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Estimating the safe height of unsupported vertical trench in an unsaturated


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Critical height of an unsupported vertical trench in an
unsaturated sand

Adin Richard, Gregory Brennan, Won Taek Oh & Vitus Ileme


Department of Civil Engineering – University of New Brunswick, Fredericton, NB, Canada

ABSTRACT

Geotechnical, mining, tunneling and geo-environmental infrastructure activities are often initiated by excavating trenches.
Since trench failures can cause loss of life and consequential damage to adjacent properties, trenches should be designed
with extreme precaution. Typically, trenches are excavated into unsaturated soils; therefore, trench stability is significantly
affected by the matric suction distribution profile between the soil surface and the groundwater table. Especially in the case
where a geotechnical engineer intends to excavate a trench to a certain depth without support (i.e. shores), it is essential
to reliably estimate the critical height of a trench (i.e. maximum depth of a trench that can be excavated without failure) by
considering the matric suction distribution profile. In the present study, an attempt is made to determine the critical height
of an unsupported vertical trench in an unsaturated sand for various matric suction distribution profiles. Critical heights
were estimated using geotechnical modelling software (i.e. SLOPE/W in association with SIGMA/W) and by calculation
using an extended Rankine’s theory of active earth pressure.

Les activités d'infrastructure géotechnique, minière, tunnel et de géo-environnement sont souvent déclenchées par
l'excavation des tranchées. Étant donné que les défauts de tranchée peuvent causer une perte de vie et des dommages
aux propriétés adjacentes, les tranchées doivent être conçues avec une précaution extrême. Typiquement, les tranchées
sont creusées dans des sols non-saturés; par conséquent, la stabilité des tranchées est sensiblement affectée par le profil
de répartition de l'aspiration entre la surface du sol et la nappe phréatique. Surtout dans le cas où un ingénieur
géotechnique a l'intention de creuser une tranchée à une certaine profondeur sans appui (c.-à-d. non blindées,
étrésillonnées ou étayées), il est essentiel d'estimer de manière fiable la hauteur critique d'une tranchée (c.-à-d. la
profondeur maximale d'une tranchée qui peut être excavée sans échec) en considérant le profil de distribution d'aspiration.
Dans la présente étude, on tente de déterminer la hauteur critique d'une tranchée verticale non-supportée dans un sable
non-saturé pour différents profils de distribution d'aspiration. Les hauteurs critiques ont été estimées à l'aide d'un logiciel
de modélisation (SLOPE/W en association avec SIGMA/W) et par calcul en utilisant une extension de la théorie de
Rankine.

1 INTRODUCTION unsupported vertical trench (i.e. safe height), maximum


sloping and benching angles, minimum allowable distance
Most engineering projects involving pipelines, foundations, from other structures, and minimum distance for stockpiling
landfills, mining, etc., are initiated with an excavation of of excavated or backfill materials from the trench. Table 1
trenches for infrastructure to be installed. Trenching is summarizes the maximum allowable height of an
inherently dangerous since it presents the risk of cave-ins, unsupported vertical trench as regulated by each Canadian
which may result in severe injuries, death, or consequential province before safety measures such as benching,
damage to adjacent properties. Therefore, trenches must sloping, bracing, or trench boxes must be implemented to
be designed with extreme precaution. A number of work- access the work space. Regardless of soil type, Canadian
related injuries and deaths in the construction industry provinces recommend safe heights in the range of 1.2 m
have been attributed to trench cave-ins. In the U.S., trench (WorkSafeNB 2016) to 1.5 m (Ministry of Labour Alberta
cave-ins account for about 1% of work-related deaths. This 2009).
amounts to approximately 1000 work-related injuries, and
between 60 and 100 deaths per year (Thompson and Table 1. Maximum allowable height of an unsupported
Tanenbaum 1977, Suruda et al. 1988, White 2008). The vertical trench suggested by provinces in Canada
majority of these deaths occur in sewer line construction
when the trenches are not shored. There have been Provinces in Canada Safe height (m)
reports of shallow trenches collapsing and resulting in
BC, NB, NS, ON, QC, SK 1.20
fatalities; 79% of reported fatalities occurred in trenches
less than 4.5 m deep, and 38% occurred in trenches less NL, PE 1.22
than 3 m deep (Eivemark and Hall 2000). In Canada, each AB, MB 1.50
province enforces strict regulations with respect to safe
excavations practices in an attempt to prevent fatalities and Trenches are typically excavated into unsaturated soils;
serious injuries resulting from trench collapses. The therefore, trench stability is governed by the matric suction
regulations specify the maximum allowable height of an distribution profile between the soil surface and the
groundwater table (Pufahl et al. 1983, Whenham et al. The guide for excavation work (Manitoba 2007)
2007, De Vita et al. 2008, Vanapalli and Oh 2012). This categorizes the mechanisms of trench collapse into four
indicates that the critical height (i.e. maximum depth of a types:
trench that can be excavated without failure) of an
unsupported vertical trench should be determined by a. Spoil pile slide – occurs when the excavated material
considering the matric suction distribution profile in addition is not placed far enough away from the edge of the
to the soil type. In other words, adhering to a safe height excavation. A minimum distance of 0.6 m is
suggested by Canadian province regulations may not be a recommended for every 1 m of excavation depth
reasonable approach in geotechnical engineering practice, (Figure 2)
because in-situ soil conditions are not considered.
In the present study, an attempt was made to estimate
the variation of the critical height of an unsupported vertical
trench in an unsaturated sand (Unimin 7030 sand) with
respect to the location of the groundwater table (i.e.
different matric suction distribution profiles). Two different
methodologies were used to estimate the critical height;
i) extended Rankine’s theory of active earth pressure, and
ii) slope stability analysis using commercial modelling Figure 2. Spoil pile slide (Manitoba 2007)
software, SLOPE/W in association with SIGMA/W (GEO-
SLOPE International Ltd.). The critical heights estimated b. Side wall shear - common to fissured or desiccated
from both methodologies showed good agreement. The clay-type or alluvial soils that are exposed to drying
results also showed that the variation of the critical height (Figure 3)
is nonlinear and is closely related to the Soil-Water
Characteristic Curve (SWCC).
It is expected that the present study can provide field
engineers and contractors with better understandings of
the influence of matric suction on the critical height for
unsupported vertical trenches in unsaturated soils.

2 WALL FAILURES IN UNSUPPORTED VERTICAL Figure 3. Side wall shear (Manitoba 2007)
TRENCHES
c. Slough-in (cave-in) – common to previously excavated
The Occupational Health and Safety Code (Alberta 2009) material, fill, and granular soils where the water table
nicely summarized the details of trench failure. A trench is above the base of the excavation, or where soils are
wall collapse might involve multiple tons of soil, which is organic or peat (Figure 4)
more than enough weight to suffocate a human. Rescue
attempts may be more difficult when the wall failure
involves previously disturbed soil (Figure 1). In this case,
failure is typically initiated at the base of the trench wall
(Zone 1). This localized failure (or movement) leads to the
failure in Zone 2. Finally, the failure in Zone 3 occurs due
to the self-weight of the soil. This failure mechanism is a
Figure 4. Slough-in (cave-in) (Manitoba 2007)
plausible explanation for why rescuers are sometimes
trapped along with the first victim(s).
d. Rotation – common in clay-type soils when excavation
walls are too steep, or when moisture content
increases rapidly (Figure 5)

Figure 5. Rotation (Manitoba 2007)

As mentioned previously, most trenches are excavated into


Figure 1. Trench wall failure mechanism involving
unsaturated soils. Since the shear strength of a soil is
previously disturbed soil (Alberta 2009)
significantly affected by matric suction, the critical height of
a trench should be estimated by considering the
distribution of matric suction. Instability of an excavation or
a trench is caused by stresses and deformations that are
normally attributed to increases or decreases in the 100
moisture content (or matric suction) of the soil (NIOSH
2013).
80

3 ESTIMATION OF THE CRITICAL HEIGHT OF AN


UNSUPPORTED VERTICAL TRENCH IN AN 60

% Finer
UNSATURATED SAND
40
In the present study, an attempt is made to estimate the
critical height of an unsupported vertical trench in an
unsaturated sand based on i) extended Rankine’s active 20
earth pressure theory and ii) slope stability analysis using
numerical modelling software. It was assumed that vertical
trenches were excavated into a sand (Unimin 7030 sand) 0
0.01 0.1 1 10
for various levels of the groundwater table. Basic soil
properties of the sand are summarized in Table 2. Particle Size (mm)
Figure 6. Grain size distribution curve of Unimin 7030 sand
Table 2. Basic soil properties of Unimin 7030 sand

Properties Value 0.5

Volumetric Water Content,  (%)


Fredlund and Xing (1994)
Measured from Tempe cell
Plasticity Index, Ip NP  
m

 
Saturated unit weight, sat (kN/m3) 20.4 0.4 S
 1
n 

 
 ln  e      
Void ratio, e 0.63   
   
a
a  11.415
Effective cohesion, c’ 0 0.3 m  54.202
Effective internal friction angle, ’ 35.3˚ n  5.1322

0.2

Figure 6 and Figure 7 show the grain size distribution curve


and the SWCC of Unimin 7030 sand (Mohamed 2006), 0.1
respectively. The SWCC was measured using a Tempe
Cell apparatus extending the axis-translation technique 0.0
(Hilf 1956). A best-fit analysis was conducted using 0 2 4 6 8 10
Fredlund and Xing’s (1994) equation, and the parameters Matric Suction, (ua - uw) (kPa)
are presented in Figure 7.
Figure 7. Soil-Water Characteristic Curve of Unimin 7030
3.1 Extended Rankine Active Earth Pressure Theory sand (Mohamed 2006)

3.1.1 Critical Height in a Saturated Vertical Trench

The excavation of a vertical trench induces the active


Rankine state, where the overburden pressure (v) and the
horizontal pressure (a) become the major and minor
principal stresses, respectively. For a saturated cohesive
soil, the total active earth pressure at a depth of z can be
calculated using Eq. [1] (Figure 8).

paz  vzK a  2c  K a [1]

where, paz = total active earth pressure at a depth z, vz =


overburden pressure at a depth of z, c’ = effective
cohesion, Ka = Rankine active-pressure coefficient [= (1 –
sin’)/(1 + sin’)], and ’ = effective internal friction angle Figure 8. Components of active earth pressure in a
saturated cohesive soil
For a cohesive soil, the active earth pressure becomes
zero at a particular depth. The soil between the surface and 1
the depth of the crack are in a state of tension, hence this Pa  K a H2  2c H K a [2]
2
depth is referred to as the depth of the tension crack (zc in
Figure 8). The total active thrust (Pa) can then be calculated
when Pa = 0
by integrating Eq. [1] over the full depth of vertical trench,
H (Eq. [2]).
4c depth of z in an unsaturated soil can be calculated using
Hc   2zc [3] Eq. [6].
 Ka

paz  vzK a  2 c   ua  uw  tan b  K a


Hc in Eq. [3] is referred to as the theoretical critical height [6]
to which a vertical trench can be excavated without failure.  vzK a  2c K a

3.1.2 Critical Height in an Unsaturated Vertical Trench


where, c = total cohesion
Pufahl et al. (1983) investigated the lateral earth pressures
(i.e. active and passive pressures) in expansive clay soils Vanapalli et al. (1996) proposed a model to predict the
extending the mechanics of unsaturated soils. nonlinear function of tanb as shown in Eq. [7].
Conventional Rankine earth pressure theory for saturated
soils was modified to incorporate the influence of matric tan b   tan  [7]
suction using the Mohr-Coulomb failure criteria (i.e.
extended Rankine earth pressure theory). The shear where,  = normalized volumetric water content (Eq. [8])
strength equation for unsaturated soils proposed by
Fredlund et al. (1978) is written as Eq. [4]    r 
  [8]
  c    n  ua  tan   ua  uw  tan b
[4]  s  r 

where,  = volumetric water content, s = volumetric water


where,  = shear strength of an unsaturated soil, (n – ua)
content at saturation, r = volumetric water content at
= net normal stress, (ua – uw) = matric suction, ua = pore-
residual condition
air pressure, uw = pore-water pressure, b = angle
indicating the rate of increase in shear strength relative to Substituting Eq. [7] and Eq. [8] into Eq. [6] yields Eq. [9]:
matric suction

The active earth pressures for both saturated and paz   vzK a  2 c   ua  uw   tan  K a [9]
unsaturated conditions are illustrated in Figure 9.
For an unsaturated soil, the unit weight with respect to
suction can be calculated by relating the volumetric water
content to soil suction as shown in Eq. [10].

Gs   ua  uw 1  e 
 w [10]
1 e

where,  = total unit weight of an unsaturated soil, Gs =


specific gravity, e = void ratio, w = unit weight of water and
(ua  uw) = volumetric water content corresponding to a
degree of matric suction

Figure 10 shows the components of the active earth


pressure distribution and the depth of the tension crack in
an unsaturated soil considering nonlinearity in the
distribution of overburden pressure and total cohesion. The
Figure 9. Active earth pressure states for saturated and critical height can be estimated by locating the depth that
unsaturated condition (Pufahl et al. 1983) equates the ‘Area I’ and ‘Area II’.

The active pressure decreases as a soil desaturates due


to the increasing contribution of matric suction. From the
geometrics of the Mohr circle in Figure 9, the net horizontal
pressure at a depth of z can be written as Eq. [5].

hz  ua    vz  ua  K a  2 c   ua  uw  tan b  K a [5]

where, (hz – ua) = net lateral pressure, (vz – ua) = net Ka z 2c K a 2 K a ua  uw   tan   K a z  2 c   ua  uw   tan  K a
overburden pressure
Figure 10. Components of active earth pressure
If the pore-air pressure is assumed to be atmospheric distribution and critical height in an unsaturated soil
pressure (i.e. ua = 0), the total active earth pressure at a
Figure 11 to Figure 13 show the distributions of the 0.0
overburden pressure, total cohesion, and the resultant total
active pressure for the water levels of 0.3, 0.6 and 1.5 m
from the soil surface, respectively. The negative sign in the
zc
active earth pressure distribution indicates tension. 0.2

0.0

0.4

Depth (m)
zc
0.1

0.6

0.2
Depth (m)

0.8

0.3

1.0
-4 -2 0 2 4 6
0.4 Pressure (kPa)
Overbuden pressure Figure 12. Distributions of overburden pressure, total
Total cohesion cohesion, and active earth pressure (elevation of water
Active earth pressure
table = 0.6 m from the surface)
0.5
-3 -2 -1 0 1 2 3 4 0.0

Pressure (kPa)
Figure 11. Distributions of overburden pressure, total
cohesion, and active earth pressure (elevation of water 0.3
table = 0.3 m from the surface)

3.2 Numerical Modelling Analysis


0.6
Depth (m)

Slope stability analyses were performed to estimate the


critical height of an unsupported vertical trench in an
unsaturated sand using commercial numerical modelling
software, SIGMA/W and SLOPE/W. SIGMA/W was first
used for the parent analyses to predict deformations and 0.9
stress distributions for staged excavations. The staged
excavations were simulated by removing the material from
the region (i.e. deactivating regions) in 0.01 m increments
(Figure 14). The previous stage in the excavation was used 1.2
as the parent analysis to the following stage, such that the
stresses and displacements caused by the previous
excavation stages compounded as the stages progressed.
Load/Deformation was used as the analysis type along with 1.5
an elastic-plastic material model. The variation of shear -3 0 3 6 9
strength with respect to matric suction can be incorporated
in the analysis by using the ‘Vol. Water Content Fn’ feature Pressure (kPa)
in SIGMA/W (Eq. [11]). Figure 13. Distributions of overburden pressure, total
cohesion, and active earth pressure (elevation of water
   r  table = 1.5 m from the surface)
c  c   ua  uw    tan  [11]
 s  r 
Slope stability analyses were conducted with SLOPE/W residual suction (approximately 8 kPa from Figure 7).
after each excavation stage (Figure 15), with the SIGMA/W Hence, both properties near the top of the vertical trench
results as the parent analysis for each stage. A SIGMA- becomes significantly low when the depth of the
Stress analysis type was used with the ‘Entry and Exit’ slip groundwater table is relatively deep (zero in this study),
surface option. The depth of excavation that showed the which leads to failure even for a excavation at a shallow
first rotational failure (i.e. Factor of Safety ≤ 1) was depth. For depths of the groundwater table up to 0.7 m, the
considered to be the critical height. Multiple analyses were critical heights estimated with the extended Rankine theory
performed with the groundwater table at various elevations are greater than the depths of the groundwater table. This
(from 0 to 1.5 m from the soil surface at 0.1 m increments) may not be realistic since the sand used in the present
to establish a relationship between the depth of the study is cohesionless and an excavation below the
groundwater table and the critical height. groundwater table can initiate a collapse in the trench
(Figure 4).
Removed (deactivated) regions
-0.03
-0.06
-0.09
-0.12
-0.15
-0.18
-0.21
-0.24
0.45 Extended Rankine Theory
SIGMA/W + SLOPE/W
-0.27
-0.30
-0.33 -0.48
-0.36
-0.39
-0.42
-0.45
-0.51 1.0
-0.48

-0.54
-0.51
-0.54
-0.57
-0.60 Critical height = Depth of GWT
-0.63
-0.66 -0.57
-0.69
-0.72
-0.75
-0.78
-0.60
-0.81
-0.84
-0.87
-0.90
-0.63
-0.93
-0.96
-0.99
0.8
-1.02
-1.05
-1.08
(staged excavation in 0.01m increments)
-1.11
-1.14
-1.17
-1.20

Critical Height (m)


-1.23
-1.26
-1.29
-1.32
-1.35
-1.38
-1.41
-1.44
-1.47
-1.50
0.6

Figure 14. Staged excavation in SIGMA/W

0.4
1.012

Critical Height
-0.03
-0.06
-0.09
-0.12
-0.15
-0.18
-0.21 0.2
Pore-W ater Pressure
-0.24
-0.27
-0.30
Entry of slip surfaces
-0.33

-6 - -4 kPa -0.36
-0.39

-4 - -2 kPa -0.42
-0.45

-2 - 0 kPa -0.48
-0.51

0 - 2 kPa
-0.54
-0.57

2 - 4 kPa
-0.60

4 - 6 kPa
-0.63
-0.66
-0.69
0.0
-0.72
Exit of slip surfaces
6 - 8 kPa
8 - 10 kPa
-0.75
-0.78
-0.81
0.0 0.5 1.0 1.5
-0.84

10 - 12 kPa -0.87

12 - 14 kPa
-0.90
-0.93
-0.96
Depth of GWT (m)
14 - 16 kPa -0.99
-1.02

16 - 18 kPa -1.05
-1.08

18 - 20 kPa -1.11

20 - 22 kPa
-1.14
-1.17
-1.20
Figure 16. Variation of critical height with respect to the
22 - 24 kPa
depth of groundwater table using extended Rankine active
-1.23
-1.26
-1.29
-1.32
-1.35

earth pressure theory and numerical modelling


Figure 15. Slope stability analysis in SLOPE/W
5 SUMMARY AND CONCLUSION
4 ANALYSIS
Since soil trenching involves excavation work in confined
spaces, trench failures can directly result in a loss of lives.
Figure 16 shows the variation of the critical height with
Although several provinces in Canada published
respect to the depth of the groundwater table obtained from
regulations and guidelines to emphasize occupational
the extended Rankine active earth pressure theory and
health and safety concerns related to fatalities associated
from numerical modelling. Both methodologies show that
with trench failures, worker deaths are still reported each
the critical height gradually increases as the depth of the
year as a result of trench failure. In the present study, an
groundwater table increases up to 0.8 m, and then rapidly
attempt is made to estimate the critical height of an
drops to significantly low values (close to zero). This
unsupported vertical trench in an unsaturated sand using
behavior can be explained by the variation of shear
two methodologies; extended Rankine theory, and
strength and total cohesion of the sand with respect to
numerical modelling (SIGMA/W and SLOPE/W). The
matric suction. The contribution of matric suction towards
results showed that, in non-cohesive sand, the critical
both properties increases with increasing matric suction,
height increases with increasing depth of the groundwater
and then starts decreasing as matric suction approaches
table up to a point, and then decreases significantly for Suruda, A., Smith, G., and Baker, S. 1988. Deaths from
relatively deep depths of the groundwater table. This is Trench Cave-in in the Construction Industry. 30(7):
attributed to the fact that shear strength and total cohesion 552–555.
of unsaturated non-cohesive sand become close to zero as Thompson, L.J., and Tanenbaum, R.J. 1977. Survey of
matric suction exceeds the residual suction value. In other Construction Related Trench Cave-Ins. Journal of the
words, the critical height of an unsupported vertical trench Construction Division, 103(3): 501–512.
in unsaturated soils should be estimated with consideration US Department of Health and Human Services. 2013. CDC
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suction. and Health Topic.
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