Plaxis Scientific Manual 2011

PLAXIS
Scientic Manual
2011
Build 5167
TABLE OF CONTENTS
TABLE OF CONTENTS
1 Introduction 5
2 Deformation theory 7
2.1 Basic equations of continuum deformation 7
2.2 Finite element discretisation 8
2.3 Implicit integration of differential plasticity models 9
2.4 Global iterative procedure 11
3 Groundwater ow theory 13
3.1 Basic equations of ow 13
3.1.1 Transient ow 13
3.1.2 Continuity equation 14
3.2 Boundary Conditions 15
3.4 Flow in interface elements 18
4 Consolidation theory 19
4.1 Basic equations of consolidation 19
4.3 Elastoplastic consolidation 22
4.4 Critical time step 22
5 Element formulations 25
5.1 Interpolation functions of point elements 25
5.1.1 Structural elements 25
5.2 Interpolation functions and numerical integration of line elements 26
5.2.1 Interpolation functions of line elements 26
5.2.3 Derivatives of interpolation functions 31
5.2.4 Numerical integration of line elements 34
5.2.5 Calculation of element stiffness matrix 35
5.3 Interpolation functions and numerical integration of area elements 36
5.3.1 Interpolation functions of area elements 37
5.3.3 Numerical integration of area elements 40
5.4 Interpolation functions and numerical integration of volume elements 40
5.4.1 10-node tetrahedral element 40
5.4.2 Derivatives of interpolation functions 42
5.4.3 Numerical integration over volumes 43
5.4.4 Calculation of element stiffness matrix 43
5.5 Special elements 44
5.5.1 Embedded piles 44
6 Theory of sensitivity analysis & parameter variation 49
6.1 Sensitivity analysis 49
6.1.1 Denition of threshold value 50
6.2 Theory of parameter variation 51
6.2.1 Bounds on the system response 51
PLAXIS 2011 | Scientic Manual 3
SCIENTIFIC MANUAL
7 Dynamics 53
7.1 Basic equation dynamic behaviour 53
7.2 Time integration 53
7.2.1 Critical time step 55
7.2.2 Dynamic Integration Coefcients 55
7.3 Model Boundaries 56
7.4 Absorbent boundaries 57
7.5 Initial stresses and stress increments 57
7.6 Amplication of responses 58
7.7 Pseudo-spectral acceleration response spectrum for a single-degree-of-
freedom system 58
7.8 Natural frequency of vibration of a soil deposit 59
8 References 61
Appendix A - Calculation process 63
Appendix B - Symbols 65
4 Scientic Manual | PLAXIS 2011
INTRODUCTION
1 INTRODUCTION
In this part of the manual some scientic background is given of the theories and
numerical methods on which the PLAXIS program is based. The manual contains
chapters on deformation theory, groundwater ow theory (PLAXIS 2D), consolidation
theory, dynamics as well as the corresponding nite element formulations and integration
rules for the various types of elements used in PLAXIS. In Appendix A a global
calculation scheme is provided for a plastic deformation analysis.
In addition to the specic information given in this part of the manual, more information on
backgrounds of theory and numerical methods can be found in the literature, as amongst
others referred to in Chapter 8. For detailed information on stresses, strains, constitutive
modelling and the types of soil models used in the PLAXIS program, the reader is
referred to the Material Models Manual.
SCIENTIFIC MANUAL
DEFORMATION THEORY
2 DEFORMATION THEORY
In this chapter the basic equations for the static deformation of a soil body are formulated
within the framework of continuum mechanics. A restriction is made in the sense that
deformations are considered to be small. This enables a formulation with reference to the
original undeformed geometry. The continuum description is discretised according to the
nite element method.
2.1 BASIC EQUATIONS OF CONTINUUM DEFORMATION
The static equilibrium of a continuum can be formulated as:
L
T
+ b = 0 (2.1)
This equation relates the spatial derivatives of the six stress components, assembled in
vector , to the three components of the body forces, assembled in vector b. L
T
is the
transpose of a differential operator, dened as:
L
T
=
_
x
0 0

y
0

z
0

y
0

x
z
0
0 0

z
0

y
x
_
_
(2.2)
In addition to the equilibrium equation, the kinematic relation can be formulated as:
= Lu (2.3)
This equation expresses the six strain components, assembled in vector , as the spatial
derivatives of the three displacement components, assembled in vector u, using the
previously dened differential operator L. The link between Eqs. (2.1) and (2.3) is formed
by a constitutive relation representing the material behaviour. Constitutive relations, i.e.
relations between rates of stress and strain, are extensively discussed in the Material
Models Manual. The general relation is repeated here for completeness:
= M (2.4)
The combination of Eqs. (2.1), (2.3) and (2.4) would lead to a second-order partial
differential equation in the displacements u.
However, instead of a direct combination, the equilibrium equation is reformulated in a
weak form according to Galerkin's variation principle:
_
u
T
_
L
T
+ b
_
dV = 0 (2.5)
In this formulation u represents a kinematically admissible variation of displacements.
SCIENTIFIC MANUAL
Applying Green's theorem for partial integration to the rst term in Eq. (2.5) leads to:
_

T
dV =
_
u
T
b dV +
_
u
T
t dS (2.6)
This introduces a boundary integral in which the boundary traction appears. The three
components of the boundary traction are assembled in the vector t . Eq. (2.6) is referred
to as the virtual work equation.
The development of the stress state can be regarded as an incremental process:
i
=
i 1
+ =
_
dt (2.7)
In this relation
i
represents the actual state of stress which is unknown and
i 1
represents the previous state of stress which is known. The stress increment is the
stress rate integrated over a small time increment.
If Eq. (2.6) is considered for the actual state i , the unknown stresses
i
can be eliminated
using Eq. (2.7):
_

T
dV =
_
u
T
b
i
dV +
_
u
T
t
i
dS
_

T
i 1
dV (2.8)
It should be noted that all quantities appearing in Eqs. (2.1) till (2.8) are functions of the
position in the three-dimensional space.
2.2 FINITE ELEMENT DISCRETISATION
According to the nite element method a continuum is divided into a number of (volume)
elements. Each element consists of a number of nodes. Each node has a number of
degrees of freedom that correspond to discrete values of the unknowns in the boundary
value problem to be solved. In the present case of deformation theory the degrees of
freedom correspond to the displacement components. Within an element the
displacement eld u is obtained from the discrete nodal values in a vector v using
interpolation functions assembled in matrix N:
u = N v (2.9)
The interpolation functions in matrix N are often denoted as shape functions. Substitution
of Eq. (2.9) in the kinematic relation (Eq. 2.3) gives:
= LN v = B v (2.10)
In this relation B is the strain interpolation matrix, which contains the spatial derivatives of
the interpolation functions. Eqs. (2.9) and (2.10) can be used in variational, incremental
and rate form as well.
Eq. (2.8) can now be reformulated in discretised form as:
_
_
B
_
T
dV =
_
_
N
_
T
b
i
dV +
_
_
N
_
T
t
i
dS
_
_
B
_
T
i 1
dV
DEFORMATION THEORY
(2.11)
The discrete displacements can be placed outside the integral:

T
_
B
T
dV =
T
_
N
T
b
i
dV +
T
_
N
T
t
i
dS
T
_
B
T
i 1
dV
(2.12)
Provided that Eq. (2.12) holds for any kinematically admissible displacement variation
v
T
, the equation can be written as:
_
B
T
dV =
_
N
T
b
i
dV +
_
N
T
t
i
dS
_
B
T
i 1
dV (2.13)
The above equation is the elaborated equilibrium condition in discretised form. The rst
term on the right-hand side together with the second term represent the current external
force vector and the last term represents the internal reaction vector from the previous
step. A difference between the external force vector and the internal reaction vector
should be balanced by a stress increment .
The relation between stress increments and strain increments is usually non-linear. As a
result, strain increments can generally not be calculated directly, and global iterative
procedures are required to satisfy the equilibrium condition (Eq. 2.13) for all material
points. Global iterative procedures are described later in Section 2.4, but the attention is
rst focused on the (local) integration of stresses.
2.3 IMPLICIT INTEGRATION OF DIFFERENTIAL PLASTICITY MODELS
The stress increments are obtained by integration of the stress rates according to Eq.
(2.7). For differential plasticity models the stress increments can generally be written as:
= D
e
_

p
_
(2.14)
In this relation D
e
represents the elastic material matrix for the current stress increment.
The strain increments are obtained from the displacement increments v using the
strain interpolation matrix B, similar to Eq. (2.10).
For elastic material behaviour, the plastic strain increment
p
is zero. For plastic
material behaviour, the plastic strain increment can be written, according to Vermeer
(1979), as:
p
=
_
(1 )
_
g
_
i 1
+
_
g
_
i
_
(2.15)
In this equation is the increment of the plastic multiplier and is a parameter
indicating the type of time integration. For = 0 the integration is called explicit and for
= 1 the integration is called implicit.
Vermeer (1979) has shown that the use of implicit integration ( = 1) has some major
advantages, as it overcomes the requirement to update the stress to the yield surface in
the case of a transition from elastic to elastoplastic behaviour. Moreover, it can be proven
SCIENTIFIC MANUAL
that implicit integration, under certain conditions, leads to a symmetric and positive
differential matrix / , which has a positive inuence on iterative procedures.
Because of these major advantages, restriction is made here to implicit integration and
no attention is given to other types of time integration.
Hence, for = 1 Eq. (2.15) reduces to:
p
=
_
g
_
i
(2.16)
Substitution of Eq. (2.16) into Eq. (2.14) and successively into Eq. (2.7) gives:
i
=
tr
D
e
_
g
_
i
with:
tr
=
i 1
+ D
e
(2.17)
In this relation
tr
is an auxiliary stress vector, referred to as the elastic stresses or trial
stresses, which is the new stress state when considering purely linear elastic material
behaviour.
The increment of the plastic multiplier , as used in Eq. (2.17) , can be solved from the
condition that the new stress state has to satisfy the yield condition:
f
_
i
_
= 0 (2.18)
For perfectly-plastic and linear hardening models the increment of the plastic multiplier
can be written as:
=
f
_
tr
_
d + h
(2.19)
where:
d =
_
f
tr
D
e
_
g
_
i
(2.20)
The symbol h denotes the hardening parameter, which is zero for perfectly-plastic models
and constant for linear hardening models. In the latter case the new stress state can be
formulated as:
i
=
tr
f
_
tr
_
d + h
D
e
_
g
_
i
(2.21)
The -brackets are referred to as McCauley brackets, which have the following
convention:
x = 0 for: x 0 and: x = x for: x > 0
For non-linear hardening models the increment of the plastic multiplier is obtained using a
Newton-type iterative procedure with convergence control.
DEFORMATION THEORY
2.4 GLOBAL ITERATIVE PROCEDURE
Substitution of the relationship between increments of stress and increments of strain,
= M , into the equilibrium equation (Eq. 2.13) leads to:
K
i
v
i
= f
i
ex
f
i 1
in
(2.22)
In this equation K is a stiffness matrix, v is the incremental displacement vector, f
ex
is
the external force vector and f
in
is the internal reaction vector. The superscript i refers to
the step number. However, because the relation between stress increments and strain
increments is generally non-linear, the stiffness matrix cannot be formulated exactly
beforehand. Hence, a global iterative procedure is required to satisfy both the equilibrium
condition and the constitutive relation. The global iteration process can be written as:
K
j
v
j
= f
i
ex
f
j 1
in
(2.23)
The superscript j refers to the iteration number. v is a vector containing sub-incremental
displacements, which contribute to the displacement increments of step i :
v
i
=
n
j =1
v
j
(2.24)
where n is the number of iterations within step i . The stiffness matrix K, as used in Eq.
(2.23) , represents the material behaviour in an approximated manner. The more
accurate the stiffness matrix, the fewer iterations are required to obtain equilibrium within
a certain tolerance.
In its simplest form K represents a linear-elastic response. In this case the stiffness
matrix can be formulated as:
K =
_
B
T
D
e
B dV (elastic stiffness matrix) (2.25)
where D
e
is the elastic material matrix according to Hooke's law and B is the strain
interpolation matrix. The use of an elastic stiffness matrix gives a robust iterative
procedure as long as the material stiffness does not increase, even when using
non-associated plasticity models. Special techniques such as arc-length control (Riks,
1979), over-relaxation and extrapolation (Vermeer & van Langen, 1989) can be used to
improve the iteration process. Moreover, the automatic step size procedure, as
introduced by Van Langen & Vermeer (1990), can be used to improve the practical
applicability. For material models with linear behaviour in the elastic domain, such as the
standard Mohr-Coulomb model, the use of an elastic stiffness matrix is particularly
favourable, as the stiffness matrix needs only be formed and decomposed before the rst
calculation step. This calculation procedure is summarised in Appendix A.
SCIENTIFIC MANUAL
GROUNDWATER FLOW THEORY
3 GROUNDWATER FLOW THEORY
In this chapter we will review the theory of groundwater ow as used in PLAXIS 2D. In
addition to a general description of groundwater ow, attention is focused on the nite
element formulation.
3.1 BASIC EQUATIONS OF FLOW
3.1.1 TRANSIENT FLOW
Flow in a porous medium can be described by Darcy's law which is expressed by the
following equation in three dimensions:
q =
k
w
g
_
p
w
+
w
g
_
(3.1)
Where
=
_
z
_
_
(3.2)
q, k, g and
w
are the specic discharge (uid velocity), the tensor of permeability, the
acceleration vector due to gravity Eq. (3.3) and the density of water, respectively. p
w
is
the gradient of the water pore pressure which causes groundwater ow. The term
w
g is
used as the ow is not affected by the gradient of the water pore pressure in vertical
direction when hydrostatic conditions are assumed.
g =
_
_
0
g
0
_
_
(3.3)
In unsaturated soils the coefcient of permeability k can be related to the soil saturation
as:
k = k
rel
k
sat
(3.4)
where
k
sat
=
_
_
k
sat
x
0 0
0 k
sat
y
0
0 0 k
sat
z
_
_
(3.5)
In which k
rel
is the ratio of the permeability at a given saturation to the permeability in
saturated state k
sat
.
SCIENTIFIC MANUAL
3.1.2 CONTINUITY EQUATION
The mass concentration of the water in each elemental volume of the medium is equal to
w
nS. The parameters n and S are the porosity and the degree of saturation of the soil,
respectively. According to the mass conservation, the water outow from the the volume
is equal to the changes in the mass concentration. As the water outow is equal to the
divergence of the specic discharge (
T
q), the continuity equation has the form (Song,
1990):
_
k
rel
w
g
k
sat
_
p
w
+
w
g
_
_
=

t
(
w
nS) (3.6)
By neglecting the deformations of solid particles and the gradients of the density of water
(Boussinesq's approximation), the continuity equation is smplied to:
_
k
rel
w
g
k
sat
_
p
w
+
w
g
_
_
+ Sm
T

t
n
_
S
K
w
S
p
w
_
p
w
t
= 0 (3.7)
Where
m
T
=
_
1 1 1 0 0 0
_
(3.8)
For transient groundwater ow the displacements of solid particles are neglected.
Therefore:
_
k
rel
w
g
k
sat
_
p
w
+
w
g
_
_
n
_
S
K
w
S
p
w
_
p
w
t
= 0 (3.9)
For steady state ow
_
p
w
t
= 0
_
the continuity condition applies:
_
k
rel
w
g
k
sat
_
p
w
+
w
g
_
_
= 0 (3.10)
Eq. (3.10) expresses that there is no net inow or outow in an elementary area, as
illustrated in Figure 3.1.
q
x
q
y
q
y
+
q
y
dy
q
x
+
q
x
dx
Figure 3.1 Illustration of continuity condition
3.2 BOUNDARY CONDITIONS
The following boundary conditions are available in PLAXIS 2D:
Closed: This type of boundary conditions species a zero Darcy ux over the boundary
as
q
x
n
x
+ q
y
n
y
= 0 (3.11)
where n
x
and n
y
are the outward pointing normal vector components on the boundary.
Inow: A non-zero Darcy ux over a boundary is set by a prescribed recharge value q
and reads
q
x
n
x
+ q
y
n
y
= q (3.12)
This indicates that the Darcy ux vector and the normal vector on the boundary are
pointing in opposite directions.
Outow: For outow boundary conditions the direction of the prescribed Darcy ux, q,
should equal the direction of the normal on the boundary, i.e.:
q
x
n
x
+ q
y
n
y
= q (3.13)
Head: For prescribed head boundaries the value of the head

is imposed as
=

(3.14)
Alternatively prescribed pressure conditions can be given. Overtopping conditions for
example can be formulated as prescribed pressure boundaries.
p = 0 (3.15)
These conditions directly relate to a prescribed head boundary condition and are
implemented as such.
Inltration: This type of boundary conditions poses a more complex mixed boundary
condition. An inow value q may depend on time and as in nature the amount of inow is
limited by the capacity of the soil. If the precipitation rate exceeds this capacity, ponding
takes place at a depth

p,max
and the boundary condition switches from inow to
prescribed head. As soon as the soil capacity meets the inltration rate the condition
switches back.
_
_
= z +

p,max
if ponding
q
x
n
x
+ q
y
n
y
= q if < z +
p,max
> z + phi +
p,min
= z +

p,min
if drying
(3.16)
This boundary condition simulates evaporation for negative values of q. The outow
boundary condition is limited by a minimum head

p,min
to ensure numerical stability.
Seepage: The water line option generates phreatic/seepage conditions by default. An
external head

is prescribed on the part of the boundary beneath the water line, seepage
SCIENTIFIC MANUAL
or free conditions are applied to the rest of the line. The phreatic/seepage condition reads
_
_
=

if

z
q
x
n
x
+ q
y
n
y
= 0 if

< z

< z
= z if

< z

q
x
n
x
+ q
y
n
y
> 0
(3.17)
The seepage condition only allows for outow of groundwater at atmospheric pressure.
For unsaturated conditions at the boundary the boundary is closed.
Alternatively a water line may generate a phreatic/closed condition if the upper part of the
line is replaced by closed conditions. This condition is written as
_
=

if

z
q
x
n
x
+ q
y
n
y
= 0 if

< z
(3.18)
The external head

may vary in a time dependent way, however the part that remains
closed is derived from the initial setting.
Inltration well: Inside the domain wells are modelled as source terms, where

Q
species the inowing ux per meter.
Q =

Q (3.19)
As the source term in the governing equation simulates water owing in the system, the
source term is positive for a recharge well.
Extraction well: A discharge rate

Q simulates an amount of water leaving the domain
Q =
Q (3.20)
The source term in the governing equation is negative for a discharge well.
Drain: Drains are handled as seepage boundaries. However, drains may be located
inside the domain as well. The condition is written as
_
= z if Q < 0
Q = 0 if < z
(3.21)
A drain permits water leaving the modelling domain at atmospheric pressure. The drain
itself does not generate a resistance against ow.
Initial conditions are generated as a steady state solution for a problem with a given set of
boundary conditions.
The groundwater pore pressure in any position within an element can be expressed in
terms of nodal values:
p
w
= Np
w
n
(3.22)
where N is the vector with interpolation functions. For more information on the nite
element theory please refer to the PLAXIS scientic manual, or (Bathe & Koshgoftaar,
1979), (Zienkiewicz, 1967). According to Eq. (3.1), the specic discharge is based on the
gradient of the groundwater pore pressure. This gradient can be determined by means of
the B-matrix, which contains the spatial derivatives of the interpolation functions, see the
PLAXIS scientic manual. In the numerical formulation the specic discharge, q, is
written as:
q =
k
rel
w
k
sat
_
B p
w
n
+
w
g
_
(3.23)
where:
q =
_
_
q
x
q
y
_
_
and: k
sat
=
_
_
k
sat
x
0
0 k
sat
y
_
_
(3.24)
From the specic discharges in the integration points, q, the nodal discharges Q
e
can be
integrated according to:
Q
e
=
_
B
T
q dV (3.25)
in which B
T
is the transpose of the B-matrix. The term dV indicates integration over the
volume of the body.
Starting from the continuity equation Eq. (3.9) and applying the Galerkin approach and
incorporating prescribed boundary conditions we obtain:
H p
w
n
S
dp
w
n
dt
= q
p
(3.26)
where H, S and q
p
are the permeability matrix, the compressibility matrix and the
prescribed recharges that are given by the boundary conditions, respectively:
H =
_
_
N
_
T
k
rel
w
k
sat
_
N
_
dV (3.27)
S =
_
N
T
_
nS
K
w
n
S
p
w
_
N dV (3.28)
q
p
=
_
_
N
_
T
k
rel
w
k
sat
w
g dV
_
N
T
q d (3.29)
q is the outow prescribed ux on the boundary. The term d indicates a surface integral.
In PlaxFlow the bulk modulus of the pore uid is taken automatically according to:
Kw
n
=
3(
u
)
(1 2
u
)(1 + )
K
skeleton
(3.30)
Where
u
has a default value of 0.495. The value can be modied in the input program
on the basis of Skempton's B-parameter. For material just switched on, the bulk modulus
of the pore uid is neglected.
Due to the unsaturated zone the set of equations is highly non-linear and a Picard
SCIENTIFIC MANUAL
scheme is used to solve the system of equations iteratively. The linear set is solved in
incremental form using an implicit time stepping schema. Application of this procedure to
Eq. (3.26) yields:
_
t H + S
_
p
w
n
= t H p
w
n0
+ t q
p
(3.31)
and p
w
n0
denote value of water pore pressure at the beginning of a step. The parameter
is the time integration coefcient. In general the integration coefcient can take
values from 0 to 1. In PlaxFlow the fully implicit scheme of integration is used with =1.
For steady state ow the governing equation is:
H p
w
n
= H p
w
n0
+ q
p
(3.32)
Interface elements are treated specially in groundwater calculations. The elements can
be on or off. When the elements are switched on, there is a full coupling of the pore
pressure degrees of freedom. When the interface elements are switched off, there is no
ow from one side of the interface element to the other (impermeable screen).
3.4 FLOW IN INTERFACE ELEMENTS
Interface elements are treated specially in groundwater calculations. The elements can
be on or off. When the elements are switched off, there is a full coupling of the pore
pressure degrees of freedom. When the interface elements are switched on, there is no
ow from one side of the interface element to the other (impermeable screen).
CONSOLIDATION THEORY
4 CONSOLIDATION THEORY
In this chapter we will review the theory of consolidation as used in PLAXIS. In addition to
a general description of Biot's theory for coupled consolidation, attention is focused on
the nite element formulation. Moreover, a separate section is devoted to the use of
advanced soil models in a consolidation analysis (elastoplastic consolidation).
4.1 BASIC EQUATIONS OF CONSOLIDATION
The governing equations of consolidation as used in PLAXIS follow Biot's theory (Biot,
1956). Darcy's law for uid ow and elastic behaviour of the soil skeleton are also
assumed. The formulation is based on small strain theory. According to Terzaghi's
principle, stresses are divided into effective stresses and pore pressures:
= ' + m
_
p
steady
+ p
excess
_
(4.1)
where:
=
_
xx

yy

zz

xy

yz

zx
_
T
and: m =
_
1 1 1 0 0 0
_
T
(4.2)
is the vector with total stresses, ' contains the effective stresses, p
excess
is the excess
pore pressure and m is a vector containing unity terms for normal stress components and
zero terms for the shear stress components. The steady state solution at the end of the
consolidation process is denoted as p
steady
. Within PLAXIS p
steady
is dened as:
p
steady
= p
input
(4.3)
where p
input
is the pore pressure generated in the input program based on phreatic lines
after the use of the K0 procedure or Gravity loading. Note that within PLAXIS
compressive stresses are considered to be negative; this applies to effective stresses as
well as to pore pressures. In fact it would be more appropriate to refer to p
excess
and
p
steady
as pore stresses, rather than pressures. However, the term pore pressure is
retained, although it is positive for tension.
The constitutive equation is written in incremental form. Denoting an effective stress
increment as ' and a strain increment as , the constitutive equation is:
' = M (4.4)
where:
=
_

xx

yy

zz

xy

yz

zx
_
T
(4.5)
and M represents the material stiffness matrix. For details on constitutive relations, see
the Material Models Manual.
SCIENTIFIC MANUAL
To apply a nite element approximation we use the standard notation:
u = N v p = N p
n
= B v (4.6)
where v is the nodal displacement vector, p
n
is the excess pore pressure vector, u is the
continuous displacement vector within an element and p is the (excess) pore pressure.
The matrix N contains the interpolation functions and B is the strain interpolation matrix.
In general the interpolation functions for the displacements may be different from the
interpolation functions for the pore pressure. In PLAXIS, however, the same functions are
used for displacements and pore pressures.
Starting from the incremental equilibrium equation and applying the above nite element
approximation we obtain:
_
B
T
d dV =
_
N
T
db dV +
_
N
T
dt dS + r
0
(4.7)
with:
r
0
=
_
N
T
b
0
dV +
_
N
T
t
0
dS
_
B
T
0
dV (4.8)
where b is a body force due to self-weight and t represents the surface tractions. In
general the residual force vector r
0
will be equal to zero, but solutions of previous load
steps may have been inaccurate. By adding the residual force vector the computational
procedure becomes self-correcting. The term dV indicates integration over the volume of
the body considered and dS indicates a surface integral.
Dividing the total stresses into pore pressure and effective stresses and introducing the
constitutive relationship gives the nodal equilibrium equation:
K dv + Ldp
n
= df
n
(4.9)
where K is the stiffness matrix, L is the coupling matrix and df
n
is the incremental load
vector:
K =
_
B
T
M B dV (4.10a)
L =
_
B
T
mN dV (4.10b)
df
n
=
_
N
T
db dV +
_
N
T
dt dS (4.10c)
To formulate the ow problem, the continuity equation is adopted in the following form:
T
R (
w
y
p
steady
p )/
w
m
T

t
+
n
Kw
p
t
= 0 (4.11)
where R is the permeability matrix:
R =
_
_
k
x
0 0
0 k
y
0
0 0 k
z
_
_
(4.12)
n is the porosity, K
w
is the bulk modulus of the pore uid and
w
is the unit weight of the
pore uid. This continuity equation includes the sign convention that p
steady
and p are
considered positive for tension.
As the steady state solution is dened by the equation:
T
R (
w
y
p
steady
) /

w
= 0 (4.13)
the continuity equation takes the following form:
T
R p /

w
+ m
T

t

n
Kw
p
t
= 0 (4.14)
Applying nite element discretisation using a Galerkin procedure and incorporating
prescribed boundary conditions we obtain:
H p
n
+ L
T
dv
dt
S
d p
n
dt
= q
n
(4.15)
where:
H =
_
(N)
T
R N /

w
dV, S =
_
n
K
w
N
T
N dV (4.16)
and q
n
is a vector due to prescribed outow at the boundary. However within PLAXIS it is
not possible to have boundaries with non-zero prescribed outow. The boundary is either
closed (zero ux) or open (zero excess pore pressure). In reality the bulk modulus of
water is very high and so the compressibility of water can be neglected in comparison to
the compressibility of the soil skeleton.
In PLAXIS the bulk modulus of the pore uid is taken automatically according to (also see
Reference Manual):
Kw
n
=
3(
u
)
(1 2
u
)(1 + )
K
skeleton
(4.17)
Where
u
has a default value of 0.495. The value can be modied in the input program
on the basis of Skempton's B-parameter. For drained material and material just switched
on, the bulk modulus of the pore uid is neglected.
The equilibrium and continuity equations may be compressed into a block matrix
equation:
_
_
K L
L
T
S
_
_
_
_
dv
dt
dp
n
dt
_
_
=
_
_
0 0
0 H
_
_
_
_
v
p
n
_
_
+
_
_
df
n
dt
q
n
_
_
(4.18)
SCIENTIFIC MANUAL
A simple step-by-step integration procedure is used to solve this equation. Using the
symbol to denote nite increments, the integration gives:
_
_
K L
L
T
S
_
_
_
_
v
p
n
_
_
=
_
_
0 0
0 t H
_
_
_
_
v
0
p
n0
_
_
+
_
_
f
n
t q
n
_
_
(4.19)
where:
S
= t H + S q
n
= q
n0
+ q
n
(4.20)
and v
0
and p
n0
denote values at the beginning of a time step. The parameter is the
time integration coefcient. In general the integration coefcient can take values from 0
to 1. In PLAXIS the fully implicit scheme of integration is used with =1.
4.3 ELASTOPLASTIC CONSOLIDATION
In general, when a non-linear material model is used, iterations are needed to arrive at
the correct solution. Due to plasticity or stress-dependent stiffness behaviour the
equilibrium equations are not necessarily satised using the technique described above.
Therefore the equilibrium equation is inspected here. Instead of Eq. (4.9) the equilibrium
equation is written in sub-incremental form:
K v + L p
n
= r
n
(4.21)
where r
n
is the global residual force vector. The total displacement increment v is the
summation of sub-increments v from all iterations in the current step:
r
n
=
_
N
T
b dV +
_
N
T
t dS
_
B
T
dV (4.22)
with:
b = b
0
+b and: t = t
0
+ t (4.23)
In the rst iteration we consider =
0
, i.e. the stress at the beginning of the step.
Successive iterations are used on the current stresses that are computed from the
appropriate constitutive model.
4.4 CRITICAL TIME STEP
For most numerical integration procedures, accuracy increases when the time step is
reduced, but for consolidation there is a threshold value. Below a particular time
increment (critical time step) the accuracy rapidly decreases. Care should be taken with
time steps that are smaller than the advised minimum time step. The critical time step is
calculated as:
t
critical
=
H
2
c
v
(4.24)
where is the time integration coefcient which is equal to 1 for fully implicit integration
scheme, is a constant parameter which is determined for each types of element and H
is the height of the element used. c
v
is the consolidation coefcient and is calculated as:
c
v
=
k
w
1
K'
+ Q
(4.25)
where
w
is the unit weight of the pore uid, k is the coefcient of permeability, K' is the
drained bulk modulus of soil skeleton and Q represents the compressibility of the uid
which is dened as:
Q = n
_
S
K
w
S
p
w
_
(4.26)
where n is the porosity, S is the degree of saturation, p
w
is the suction pore pressure and
K
w
is the elastic bulk modulus of water. Therefore the critical time step can be derived as:
t
critical
=
H
2
w
k
_
1
K'
+ Q
_
(4.27)
For one dimensional consolidation (vertical ow) in fully saturated soil, the critical time
step can be simplied as:
t
critical
=
H
2
w
k
y
_
1
E
oed
+
n
K
w
_
(4.28)
in which E
oed
is the oedometer modulus:
E
oed
=
E(1 )
(1 2)(1 + )
(4.29)
is Poisson's ratio and E is the elastic Young's modulus.
For two dimensional elements as used in PLAXIS 2D, = 80 and = 40 for 15-node
triangle and 6-node triangle elements, respectively. Therefore, the critical time step for
fully saturated soils can be calculated by:
t
critical
=
H
2
w
80k
y
_
1
E
oed
+
n
K
w
_
(15 node triangles) (4.30)
t
critical
=
H
2
w
40k
y
_
1
E
oed
+
n
K
w
_
(6 node triangles) (4.31)
For three dimensional elements as used in PLAXIS 3D = 3. Therefore, the critical time
step for fully saturated soils can be calculated by:
t
critical
=
H
2
w
3k
_
1
E
oed
+
n
K
w
_
(4.32)
Fine meshes allow for smaller time steps than coarse meshes. For unstructured meshes
with different element sizes or when dealing with different soil layers and thus different
SCIENTIFIC MANUAL
values of k, E and , the above formula yields different values for the critical time step.
To be on the safe side, the time step should not be smaller than the maximum value of
the critical time steps of all individual elements. This overall critical time step is
automatically adopted as the First time step in a consolidation analysis. For an
introduction to the critical time step concept, the reader is referred to Vermeer & Verruijt
(1981). Detailed information for various types of nite elements is given by Song (1990).
ELEMENT FORMULATIONS
5 ELEMENT FORMULATIONS
In this chapter the interpolation functions of the nite elements used in the PLAXIS
program are described. Each element consists of a number of nodes. Each node has a
number of degrees of freedom that correspond to discrete values of the unknowns in the
boundary value problem to be solved. In the case of deformation theory the degrees of
freedom correspond to the displacement components, whereas in the case of
groundwater ow (PLAXIS 2D) the degrees-of-freedom are the groundwater heads. For
consolidation problems degrees-of-freedom are both displacement components and
(excess) pore pressures. In addition to the interpolation functions it is described which
type of numerical integration over elements is used in the program.
5.1 INTERPOLATION FUNCTIONS OF POINT ELEMENTS
Point elements are elements existing of only one single node. Hence, the displacement
eld of the element u itself is only dened by the displacement eld of this single node v:
u = v (5.1)
with u = (u
x
u
y
)
T
or v = (v
x
v
y
)
T
(PLAXIS 2D) and u = (u
x
u
y
u
z
)
T
and v = (v
x
v
y
v
z
)
T
(PLAXIS 3D).
5.1.1 STRUCTURAL ELEMENTS
Fixed-end anchors
In PLAXIS xed-end anchors are considered to be point elements. The contribution of
this element to the stiffness matrix can be derived from the traction the xed-end anchor
imposes on a point in the geometry due to the displacement of this point (see Eq. (2.13)).
As a xed-end anchor has only an axial stiffness and no bending stiffness, it is more
convenient to rotate the global displacement eld v to the displacement eld v
such that
the rst axis of the rotated coordinate system coincides with the direction of the xed-end
anchor:
v
= R
v (5.2)
where R
denotes the rotation matrix. As only axial displacements are relevant, the
element will only have one degree of freedom in the rotated coordinate system. The
traction in the rotated coordinate system t
can be derived as:

t
= D
s
u
(5.3)
where D
s
denotes the constitutive relationship of an anchor as dened in the Material
Models Manual. Converting the traction in the rotated coordinate system to the traction in
the global coordinate system t by using the rotation matrix again and substituting Eq.
(5.1) gives:
t = R
T
D
s
R
v (5.4)
SCIENTIFIC MANUAL
Substituting this equation in Eq. (2.13) gives the element stiffness matrix of the xed-end
anchor K
s
:
K
s
= R
T
D
s
R
(5.5)
In case of elastoplastic behaviour of the anchor the maximum tension force is bound by
F
max,tens
and the maximum compression force is bound by F
max,comp
.
5.2 INTERPOLATION FUNCTIONS AND NUMERICAL INTEGRATION OF LINE
ELEMENTS
Within an element existing of more than one node the displacement eld u = (u
x
u
y
)
T
(PLAXIS 2D) or u = (u
x
u
y
u
z
)
T
(PLAXIS 3D) is obtained from the discrete nodal values
in a vector v = (v
1
v
2
... v
n
)
T
using interpolation functions assembled in matrix N:
u = N v (5.6)
Hence, interpolation functions N are used to interpolate values inside an element based
on known values in the nodes. Interpolation functions are also denoted as shape
functions.
Let us rst consider a line element. Line elements are the basis for line loads, beams and
node-to-node anchors. The extension of this theory to areas and volumes is given in the
subsequent sections. When the local position, , of a point (usually a stress point or an
integration point) is known, one can write for a displacement component u:
u() =
n
i =1
N
i
()
i
(5.7)
where:
v
i
the nodal values,
N
i
() the value of the shape function of node i at position ,
u() the resulting value at position and
n the number of nodes per element.
5.2.1 INTERPOLATION FUNCTIONS OF LINE ELEMENTS
Interpolation functions or shape functions are derived in a local coordinate system. This
has several advantages like programming only one function per element type, a simple
application of numerical integration and allowing higher-order elements to have curved
edges.
2-node line elements
In Figure 5.1, an example of a 2-node line element is given. In contrast to a 3-node line
element or a 5-node line element in the PLAXIS 2D program, this element is not
compatible with an area element in the PLAXIS 2D or PLAXIS 3D program or a volume
element in the PLAXIS 3D program. The 2-node line elements are the basis for
node-to-node anchors. The shape functions N
i
have the property that the function value
is equal to unity at node i and zero at the other node. For 2-node line elements the nodes
are located at = 1 and = 1. The shape functions are given by:
N
1
=
1
/
2
(1 ) (5.8)
N
2
=
1
/
2
(1 + )
2-node line elements provide a rst-order (linear) interpolation of displacements.
x=-1 x=1
N
1
N
2
N
1 2
x
Figure 5.1 Shape functions for a 2-node line element
In Figure 5.2, an example of a 3-node line element is given, which is compatible with the
side of a 6-node triangle in the PLAXIS 2D or PLAXIS 3D program or a 10-node volume
element in the PLAXIS 3D program, since these elements also have three nodes on a
side. The shape functions N
i
have the property that the function value is equal to unity at
node i and zero at the other nodes. For 3-node line elements, where nodes 1, 2 and 3
are located at = -1, 0 and 1 respectively, the shape functions are given by:
N
1
=
1
/
2
(1 ) (5.9)
N
2
= (1 + )(1 )
N
3
=
1
/
2
(1 + )
x=-1 x=1
N
1
N
2
N
3
N
1 2 3
x
x=0
SCIENTIFIC MANUAL
3-node line elements provide a second-order (quadratic) interpolation of displacements.
These elements are the basis for line loads and beam elements.
In Figure 5.3, an example of a 5-node line element is given, which is compatible with the
side of a 15-node triangle in the PLAXIS 2D program, since these elements also have
ve nodes on a side. The shape functions N
i
have the property that the function value is
equal to unity at node i and zero at the other nodes. For 5-node line elements, where
nodes 1, 2, 3, 4 and 5 are located at = -1, -0.5, 0, 0.5 and 1 respectively, the shape
functions are given by:
N
1
= (1 )(1 2)(1 2)/6 (5.10)
N
2
= 4(1 )(1 2)(1 )/3
N
3
= (1 )(1 2)(1 2)(1 )
N
4
= 4(1 )(1 2)(1 )/3
N
5
= (1 2)(1 2)(1 )/6
5-node line elements provide a fourth-order (quartic) interpolation of displacements.
These elements are the basis for line loads and beam elements.
Structural line elements in the PLAXIS program, i.e. node-to-node anchors and beams
are based on the line elements as described in the previous sections. However, there are
some differences.
Node-to-node anchors
Node-to-node anchors are springs that are used to model ties between two points. A
node-to-node anchor consists of a 2-node element with both nodes shared with the
elementsthe node-to-node anchor is attached to. Therefore, the nodes have three d.o.f.s
in the global coordinate system. However, as a node-to-node anchor can only sustain
normal forces, only the displacement in the axial direction of the node-to-node anchor is
relevant. Therefore it is more convenient to rotate the global coordinate system to a
coordinate system in which the rst axis coincides with the direction of the anchor. This
rotated coordinate system is denoted as the x
, y
, z
coordinate system and is similar

to the (1, 2, 3) coordinate system used in the Material Models Manual. In this rotated
coordinate system, these elements have only one d.o.f. per node (a displacement in axial
direction).
The shape functions for these axial displacements are already given by Eq. (5.8). Using
index notation, the axial displacement can now be dened as:
u
x
= N
i
v
ix
(5.11)
where v
ix
denotes the nodal displacement in axial direction of node i . The nodal
displacements in the rotated coordinate system can be rotated to give the nodal
displacements in the global coordinate system:
v
i
= R
T
ix
(5.12)
where the nodal displacement vector in the global coordinate system is denoted by v
i
=
(v
ix
v
iy
)
T
in the PLAXIS 2D program and v
i
= (v
ix
v
iy
v
iz
)
T
in the PLAXIS 3D program
and R
denotes the rotation matrix. For further elaboration into the element stiffness
matrix see Sections 5.2.3 and 5.2.5.
Beam elements
The 3-node beam elements are used to describe semi-one-dimensional structural objects
with exural rigidity. Beam elements are slightly different from 3-node line elements in the
sense that they have six degrees of freedom per node instead of three in the global
coordinate system, i.e. three translational d.o.f.s (u
x
, u
y
, u
z
(3D only)) and three
rotational d.o.f.s (
x
,
y
,
z
). As the beam elements cannot sustain torsional moments,
the beam elements have only 5 d.o.f.s per node in the rotated coordinate system, i.e.
one axial displacement (u
x
);
two transverse displacements (u
y
and u
z
);
two rotations (
y
and
z
).
The rotated coordinate system is denoted as the (x
, y
, z
) coordinate system and is

similar to the (1, 2, 3) coordinate system used in the Material Models Manual. The beam
elements are numerically integrated over their cross section using 4 (2x2) point Gaussian
integration. In addition, the beam elements are numerically integrated over their length
using 4-point Gaussian integration according to Table 5.1. Beam elements have only one
local coordinate ().
SCIENTIFIC MANUAL
The element provides a quadratic interpolation (3-node element) of the axial
displacement (see Eq. (5.9)). Using index notation, the axial displacement can now be
dened as:
u
x
= N
i
v
ix
(5.13)
where v
ix
denotes the nodal displacement in axial direction of node i .
As Mindlin's theory has been adopted the shape functions for transverse displacements
may be the same as for the axial displacements (see Eq. (5.9) and Eq. (5.10)). Using
index notation, the transverse displacements can now be dened as:
u
w
= N
iw
v
iw
(5.14)
The local transverse displacements in any point is given by:
u
w
=
_
u
y
u
z
_
T
(5.15)
The matrix N
iw
for transverse displacements is dened as:
N
iw
=
_
_
N
i
() 0
0 N
i
()
_
_
(5.16)
The local nodal transverse displacements and rotations of node i are given by v
iw
:
v
iw
=
_
v
iy
v
iz
_
T
(5.17)
where v
iy
and v
iz
denote the nodal transverse displacements.
As the displacements and rotations are fully uncoupled according to Mindlin's theory, the
shape functions for the rotations may be different than the shape functions used for the
displacements. However, in PLAXIS the same functions are used. Using index notation,
the rotations can now be dened as:
w
= N
iw

iw
(5.18)
where the matrix N
iw
is dened by (5.16). The local rotations in any point is given by:
w
=
_
z
_
T
(5.19)
The local nodal rotations of node i are given by
iw
:
iw
=
_
iy

iz
_
T
(5.20)
where
iy
and
iz
denote the nodal rotations. For further elaboration into the element
stiffness matrix see Sections 5.2.3 and 5.2.5.
Plate elements
The 3-node or 5-node plate elements are used to describe semi-two-dimensional
structural objects with exural rigidity and a normal stiffness. Plate elements are slightly
different from 3-node or 5-node line elements in the sense that they have three degrees
of freedom per node instead of two in the global coordinate system, i.e. two translational
d.o.f.s (u
x
, u
y
) and one rotational d.o.f.s (
z
). The plate elements also have 3 d.o.f.s per
node in the rotated coordinate system, i.e.
one axial displacement (u
x
);
one transverse displacement (u
y
);
one rotation (
z
).
The rotated coordinate system is denoted as the (x
, y
, z
) coordinate system and is

similar to the (1, 2, 3) coordinate system used in the Material Models Manual. The plate
elements are numerically integrated over their height using 2 point Gaussian integration.
In addition, the plate elements are numerically integrated over their length using 2-point
Gaussian integration in case of 3-node beam elements and 4-point Gaussian integration
in case of 5-node beam elements according to Table 5.1.
The element provides a quadratic interpolation (3-node element) or a quartic interpolation
(5-node element) of the axial displacement (see Eq. (5.9)). Using index notation, the
axial displacement can now be dened as:
u
x
= N
i
v
ix
(5.21)
where v
ix
denotes the nodal displacement in axial direction of node i .
As Mindlin's theory has been adopted the shape functions for transverse displacements
may be the same as for the axial displacements (see Eq. (5.9) and Eq. (5.10)). Using
index notation, the transverse displacement u
y
can now be dened as:
u
y
= N
i
v
iy
(5.22)
where v
iy
denotes the node displacement perpendicular to the plate axis.
As the displacements and rotations are fully uncoupled according to Mindlin's theory, the
shape functions for the rotations may be different than the shape functions used for the
displacements. However, in PLAXIS the same functions are used. Using index notation,
the rotation
z
in the PLAXIS 2D program can now be dened as:
z
= N
i

iz
(5.23)
where
iz
denotes the nodal rotation. For further elaboration into the element stiffness
matrix see Sections 5.2.3 and 5.2.5.
5.2.3 DERIVATIVES OF INTERPOLATION FUNCTIONS
To compute the element stiffness matrix rst the derivatives of the interpolation functions
should be derived.
As node-to-node anchors can only sustain axial forces, only the axial strains are of
interest:
SCIENTIFIC MANUAL
= du
/ dx
. Using the chain rule for differentiation gives:
=
du
dx
=
du
d
d
dx
(5.24)
where (using index notation)
du
d
=
dN
i
d
v
i
(5.25)
and
dx
d
=
dN
i
d
x
i
(5.26)
The parameter x
i
denotes the coordinate of the nodes in the rotated coordinate system.
In case of 2-node line elements Eq. (5.26) can be simplied to:
dx
d
=
L
2
(5.27)
where L denotes the length of the element in the global coordinate system. Inserting Eqs.
(5.25), (5.27) and (5.21) into Eq. (5.24) will give:
= B
i
v
ix
(5.28)
where the rotated strain interpolation function B
i
is given by:
B
i
=
2
L
dN
i
d
(5.29)
Rotating the local nodal displacements back to the global coordinate system gives:
B
i
=
2
L
dN
i
d
R
(5.30)
Note that this strain interpolation function is still a function of the local coordinate as the
shape functions N
i
are a function of .
Beam elements
In case of axial displacements in the rotated coordinate system, the strain interpolation
matrix for beams can be derived from Eqs. (5.24) till (5.26). As node 2 of a 3-node beam
element is located in the middle of the element by default, Eq. (5.26) can be simplied to
Eq. (5.27). So, the strain interpolation matrix in the global coordinate system for the
longitudinal displacements of beams is given by:
B
ia
=
2
L
dN
i
d
R
(5.31)
To derive the shear forces in a Mindlin beam, a shear strain interpolation matrix is needed
to dene the stiffness matrix. In contrast to the Bernoulli beam theory, the Mindlin beam
theory does not neglect the transverse shear deformations and thus the rotation () of a
beam cannot be calculated simply as a derivative of the transverse displacement:
_
_
12
13
_
_
=
_
_
du
y
dx

z
du
z
dx

y
_
_
= B
iw
v
iw
N
iw

iw
(5.32)
where
B
iw
=
_
_
dN
i
dx
0
0
dN
i
dx
_
(5.33)
and
iw
is dened by Eq. (5.20) . Using the chain rule for differentiation (Eq. (5.24)) and
the assumption of Eq. (5.27), Eq. (5.37) can be simplied to:
B
iw
=
2
L
_
_
dN
i
d
0
0
dN
i
d
_
_
(5.34)
Using Eq. (5.12) to rotate local nodal transverse displacements and rotations to global
nodal displacements and rotations and inserting this equation in Eq. (5.41) gives:
B
iw
=
2
L
_
_
dN
i
d
0
0
dN
i
d
_
_
R
(5.35)
shape functions N
i
are a function of .
In case of bending moments, a curvature interpolation matrix is needed to dene the
stiffness matrix. The curvature interpolation function describes the kinematic relationship
between curvatures and displacements:
=
_
_
3
_
_
=
_
_
d
y
dx
z
dx
_
= B
iw

iw
(5.36)
Plate elements
In case of axial displacements in the rotated coordinate system, the strain interpolation
matrix for beams can be derived from Eqs. (5.24) till (5.26). As node 2 of a 2-node beam
element is located in the middle of the element by default, Eq. (5.26) can be simplied to
Eq. (5.27). In case of 5-node beam elements (2D only), the nodes will also be equally
distributed along the length of the beam by default, simplifying Eq. (5.26) to Eq. (5.27).
So, the strain interpolation matrix in the global coordinate system for the longitudinal
displacements of beams is given by:
B
i
=
2
L
dN
i
d
R
(5.37)
In case of bending moments, a curvature interpolation matrix is needed to dene the
SCIENTIFIC MANUAL
stiffness matrix. The curvature interpolation function describes the kinematic relationship
between curvatures and displacements:
=
_
_
3
_
_
=
_
d
2
u
z
dx
2
d
2
u
y
dx
2
_
_
= B
i
v
i
(5.38)
where
B
i
=
_
_
0
d
2
N
iu
dx
2
d
2
N
i
dx
2
0
d
2
N
iu
dx
2
0 0
d
2
N
i
dx
2
_
_
(5.39)
and v
i
is dened by Eq. (5.20) . Using the chain rule for differentiation twice gives:
d
2
N
dx
2
=
d
d
d
dx
dN
d
d
dx
=
d
2
N
d
2
_
d
dx
_
2
(5.40)
As Eq. (5.27) still holds, Eq. (5.37) can be simplied to:
B
i
=
4
L
2
_
_
0
d
2
N
iu
d
2
d
2
N
i
d
2
0
d
2
N
iu
d
2
0 0
d
2
N
i
d
2
_
_
(5.41)
Using Eq. (5.12) to rotate local nodal transverse displacements and rotations to global
nodal displacements and rotations and inserting this equation in Eq. (5.41) gives:
B
i
=
4
L
2
_
_
0
d
2
N
iu
d
2
d
2
N
i
d
2
0
d
2
N
iu
d
2
0 0
d
2
N
i
d
2
_
_
R
(5.42)
shape functions N
i
are a function of .
5.2.4 NUMERICAL INTEGRATION OF LINE ELEMENTS
In order to obtain the integral over a certain line, the integral is numerically estimated as:
1
=1
F() d
k
i =1
F(
i
) w
i
(5.43)
where F(
i
) is the value of the function F at position
i
and w
i
the weight factor for point i .
A total of k sampling points is used. A method that is commonly used for numerical
integration is Gaussian integration, where the positions
i
and weights w
i
are chosen in a
special way to obtain high accuracy. For Gaussian-integration a polynomial function of
degree 2k 1 can be integrated exactly by using k points. The position and weight
factors of the integration are given in Table 5.1. Note that the sum of the weight factors is
equal to 2, which is equal to the length of the line in local coordinates. The types of
integration used for the 2-node line elements and the 3-node line elements are shaded.
Table 5.1 Gaussian integration
i
w
i
max. polyn. degree
1 point 0.000000... 2 1
2 points 0.577350...(1/
3) 1 3
3 points 0.774596...(
0.6) 0.55555... (5/9) 5

0.000000... 0.88888... (8/9)
4 points 0.861136... 0.347854... 7
0.339981... 0.652145...
5 points 0.906179... 0.236926... 9
0.538469... 0.478628...
0.000000... 0.568888...
5.2.5 CALCULATION OF ELEMENT STIFFNESS MATRIX
The element stiffness matrix of a node-to-node anchor is calculated by the integral (see
also Eq. 2.25):
K
e
=
_
B
T
D
a
B dV (5.44)
where D
a
denotes the elastic constitutive relationship of the node-to-node anchor as
discussed in the Material Models Manual. As the strain interpolation matrix is still a
function of the local coordinate it will make more sense to solve the integral of Eq.
(5.44) in the local coordinate system. Applying the change of variables theorem to
change the integral to the local coordinate system gives:
K
e
=
_
B
T
D
a
B
dx
d
dV
(5.45)
In case of a 2-node line element, dx
/ d = L/2. This integral is estimated by numerical

integration as described in Section 5.2.4. In fact, the element stiffness matrix is
composed of submatrices K
e
ij
where i and j are the local nodes. The process of
calculating the element stiffness matrix can be formulated as:
K
e
ij
=
k
B
T
i
D
a
B
j
dx
d
w
k
(5.46)
In case of elastoplastic behaviour of the anchor the maximum tension force is bound by
F
max,tens
and the maximum compression force is bound by F
max,comp
(PLAXIS 3D).
SCIENTIFIC MANUAL
Beam elements
In case of axial forces, the element stiffness matrix is given by Eqs. (5.44) till (5.46). In
case of shear forces the stiffness matrix of a beam is calculated by the integral:
K
e
=
_
B
T
D
b
B
dV (5.47)
where D
b
denotes the constitutive relationship of a beam in bending (see Material
Models Manual):
D
s
=
_
_
kGA 0
0 kGA
_
_
(5.48)
In case of bending moments the stiffness matrix of a beam is calculated by the integral:
K
e
=
_
B
T
D
b
B
dV (5.49)
where D
b
denotes the constitutive relationship of a beam in bending (see Material
Models Manual):
D
b
=
_
_
EI
2
EI
23
EI
23
EI
3
_
_
(5.50)
To solve the integral of Eq. (5.45) in the local coordinate system, the change of variables
theorem should be applied:
K
e
=
_
B
T
D
b
B
dx
d
dV
(5.51)
In PLAXIS 3-node beam elements, dx
/d = L/2. This integral is estimated by numerical

integration as described in Section 5.2.4. In fact, the element stiffness matrix is
composed of submatrices K
e
ij
where i and j are the local nodes. The process of
calculating the element stiffness matrix can be formulated as:
K
e
ij
=
k
B
T
i
D
b
B
j
dx
d
w
k
(5.52)
5.3 INTERPOLATION FUNCTIONS AND NUMERICAL INTEGRATION OF AREA
ELEMENTS
Areas and surfaces in PLAXIS 2D are formed by 6-node or 15-node triangular elements.
For the areas and surfaces in PLAXIS 3D only the 6-node triangular elements are
available. The interpolation functions and the type of integration of these elements are
described in the following subsections.
5.3.1 INTERPOLATION FUNCTIONS OF AREA ELEMENTS
6-node triangular elements
The 6-node triangles are one of the options for the basis for the soil elements in PLAXIS
2D and the basis for plate elements and distributed loads in PLAXIS 3D.
For triangular elements there are two local coordinates ( and ). In addition we use an
auxiliary coordinate = 1 . 6-node triangular elements provide a second-order
interpolation of displacements. The shape functions N
i
have the property that the
function value is equal to unity at node i and zero at the other nodes. The shape
functions can be written as (see the local node numbering as shown in Figure 5.4):
N
1
= (2 1) (5.53)
N
2
= (2 1)
N
3
= (2 1)
N
4
= 4
N
5
= 4
N
6
= 4
z=1.0
1 4 2
6
3
5
h=0.0
h=0.5
h=1.0
x=0.0 x=0.5 x=1.0
z=0.5
z=0.0
1
2 3
Figure 5.4 Local numbering and positioning of nodes () and integration points (x) of a 6-node
triangular element
The 15-node triangles are one of the options for the basis for soil elements in PLAXIS
2D. For triangular elements there are two local coordinates and . In addition we use
an auxiliary coordinate = 1 . For 15-node triangles the shape functions can be
written as (see the local node numbering as shown in Figure 5.5):
SCIENTIFIC MANUAL
N
1
= (4 1)(4 2)(4 3)/6 (5.54)
N
2
= (4 1)(4 2)(4 3)/6
N
3
= (4 1)(4 2)(4 3)/6
N
4
= 4(4 1)(4 1)
N
5
= 4(4 1)(4 1)
N
6
= 4(4 1)(4 1)
N
7
= (4 1)(4 2) 8/3
N
8
= (4 1)(4 2) 8/3
N
9
= (4 1)(4 2) 8/3
N
10
= (4 1)(4 2) 8/3
N
11
= (4 1)(4 2) 8/3
N
12
= (4 1)(4 2) 8/3
N
13
= 32(4 1)
N
14
= 32(4 1)
N
15
= 32(4 1)
Figure 5.5 Local numbering and positioning of nodes of a 15-node triangular element
Structural area elements in the PLAXIS program, i.e. plates and interfaces are based on
the area elements as described in the previous sections. However, there are some
differences.
Plate elements
Plate elements are different from the 6-node triangles in the sense that they have six
degrees of freedom per node instead of three, i.e. three translational d.o.f.s (u
x
, u
y
, u
z
)
and three rotational d.o.f.s (
x
,
y
,
z
). These elements are directly integrated over their
cross section and numerically integrated using 3 point Gaussian integration. The position
of the integration points is indicated in Figure 5.6 and corresponds with Table 5.2.
5
h=1.
0
2
6
1
2
4
x=1.
0
x=0.
5
h=0.
0
x=0.
0
3
h=0.
5
3
1
Figure 5.6 Local numbering and positioning of nodes () and integration points (x) of a 6-node plate
triangle.
Interface elements
Interface elements are different from the 6-node triangles in the sense that they have
pairs of nodes instead of single nodes. Just like the plate elements interface elements
are numerically integrated using 3 point Gauss integration. The position and numbering
of the nodes and integration points is indicated in Figure 5.7 (see also Table 5.2). The
distance between the two nodes of a node pair is zero. Each node has three translational
degrees of freedom (u
x
, u
y
, u
z
). As a result, interface elements allow for differential
displacements between the node pairs (slipping and gapping). For more information see
Goodman, Taylor & Brekke (1968) and Van Langen (1991).
6
h=-1.0
h=0.0
x=1.0
x=-1.0
1
2
4
5
6
3
1
2
3
4
5
7
8
7
8
9
10
11
12
13
14
15
16
9
x=0.0
h=1.0
interface element
SCIENTIFIC MANUAL
5.3.3 NUMERICAL INTEGRATION OF AREA ELEMENTS
As for line elements, one can formulate the numerical integration over areas as:
_ _
F(, )d d
k
i =1
F(
i
,
i
) w
i
(5.55)
The PLAXIS program uses Gaussian integration within the area elements.
For 6-node triangular elements the integration is based on 3 sample points (Figure 5.4).
The position and weight factors of the integration points are given in Table 5.2. Note that
the sum of the weight factors is equal to 1.
Table 5.2 3-point Gaussian integration for 6-node triangular elements
Point
i

i
w
i
1 1/6 2/3 1/3
2 1/6 1/6 1/3
3 2/3 1/6 1/3
For 15-node elements 12 sample points are used. The position and weight factors of the
integration points are given in Table 5.3 Note that, in contrast to the line elements, the
sum of the weight factors is equal to 1.
Table 5.3 12-point integration for 15-node elements
Point
i

i

i
w
i
1,2 & 3 0.063089... 0.063089... 0.873821... 0.050845...
4 .. 6 0.249286... 0.249286... 0.501426... 0.116786...
7..12 0.310352... 0.053145... 0.636502... 0.082851...
5.4 INTERPOLATION FUNCTIONS AND NUMERICAL INTEGRATION OF VOLUME
ELEMENTS
The soil volume in the PLAXIS program is modelled by means of 10-node tetrahedral
elements. The interpolation functions, their derivatives and the numerical integration of
this type of element are described in the following subsections.
5.4.1 10-NODE TETRAHEDRAL ELEMENT
The 10-node tetrahedral elements are created in the 3D mesh procedure. This type of
element provides a second-order interpolation of displacements. For tetrahedral
elements there are three local coordinates (, and ). The shape functions N
i
have the
property that the function value is equal to unity at node i and zero at the other nodes.
The shape functions of these 10-node volume elements can be written as (see the local
node numbering as shown in Figure 5.8):
N
1
= (1 )(1 2 2 2) (5.56)
N
2
= (2 1)
N
3
= (2 1)
N
4
= (2 1)
N
5
= 4(1 )
N
6
= 4
N
7
= 4(1 )
N
8
= 4(1 )
N
9
= 4
N
10
= 4
1
2
3
4
1
2
3
4
5
6
7
8
9
10
wedge element
The soil elements have three degrees of freedom per node: u
x
, u
y
and u
z
. The shape
function matrix N
i
can now be dened as:
N
i
=
_
_
N
i
0 0
0 N
i
0
0 0 N
i
_
_
(5.57)
and the nodal displacement vector v is dened as:
v =
_
v
ix
v
iy
v
iz
_
T
(5.58)
Table 5.4 4-point Gaussian integration for 10-node tetrahedral element
Point
i

i

i
w
i
1 1/4-1/20
5 1/4-1/20
5 1/4-1/20
5 1/24
2 1/4-1/20
5 1/4-1/20
5 1/4+3/20
5 1/24
2 1/4+3/20
5 1/4-1/20
5 1/4-1/20
5 1/24
2 1/4-1/20
5 1/4+3/20
5 1/4-1/20
5 1/24
SCIENTIFIC MANUAL
5.4.2 DERIVATIVES OF INTERPOLATION FUNCTIONS
In order to calculate Cartesian strain components from displacements, such as
formulated in Eq. (2.10), derivatives need to be taken with respect to the global system of
axes (x,y,z).
= B
i
v
i
(5.59)
where
B
i
=
_
_
N
i
x
0 0
0
N
i
y
0
0 0
N
i
z
N
i
y
N
i
x
0
0
N
i
z
N
i
y
N
i
z
0
N
i
x
_
_
(5.60)
Within the elements, derivatives are calculated with respect to the local coordinate system
(, , ). The relationship between local and global derivatives involves the Jacobian J:
_
_
N
i
N
i
N
i
_
=
_
_
x
_
_
_
N
i
x
N
i
y
N
i
z
_
_
= J
_
_
N
i
x
N
i
y
N
i
z
_
_
(5.61)
Or inversely:
_
_
N
i
x
N
i
y
N
i
z
_
_
= J
1
_
_
N
i
N
i
N
i
_
(5.62)
The local derivatives N
i
/, etc., can easily be derived from the element shape
functions, since the shape functions are formulated in local coordinates. The components
of the Jacobian are obtained from the differences in nodal coordinates. The inverse
Jacobian J
1
is obtained by numerically inverting J.
The Cartesian strain components can now be calculated by summation of all nodal
contributions:
_
xx
yy
zz
xy
yz
zx
_
_
=
i
B
i
_
_
v
ix
v
iy
v
iz
_
_
(5.63)
where v
i
are the displacement components in node i .
5.4.3 NUMERICAL INTEGRATION OVER VOLUMES
As for lines and areas, one can formulate the numerical integration over volumes as:
_ _ _
F(, , ) d d d
k
i =1
F(
i
,
i
,
i
) w
i
(5.64)
The PLAXIS program uses Gaussian integration within tetrahedral elements. The
integration is based on 4 sample points. The position and weight factors of the integration
points are given in Table 5.4. See Figure 5.8 for the local numbering of integration
points.Note that the sum of the weight factors is equal to 1/6.
5.4.4 CALCULATION OF ELEMENT STIFFNESS MATRIX
The element stiffness matrix, K
e
, is calculated by the integral (see also Eq. 2.25):
K
e
=
_
B
T
D
e
B dV (5.65)
As it is more convenient to calculate the element stiffness matrix in the local coordinate
system, the change of variables theorem should be applied to change the integral to the
local coordinate system:
K
e
=
_
B
T
D
e
B jdV
(5.66)
where j denotes the determinant of the Jacobian.
The integral is estimated by numerical integration as described in Section 5.4.3. In fact,
the element stiffness matrix is composed of submatrices K
e
ij
where i and j are the local
nodes. The process of calculating the element stiffness matrix can be formulated as:
K
e
ij
=
k
B
T
i
D
e
B
j
j w
k
(5.67)
In case of plastic deformations of the soil only the elastic part of the soil stiffness will be
used in the stiffness matrix whereas the plasticity is solved for iteratively.
SCIENTIFIC MANUAL
5.5 SPECIAL ELEMENTS
As special elements in PLAXIS embedded piles and ground anchors will be considered.
Embedded piles and ground anchors are based on the embedded beam approach
(Sadek & Shahrour, 2004). Embedded piles consist of beam elements to model the pile
itself and embedded interface elements to model the interaction between the soil and the
pile at the pile skin as well as at the pile foot.
5.5.1 EMBEDDED PILES
The embedded pile has been developed to describe the interaction of a pile with its
surrounding soil. The interaction at the pile skin and at the pile foot is described by
means of embedded interface elements. The pile is considered as a beam which can
cross a 10-node tetrahedral element at any place with any arbitrary orientation (Figure
5.9). Due to the existence of the beam element three extra nodes are introduced inside
the 10-node tetrahedral element.
x
y
z
x'
y'
z'
Figure 5.9 Illustration of the embedded beam element denoted by the solid line. The blank grey
circles denote the virtual nodes of the soil element.
Finite element discretisation
The nite element discretisation of the pile is similar to beam elements, as discussed in
Section 5.2.2. The nite element discretisation of the interaction with the soil will be
discussed in this chapter. Using the standard notation the displacement of the soil u
s
and
the displacement of the pile u
p
can be discretised as:
u
s
= N
s
v
s
u
p
= N
p
v
p
(5.68)
where N
s
and N
p
are the matrices containing the interpolation functions of the soil
elements and the beam elements respectively (see Section 5.4.1StructElem) and v
s
and
v
p
are the nodal displacement vectors of the soil elements and the beam elements
respectively.
Interaction at the skin
First, the interaction between the soil and the pile at the skin of the pile will be described
by embedded interface elements. These interface elements are based on 3-node line
elements with pairs of nodes instead of single nodes. One node of each pair belongs to
the beam element, whereas the other (virtual) node is a point in the 15-node wedge
element (Figure 5.9). The interaction can be represented by a skin traction t
skin
. The
development of the skin traction can be regarded as an incremental process:
t
skin
= t
skin
0
+ t
skin
(5.69)
In this equation t
skin
0
denotes the initial skin traction and t
skin
denotes the skin traction
increment. The constitutive relation between the skin traction increment and the relative
displacement increment is formulated as:
t
skin
= T
skin
u
rel
(5.70)
In this relation T
skin
denotes the material stiffness of the embedded interface element in
the global coordinate system. The increment in the relative displacement vector u
rel
is
dened as the difference in the increment of the soil displacement and the increment of
the pile displacement:
u
rel
= u
p
u
s
= N
p
v
p
N
s
v
s
= N
rel
v
rel
(5.71)
where
N
rel
=
_
N
p
N
s
_
(5.72)
and
v
rel
=
_
_
v
p
v
s
_
_
(5.73)
Looking to the virtual work equation (Eq. 2.6) the traction increment at the pile skin can
be discretised as:
_
u
T
rel
t
skin
dS = v
T
rel
_
N
T
rel
T
skin
N
rel
dS v
rel
= K
skin
v
rel
(5.74)
In this formulation the element stiffness matrix K
skin
represents the interaction between
SCIENTIFIC MANUAL
Table 5.5 Newton-Cotes integration
i
w
i
2 nodes 1 1
3 nodes 1, 0 1/3, 4/3
4 nodes 1, 1/3 1/4, 3/4
5 nodes 1, 1/2, 0 7/45, 32/45, 12/45
the pile and the soil at the skin and consists of four parts:
K
skin
=
_
_
K
skin
pp
K
skin
ps
K
skin
sp
K
skin
ss
_
_
(5.75)
The matrix K
skin
pp
represents the contribution of the pile nodes to the interaction, the matrix
K
skin
ss
represents the contribution of the soil nodes to the interaction and the matrices
K
skin
ps
and K
skin
sp
are the mixed terms:
K
skin
pp
=
_
N
T
p
T
skin
N
p
dS (5.76a)
K
skin
ps
=
_
N
T
p
T
skin
N
s
dS (5.76b)
K
skin
sp
=
_
N
T
s
T
skin
N
p
dS (5.76c)
K
skin
ss
=
_
N
T
s
T
skin
N
s
dS (5.76d)
These integrals are numerically estimated using Eq. (5.43):
1
=1
F() d
k
i =1
F(
i
) w
i
(5.77)
However, instead of Gauss integration Newton-Cotes integration is used. In this method
the points
i
are chosen at the position of the nodes, see Table 5.5. The type of
integration used for the embedded interface elements is shaded. In case of plastic
deformations of the embedded interface elements only the elastic part of the interface
stiffness will be used in the stiffness matrix whereas the plasticity is solved for iteratively.
Interaction at the foot
The interaction of the embedded pile at the foot is described by an embedded interface
element. This interaction can be represented by a foot force vector f
foot
. Like the
development of the skin traction the development of the foot force is an incremental
process:
f
foot
= f
foot
0
+ f
foot
(5.78)
In this equation f
foot
0
denotes the initial force and f
foot
denotes the force increment at
the foot. The constitutive relation between the force increment at the foot and the relative
displacement increment can be described by:
f
foot
= D
foot
u
rel
(5.79)
The symbol D
foot
denotes the material stiffness matrix of the spring element at the foot of
the embedded pile in the global coordinate system. As for the skin interaction the force
increment at the foot of the pile can be discretised by means of the virtual work ((2.6)), as:
u
T
rel
f
foot
= v
T
rel
N
T
rel
D
foot
N
rel
v
rel
= K
foot
v
rel
(5.80)
The stiffness matrix at the foot is represented by K
foot
and consists of four parts:
K
foot
=
_
_
K
foot
pp
K
foot
ps
K
foot
sp
K
foot
ss
_
_
(5.81)
In this equation K
foot
pp
represents the contribution of the pile nodes, K
foot
ss
represents the
contribution from the soil nodes and K
foot
ps
and K
foot
sp
are the mixed terms:
K
foot
pp
= N
T
p
D
foot
N
p
(5.82a)
K
foot
ps
= N
T
p
D
foot
N
s
(5.82b)
K
foot
sp
= N
T
s
D
foot
N
p
(5.82c)
K
foot
ss
= N
T
s
D
foot
N
s
(5.82d)
In case of plastic deformations of the embedded interface element only the elastic part of
the interface stiffness will be used in the stiffness matrix whereas the plasticity is solved
for iteratively.
SCIENTIFIC MANUAL
THEORY OF SENSITIVITY ANALYSIS & PARAMETER VARIATION
6 THEORY OF SENSITIVITY ANALYSIS & PARAMETER VARIATION
This chapter presents some of the theoretical backgrounds of the sensitivity analysis and
parameter variation module. The chapter does not give a full theoretical description of the
methods of interval analysis. For a more detailed description you are referred to the
literature e.g. Moore (1966), Moore (1979), Alefeld & Herzberger (1983), Goos &
Hartmanis (1985), Neumaier (1990), Kearfott & Kreinovich (1996) and Jaulin, Kieffer,
Didrit & Walter (2001).
6.1 SENSITIVITY ANALYSIS
A method for quantifying sensitivity in the sense discussed in this Section and in the
Section Sensitivity analysis and Parameter variation of the Reference Manual is the
sensitivity ratio
SR
(EPA, 1999). The ratio is dened as the percentage change in output
divided by the percentage change in input for a specic input variable, as shown in Eq.
(6.1):
SR
=
_
f (x
L,R
) f (x)
f (x)
_
100%
_
x
L,R
x
x
_
100%
(6.1)
f (x) is the reference value of the output variable using reference values of the input
variables and f (x
L,R
) is the value of the output variable after changing the value of one
input variable, whereas x and x
L,R
in the denominator are the respective input variables.
For the sensitivity ratio, an input variable, x
L,R
, is varied individually across the entire
range requiring 2N+1 calculations, N being the number of varied parameters considered.
An extension to the sensitivity ratio and a more robust method of evaluating important
sources of uncertainty is the sensitivity score,
SS
, which is the sensitivity ratio
SR
weighted by a normalized measure of the variability in an input variable, as given by Eq.
(6.2):
SS
=
SR
(max x
R
minx
R
)
x
(6.2)
By normalising the measure of variability (i.e. the range divided by the reference value),
this method effectively weights the ratios in a manner that is independent of the units of
the input variable.
Performing a sensitivity analysis as described above, the sensitivity score of each
variable,
SS,i
, on respective results A,B,. . . ,Z, (e.g. displacements, forces, factor of
safety, etc.) at each construction step (calculation phase) can be quantied as shown in
Table 6.1 (Sensitivity matrix). The total sensitivity score of each variable,
SS,i
, results
from summation of all sensitivity scores for each respective result at each construction
step.
It should be noted, that the results of the sensitivity analysis appeared to be strongly
dependent on the respective results used and thus results relevant for the problem
investigated have to be chosen based on sound engineering judgment. Finally, the total
SCIENTIFIC MANUAL
Table 6.1 Sensitivity matrix
Respective results
A B . . . Z
Input variables %
x
1

SS,A1

SS,B1
. . .
SS,Z1

SS,1
(x
1
)
x
2

SS,A2

SS,B2
. . .
SS,Z2

SS,2
(x
2
)
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
x
N

SS,AN

SS,BN
. . .
SS,ZN

SS,N
(x
N
)
Total relative sensitivity
0 0.05 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.10
x
1
x
2
x
3
x
N
a(x
N
)
.
.
.
Threshold value
Figure 6.1 Total relative sensitivity in diagram form
relative sensitivity (x
i
) for each input variable is then given by Peschl (2004) as
(x
i
) =

SS,i
N
i =1
SS,i
(6.3)
Figure 6.1 shows the total relative sensitivity of each parameter (x
i
) in diagram form in
order to illustrate the 'major' variables.
6.1.1 DEFINITION OF THRESHOLD VALUE
The benet of such an analysis is twofold: Firstly, the results are the basis for a
decision-making in order to reduce the computational effort involved when utilizing a
parameter variation, i.e. at this end a decision has to be made (denition of a threshold
value), which variables (parameters) should be used in further calculations and which one
can be treated as deterministic values as their inuence on the result is not signicant
(Figure 6.1). Secondly, sensitivity analysis can be applied for example to design further
investigation programs to receive additional information about parameters with high
THEORY OF SENSITIVITY ANALYSIS & PARAMETER VARIATION
sensitivity in order to reduce the uncertainty of the system response, i.e. the result may
act as a basis for the design of an investigation program (laboratory and/or in situ tests).
6.2 THEORY OF PARAMETER VARIATION
The parameter variation used in the PLAXIS parameter variation module refer to classical
set theory where uncertainty is represented in terms of closed intervals (bounds)
assuming that the true value of the relevant unknown quantity is captured (X
[x
min
, x
max
]). In general, an interval is dened as a pair of elements of some (at least
partially) ordered sets (Kulpa, 1997). An interval is identied with the set of elements
lying between the interval endpoints (including the endpoints) and using the set of real
numbers as the underlying ordered set (real intervals). Hence, all intervals are closed
sets. Thus, a (proper) real interval x is a subset of the set of real numbers R such that:
x =[x
min
, x
max
] = {x' R|x
min
x' x
max
} (6.4)
where x
min
x
max
and x
min
= sup(x), x
max
= inf(x) are endpoints of the interval x. In
general, x' denotes any element of the interval x. If the true values of the parameters of
interest are bounded by intervals, this will always ensure a reliable estimate
(worst/best-case analysis) based on the information available.
For the parameter variation, the input parameters x
i
are treated as interval numbers
(x
i ,min
/ x
i ,max
) whose ranges contain the uncertainties in those parameters. The resulting
computations, carried out entirely in interval form, would then literally carry the
uncertainties associated with the data through the analysis. Likewise, the nal outcome
in interval form would contain all possible solutions due to the variations in input.
x
X
Figure 6.2 Total relative sensitivity in diagram form
6.2.1 BOUNDS ON THE SYSTEM RESPONSE
Let X be a non-empty set containing all the possible values of a parameter x and y =
f (x), f : X -> Y be a real-valued function of x. The interval of the system response
through f , can be calculated by means of a function used in set theory. In fact, if x
belongs to set A, then the range of y is
f (A) = {f (x) : x A} (6.5)
Here, the set A is called the focal element. The basic step is the calculation of the system
response through function f which represents here a numerical model. In general, this
involves two global optimisation problems which can be solved by applying twice the
techniques of global optimisation (e.g. Ratschek & Rokne (1988), Tuy (1998)) to nd the
lower and upper bound, y
min
and y
max
, respectively, of the system response:
f (A) =[y
min
, y
max
] (6.6)
SCIENTIFIC MANUAL
where
y
min
= min
xA
f (x) (6.7)
y
max
= max
xA
f (x) (6.8)
In the absence of any further information a so-called calculation matrix, can be
constructed by assuming independence between parameters x (Vermeer & de Borst,
1984). A is the Cartesian product of N nite intervals x
1
... x
N
(calculation matrix),
therefore it is a N-dimensional box (interval vector) whose 2
N
vertices are indicated as
v
k
, k = 1,. . . ,2
N
, N being the number of parameters considered. The lower and upper
bounds y
min
and y
max
of the system response can be obtained as follows:
y
min
= min
k
_
f (
k
) : k = 1, ...2
N
_
(6.9)
y
max
= max
k
_
f (
k
) : k = 1, ...2
N
_
(6.10)
If f (A) has no extreme value in the interior of A, except at the vertices, Eqs. (6.9) and
(6.10) are correct in which case the methods of interval analysis are applicable, e.g. the
Vertex method (Dong & Shah, 1987). If, on the other hand, f (A) has one or more extreme
values in the interior of A, then Eqs. (6.9) and (6.10) can be taken as approximations to
the true global minimum and maximum value.
DYNAMICS
7 DYNAMICS
This chapter highlights some of the theoretical backgrounds of the dynamic module. The
chapter does not give a full theoretical description of the dynamic modelling. For a more
detailed description you are referred to the literature Zienkiewicz & Taylor (1991), Hughes
(1987), Das (1995), Kramer (1996), Haigh, Ghosh & Madabhushi (2005), Basabe & Sen
(2007), Kelly, Ward, Treitel & Alford (1976) and Pradhan, Baidya & Ghosh (2004).
7.1 BASIC EQUATION DYNAMIC BEHAVIOUR
The basic equation for the time-dependent movement of a volume under the inuence of
a (dynamic) load is:
M u + C u + K u = F (7.1)
Here, M is the mass matrix, u is the displacement vector, C is the damping matrix, K is
the stiffness matrix and F is the load vector. The displacement, u, the velocity, u, and the
acceleration, u, can vary with time. The last two terms in the Eq. (7.1) (K u = F)
correspond to the static deformation.
Here the theory is described on the bases of linear elasticity. However, in principle, all
models in PLAXIS can be used for dynamic analysis. The soil behaviour can be both
drained and undrained. In the latter case, the bulk stiffness of the groundwater is added
to the stiffness matrix K, as is the case for the static calculation.
In the matrix M, the mass of the materials (soil + water + any constructions) is taken into
account. In PLAXIS the mass matrix is implemented as a lumped matrix.
The matrix C represents the material damping of the materials. In reality, material
damping is caused by friction or by irreversible deformations (plasticity or viscosity). With
more viscosity or more plasticity, more vibration energy can be dissipated. If elasticity is
assumed, damping can still be taken into account using the matrix C. To determine the
damping matrix, extra parameters are required, which are difcult to determine from tests.
In nite element formulations, C is often formulated as a function of the mass and
stiffness matrices (Rayleigh damping) (Zienkiewicz & Taylor, 1991; Hughes, 1987) as:
C =
R
M +
R
K (7.2)
This limits the determination of the damping matrix to the Rayleigh coefcients
R
and
R
. Here, when the contribution of M is dominant (for example,
R
= 10
2
and
R
= 10
3
) more of the low frequency vibrations are damped, and when the contribution
of K is dominant (for example,
R
= 10
3
and
R
= 10
2
) more of the high-frequency
vibrations are damped. In the standard setting of PLAXIS,
R
=
R
= 0.
7.2 TIME INTEGRATION
In the numerical implementation of dynamics, the formulation of the time integration
constitutes an important factor for the stability and accuracy of the calculation process.
Explicit and implicit integration are the two commonly used time integration schemes.
SCIENTIFIC MANUAL
The advantage of explicit integration is that it is relatively simple to formulate. However,
the disadvantage is that the calculation process is not as robust and it imposes serious
limitations on the time step. The implicit method is more complicated, but it produces a
more reliable (more stable) calculation process and usually a more accurate solution
(Sluys, 1992).
The implicit time integration scheme of Newmark is a frequently used method. With this
method, the displacement and the velocity at the point in time t + t are expressed
respectively as:
u
t +t
= u
t
+ u
t
t +
__
1
2

_
u
t
+ u
t +t
_
t
2
(7.3a)
u
t +t
= u
t
+
_
(1 ) u
t
+ u
t +t
_
t (7.3b)
In the above equations, t is the time step. The coefcients and determine the
accuracy of the numerical time integration. They are not equal to the and for the
Rayleigh damping. In order to obtain a stable solution, the following condition must apply:
0.5,
1
4
_
1
2
+
_
2
(7.4)
The user is advised to use the standard setting of PLAXIS, in which the Newmark
scheme with = 0.25 and = 0.50 (average acceleration method) is utilised. Other
combinations are also possible, however.
Implementation of the integration scheme in PLAXIS
Eq. (7.3) can also be written as:
u
t +t
= c
0
u c
2
u
t
c
3
u
t
u
t +t
= u
t
+ c
6
u
t
+ c
7
u
t +t
u
t +t
= u
t
+ u (7.5a)
or as:
u
t +t
= c
0
u c
2
u
t
c
3
u
t
u
t +t
= c
1
u c
4
u
t
c
5
u
t
u
t +t
= u
t
+ u (7.5b)
where the coefcients c
0
.. c
7
can be expressed in the time step and in the integration
parameters and . In this way, the displacement, the velocity and the acceleration at
the end of the time step are expressed by those at the start of the time step and the
displacement increment. With implicit time integration, Eq. (7.1) must be obtained at the
end of a time step (t + t ):
M u
t +t
+ C u
t +t
+ K u
t +t
= F
t +t
(7.6)
This equation, combined with the expressions (5.5) for the displacements, velocities and
DYNAMICS
accelerations at the end of the time step, produce:
_
c
0
M + c
1
C + K
_
u = F
t +t
ext
+ M
_
c
2
u
t
+ c
3
u
t
_
+ C
_
c
4
u
t
+ c
5
u
t
_
F
t
int
(7.7)
In this form, the system of equations for a dynamic analysis reasonably matches that of a
static analysis. The difference is that the 'stiffness matrix' contains extra terms for mass
and damping and that the right-hand term contains extra terms specifying the velocity and
acceleration at the start of the time step (time t ).
7.2.1 CRITICAL TIME STEP
Despite the advantages of the implicit integration, the time step used in the calculation is
subject to some limitations. If the time step is too large, the solution will display
substantial deviations and the calculated response will be unreliable. The critical time
step depends on the maximum frequency and the coarseness (neness) of the nite
element mesh. In general, the following expression can be used for a single element
(Pal, 1998):
t
critical
=
l
e
E(1 )
(1 + )(1 2)
1 +
B
4
4S
2

B
2
2S
_
1 +
1 2
4
2S
B
2
_
(7.8)
In the above equation, the term B and S respectively denote the largest dimension of the
nite element and the surface area of the nite element. The rst root term represents the
velocity of a (compression) wave, Eq. (3.12) in the Material Models Manual. The factor
depends on the element type. For a 6-node element = 1/(6
c
6
), with
c
6
5.1282 10
2
, and for a 15-node element = 1/(19
c
15
), with
c
15
4.9479 10
3
(Zienkiewicz & Taylor, 1991) . The other determining factors are the
Poisson's ratio, , the average length of an element l
e
(see Section 3.7.2 of the
Reference Manual for a description of the average element length). In a nite element
model, the critical time step is equal to the minimum value of t according to Eq. (7.8)
over all elements. This time step is chosen to ensure that a wave during a single step
does not move a distance larger than the minimum dimension of an element.
7.2.2 DYNAMIC INTEGRATION COEFFICIENTS
The Newmark implicit time history integration scheme has been used in Plaxis code to
solve the equilibrium equation (dynamics) of the system. This method requires the
calculation of integration constants or coefcients. The time step, t is selected on the
basis of the sampling time of the input signal and the number of dynamic sub-steps
necessary for the analysis. Once t is xed, the dynamic integration coefcients (ca0,
ca1, ca2, ca3, ca4, ca5, ca6 and ca7) required for the numerical evaluation of the
effective or pseudo-stiffness matrix and subsequent computation of the displacements,
velocities and accelerations at the end of each time step may be calculated as follows.
ca0 =
1
t
2
(7.9)
SCIENTIFIC MANUAL
ca1 =

t
(7.10)
ca2 =
1
t
(7.11)
ca3 =
1
2
1 (7.12)
ca4 =

1 (7.13)
ca5 =
t
2
(

2
) (7.14)
ca6 = t (1 ) (7.15)
ca7 = t (7.16)
where, and are the Newmark parameters that can be determined to obtain the
integration accuracy and stability.
7.3 MODEL BOUNDARIES
In the case of a static deformation analysis, prescribed boundary displacements are
introduced at the boundaries of a nite element model. The boundaries can be
completely free or xities can be applied in one or two directions. Particularly the vertical
boundaries of a mesh are often non-physical (synthetic) boundaries that have been
chosen so that they do not actually inuence the deformation behaviour of the
construction to be modelled. In other words: the boundaries are 'far away'. For dynamic
calculations, the boundaries should in principle be much further away than those for static
calculations, because, otherwise, stress waves will be reected leading to distortions in
the computed results. However, locating the boundaries far away requires many extra
elements and therefore a lot of extra memory and calculating time.
To counteract reections, special measures are needed at the boundaries - in this
context, we speak of 'silent or absorbent boundaries'. Various methods are used to
create these boundaries, which include:
Use of half-innite elements (boundary elements).
Adaptation of the material properties of elements at the boundary (low stiffness,
high viscosity).
Use of viscous boundaries (dampers).
All of these methods have their advantages and disadvantages and are problem
dependent. For the implementation of dynamic effects in PLAXIS the absorbent
boundaries are created with the last method (use of viscous boundaries). The way this
method works is described below.
DYNAMICS
7.4 ABSORBENT BOUNDARIES
In opting for absorbent boundaries, a damper is used instead of applying xities in a
certain direction. The damper ensures that an increase in stress on the boundary is
absorbed without rebounding. The boundary then starts to move.
The use of absorbent boundaries in PLAXIS is based on the method described by
(Lysmer & Kuhlmeyer, 1969).
The normal and shear stress components absorbed by a damper in x-direction are:
n
= C
1
V
p
u
x
(7.17a)
= C
2
V
s
u
y
(7.17b)
Here, is the density of the materials. V
p
and V
s
are the pressure wave velocity and the
shear wave velocity, respectively. V
p
and V
s
are determined using Eqs. (3.12) and (3.13)
in the Material Models Manual. C
1
and C
2
are relaxation coefcients that have been
introduced in order to improve the effect of the absorption. When pressure waves only
strike the boundary perpendicular, relaxation is redundant (C
1
= C
2
= 1).
In the presence of shear waves, the damping effect of the absorbent boundaries is not
sufcient without relaxation. The effect can be improved by adapting the second
coefcient in particular. The experience gained until now shows that the use of C
1
= 1
and C
2
= 0.25 results in a reasonable absorption of waves at the boundary. However, it
is not possible to state that shear waves are fully absorbed so that in the presence of
shear waves a (limited) boundary effect is noticeable. Additional research is therefore
necessary on this point, but the method described will be sufcient for practical
applications.
For an inclined boundary, an adjusted formulation based on Eq. (7.17) is used that takes
the angle of the boundary into account.
7.5 INITIAL STRESSES AND STRESS INCREMENTS
By removing the boundary xities during the transition from a static analysis to a dynamic
analysis, the boundary stresses also cease. This means that the boundary will start to
move as a result of initial stresses. To prevent this, the original boundary stress will be
converted to an initial (virtual) boundary velocity. When calculating the stress, the initial
boundary velocity must be subtracted from the real velocity:
n
= c
1
V
p
u
n
+
0
n
= c
1
V
p
_
u
n
u
0
n
_
(7.18)
This initial velocity is calculated at the start of the dynamic analysis and is therefore
based purely on the original boundary stress (preceding calculation or initial stress state).
At present, situations can arise where a new load is applied at a certain location on the
model and is continuously present from that moment onward. Such a load should result
in an increase in the average boundary stress. If it involves an absorbent boundary, the
average incremental stress cannot be absorbed. Instead, the boundary will start to move.
In most situations, however, there are also xed (non-absorbent) boundaries elsewhere in
SCIENTIFIC MANUAL
the mesh for example, on the bottom. The bottom of the mesh, at the location of the
transition from a non-rigid to a hard (stiff) soil layer, is often chosen for this. Here,
reections also occur in reality, so that such a bottom boundary in a dynamic analysis can
simply be provided with standard (xed) peripheral conditions. In the above-mentioned
case of an increased load on the model, that increase will eventually have to be absorbed
by the (xed) bottom boundary if necessary, after redistributing the stresses.
7.6 AMPLIFICATION OF RESPONSES
Let there be an acceleration time history (of size N) dened by a set of accelerations
(may be other responses in form of velocities or displacements), [ a
1
, a
2
, a
3
, ..., a
N
]
recorded at time steps [ t
1
, t
2
, t
3
, ..., t
N
] with uniform sampling rate. On performing
Fourier transform on the given series, the time signature can be converted to frequency
dependent Fourier spectra like [ A
1
+iB
1
, A
2
+iB
2
, A
3
+iB
3
, ..., A
M
+iB
M
] against the
frequency set of [ f
1
, f
2
, f
3
, ..., f
M
], where M is dened as follows:
M =
N
2
: N even integers
N + 1
2
: N odd integers
_
_
_
(7.19)
The power spectra of the response may subsequently be obtained as a set of [
_
A
2
1
+ B
2
1
,
_
A
2
2
+ B
2
2
, ..., ] against the frequency set of [ f
1
, f
2
, f
3
,...,f
M
]. The maximum
value of this spectra may be found out from the set of the power spectra of the response
and each value in the power spectra may then be divided by this maximum value to
obtain non-dimensional power spectra which is actually shown in PLAXIS.
7.7 PSEUDO-SPECTRAL ACCELERATION RESPONSE SPECTRUM FOR A
SINGLE-DEGREE-OF-FREEDOM SYSTEM
Let a structure be idealized as a single-degree-of-freedom (SDOF) system. This SDOF
structure may be physically modelled as a combination of mass-spring-dashpot system
attached to the ground surface. The equation for this SDOF system may be written as
m x + c x + kx = m x
gs
(7.20)
where, m is the mass of the structure, x is the lateral displacement of the structure, c
represents the viscous damping coefcient of the structure k is the stiffness of the
structure and x
gs
is the horizontal acceleration time history at the ground surface at the
base of the structure. The expressions for the damping coefcient and the structural
stiffness are given by
c = 2m
s
n
(7.21)
and
k = m
2
n
(7.22)
respectively.
s
and
n
denote respectively the damping ratio and natural frequency of
DYNAMICS
the structure. The natural frequency is the inverse of the natural time period. The
pseudo-acceleration, a is dened by the following equation.
a = |x
max
|
2
n
(7.23)
where,|x
max
|is the absolute peak response of a structure during the whole period of
dynamic loading . The acceleration time history obtained at the soil-structure interface
(i.e. at soil surface as obtained from PLAXIS) is used as an input excitation to the
structure. The above equation may now be solved in time domain for a particular time
period of a SDOF structure to obtain the displacements of the structure at every time
point and subsequently the absolute maximum displacement response (i.e. |x
max
|) of the
structure can be found out from this displacement time history (and hence its
pseudo-spectral acceleration from Eq. (7.23)) for the whole duration of the time history.
Thus, this equation may be repeatedly solved for different natural time periods of the
structure to plot its pseudo-acceleration response versus time period giving rise to PSA
plot. This would enable the users to perform seismic soil-structure interaction analysis or
seismic analysis or structures.
The stiffness ratio, s is the ratio of structural stiffness to soil stiffness dened by the
following equation (page 298 of Kramer, 1996)
s =

n
L
V
s
(7.24)
in which V
s
is the shear wave velocity of the supporting soil medium and L is the height of
structure above the foundation.
7.8 NATURAL FREQUENCY OF VIBRATION OF A SOIL DEPOSIT
The natural frequency of vibration of a soil deposit may be calculated from the following
equation (page 261 of Kramer, 1996).
f
n
=
V
s
4H
(1 + 2n) (7.25)
where, f
n
is the n
th
natural frequency of the soil deposit in Hz and n = 0,1,2,....
For n = 0, the rst natural frequency, f
1
(i.e. the fundamental frequency) of vibration of the
soil deposit of thickness H is given by
f
1
=
V
s
4H
(7.26)
SCIENTIFIC MANUAL
REFERENCES
8 REFERENCES
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Applied Mathematics, Philadelphia.
[20] Neumaier, A. (1990). Interval Methods for Systems of Equations. Cambridge
SCIENTIFIC MANUAL
University Press, Cambridge.
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APPENDIX A - CALCULATION PROCESS
APPENDIX A - CALCULATION PROCESS
Finite element calculation process based on the elastic stiffness matrix
Read input data
Form stiffness matrix K =
_
B
T
D
e
B dV
New step i i + 1
Form new load vector f
i
ex
= f
=i 1
ex
+f
ex
Form reaction vector f
in
=
_
B
T
i 1
c
dV
Calculate unbalance f = f
i
ex
f
in
Reset displacement increment v = 0
New iteration j j + 1
Solve displacements v = K
1
f
Update displacement increments v
j
= v
j 1
+v
Calculate strain increments = Bv ; = Bv
Calculate stresses: Elastic
tr
=
i 1
c
+ D
e
Equilibrium
eq
=
i ,j 1
c
+ D
e
Constitutive
i ,j
c
=
tr
f
_
tr
__
d
D
e g
Form reaction vector f

in
=
_
B
T
i ,j
c
dV
Calculate unbalance f = f
i
ex
f
in
Calculate error e =
|f |
| f
i
ex
|
Accuracy check if e > e
tolerated
new iteration
Update displacements v
i
= v
i 1
+v
Write output data (results)
If not nished new step
Finish
SCIENTIFIC MANUAL
APPENDIX B - SYMBOLS
APPENDIX B - SYMBOLS
b : Vector containing the body force
B : Strain interpolation matrix
D
e
: Elastic material stiffness matrix representing Hooke's law
f : Yield function
g : Plastic potential function
K : Stiffness matrix
L : Differential operator
M : Material stiffness matrix
N : Matrix with shape functions
p : (Excess) pore pressure
R : Permeability matrix
t : Time
t : Boundary tractions
u : Vector with displacement components
v : Vector with nodal displacements
V : Volume
w : Weight factor
: Volumetric weight
: Vector with strain components
: Plastic multiplier
, , : Local coordinates
: Vector with stress components
: Integration constant (explicit: =0; implicit: =1)
SCIENTIFIC MANUAL

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can be derived as:

coordinate system and is similar

) coordinate system and is

) coordinate system and is

. Using the chain rule for differentiation gives:

0.6) 0.55555... (5/9) 5

/ d = L/2. This integral is estimated by numerical

/d = L/2. This integral is estimated by numerical

Form reaction vector f

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