Excavation Stability

Bottom heave stability

Failure of the excavation system
y can arise when the
shear stress in the soil exceeds the soil shear
strength.
Overall shear failure can be catastrophic and
endanger adjacent properties as well.

Major Failure Modes:

♦ Basal heave failure

♦ Toe kick-out failure

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Basal Heave

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 ≈ 18 m

Sheet Piles Sheet Piles

Reclaimed Sand Fill
≈ 7.5 m
Strut layers
y
Very Soft to Soft Marine
Clay
JET GROUT LAYER 2m

Medium Dense to Very

Dense to Hard Old
Alluvium
Photograph 3. Condition of the stockpile of excavated spoil
Tension Piles adjacent to the collapsed section.
Stockpile is 6 times the equivalent height of the 20
kPa surcharge allowed for in design.
Lim P.C. et al (UGS2003)
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stockpile

Sheet P iles
Sheet P iles
R eclaim ed Sand Fill

V ery Soft to Soft M arine

C lay
l
JG L A Y E R

Fluvial Sand / C lay

M edium D ense to V ery

D ense to H ard O ld
A lluvium

Photograph 1.
1 Collapse of a section of the sheet pile wall.
wall

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 Photograph
g p 2. A close-up p view of the collapse
p section showing g the ruptured
p jjet
grout layer, and conditions of the H-piles, struttings and the sheet pile wall
opposite the collapsed section.

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北投自強路 excavation
ti failure
f il case

力霸百老匯
excavation failure

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Ou
 力霸百老匯 excavation failure case
Factor of safety definitions

(1) Strength factor method

Strength is reduced by a FSm (usually to account for

uncertainty
t i t off soilil strength).
t th)
tan φ ' c' cu ,m =
cu
tan φ 'm = c 'm =
FS m FS m FS m

Since the reduced strength parameters will lead to

lower Kp and higher Ka, the distributions of the earth
pressures on the
th wallll will
ill be
b “skewed”.
“ k d” Hence
H thi
this
method should only be used for stability and should not
be applied to deformation analysis.
analysis
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(2) Load factor method

Capacity = resistance force or moment
Demand = driving force or moment
Capacity
p y
FSl =
Demand
Increasing zone
Accounts for uncertainty in soil strength and external number ⇒ more
forces. stability problems
and more
(3) Depth
D th factor
f t method
th d
deformations
H p,d = FS d ( H p )
zone number
Hp = penetration depth calculated from limit
equilibrium method
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Basal Heave Stability in clay (undrained condition) Terzaghi's Method for Wide Excavation (Terzaghi, 1943)

B B1

γ, cuh H Clay
90°
γ, cubb T

Hard
Stratum

Shallow and wide vertical cut of infinite length.

Basal heave failure due to excavation is a kind of bearing Sliding surface consists of a circular arc beneath the
capacity failure and the failure surfaces (φu = 0) are excavation and a vertical plane extending to the ground
assumed to be circular in shape. surface.
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Terzaghi's Method for Wide Excavation (Terzaghi, 1943)

B B1
B>H
L= Length of Cut
B B1 γ, cuh
B= Width of Cut H
H= Height of Cut 90°
γ, cuh H Clay γ, c
Clay T = Clay thickness ub T
90° below base of Cut B1
γ, cub B1 T
Hard Stratum
d
Hard Stratum
5.7c
5 7c ubbB1 The angle at a is 45o and
Fs =
( γHB1 −cuh H) bc being a circular arc B p
o φu = 0), length
((for e gt ab = a
c
B1 = T, if T ≤ 0.7B (Fs independent of T)
(B/2)/cos45 ≈ 0.7B = B1
o
45o

and B1 = 0.7B,
0 7B if T > 0.7B
0 7B (Fs decreases as B increases) b

B1 = B/√2 ≈ 0.7B )
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 B B1 B B1

γ, cuh H γ, cuh H
90° 90°
Clay γ, c T Clay γ, c T
ub ub

Hard Stratum B1 Hard Stratum B1

d d
Failure occurs when the shear The problem is essentially a bearing
strength
t th off the
th clay
l is
i iinsufficient
ffi i t capacity analysis in reverse
reverse, the soil
H H
to resist the average shear stress below the base being unloaded as
B p excavation proceeds, there being zero B p
resulting from the vertical a a
pressure at the bottom of the excavation
pressure p on ac due to the c c
45o and p representing the overburden 45o
weight of the soil (= γB1H) pressure. The shear strength available
reduced by y the shear strength
g on along the failure surface acting in the
b b
cd (= cuhH) opposite direction to that in the bearing
capacity problem can be expressed as
cuNc (with Nc taken as equal to 5.7).

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cu increasing with depth

B B1 B B1
q q surcharge
g cu

γ, cuh H γ, cuh H
SR
Clay γ, c
90°
W Clay γ, c
90°

ub T H ub T

Hard Stratum Hard Stratum

B1 depth
Weight soil W = (γ1H+q)B1
cuh = average cu from ground surface to depth H
shear resistance on vertical plane SR = cuhH
Qu = 5.7cubB1
5.7c ubB1 cub = average cu from depth H to depth (H+B1)
Fs =
Fs = Qu/(W – cuhH) ( γHB1 + qB1 −c uh H)

If a firm stratum exists with T < 0

0.7B,
7B then T replaces B1
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 B = 30 m Example - cu increasing with depth Sand Layer
B1 cu B B1
Hs q q surcharge
g
φ’ sand
γ, cuh H=8m cuh H
cu = 5+1.2z (kPa)
SR
Clay γ, c
90°
Clay γ, c
90°
W
ub T = 24 m ub T H

Hard Stratum Hard Stratum

depth z (m) B1
B1 = 0.7B
0 7B = 21 m < T = 24 m

cuh = [5 + (5+1.2x8]/2 = [5 + 14.6]/2 = 9.8 kPa shear resistance on vertical plane

SR = (cuh )(H - Hs) + (σh’ tanφ’)Hs
cub = [(5+1.2x8) + {5+1.2(8+21)}]/2
= (cuh )(H - Hs) + (Koσv’ tanφ’)Hs
= [14.6 + 39.8]/2 = 27.2 kPa σh’ = Koσv’
Ko = 1 – sinφ’
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Modified Terzaghi method Bjerrum and Eide's Method for Deep Excavation (Bjerrum and Eide 1956)
H≥B
B1 The failure zone is assumed to
B q
B q be localized around the base
γ cuh
γ, L Length of Cut
L=
B= Width of Cut
similar to that of a bearing
H H= Height of Cut
Clay capacity failure for a deep
Clay H
90°
T = Clay thickness below base of Cut
foundation. Wall penetration
γ, cub T below the formation level is
45° ignored. The method is
Hard Stratum
γ, cub T applicable to excavations of
diff
different shapes.
h
5.7c ub B1 + c uh H
Fs = Hard L= Length of Cut
γHB1 + qB1 B Width off C
B= Cutt c ubbNc
Fs =
St t
Stratum

γH + q
T if T ≤ 0.7B
B1 = T, 0 7B
For deep foundation clay (T > 0.7B)
B1 = 0.7B, if T > 0.7B

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 B H/B < 2.5
B q Nc = 5(1+0.2H/B)(1+0.2B/L)
Clay
H
Clay H/B ≥ 2.5
H
γγ, cub 45°
T Nc = 7.5(1+0.2B/L)
7 5(1+0 2B/L)
γ, cub 45°
T
Hard
H d L= Length
L L th off C
Cutt c ubNc
Stratum B= Width of Cut Fs =
Hard L= Length of Cut
c ubNc γH + q
St t
Stratum B Width off C
B= Cutt
Fs = For deep foundation clay (T > 0.7B)
For deep foundation clay (T > 0.7B)
γH + q
L= Length of Cut
B= Width of Cut
H= Height of Cut
L= Length of Cut T = Clay thickness below base of Cut
B= Width of Cut
g of Cut
H= Height
T = Clay thickness below base of Cut
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B q

Clay
H

γ, cub 45°
T

L= Length of Cut
Hard Stratum B Width
B= Wid h off C
Cut
For clay with hard stratum (T ≤ 0.7B)

c ubNc *
Fs = T/B 0.15 0.2 0.3 0.4 ≥ 0.7
γH +q β 1.60 1.34 1.16 1.08 1.0
Nc * = β Nc
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 Eide et al.’s Method (1972)
B
B
L

H H
Plan View
γ, cuh
D CA CA D

L
B (H+D)/B < 2.5
T
Nc = 5[1+0.2(H+D)/B](1+0.2B/L)
D
γ, cub
(H+D)/B ≥ 2.5
For rectangular shape: Nc = 7.5(1+0.2B/L)
7 5(1+0 2B/L)
For narrow excavations (B<H):
Adhesion = α·c·Asurface / (B·L)

Cub Nc + Adhesion
Asurface = 2·D·B + 2·D·L c ubNc + 2c A D(1 + B / L ) / B
Fs = ------------------------------ Fs =
γH+q γH +q

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Goh’s Method ((1994))

G h (1994) method
Goh th d

c uNh
FS = μ t μ dμ w
(a)Modified bearing γH + q
capacity factor, Nh
(b) Clay-thickness
modification factor, μt
(c) Wall-embedment
modification factor, μd
(d) Wall-stiffness
modification factor,, μw

Journal of Geotechnical Engineering,

g g, American
Society of Civil Engineers, 1994.
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 CV4352 37 CV4352 38

1.5
1.4

μt 1.3
1.2
1.1
1.0
0 0.5 1.0 1.5 2 2.5 3 3.5

T/B

μt is small for T/B > 1

μw = 1.0 for sheetpile wall CV4352 39 CV4352 40
 q
Correction for μt B

q Clay
H

D
μt γ, cu T
B
T

Hard Stratum

L= Length of Cut
B= Width of Cut

Modified Goh method

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An excavation, 30m wide, 75m long, and 8m deep is to be constructed in a q = 10 kN/m2

very deep medium stiff clay with a bulk unit weight γ of 16 kN/m3 and an B = 30 m
Depth = 0
undrained shear strength cu of 35 kN/m2, as shown below. A uniform
surcharge of 10 kN/m2 is anticipated on the adjacent ground. 1.0m GWT
H=8m
8m Medium Stiff Clay
Estimate the factor of safety against bottom heave using the modified T = 24 m
γ = 16 kN/m3
Terzaghi's method and the Terzaghi method.
cu = 35kPa
32 m
Sand
q = 10 kN/m2
B = 30 m
Depth = 0
H/B = 8/30 = 0.27
0 27 → wide excavation
1.0m GWT
8m Medium Stiff Clay B1 = 0.7B = 21 m < T = 24 m
γ = 16 kN/m3
cu = 35kPa Modified Terzaghi:
32 m
Sand
5.7c ub B1 + c uh H 5.7(35)(21) + (35)(8)
Fs = = = 1.54
γHB1 + qB1 16(8)(21) + 10(21)

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 q = 10 kN/m2
B = 30 m FEM analyses using SAGE CRISP
Depth = 0
1.0m GWT
H=8m
8m Medium Stiff Clay
γ = 16 kN/m3 T = 24 m
cu = 35kPa
32 m
Sand

H/B = 8/30 = 0.27

0 27 → wide excavation
B1 = 0.7B = 21 m < T = 24 m
Incrementally excavate the soil
Terzaghi method: and plot the height of
excavation versus maximum
5.7c
5 7c ubbB1 5.7(35)(21) wall deflection
Fs = = = 1.60
( γHB1 + qB1 −cuh H) 16(8)(21) + 10(21) − (35)(8) Critical ht

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Sheetpile walls

B = 30 m

modified
T
Terzaghi
hi

Effect of small T/B

conservative using modified μt

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Case 1 - Hcr = 12.3 m Diaphragm walls
D varied

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How important is the shape factor?

Flexible wall

Deep
Wide excavation
excavation

Diaphragm
p g wall

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What FS should we use? Toe kick-out stability

Failure surface
FS based on
Terzaghi
method

Pp Pa

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Toe Kick-out Stability Toe kick-out stability (Method 1 & 2)

M th d 1:
Method 1
Pp Lp
Fs = ----------
Pa La M Mall

M th d 2:
Method 2 L Lowest strut
L Pa
Pp Lp + Mall p Pp a La
Fs = ------------------ Lp
Pa La
dmin Pa
Pp
Method 3: Note:
N t M Method
th d 2 lleads
d tto Mall/Fs
Pp Lp + Mult which is not logical M r Pp L p + M all
Fs = ------------------
Fs = = Design experience indicates that
TR26 (2010) recommends Md Pa La Mall is
i significantly
i ifi tl smaller
ll th
than th
the
Pa La
other two terms. It is common to
Method 3 with Fs ≥ 1.5 assume Mall = 0 and to design for Fs
Mall = allowable bending
≥ 1.2.
55 moment of the wall CV4352 56
Example Mall Example (Method 2)
121.2 kPa

3.3 m
81.5 kPa 13.85 m
L
Lowest strut 121 2 kPa
121.2
3.3 m Assume Mall = 0
81.5 kPa
13 85 m
13.85
10.55 m 10.55 m

333.6 kPa 311.0 kPa 333.6 kPa 311.0 kPa

81.5(10.55)((10.55 / 2) + 3.3) + (333.6 − 81.5)(10.55)0.5(10.55 x(2 / 3) + 3.3)
Fs = = 0.89
121.2(13.85)(13.85 / 2) + (311 − 121.2)(13.85)0.5(13.85)(2 / 3)

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Toe Kick-out Stability in clay EXAMPLE Cohesive soil (φu = 0))

Assume Rankine

Pa σv1 H
Pp
z
Clay -Scenario
Scenario 1 Clay -Scenario
Scenario 2 d

σv1 σv1 σp=σv+2cu σa=σv-2cu net pressure = (4cu-γH)

= γz+2cu = σv1+γz-2c
+γz 2cu

4 u – σv1
4c 4cu – σv1
negative net pressure 59 60
 Toe Kick-out Stability in clay How to overcome the negative net pressure?

Example: γ = 16 kN/m3, H = 10 m Option 1

If cu = 50 kPa, σnet = 4x50 - 16x10 = + 40 kPa

A
kPa, σnet = 4x30 - 16x10 = - 40 kPa
If cu = 30 kPa
Option 2
Clay -Scenario
Scenario 1 Clay -Scenario
Scenario 2
Add JGP slab

σv1 σv1

4 u – σv1
4c 4cu – σv1 Penetrate into hard stratum
negative net pressure 61 62