa 10
0 50 100 150 200 250 350 250 400 Silty clay, Lu et al. (2005)
0 09 Sandy silt, Lu et al. (2005)
Medium sand, Lu et al. (2005)
10 08 Huang et al. (2001)
Cai et al. (2000) Wang (2004)
Chen et al. (2011) 07 Equation (3)
Depth below ground level, z: m

20
Gao & Sun (2005)
Lou et al. (2007) 06
30 Lou et al. (2007)
Gs /G0

Equation (3) 05
40

50 04

60 03

70 02

01
80 05
G0 = (20 + 2z) MPa = 1000su
0
90
106 105 104 103 102 101
100 Shear strain,

Fig. 6. Profile of G0 determined from shear-wave velocity tests in Fig. 7. Variation of normalised secant shear modulus Gs/G0 with
Shanghai shear strain

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 6 DONG, BURD AND HOULSBY
Equation (3), with Ir 1000, is plotted in Fig. 7. It is seen
to provide a good fit to the data (with the exception of Wang m 400
(2004)). 400 m
The data in Fig. 7 relate to the secant modulus, Gs.
However, to calibrate the multi-surface kinematic hardening
plasticity model adopted for the current analysis, data are

10 0 m
required on the tangent shear modulus, Gt. It is straightfor-
ward to show that equation (3) implies a variation of tangent
shear modulus with shear strain of the form
Gt 1
5
G0 1 Ir 2
Roller
boundary
The expression in equation (5) is used to determine the
z Roller
constitutive parameters for use in the multi-surface kinematic y x boundary Fixed
hardening plasticity model, as described in a later section. boundary

Fig. 9. Geometry and mesh of the whole model

Field data
A comprehensive field measurement programme,
described in Xu (2007), was carried out to monitor the
performance of the diaphragm wall and the deformations in
the neighbouring structures, during, and after, the construc-
tion process. The numerical calculations presented in the
current paper, are concerned with wall deformations at two
typical points (P8 and P9) (see Fig. 8) where inclinometer
data are available in Xu (2007). Point P9 has been chosen as it
lies at the midpoint of one side of the excavation; point P8 is
located at a re-entrant corner. In addition, computed defor-
mations are presented along two lines on the ground surface
(denoted line 1 and line 2 in Fig. 8) along which settlements,
obtained using optical levels, are reported by Xu (2007).
DEVELOPMENT OF THE FINITE-ELEMENT
MODEL
Model description
A finite-element model, developed in Abaqus V611, was
developed to represent the problem at a level of detail that
was judged to be appropriate for the structure and the
various construction processes that were employed in the
project. The geometry and mesh of the model are shown in
Fig. 9. Roller boundary conditions are assigned to the four
vertical sides of the mesh and the bottom is fixed. Initially
a central analysis was established which incorporated best
estimates of the various parameters and procedures that are
needed for the analysis. Subsidiary analyses were then per-
formed to investigate the sensitivity of the results to some of
the assumptions inherent in the central analysis.
The soil is modelled with linear displacement, eight-
noded, hexahedral elements with reduced integration
(C3D8R). Linear elements were used in this case to facilitate
the development of a model in which the geometry of the
problem could be represented to a high level of detail,
without exceeding the capability of the available computing
resources. It should be noted, however, that linear elements
typically exhibit an over-stiff response when used to conduct
failure analyses in geotechnical engineering (although this
tendency is reduced by the use of reduced integration). The
analyses presented here, however, focus primarily on defor-
mations, for which locking behaviour of the linear elements
should not be significant. In a practical design situation,
consideration should be given to conducting analyses using
higher order elements.
In the central analysis, the diaphragm wall is modelled
using a mesh of C3D8R elements (Fig. 10) with three
elements through the thickness of the wall. In a subsidiary
analysis, an alternative approach, based on the same mesh
topology but employing shell elements, is employed.
The principal structural elements, shown in Fig. 11,
include vertical piles and columns, horizontal beams and
floor slabs. The piles and beams are modelled with linear
beam elements (B31). The floor slabs are modelled with
four-noded quadrilateral shell elements with reduced inte-
gration (S4R).
The finite-element mesh used for the central analysis has a
total of 102 036 elements and 116 756 nodes. All analyses
were conducted assuming undrained conditions using a total
stress analysis. The steps used in the analysis follow closely
the construction sequence specified in Table 1. However, the

83
7 5m m
Wall 1 87
W
al

L06
l2

0
8m
Wall 9

AA9 AA12 thi

P9 ck
252 m

Xingye Bank Line 1

292 m
m

deep excavation
312

10 m thick
Wall 3

Line 2

P8
Wall 8
Wall 7

4m
Wall 5

Wall 6
y z x
L01

Wall 4

Fig. 8. Key field instrumentation locations Fig. 10. Diaphragm wall geometry and mesh

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY
diaphragm wall installation is modelled as wished-in-place
for simplicity, and the dewatering process is not modelled (on
the basis that a total stress analysis is being conducted).
Material models and input parameters
The Shanghai Clay is represented by a multi-surface
kinematic hardening soil model (Houlsby, 1999) which has
been developed to represent the small strain non-linear
behaviour of undrained soils. This multi-surface model,
formulated within the framework of work-hardening plas-
ticity theory, is able to represent the non-linear behaviour
of soil at small strains. The model is described in detail by
Houlsby (1999); the use of the model to conduct finite-
element analyses of the deformations around shallow tunnels
is described in Burd et al. (2000). For the current analysis, this
model has been implemented in Abaqus by way of a UMAT
(an interface in Abaqus for users to write user-defined
material constitutive models) subroutine (Dong, 2014).
The soil model consists of a fixed outer von Mises surface
defined by
7
surfaces are used in the analyses described in this paper, a
balance between accuracy and computational efficiency.
The parameters for the model are selected to provide a fit
with the stiffness degradation curve given in equation (5).
These parameters are listed in Table 2. Details of the pro-
cedure used to determine the numerical values of the model
parameters are given in Dong (2014). A comparison between
the step-wise stiffness degradation curve computed using the
multi-surface kinematic hardening plasticity model, using
the data in Table 2, and equation (5) is shown in Fig. 12.
To illustrate the performance of the kinematic hardening
model, an analysis has been conducted of the shearing
phase of a conventional triaxial compression test. The results
of this analysis are plotted in Fig. 13 in terms of normalised
10
g0 = 10 Equation (5)
09 Kinematic hardening model
g1
08
07

c2c1
g2

c1
f 6J2  8C 0
2
6 06
g3
where is the stress tensor, J2 is the second invariant of the Gt/G0 05

c3c2
deviatoric stresses and C is a parameter that defines the size 04 Area = 10
g4
of the surface and is interpreted as the undrained shear in linear plot
03
strength. In addition, the model includes a set of n inner,

c4c3
g5
kinematic hardening, yield surfaces with the same shape as 02

c5c4
the outer von Mises surface. 01
The model is specified by the small strain shear modulus, G0,
the bulk modulus K and a set of non-dimensional parameters ci 0
103 102 101 100 101 102
and gi (i 1, n) that are used to specify the size and work Ir
hardening characteristics of each of the inner surfaces. The size
of each inner surface is ciC and the tangent shear modulus Fig. 12. Plot of Gt/G0 against Ir for equation (5) and also for the
when the ith surface is active is giG0. A total of nine inner yield kinematic hardening model based on parameters in Table 2

Superstructures 20
Kinematic hardening model
18
Equation (3)
Floor slabs 16
Normalised deviator stress, q

and beams
14

12

10

08

06

04

02

0
0 05 10 15 20 25 30 35 40 45 50
Normalised triaxial shear strain, s

z Fig. 13. Plot of normalised deviator stress q against normalised

triaxial shear strain s . Comparison between the results of triaxial
y x compression tests determined on the basis of equation (3) and the
Piles and columns, 60 m deep performance of the kinematic hardening model (including an unload
reload cycle) based on the parameters used in Table 2. The filled
Fig. 11. Supporting system and superstructures circles indicate intersections with one of the yield surfaces

Table 2. Parameters for the nested kinematic hardening model for n = 9

i 0 1 2 3 4 5 6 7 8 9

gi 10 09 07 05 03 015 0075 003 00075 000058

ci 0005 00952 02264 03537 05358 06769 07678 08708 0942

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 8 DONG, BURD AND HOULSBY
deviator stress, q q=su (where q is deviator stress) and
normalised triaxial shear strain s s Ir (where s is the
increment of triaxial shear strain). In this analysis, the model
is initially loaded to 80% of the failure load (i.e. q 16). The
computed performance of the kinematic hardening model
conforms closely (as expected) to the response computed
using equation (3). At q 16 the model is unloaded and
then re-loaded. The model exhibits a relatively stiff unloading
response and shows typical hysteretic behaviour on reloading.
This is a feature of the model; it is able to capture realistically
not only the change of stiffness on unloading, but also
realistic behaviour on reloading. More generally it captures
the effects of immediate past stress history on the stiffness of
the soil.
The diaphragm wall is modelled using a cross aniso-
tropic elastic model. This provides a means of modelling the
structural influence of the construction joints in the wall
(Zdravkovic et al., 2005). The elastic properties of the
concrete used to construct the wall are assumed to be Ev
30 GPa, where Ev is the vertical Youngs modulus and
Eh Ev, where Eh is the horizontal Youngs modulus and
specifies the degree of anisotropy. Values of Poisson ratio
are vhv vvh 0.
The horizontal beams and floor slabs are modelled as
isotropic linear elastic materials with Youngs modulus E
30 GPa and Poisson ratio v 02. The floor slabs and beams
act as props for the diaphragm wall. During construction, the
floor slabs are cast against the diaphragm wall. Once a slab
has been cast, however, various complex mechanisms come
into play as the concrete cures (e.g. Kim & Ahn, 2009).
Initially, the concrete will heat up and expand as a con-
sequence of the exothermic curing processes. The slab will
then shrink as it cools. Various other time-dependent shrink-
age processes will also occur. This rather complex behaviour
during the curing process has the unfortunate effect that the
precise level of support that the slab provides to the retaining

Wall: shell elements

1, continuous, anisotropic
2, discontinuous at corners, isotropic
3, continuous but release rotational
DOFs at corner, isotropic
Conventional soil models
1. Linear elastic, constant properties
Wall: anisotropic, solid 2. Tresca, constant properties
elements, varies 3. Tresca, variable properties

Influence of anisotropic
Influence of wall models wall properties Influence of soil models

Central analysis
Soil: multiple-yield surface model
G0 and su increase with depth
= 185 kN/m3, K 0t = 088
Wall: solid element, anisotropic properties,
best = 01
Slab, beam: linear elastic, shrinkage,
= 1 105/K, Tbest = 35 K

Influence of initiaI stress state Influence of concrete shrinkage

K 0t = 077, 10 T = 30 K, 40 K

Fig. 14. Analysis strategy (DOFs: degrees of freedom)

Table 3. Specification of the subsidiary analyses

Parameter or procedure being explored Nomenclature Analysis description

Constitutive model Central analysis Multi-surface kinematic hardening plasticity model

su (20 2z) kPa, G0 1000su
Tresca 1 Tresca soil model
Uniform strength and stiffness
su 50 kPa, G 125 MPa, v 049
Tresca 2 Tresca soil model
Strength and stiffness vary with depth su (20 2z) kPa,
G 250su, v 049
Thermal modelling of slab and beams Central analysis T 35 K
T1 T 30 K
T2 T 40 K
Degree of anisotropy of diaphragm wall model Central analysis 01
A1 105
A2 10
Element type to model diaphragm wall Central analysis Eight-noded continuum elements, 01
S1 Four-noded shell elements, 01
Horizontal stress distribution Central analysis Kt0 088
H1 Kt0 077
H2 Kt0 10

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY 9
wall cannot easily be determined. In addition, the floor slabs values of (the wall anisotropy factor) and T (the tem-
may also shrink or expand due to the variation of ambient perature change required to model post-cure shrinkage in the
temperature (Whittle et al., 1993; Boone & Crawford, 2000; horizontal beams and slabs) need to be selected. The values
Hashash et al., 2003). adopted in the current analysis (chosen on a trial-and-error
Avariety of procedures have been used in previous analyses basis to provide a reasonable comparison with the field data)
to incorporate post-cure concrete shrinkage effects in are 01 and T 35 K. All other parameters adopted
finite-element models of propped excavations. One approach in the central analysis were based directly on the available
is to use a reduced stiffness for the slab (e.g. Simpson, 1992; geotechnical and structural data.
St. John et al., 1993). This approach has the disadvantage, Once the central analysis had been completed, separate
however, that it does not represent, in any meaningful way, subsidiary calculations were conducted to investigate the
the detailed physics of the concrete curing process being influence of certain key aspects of the model. This process
modelled. An alternative approach is to model shrinkage provides an indication of the sensitivity of the analysis to the
effects by prescribing thermal strains to the floor slabs. In this calculation parameters and modelling procedures adopted in
approach, thermal and post-cure shrinkage effects are effec- the central analysis.
tively lumped together and dealt with in the model by specify-
ing an appropriate set of thermal strains using a combination
of coefficient of thermal expansion and temperature
INTEPRETATION OF RESULTS
change, T. This approach is adopted in the current model
Xu (2007) provides a substantial database of field data
with 105/K. The required amount of thermal shrinkage
that may be compared with the results of the finite-element
is specified by way of an appropriate value of T for the
analysis. In conducting these comparisons, various issues
horizontal beams and slabs.
need to be considered. First, the horizontal wall movements
reported by Xu (2007) were based on inclinometer readings
and reported on the basis that the displacement at the base
ANALYSIS STRATEGIES AND CALCULATIONS of the inclinometer is zero. To compare these data with the
A parametric study has been conducted according to the finite-element results, the computational results have been
strategy shown in Fig. 14. The individual calculations that shifted to match the zero displacement condition that is
have been conducted are specified in Table 3. Initially a assumed at the base of the inclinometers. In addition, the
central analysis is conducted. For this analysis, appropriate data in Xu (2007) indicate that measureable ground

0 0
2 P9 2 P8
4 Field data 4 Field data
6 Central analysis 6 Central analysis
8 Tresca 1 8 Tresca 1
10 Tresca 2 10 Tresca 2
Wall depth: m

Wall depth: m

12 12
14 14
16 16
18 18
20 20
22 22
24 24
26 26
28 28
30 30
32 32
40 30 20 10 0 10 20 30 40 50 60 70 80 90 100 40 30 20 10 0 10 20 30 40 50 60 70 80 90 100
Wall deflection: mm Wall deflection: mm
(a) (b)

60 100
Line 1 90 Line 2
50
Field data 80 Field data
Vertical ground movement: mm

Vertical ground movement: mm

40 Central analysis Central analysis

70
Tresca 1 Tresca 1
Tresca 2 60 Tresca 2
30
50
20 40

10 30
20
0
10
10 0
10
20
20
30 30
0 5 10 15 20 25 30 35 40 0 10 20 30 40 50 60 70
Horizontal distance from wall: m Horizontal distance: m
(c) (d)

Fig. 15. Wall deflections and ground settlements (effects of soil models): wall deflection at (a) P9 and (b) P8; vertical ground movement along
(c) line 1 and (d) line 2

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 10
settlements (typically of the order of 5 mm) were induced
during the wall installation and the dewatering processes.
Since the current model does not include these effects,
deformations associated with these construction processes
are excluded from the field data in the comparisons described
below. It should also be noted that diaphragm wall installa-
tion is likely to modify the local horizontal stresses in the
ground; the effect that these adjustments in horizontal
stresses might have on the subsequent incremental wall and
ground movements is not considered in the analysis.
The parametric study generated a very substantial amount
of data and only selected results are summarised in this
paper.
Influence of soil models
A set of analyses, specified in Table 3, has been conducted
to explore the influence of the choice of soil model on the
computed behaviour. The central analysis uses the multi-
surface kinematic hardening plasticity model, described
earlier, with a linear variation of strength with depth (equa-
tion (1)) and a constant value of rigidity index, Ir 1000. Two
additional calculations have been conducted using the
elasticperfectly cohesive model, based on the Tresca yield
criterion, that is available in the Abaqus material library.
Careful consideration is given to the choice of soil par-
ameters to ensure that the analyses are broadly comparable.
For the Tresca 1 model, the soil properties do not vary with
DONG, BURD AND HOULSBY
depth. The strength su is determined from equation (1) at a
depth of 15 m, roughly half of the wall depth, and the
stiffness G is taken to be equal to the tangent stiffness at 50%
of the shear strength for soil at a depth of 15 m. From
equations (1) and (2) this gives G 025G0 125 MPa. For
the Tresca 2 soil model, the shear strength is assumed to vary
linearly with depth, according to equation (1). The shear
modulus varies with depth as G 250su.
Figure 15 shows the calculated wall deflections (at locations
P9 and P8) and the vertical ground movements (along line 1
and line 2). The central analysis appears to capture the wall
deflection and ground movement reasonably well. The Tresca 2
model, captures the overall pattern of wall deflection reason-
ably well, although it fails to reproduce the pattern and mag-
nitude of the vertical ground movement. The Tresca 1 model,
however, provides a poor comparison with the field data. These
comparisons suggest that, as expected, the kinematic hard-
ening plasticity model is to be preferred over the simpler Tresca
model. Furthermore, comparing Tresca 1 and Tresca 2, it is
clear that modelling the soil as having constant strength and
stiffness with depth is highly unsatisfactory.
Concrete shrinkage
Two subsidiary analyses with different values of imposed
temperature change T, as indicated in Table 3, have been
used to investigate the influence of induced shrinkage in the
concrete floor slabs and beams on the computed behaviour.

0 0
2 2
4 4 P8
6 6 Field data
8 8 Central analysis
10 10 T1
Wall depth: m

Wall depth: m

12 12 T2
14 14
16 16
18 18
20 P9 20
22 22
Field data
24 24
Central analysis
26 26
T1
28 28
T2
30 30
32 32
0 5 10 15 20 25 30 35 40 45 50 0 5 10 15 20 25 30 35 40 45 50
Wall deflection: mm Wall deflection: mm
(a) (b)

5 0

Line 2
0
Field data
Vertical ground movement: mm

Vertical ground movement: mm

5
Central analysis
5 T1
T2
10
10

15
15
Line 1
20 Field data
Central analysis 20
25 T1
T2

30 25
0 5 10 15 20 25 30 35 40 0 10 20 30 40 50 60 70
Horizontal distance from wall: m Horizontal distance: m
(c) (d)

Fig. 16. Wall deflections and ground movements (thermal effects): wall deflection at (a) P9 and (b) P8; vertical ground movement along (c) line 1
and (d) line 2

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY 11
The results in Fig. 16 show that the calculated wall As shown in Fig. 17, when the isotropic model is
deflections and ground movements are sensitive to these used for the wall ( 10, A2 analysis) the wall deflection
induced shrinkage effects. Increasing the magnitude of the im- pattern in the finite-element results differs significantly
posed temperature change from T 30 K to T 40 K from the field data at the wall corner, P8, whereas the
has the effect of increasing the computed wall displacements, moderately anisotropic wall model ( 01, central analysis)
as would be expected. The use of a thermal shrinkage model provides a good fit to the field data at this location. As the
to represent the various post-cure shrinkage effects that anisotropy factor decreases ( 105, A1 analysis), the
develop in the floor slabs appears to provide a practical and magnitude of the wall deflection at P8 increases significantly,
plausible approach. However, the choice of the appropriate although the bulging pattern is maintained. The defor-
shrinkage parameter, T, presents a practical difficulty. mations at point P9, in the centre of a stretch of wall, are
In the current analysis, was set to an assumed value seen to be less sensitive to the value of than is apparent at
for the coefficient of thermal expansion of concrete and T the corner (P8).
was chosen by comparison between the results of the The ground settlements along line 1 and line 2, are also
finite-element analysis and the available field data on a sensitive to the value of . The isotropic wall model ( 10,
trial-and-error basis. For routine design situations, in which A2 analysis) generally underestimates the ground settlement
previous field data are unavailable, an alternative approach along line 1 (which is close to the wall corner) while the two
will need to be devised to determine an appropriate value of analyses with an anisotropic model for the wall provide a
T for use in the model. reasonably good fit to the data. For the ground settlement
along line 2, the settlement close to the wall corner is more
sensitive to the value of than that near the wall centre. This
behaviour is presumably associated with the influence of the
Influence of joints in the diaphragm wall corners in the diaphragm wall.
The influence of construction joints in the diaphragm wall These observations indicate that the joints between
are included in the analysis by using an anisotropic model for the wall panels have an important influence on the wall
the wall. The value of the anisotropy factor, , adopted in the performance. Careful choice of the anisotropy factor, , is
central analysis was determined on a trial-and-error basis. needed to obtain a satisfactory model. The value 105,
Subsidiary calculations were conducted to investigate the recommended for a contiguous secant piled wall (Zdravkovic
sensitivity of the analyses to the value of . et al., 2005), appears to be too small for the diaphragm wall

0 0
2 2
4 4 P8
6 6
Field data
8 8
Central analysis
10 10
A1
Wall depth: m

Wall depth: m

12 12
A2
14 14
16 16
18 18
20 P9 20
22 22
Field data
24 24
Central analysis
26 26
A1
28 28
A2
30 30
32 32
0 5 10 15 20 25 30 35 40 45 50 0 5 10 15 20 25 30 35 40 45 50
Wall deflection: mm Wall deflection: mm
(a) (b)

5 0
Line 2
0
Field data
Vertical ground movement: mm

Vertical ground movement: mm

5
Central analysis
5 A1
A2
10
10

15
15
Line 1
20 Field data
Central analysis 20
25 A1
A2

30 25
0 5 10 15 20 25 30 35 40 0 10 20 30 40 50 60 70
Horizontal distance from wall: m Horizontal distance: m
(c) (d)

Fig. 17. Wall deflections and ground movements (effects of joints): wall deflection at (a) P9 and (b) P8; vertical ground movement along (c) line 1
and (d) line 2

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 12
in this case, whereas 01 seems to represent the behaviour
reasonably well.
Choice of shell or solid elements for the wall
The central analysis has been repeated using shell elements
to model the diaphragm wall (rather than solid elements).
The shell element wall has the same cross anisotropic prop-
erties as the previous central analysis. Results from the
analyses described in Table 3 are shown in Fig. 18.
As shown in Fig. 18, the shell element wall produces wall
deflection patterns that are similar to those computed using
solid elements, but the displacements are typically about
30% greater in magnitude. Figure 18 also indicates that the
shell element wall results in approximately 30% larger ground
settlement along line 1 and line 2 compared to the solid
element wall in the central analysis.
This finding that computed wall displacements tend to
be greater in magnitude when shell elements are used in the
model, rather than continuum elements, is consistent with
the results of Zdravkovic et al. (2005). Note that this is in
spite of the fact that the bending stiffness of the wall was
matched in the two analyses. Vertical acting shear stresses
develop on the soil/structure interface behind the retaining
wall. When these shear stresses act downwards (as is typically
the case) then additional bending moments are set up the
retaining wall that tend to reduce the magnitude of the wall
deflection. Since the geometric thickness of the shell element
DONG, BURD AND HOULSBY
is zero, these additional bending moments are not incorpor-
ated in the analysis when shell elements are used. As a con-
sequence, the wall deforms in a more flexible manner when
shell elements are used in the analysis.
Influence of initial horizontal stress distribution
The potential influence of the magnitude of the initial
horizontal stresses in the ground is investigated by conduct-
ing subsidiary analyses with different values of the coefficient
of earth pressure at rest, Kt0, based on total stresses. The
central analysis was based on Kt0 088; this value was
determined as follows. For an effective angle of friction of 15
(estimated from the original site investigation data, Fig. 4)
the value of K0 (in terms of effective stresses) determined
from the Jaky formula (K0 1sin) is 0741. This result,
combined with some simple assumptions on the unit weight
of the soil and the pore pressure variation with depth, gives
an estimate of 088 for Kt0. To investigate the sensitivity of the
analysis to variations in the initial horizontal stresses,
subsidiary calculations have been conducted with Kt0 077
and 10 (corresponding to K0 05 and 10). The results are
described below.
The computed wall deflections at P9 and P8 are shown in
Fig. 19. It is clear that changes in Kt0 have an insignificant
influence on the pattern of wall movements. However, the
data indicate that the vertical ground movements along lines
1 and 2 are both sensitive to the value of Kt0. Increasing Kt0

0 0
2 2
4 4
6 6
8 8
10 10
Wall depth: m

Wall depth: m

12 12
14 14
16 16
18 18
20 20 P8
P9
22 22
Field data Field data
24 24
26 Central analysis 26 Central analysis
28 S1 28 S1
30 30
32 32
0 5 10 15 20 25 30 35 40 45 50 0 5 10 15 20 25 30 35 40 45 50
Wall deflection: mm Wall deflection: mm
(a) (b)

5 0
Line 2
0
Field data
Vertical ground movement: mm

Vertical ground movement: mm

5
Central analysis
5
S1

10
10

15 Line 1 15
Field data
20 Central analysis
S1 20
25

30 25
0 5 10 15 20 25 30 35 40 0 10 20 30 40 50 60 70
Horizontal distance from wall: m Horizontal distance: m
(c) (d)

Fig. 18. Wall deflections and ground movements (effects of shell elements): wall deflection at (a) P9 and (b) P8; vertical ground movement along
(c) line 1 and (d) line 2

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 FINITE-ELEMENT ANALYSIS OF A DEEP EXCAVATION CASE HISTORY 13
tends to increase the magnitude of the computed vertical (b) Post-cure shrinkage effects in the concrete floor slabs
ground movements. have a significant influence on the structural interaction
between the slab and the retaining walls. It appears
to be possible to develop a satisfactory model for these
shrinkage processes based on a relatively simple thermal
strain approach. Further work is needed to develop
CONCLUSIONS appropriate procedures to determine appropriate ther-
The case study described in this paper suggests that 3D mal parameters for use in routine design.
finite-element analysis is capable of providing realistic data (c) When shell elements are used to model the retaining
on the performance of a complex deep excavation. Careful wall, fewer nodes are employed than is the case for a
consideration needs to be given, however, to various aspects model based on continuum elements. In spite of their
of the model, to ensure that satisfactory results are obtained. relative simplicity, however, the use of shell elements in
The following conclusions can be drawn from the analyses this application is not recommended. When the retain-
presented in this paper. ing wall is modelled with shell elements, the wall deflec-
tion and ground settlement are overestimated (by 30%
(a) An elasticperfectly plastic model was unable to in this case study) compared with the model with solid
reproduce the observed patterns of displacement, even elements for the wall. This difference is associated with
when the strength and stiffness parameters were allowed the beneficial effect of downward-acting shear stresses
to vary with depth. In contrast, the multi-surface acting on the back of the retaining all. The effect of
kinematic hardening plasticity model adopted to rep- these shear stresses is not modelled correctly when shell
resent the soil in the central analysis gave results that elements are used.
conformed closely to the field data. These observations (d) The performance of the retaining wall is influenced by
are consistent with much of the previous work in this the presence of construction joints, particularly near the
area and confirm the fundamental importance of corners. The current analyses suggest that satisfactory
adopting a model that is capable of representing small results can be achieved using anisotropic elasticity to
strain non-linear soil behaviour in order to obtain represent the wall, provided that an appropriate value of
realistic results for soil/structure interaction problems of the anisotropy factor, , is adopted. For the diaphragm
this sort. wall investigated in the current study a value of 01

P9
0 0
Field data P8
2 2
Central
4 4 Field data
H1
6 6 Central
H2
8 8 H1
10 10 H2
Wall depth: m

Wall depth: m

12 12
14 14
16 16
18 18
20 20
22 22
24 24
26 26
28 28
30 30
32 32
0 5 10 15 20 25 30 35 40 45 50 0 5 10 15 20 25 30 35 40 45 50
Wall deflection: mm Wall deflection: mm
(a) (b)

5 0

Line 2
0
Field data
Vertical ground movement: mm

Vertical ground movement: mm

5
Central analysis
5 H1
H2
10
10

15
Line 1 15
Field data
20
Central analysis
H1 20
25 H2

30 25
0 5 10 15 20 25 30 35 40 0 10 20 30 40 50 60 70
Horizontal distance from wall: m Horizontal distance: m
(c) (d)

Fig. 19. Wall deflections and ground movements (Kt0 effects): wall deflection at (a) P9 and (b) P8; vertical ground movement along (c) line 1 and
(d) line 2

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 14 DONG, BURD AND HOULSBY
appears to be appropriate. The anisotropic properties
that are appropriate for other forms of construction
need to be verified by way of analysis of case histories.
(e) The magnitude of the horizontal stresses in the ground
influences the excavation behaviour. The computed
results indicate that the wall deflection pattern is
insensitive to changes in the value of Kt0. However, the
value of Kt0 does have a significant influence on the
computed ground surface settlements.
ACKNOWLEDGEMENTS
The first author was supported by the China Scholarship
Council to study at Oxford University. The field measure-
ments were conducted by Dr Z. H. Xu, who also analysed the
initial data. The calculations were conducted at the Oxford
Supercomputing Centre.
NOTATION
C parameter in soil model to define size of outmost yield
surface
ci, gi non-dimensional normalised parameters in soil model
to define size and stiffness associated with each inner
yield surface
Eh Youngs modulus in horizontal direction
Ev Youngs modulus in vertical direction
G shear modulus
G0 shear modulus at very small strain
Gs secant shear modulus
Gt tangent shear modulus
Ir rigidity index
i ith inter yield surface of the soil model
J2 second invariant of deviatoric stresses
K bulk modulus in soil model
K0 coefficient of lateral earth pressure at rest in effective
stress expression
Kt0 coefficient of lateral earth pressure at rest in total stress
expression
n number of yield surfaces used in soil model
q deviator stress
q normalised deviator stress
su undrained shear strength of soil
z depth below ground
coefficient of thermal expansion
degree of anisotropy of diaphragm wall
T temperature change
s increment of triaxial shear strain
s normalised triaxial shear strain
effective friction angle of soil
engineering shear strain
05 reference shear strain at Gs/G0 05
, hv, vh Poisson ratio
stress tensor
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