22 08 2023 FEM SummerSchool

Bauhaus-Universität Weimar
Professur Geotechnik
Int.-Prof. Dr.-Ing. Patrick Staubach
Finite Elements,
Constitutive Models and
Large Deformations in
Soil Mechanics
With contributions by Prof. Wichtmann & Dr.-Ing. Jan Machaček

Motivation
• Finite element method (FEM) is increasingly used in geotechnical
engineering to investigate the stability of structures or to make deformation
predictions
• Geotechnical problems are usually complex and highly nonlinear:
• Geometric nonlinearity (soil-structure interactions, large deformations)
• Material nonlinearity (stress-strain relationship)
• Interaction effects of multiple phases (soil-water-air)
• Suitable finite element formulations and material models must be selected
Bauhaus-Universität Weimar 2
Continuum mechanics
Stress
• Notation: First index i of sij identifies the
direction of the stress, second index j
identifies the direction of the normal to
the surface on which the stress acts
• 3 Normal components: s11, s22, s33
• 3 independent shear components
(considering symmetry) s12 = s21, s13 =
s31, s23 = s32
• In material models for soils, the stress components are usually effective
stresses (the dash ' for effective stresses is usually omitted)
• The sign convention of mechanics is often used: Tension is positive (in
contrast to the sign convention of soil mechanics, where pressure is positive)
Continuum mechanics
Stress
• Stress tensor:
• Vector (Voigt notation):
or
• Stress changes due to strain, which has
to be described by a constitutive model
considering the
)
symmetry
Continuum mechanics
Strain
Shear deformation Deformation in

normal direction
Direction e2
Normal ei
Continuum mechanics
Strain
• Strain tensor: • Vector (Voigt notation):
• Engineering strain measure:
where u is the displacement
Why FEM – and how?
ax [m/s2]
t [s]
We know how to formulate /
describe the physical
problem…
… but we are unable to solve

ax [m/s2]
t [s]
it!
Differential equation Numerical approximation
Boundary conditions:
 on Essential boundary conditions
 on Natural boundary conditions
I. Approximate solution that

satisfies the PDE
∗
ax [m/s2]
t [s]
 : constants
 : trial functions
 must satisfy essential BCs
Differential equation

satisfies the PDE
∗
ax [m/s2]
t [s] II. Find such that the error

becomes small
∗

satisfies the PDE
ax [m/s2]
∗
Weak form of the balance
t [s]
equation uses a spatial discretization, calculating
the quantities only at discrete points
II. Find constants such that the
error becomes small
∗
FEM:
Mesh
• Divide solution area into a finite
number of small sub areas - finite
elements - with simple geometry so
that the approximation functions
can be generated systematically
and after a certain pattern
• Finite elements are interconnected
at nodes, approximated solution is
Elements
continuous over solution area
• Evaluate the balance equation in
Nodes
each element and combine the
results to a global algebraic system
of equations
, ,
FEM:
Mesh
• Divide solution area into a finite
number of small sub areas - finite
elements - with simple geometry so
that the approximation functions
The FEM is a numerical method to solve partial
can be differential
generated systematically
equations (PDEs) approximately by reducingand afterthe continuous
a certain pattern
mathematical model to a discrete idealization. This is done
• Finite elements by
are interconnected
dividing the domain into a (finite) number of small
at nodes, elements solution is
approximated
with simple geometry
Elementson which the physical fields are
continuous over solution area
approximated in a piece-wise manner.
• Evaluate the balance equation in
Nodes
each element and combine the
results to a global algebraic system
of equations
, ,
Setting up the FE model
Which phenomena are to be

included in the calculation?
Geometry Soil & load
2D/3D/Axisymme Initial and

Constitutive
tric Dimensions Elements boundary
model
conditions
Plane strain conditions
• Simulation of a selected
cross section of the system
• Assumption: deformation
perpendicular to the plane
small/negligible
• Suitable for problems with
homogeneous subsoil
structure (normal to the
cross section)
• "Elongated system“
• Point load acts like infinite
line load
Plane stress conditions are not applicable in geotechnics!
Axisymmetric conditions
• Symmetrically (with respect

to vertical axis) loaded
structures circular in cross
section
• Point load acts like circular
line load
• Integration of any quantity
considering circumference
2·π·r
Circular Pile (axial Triaxial test

foundation loading)
(Isoparametric) continuum elements with linear interpolation functions
• Linear distribution of the displacement
• Constant distribution of strain/stress
• Curved contours can only be approximated by a polygon

• Fine meshing required
𝑘=3
𝑘=1
𝑘=2
(Isoparametric) continuum elements with quadratic interpolation functions
• Quadratic distribution of the displacement
• Linear distribution of strain/stress
• Curved contours can be mapped as arc segments
𝑘=3
𝑘=1 𝑘=⋯
𝑘=4
𝑘=2
A simple example: bar subjected to linear distributed load
𝑝 𝑥 =𝑝 𝑥 Linear elements Quadratic elements

𝑥
𝐿
Displacement
Displacement
Displacement
𝑥 𝑥 𝑥
Stress
Stress
Stress
𝑥 𝑥 𝑥
Interpolation functions
• Elements are defined in the global (physical) domain

• not practical with
• Map in reference domain with local coordinates ranging from 0 to 1
(or from -1 to 1). Express and reuse for every element regardless of its
dimensions in the global domain
𝜕𝒙
𝜕𝝃
𝜕𝝃
𝜕𝒙
𝑥 𝜕𝒙
𝜕𝝃
𝜕𝝃
𝑥 𝜕𝒙
Multi-phase material soil
• The macroscopic description of

heterogeneous substances idealised as a
continuum using the Theory of Porous
Media (TPM)
• The heterogeneous body is decomposed
into homogeneous sub-bodies, forming a
statistical surrogate model
• The homogeneous parts are described
using the super-positioned individual
behaviours (mechanically and hydraulic)
• More phases mean more partial differential
and constitutive equations
Continuum elements with one active phase (solid grains)
• Individual grains are incompressible, but the

grain structure is not
• Air occupies the pore space
• The displacement of the grain assembly is the
unknown
•
• Dirichlet boundary condition: Displacement of
the grain assembly
𝑢 • Von Neumann boundary condition: Effective
stresses
𝑢
s
Momentum balance:
Continuum elements with two active phases (solid grains and water)
• The displacement of the grain framework
and the pore water pressure are the
unknowns
•
• Dirichlet boundary condition: and
• Von Neumann boundary condition: Total
stresses and flow
• Inflow/outflow dependent on loading
𝑢 rate/permeability
𝑝 𝑢 Momentum balance mixture:
Mass balance fluid:

𝑞
𝜎 Momentum balance Fluid:
Initial conditions
• Defines the state at the start of an analysis, which may change during
simulation
• Governed by the choice of soil model and analysis type
• The more phases are considered, the more information is included in the
initial conditions
• Examples: Stress, pore water pressure, saturation, void ratio, density,
overconsolidation ratio
Constitutive models
• Constitutive soil models describe the relationship between
• Stress s and Strain e (sufficient for linear models, e.g. linear elasticity)
• Stress increment Ds and strain increment De (necessary for nonlinear
models)
∆ ∆
• Stress rate and strain rate with time increment Dt
∆ ∆
(more common for nonlinear models)
Stress Stress
Linear: Nonlinear:
Strain Strain
Es = Secant stiffness, Et = Tangent stiffness

Linear elastic models
• Linear relationship between stress and strain
• Strains are fully reversible, no plastic deformations
• Simplest 1D case: Hook‘s law with Young‘s modulus E
Nonlinear elastic models
• Nonlinear relationship between stress and strain
• Strains are fully reversible, no plastic deformations
Elastic models
Practical relevance
• Soils behave elastically only at very small strains (sand: e < 10-5, clay: e <
10-4)
• Elastic material models are used
• For simulations of wave propagation (with stiffness for very small strains,
determined e.g. from RC tests)
• For predictions of settlements under static loading (with stiffness for
large deformations, obtained e.g. from oedometer or triaxial tests).
• Elastic models can predict unrealistic stresses (very large or tensile stresses
that usually cannot be resisted by the soil)
• Elasticity is a necessary part for elastic-plastic or
visco-plastic models
Elastoplastic models
• Within a so-called „yield surface“ the soil behaviour is elastic
• If the stress path reaches the yield surface the stress is kept at the
yield surface and plastic deformations are generated
• In the simplest case the position of the yield surface in the stress space is fixed
• More sophisticated models consider a change of the yield surface caused
by loading (hardening = growth of yield surface, softening = shrinkage)
• Yield surface is often described by Mohr-Coulomb failure criterion
Hypoplastic model for sand
Basics explained on an oedometric compression test Fellin (2002)
Typical test result:

Soil behaviour is nonlinear and inelastic
Vertical stress:
Vertical strain:
Sign convention of mechanics:
Compression is negative
• Simplest approximation:
Two straight lines each representing
a linear elastic relationship
• Combination leads to a linear
inelastic constitutive law
• Loading:
• Unloading:
• Problems:  smax is usually not known a priori

 Based on the current strain it cannot be decided if
the current loading process is loading or unloading
• More meaningful
formulation of the
constitutive model
with stress and
strain rates:
• Loading :
• Unloading :
• Hypoplasticity is formulated
with rates
• Time integration for loading yields:
Initial values:
→ same equation as given

directly above
• Time integration for unloading yields:
Initial values:
→ same equation as given

directly above
• Equations for loading and unloading

can be combined in the following way:
• Loading
( ):
• Unloading
• In a hypoplastic model different ( ):
values of stiffness for loading and
unloading are obtained by using the
absolute value of strain rate in the equations
• Nonlinearity is introduced by
assuming a stiffness proportional
to the stress:
is replaced by:
with two new constants C1, C2
• For loading ( ):
• Conventional description in Soil

Mechanics (Cc = compression index,
e0 = initial void ratio):
• From
comparison:
• For unloading ( Cs = swelling index):
• Relationships between the

hypoplastic constants C1 and C2
and the conventional parameters
Cc, Cs and e0:
Basics explained on a triaxial compression test Fellin (2002)
Typical relation between vertical stress s1

and vertical strain e1 =-Dh/h0 for loose sand:
Three requirements to be fulfilled by a simple 1D hypoplastic model:

• Different values of stiffness for loading and unloading
• Vanishing stiffness for s1 = s1max (loading) and s1 = s1min (unloading)
• Initial stiffness should have the value E0
• Different stiffness for loading and
unloading is achieved by again
using the absolute value of the
strain rate
• For the vertical stress limits, the
Mohr-Coulomb failure criterion for
non-cohesive soils is applied:
• Basic equation:
• For loading ( ):
• At initial state with s1 = s2:
• Stress rate must vanish at maximum stress :
• Stress rate must also vanish during unloading ( )
at minimum stress :
→ same equation as for loading at

→ expression for a2 fulfills requirement of vanishing stiffness for both
loading and unloading
• Setting in the expression for a1 and a2 in the basic equation leads to:
• Graphical presentation of stress-strain-

relationship for E0 = 1000 kPa, j = 30°
and s2 = -100 kPa
Summary of basic principles
• A hypoplastic model does not explicitly define a yield surface.
The yield criterion comes out of the equations for the stress-strain
relationship formulated in terms of rates
• The difference in stiffness between loading and unloading results
from using the absolute value of strain rate in the equations
(or the norm of the strain rate in formulations with full tensors)
• The stress-strain relationship is independent of the loading rate.
If the strain rate is e.g. doubled, then also the stress rate is doubled.
• The non-linear behaviour is modelled by a stiffness depending on stress
(and probably other state variables like void ratio, overconsolidation ratio, etc.)
Hypoplastic model of von Wolffersdorff (1996)
• Currently the most popular hypoplastic model for non-cohesive soils
• Describes stress- and density-dependent stiffness and contractancy /
dilatancy during shearing
• Implementation for Abaqus and Plaxis is freely available in the internet
(www.soilsmodels.info)
• 8 parameters can be calibrated from laboratory tests
• Calibration procedure has been described by Herle (1997)
• Parameters calibrated by hand following this procedure can be optimized
based on element test simulations
Hypoplastic model of von Wolffersdorff (1996) – Equations
• Basic equation:
= norm of strain rate
• Stiffness tensors:
4th order tensor (Lijkl)
∗ 2nd order tensor (Nij)
Dimensionless stress: = trace of stress tensor

∗
= deviatoric part of dimensionless stress
= 4th order unit tensor
• Parameters a and F describe the failure criterion of Matsuoka-Nakai
in the stress space:
∗ ∗ ∗
∗ ∗ /
jc = critical friction angle

(material constant)
• Limit void ratios

ei = maximum void ratio (loosest possible state)
ec = critical void ratio
ed = minimum void ratio (densest possible state)
ei0, ec0, ed0 = values at pressure p = 0 (material constants)
• Development of ei, ec and ed

with increasing pressure p
• Functions fd, fe and fb describe the influences of pressure and density
on stiffness:
Hypoplastic model of von Wolffersdorff (1996) – Parameter calibration
jc [°] ei0 ec0 ed0 hs [MPa] n a b Parameters for

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5 „Karlsruhe sand“
• jc as inclination of a
pluviated cone of sand
jc [°] ei0 ec0 ed0 hs [MPa] n a b

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• Alternative: Direct shear

tests on loose sand

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• Estimation of limit void ratios

at p = 0 according to
Herle (1997):
ei0 = 1.15 emax
ec0 = emax emax
ed0 = emin
emax, emin from standard
laboratory tests
emin

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• hs and n from an oedometric test on a loose sample
1 2 3 4 5

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• hs and n from an oedometric test on a loose sample
Possible influence
of sample size
(here: sand with
d50 = 0.2 mm,
Cu = 1.5)

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• hs and n from an oedometric test on a

loose sample (d = 150 mm, h = 30 mm)

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• b from an oedometric
test on a dense sample
(d = 150 mm, h = 30 mm)

33.1 1.212 1.054 0.677 4000 0.27 0.14 2.5
• a is obtained from a drained triaxial test performed on an initially dense sample

• a determines the maximum of the stress-strain curve and the dilatancy
Extension by intergranular strain (Niemunis & Herle, 1997)
• Problem of original hypoplastic model of von Wolffersdorff:
Excessive accumulation of strain in case of cyclic loading („ratcheting“)
• Cause: Model does not distinguish between first loading and reloading
• Extension of intergranular strain
remedies these problems
(equations are complicated
and not given here)
Extension by intergranular strain (Niemunis & Herle, 1997) – Parameter calibration
jc [°] ei0 ec0 ed0 hs [MPa] n a b R mR mT bR c

33,1 1,212 1,054 0,677 4000 0,27 0,14 2,5 10-4 5 2 0,5 6
• Parameters R, mR, mT, bR, c of intergranular strain can be obtained from a

drained or undrained cyclic triaxial test
• They control the shape of the stress-strain hysteresis and the accumulation
• Table contains the standard parameters recommended by Niemunis & Herle
Laboratory tests needed for a calibration of the model of von Wolfferdorff (1996)
with the extension of intergranular strain (Niemunis & Herle, 1997)
• Index tests on minimum and maximum density (→ ei0, ec0, ed0)
• Pluviated cone of sand or direct shear test on loose sample (→ jc)
• Oedometric test on a loose sample (→ hs, n)
• Oedometric test on a dense sample (→ b)
• Drained triaxial test on a dense sample (→ a)
• Drained or undrained cyclic triaxial test (→ R, mR, mT, bR, c)
Examples: Excavation with retaining wall
Horizontal displacement
• The influence of the initial condition on the results can be significant

• In difficult cases, it may be necessary to consider the full history in the
calculation (e.g. excavation, pile installation, dumping of material)
Examples: Foundation
Initial distribution of density
• Soil state and

parameters are often
spatially fluctuating
and inhomogeneous
• It is impossible to
exactly capture this
fluctuation
• Sensitivity analyses
can be performed to
obtain a range of
results and judge the
influence
Examples: Offshore foundations
Examples: Offshore foundations
How to tackle large deformation problems?
• Updated Lagrangian methods

• Material-Point-Methods
• Eulerian / Arbitrary-Lagrangian-Eulerian methods
• Discrete approaches
• SPH, PFEM, etc....
How do these schemes work and when to apply which?
How to tackle large deformation problems?
How to choose a scheme:
• Availability
• Modelling scale
• Expected strain
• Contact interactions possible?
• Numerical stability
Keep it as simple as possible!
Updated Lagrangian schemes
• Integration is performed in current configuration

• Technically very large strains possible (>100%)
but loss of accuracy due to distortion and
integration errors
• Can be coupled with remeshing schemes to
counteract element distortion
• Comparably simple and available in most codes
• Deformation gradient
• Decomposition in stretch and rotation
• Logarithmic strain
Principial axes of U
Principial axes of V
• Velocity gradient
• Decomposition in strain rate D and spin W
• The strain rate is used in incrementally non-

linear constitutive models for soils and is
objective (objective = rigid rotation does not
cause any change in stress)
• Stress rate is not objective

• Objective Jaumann stress rate by subtracting
stress due to spin:
Eulerian schemes
• Common in fluid dynamics

• Fixed background mesh
• Material decoupled from mesh
• Solved in 2 steps: Lagrangian and Eulerian step
Eulerian schemes
• No limitations in terms of large deformations

• Interaction of Lagrangian and Eulerian model regions: Coupled-Eulerian-
Lagrangian (CEL) scheme
• Difficult to reconstruct material surfaces in partially filled elements
• Considerable influence of mesh and time incrementation on simulation results
• Robust implementation in Abaqus/Explicit available
Eulerian schemes: Examples
• Installation of offshore piles

• Simulated using Hypoplasticity/Sanisand
• Hydro-mechanically coupled
• Only limited physical time can be considered (1-2 min)
• Deposition of sand (simulated using Hypoplasticity)
• Screw anchors (simulated using Hypoplasticity)

22 08 2023 FEM SummerSchool

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Bauhaus-Universität Weimar

With contributions by Prof. Wichtmann & Dr.-Ing. Jan Machaček

• Vector (Voigt notation):

Shear deformation Deformation in

• Strain tensor: • Vector (Voigt notation):

• Engineering strain measure:

where u is the displacement

… but we are unable to solve

Differential equation Numerical approximation

I. Approximate solution that

I. Approximate solution that

t [s] II. Find such that the error

I. Approximate solution that

Which phenomena are to be

Geometry Soil & load

2D/3D/Axisymme Initial and

Plane stress conditions are not applicable in geotechnics!

• Symmetrically (with respect

Circular Pile (axial Triaxial test

• Linear distribution of the displacement

• Constant distribution of strain/stress

• Curved contours can only be approximated by a polygon

• Quadratic distribution of the displacement

• Linear distribution of strain/stress

• Curved contours can be mapped as arc segments

𝑝 𝑥 =𝑝 𝑥 Linear elements Quadratic elements

• Elements are defined in the global (physical) domain

• The macroscopic description of

• Individual grains are incompressible, but the

𝑝 𝑢 Momentum balance mixture:

Mass balance fluid:

Es = Secant stiffness, Et = Tangent stiffness

Typical test result:

• Problems:  smax is usually not known a priori

• Time integration for loading yields:

→ same equation as given

• Time integration for unloading yields:

→ same equation as given

• Equations for loading and unloading

with two new constants C1, C2

• Conventional description in Soil

• For unloading ( Cs = swelling index):

• Relationships between the

Typical relation between vertical stress s1

Three requirements to be fulfilled by a simple 1D hypoplastic model:

• At initial state with s1 = s2:

• Stress rate must vanish at maximum stress :

→ same equation as for loading at

• Graphical presentation of stress-strain-

= norm of strain rate

4th order tensor (Lijkl)

∗ 2nd order tensor (Nij)

Dimensionless stress: = trace of stress tensor

jc = critical friction angle

• Limit void ratios

• Development of ei, ec and ed

jc [°] ei0 ec0 ed0 hs [MPa] n a b Parameters for

jc [°] ei0 ec0 ed0 hs [MPa] n a b

• Alternative: Direct shear

jc [°] ei0 ec0 ed0 hs [MPa] n a b

• Estimation of limit void ratios

jc [°] ei0 ec0 ed0 hs [MPa] n a b