CG01 FEM in Geotechnical Engineering

Principles of the Finite Element Method
for Geotechnical Engineering Applications

with Brief Introduction to Numerical Modeling
Juan M. Pestana, Sc.D., P.E.

Senior Principal, Geosyntec Consultants
Professor Emeritus, University of California, Berkeley
Professor-of-the-Practice, Tufts University, Medford, MA
Contact info: jpestana@geosyntec.com
Indonesian Plaxis Advanced Course, Bali, December 11-16, 2022 Instructor: Juan M. Pestana
1/40
Principles of the Finite Element Method
• Motivation- Why Numerical Modeling

• Numerical Modeling Framework
• Basic Background in Numerics & Material Behavior
• Finite Element Methodology.
– Type of Analyses and Types of Elements: 2D vs. 3D.
– Interpolation Functions for Elements.
– Definition of Stresses & Strains. Constitutive Relations
– Linear Elasticity. Hooke’s Law (Example)
– Formulation of Elemental and Global Stiffness Matrix
– Nonlinearity and Iterative Solutions.
• Why Numerical Modeling.
2/40
New Challenges- Tall (Iconic)Towers
Disclaimer-This is not a real location
(but I know you realized that already)
Sometimes
groups of towers
Dubai Tower in close
complex
Business waterfrontproximity
Boulevard residential
mall &
central park
lrt station
adjacent island Waterfront

park Street
Credit: reddit.com
Indonesian Plaxis Advanced Course, Bali, December 11-16, 2022 Instructor: Juan M. Pestana 3/40
Temporary Excavations-Construction
Salesforce Tower, San Francisco, California
Transportation Infrastructure
VIA RIMAC, LIMA PERU
Learning from Failures

VIA RIMAC, LIMA PERU
Resilient Infrastructure/ Cities
NEW YORK CITY, HURRICANE SANDY 2012
New Cities- Seismic Response

TREASURE ISLAND, SAN FRANCISCO
http://clui.org/ludb/site/treasure-island
Why Numerical Modeling
Why Numerical Modeling
• There are closed-form (i.e., analytical) solutions to

many problems but these solutions have many
assumptions/ simplifications that may not render them
applicable to the problem at hand. Some of the
difficulty arises from:
– Complex schedule of construction.
– Complex soil behavior: non-homogeneous, anisotropic,
partial saturation, nonlinearity, stress-dependent and history
dependent material properties, discontinuities, etc.
– Complex geometry of soil profile, 3D vs. 2D generalizations
– Geometric Constraints (layered soil, complex soil profiles)
Wind Turbine Foundation
Modeling Capabilities
• Geo-mechanical Characterization of Complex Soil Profiles:
Static and Dynamic Soil Properties
• 2D and 3D Modeling of Monotonic & Dynamic Loading.
• Evaluation of Performance for Design and Verification.
Horizontal Vertical Stresses within
Deformation Foundation System
Wind Turbine Foundation- Modeling

Outcomes
4 4 u D

3
• Estimation of Structural Loads on Foundation
x
uz
Elements
3 u • Characterization of Complex Soil-Structure
x
uz
Interaction & Geometries.
L
1~ tan -1 (|uz2 -uz1 |/D)
2~ tan -1 (|ux3-ux1|/L)


2 3= tan-1 (|dux/dz|max)
2 u 4~ tan -1 (|uz4 -uz3 |/D)

x
uz 1 1
u
x
uz
• Estimation of Performance:
Deformations and
Structural Stiffness for
Design/Verification
Liquefied Natural Gas- Applications
Modeling Capabilities
• 3D Characterization of Complex Soil Profiles and Loading Conditions
• Evaluation of Performance: Improved vs. Unimproved Ground Conditions
35.0 35.0
35.0 B213 35.0
25.0 36.4 25.0 36.4
35.0 B205 35.0
Cross Section 4 51.0
B216
51.0
30.0 B202A 30.0
43.0 43.0
27.8 40.0 27.8 40.0
50.0 50.0
B219 50.0 50.0
25.0 25.0
26.0
B208A
26.0 North
58.7 72.4 58.7 72.4
Cross Section 3
37.0 40.0 37.0 40.0
37.6 51.3 37.6 51.3
35.0 35.0
B220
51.1 45.3 51.1 45.3
62.1 56.3 62.1 56.3

Symbol Designation
69.3 40.9 B209 69.3 40.9
33.5 33.5
Boring used to determine
Cross Section 2 60.4 32.0 60.4 32.0 subsurface stratigraphy for
B214 C208 B203 Phase II and Phase III Analysis
60.0 38.2 38.1 60.0 38.2 38.1
39.0 50.0 B217 39.0 50.0 B206
46.6 46.5 46.6 46.5 Cone Penetration Test used to
determine subsurface stratigraphy
49.0 52.9 B210 49.0 52.9
for Phase II and Phase III analysis
Cross Section 1 45.6 49.5 45.6 49.5
C202 C207A
B221 B207
B218
42.1 45.7 42.1 45.7 35.0 Number represents the load in kPa
C122 35.0 35.0
29.2 32.8 29.2 32.8
B222 25.0 25.0
39.0 39.0
36.6 B211A 36.6
47.5 47.5
B116
50.0 50.0
25.0 40.0 25.0 40.0
25.9 25.9
S201A 36.8 36.8
36.0 B215 36.0
B204
35.0 35.0
C206
C203A
Train 1 Train 2
Liquefied Natural Gas- Applications

Outcomes
• Optimization of Ground-Improvement Configuration
• Optimization of Thickness of Mat Foundations for the LGN Facilities
360 360
320 320
280 280 OPT
240 240
200 200
160 160
120 120
80 80
40 40
0 0
0 40 80 120 160 200 240 280 320 360 400 440
Train 1 Longitudinal Distance, m Train 2
Modeling Framework
Numerical Modeling in Geomechanics

Steps in the Solution of Engineering Problems
1. Conceptualize the system. Create a model that captures
key components of response (as close as possible)
2. Describe mathematically: Select appropriate governing
equations (e.g., equilibrium, flow, heat transfer).
Generally, it is a partially differential equation.
3. Transform the continuum problem into a discrete
problem. Discrete set of approximate governing
equations. Evaluate goodness of approximation.
4. Solve the mathematical problem: System of Equations.
Generally, iterative procedures.
5. Interpretation of results. Validation with past
experience. Parametric and sensitivity studies.
Basic Background in
Numerics
Basic Background in Numerics
• Approximation of Governing Equations:

– Finite Differences (e.g., FLAC, nearly all PFD codes)
– Finite Elements (e.g., PLAXIS, ABAQUS, SIGMA)
– Finite Differences for initial value problems.
• Numerical Integration:
– Evaluating average error over the domain of interest (i.e.,
Gauss integration scheme)
• Solution of System of Equations:
– Iterative Solutions: PLAXIS uses Successive Over-
Relaxation Technique. Convergence of Solutions
Finite Element Analyses Methodology
for Geomechanics Applications
• Finite Element is based on three critical principles:
– Enforcement of equilibrium conditions for the whole
structure, in the present case for the nodal points.
– Use of compatibility conditions (deformation is continuous-
elements start and stay connected, this may be a limitation in
some cases, discontinuous deformations, gaps)
– Description of Material Behavior through Constitutive
Relations.
• As far as the operation, there are three key components:
– Formulation of the stiffness matrix for each element.
Definition of material properties for each element.
– Construction of the system of equations for the domain of
interest. This step is called assembling.
– Solution of the system of equations while enforcing boundary
conditions.
Finite Element Methodology

• Geometry is divided into finite elements (2D: triangle,
quadrilateral; 3D: tetrahedral, brick)
• Elements consists of nodes which contain discrete
values of primary quantities (displacement components).
• These quantities (also referred to as degrees of freedom)
are interpolated over the element using polynomials, and
are continuous over element boundaries. This may
introduce a limitation (no discontinuities).
• For numerical integration, elements contain integration
points (also referred to as stress points or Gauss points).
These points contain discrete values of secondary
quantities (e.g., stress and strain components)
Types of Elements and Analyses in 2D
Triangular Elements
Quadrilateral elements
Gauss point
(Stress point)
Node
Types of Elements and Analyses in 3D

Node
Gauss Point
(Stress Point)
Tetrahedral Elements
Brick elements
Finite Element Method
for Deformation Analysis
• Pre-assumed interpolation of main quantities (displacements) over elements,
based on values in points (nodes). These are referred to as degrees of freedom
• Formation of (stiffness) matrix, K, and force vector, F (many times also

referred to as the forcing function)
• Global solution of main quantities (in this case, displacement) at the nodes, u
uU  KU=F
fF
kK
– Lowercase represent element values, while uppercase refers to the entire domain.
Interpolation Functions
Illustration 6-noded Triangular Elements
Where ux and uy are the deformations in the x and y directions.

Other way of writing:
– ux = N1 ux1 + N2 ux2 + N3 ux3 + N4 ux4 + N5 ux5 + N6 ux6
– uy = N1 uy1 + N2 uy2 + N3 uy3 + N4 uy4 + N5 uy5 + N6 uy6
or
– ux = Ni uxi and uy = Ni uyi
(N contains functions of x and y, also referred to as Basis Functions
Note the use of tensorial notation (repeated indices imply summation)
Definition of Strains
Strain are the derivatives of displacements. In finite elements they
are determined from the derivatives of the interpolation functions.
For the 6-noded element presented above
Or ε  B.u
(strains composed in a vector, matrix B contains derivatives of N).
Matrix B is known as the strain-displacement matrix. It can be
understood as a filter acting on the displacement field. It essentially
contains the information about the type of element and geometry.
Definition of Stresses.
Constitutive Relations
• Cartesian stress tensor, usually composed in a vector (for
the purposes of computational implementation):
σ  ( xx ,  yy ,  zz ,  xy ,  yz ,  yx )T
– plane strain: yz=  zx = 0.
– (zz is generally NOT zero!)
• The stress tensor, , is related to the strain tensor,  :
–  = D
where D is material stiffness matrix (some people use other
notation, C) . The tensor D contains the information of the
constitutive law describing the behavior of the material. In
Geomechanics, the above relationship is typically used in
incremental form:
or σ  D ε
Formulation of Element and Global
Stiffness Matrix Non-linearity
• Formation of element stiffness matrix Ke
for the element (example 6-noded element K e   BT DBdV
12x12 matrix)
n
• Integration is usually performed
numerically: coefficients  and position of
 pdV    p i 1
i i
sample points can be chosen such that the

# # 0 0 0 0 0 0 0 0
integration is the most accurate (i.e., Gauss  
integration). # # # 0 0 0 0 0 0 0
0 # # # 0 0 0 0 0 0
 
0 0 # # # 0 0 0 0 0
• Formation of global stiffness matrix. 0

0 0 # # # 0 0 0 0

Assembling of element stiffness matrices in 0 0 0 0 # # # 0 0 0
0 0 0 0 0 # # # 0 0
global matrix. K is often symmetric and  
has a band-form:(# are non-zero values) 0
0
0 0 0 0 0 # # # 0
 0 0 0 0 0 0 # # # 
0 0 0 0 0 0 0 0 # # 

Nonlinearity
Nonlinearity will arise from two different sources:
• Geometric Nonlinearity: Even for “linear” material models
(i.e., constant material properties), as the system deforms,
the location of the nodes will change and, in some cases, the
changes are large enough that we need to update the
location (Updated mesh approach, “B”).
• Material Nonlinearity: For most problems, the deformation
(and strains) in geosystems is relatively small, so changes in
“B” are ignored (i.e., everything is computed in the original
geometry), so nonlinearity arises primarily because of
material behavior nonlinearity (Changes in “D”)
K e   BT DBdV
Iterative Solution of System of Equations
Global system of equations: K.U  F
F is force vector and contains loadings
as nodal forces. In incremental form:
KU  F
Solution: Comment U  K 1F
(i = step number) n
U   U
i 1
U  u
From solution of displacements
Strains:  ε i  B u i
Stresses:  σi  σi 1  D.
Need local and global error criteria to
determine when you have arrived at
a solution. Indonesian Plaxis Advanced Course, Bali, December 11-16, 2022 Instructor: Juan M. Pestana 29/40
How the Finite Element Method works
Determination and
Enforcement
Assemblage of
of
Load Stiffness Matrix
Equilibrium
Stress Displacement
Strain
Enforcement of
Material Enforcement
Constitutive of Kinematics
Relations
Basic Background in
Constitutive Modeling
Conceptual- Soil Behavior

Applied Load, q = 120 kPa Applied Load, q = 120 kPa
s s
0 0
5 5
 t
h
10 10
t/s
Depth (m)
15
s
15

v
20 20
Primarily Primarily
25 Compression shear
25
30 30
0 50 100 150 0 50 100 1500.00 0.20 0.40 0.60 0.80 1.00
Stress Increment at the Stress Increment at the Relative Stress Increment
Centerline (kPa) Centerline (kPa) @ Centerline t/s
s
 v   h  ; s 
  v   h 
2 2
t
 v   h  ; t 
  v   h 
2 2
 K0
 ; primarily shear
t  1  K 0

s  K0
 : primarily compression
 1  K 0
(from Pestana, CE270 class, 2012) 32/40
Basic Background on Constitutive Modeling
Assumes Knowledge of Soil Behavior.
• Linear Elasticity. Examples

• Linear Elasto-Perfectly Plastic (Failure Criteria- Mohr
Coulomb). Examples
• Nonlinear Elastoplastic Models. Most models are based
on some form of the original Duncan Hyperbolic
Model (e.g., Hardening Soil Model, UBC Sand model)
• Incrementally Linearized Elastoplasticity- Critical State
Soil Mechanics Framework (e.g., Mod. Cam Clay)
• Hypoplasticity and other advanced models (e.g.,
Barcelona Basic model, Multilaminate model)
Effective Stress Path @ Centerline of Tank
Main Difference?
100 Primarily
Shear In Compression,
Shear Stress (kPa), t (= ('v-'h)/2)
1-D Compression stiffness increases with

50
NC Stress path @24 m increasing confining
@9 m f stress and we are not
concerned with failure
Primarily but only deformation
0
o o f Compression
@2 m f
o In Shear, stiffness
-50
Effective Stress decreases with

Paths increasing deviatoric
Note: ' and ' are principal stresses
-100
v h stress and we are
0 50 100 150 200 250 300 concerned with failure
Normal Effective Stress (kPa), s' (= (' + ' )/2)
v h
(from Pestana, CE270 class, 2012) 34/40

Compression of Soils- Illustration
Loading / Compression
Embankments 1
West c
30
Elevation, feet
Line 3 Line 2 Line 1

20
(NAVD88)
NHP Levee
Line 4 Line 4'
3
10 Te
-10
Pav
Structural loading, 3D
0 25 50 75 100 125 150 175 + foundation stiffness
Horizontal Dis
-5
0
Settlements/Heave After Test Fill
Construction, inches
Surveyed Settlements Along

Test Section Nos. 3, 5 and 6
10 End of Construction
6 Months Monitoring
Predicted Settlementst from

15 the Computer Program Plaxis
End of Construction
6 Months Monitoring
20
0 25 50 75 100 125 150 175
Horizontal Dis
Compression of Soils-Illustration
1 Unloading / Compression 1
u Excavations Tunnels u
3 3
Shear Behavior of Soils- Illustration
Embankments Structural loading, 3D

30
West
+ foundation stiffness
TS3-I3
Line 2
20 TS5-I3
Elevation, feet
NHP Levee (Line 3)

(NAVD88)
Line 4 Line 4'

10
0 P
-10
0 20 40 60 80 100 120 140

Horizontal Distanc
TS3-B3
West East Elev. +9.6 ft
10
LEVEE
0 TS3-I3
BAY MUD
CRUST
-10
Elevation, feet (NAVD88)
-20 BAY
MUD
-30
-40 ALLUVIAL
SOIL
SAND
-50
Measured Deformations STIFF

-60 CLAY
End of Construction
6 Months
-70
TS-3
TS-6
TS-5
Results of PLAXIS Analysis

-80 End of Construction
6 Months Test Fill
-90
3 2.5 2 1.5 1 0.5 0 -0.5 -1 -1.5 -2
Lateral Displacement, inches TS3-I3 TS5-I3
NHP Levee
0 80' Course,
Indonesian Plaxis Advanced 160' Bali, December 11-16, 2022 Instructor: Juan M. Pestana 37/40
Shear Behavior of Soils- Illustration

Excavations Tunneling
Modeling of Soil Behavior
Linear Elastic Model : Hooke’s Law. Use different properties for loading and
unloading. Stiffness is not stress or density dependent.
Mohr-Coulomb model: Use different properties for loading and unloading.
Stiffness is not stress or density dependent.
Modified Cam-Clay (and other CSSM models). Inherently capture difference in
Increasing accuracy
loading and unloading. Great for clay materials where dependency of stiffness
on confining stress is linear.
Soft Soil (Creep) model: Similar to MCC and includes time dependent behavior.
Hardening Soil model: Captures loading and unloading and stress dependency
can be specified (0- no dependency, 0.5- sandy materials, 1.0- linear- clay
materials
NorSand model: Steady State Model- captures density stress dependency
MIT-S1 model: Captures transition to large stresses, Hysteretic response
New Soil models: Many continually developed and implemented (e.g.,
UBCSand, PM4Sand)
Questions

CG01 FEM in Geotechnical Engineering

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Principles of the Finite Element Method

for Geotechnical Engineering Applications

Juan M. Pestana, Sc.D., P.E.

Contact info: jpestana@geosyntec.com

Principles of the Finite Element Method

• Motivation- Why Numerical Modeling

adjacent island Waterfront

Learning from Failures

New Cities- Seismic Response

Why Numerical Modeling

• There are closed-form (i.e., analytical) solutions to

Wind Turbine Foundation- Modeling

1~ tan -1 (|uz2 -uz1 |/D)

2~ tan -1 (|ux3-ux1|/L)

2 u 4~ tan -1 (|uz4 -uz3 |/D)

62.1 56.3 62.1 56.3

Liquefied Natural Gas- Applications

280 280 OPT

Train 1 Longitudinal Distance, m Train 2

Numerical Modeling in Geomechanics

Basic Background in Numerics

• Approximation of Governing Equations:

Finite Element Methodology

Types of Elements and Analyses in 3D

• Formation of (stiffness) matrix, K, and force vector, F (many times also

Where ux and uy are the deformations in the x and y directions.

sample points can be chosen such that the

How the Finite Element Method works

Conceptual- Soil Behavior

• Linear Elasticity. Examples

Effective Stress Path @ Centerline of Tank

1-D Compression stiffness increases with

Effective Stress decreases with

(from Pestana, CE270 class, 2012) 34/40

Line 3 Line 2 Line 1

Surveyed Settlements Along

Predicted Settlementst from

Embankments Structural loading, 3D

NHP Levee (Line 3)

Line 4 Line 4'

0 20 40 60 80 100 120 140

Measured Deformations STIFF

Results of PLAXIS Analysis

Shear Behavior of Soils- Illustration

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