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CHAPTER 19


ELEMENTS BIRTH AND DEATH

The civil engineering structures and their foundations exhibit an evolution
of stresses and strains during successive construction phases, which can be
significant in the design process. Surface or underground excavations alter
the natural stress state inside the soil or rock mass. Sometimes, due to
environmental conditions, structural parts subjected to engineering analyses
suffer significant changing of status (as melting, solidification or crushing)
and consequently, stiffness changes and stress and strain redistribution
occur.

All these phenomena can be modeled using the finite element analysis. The
process is one of activating or de-activating sets of appropriate selected
elements, belonging to those parts of the model subjected to steep stiffness
changes. The procedure is also called elements birth and death.

While conducting an analysis where the elements birth and death procedure
is used, the entire model should be defined in the preprocessing phase,
irrespective of the analysis step where a specific region or part of the model
is changing its status. Both active and inactive elements should be defined,
assigning them all the necessary attributes (material properties, real
constants, etc) as for active elements. Usually, such an analysis has more
computing (or solution) steps. When the models database is loaded into the
solver, all elements are defined as active. According to the analysis stages,
parts of the model can be declared inactive starting with the first step and/or
can regain their active status later.

It is important to notice that killed or de-activated elements are not actually
removed from the model (killing elements is not similar with deleting
elements). The computer code de-activates elements by multiplying their
stiffness matrices with very small (default or prescribed) factors. The mass,
damping or specific heat matrices are set to zero for de-activated elements
and they are not any longer summated over the model. Also, forces applied
on killed elements are set to zero, as well as their strains.

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In the same way, activating (or reactivating) elements (making them alive)
does not mean to add new elements to the model. The computer code
restores their initially defined stiffness, mass, loads, etc. To make an
element alive, it should be previously killed in a formerly solution step.
When finite elements are activated, they have no record of previous load
history, except stresses or strains prescribed as real constants of the
elements. Another important feature is that activated elements begin their
contribution to the model behavior from the current deformed shape,
achieved in the actual load step.

It is obvious that the characteristic matrices of the selected elements suffer
very steep changes between subsequent load steps. Although a model has no
non-linear defined characteristics (materials have a linear-elastic behavior,
large displacements are not expected, etc), the elements birth and death
process can not be solved in a single-iteration solution. It is always
necessary to apply a non-linear solution technique, mainly the Newton-
Raphson algorithm. Even for a linear behavior of materials and constant
loads, a few number of iterations are required in order to achieve
convergence (equilibrium) when the elements status changes.

In some circumstances the elements activation or de-activation can be done
automatically, during subsequent solution phases, depending on some
calculated parameters (as stress, strain, temperature, etc).

A finite element analysis using the elements birth and death procedure is
presented in the following example. Suppose that a long, rectangular shape
excavation should be performed into a soil mass with similar properties
along its longitudinal axis (see figure 19.1). Due to excavation depth and
soil layers properties, braced vertical supports are necessary (as moulded
walls, sheet-piles, etc). The analysis can provide answers regarding the
stress and strain state developed in the soil mass, as well as the appropriate
design loads and expected displacements for the retaining structure, during
the excavation phases.

In order to maintain the example as simple as possible, the following
hypotheses are accepted:

- the requirements for a 2D analysis are fulfilled (plane strain);

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- all materials involved exhibit a linear-elastic behavior, due to small
strains;
- no surface loads and no struts pre-stressing are applied;
- the propping position avoids gaps (tensions) between the soil mass and
the retaining structure;
- the relative sliding between the soil mass and the retaining structure is
neglected*.

1. Preprocessing

The finite element model is built on 2D solid elements and 2D elastic beam
elements, as it is shown in figure 19.1. Pin-joint connections between sheet-
piles and propping elements are defined by using local coincident nodes and
coupling the corresponding displacement degrees of freedom (see chapter
24). The finite element mesh is refined at least according to the different soil
layer elevations in order to assign the appropriate material properties. Node
elevations are also related to the excavation phases presumed for the
analysis. The boundary conditions, applied far enough from the excavation,
should have a minimal influence on the results (i.e. horizontal displacement
constrains at lateral nodes and vertical displacement constrains at bottom
nodes). For the 2D solid elements, the equivalent Young modulus, Poissons
ratio and density should be assigned. For the beam elements only the Young
modulus and the corresponding real constants defining the members cross
sections are necessary**.

2. The solution

After defining the model, an initial solution step is needed to create the
natural state of stress inside the soil mass. This state is characterized by
principal vertical and horizontal stresses
v
and
h
(no shear stress is
present), due to the above soil column weight

v h
K
0
= (19.1)

where K
0
is the steady state earth pressure coefficient, and the relationship
between the last one and the Poisons ratio ,


* The last 2 conditions can be replaced by using contact elements
** The real constants are equivalent values for a unit distance measured
along the excavation axis (normal to the cross sections plane)

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186

=
1
0
K (19.2)

In the initial solution step no excavation is performed and the retaining
structure does not exist. Consequently, all beam elements are de-activated.
Applying gravity (vertical acceleration) a uniform horizontal distribution of
both stresses
v
and
h
will be obtained. The vertical distribution is linear
over the total height for an isotropic model or over each layer for a stratified
one.

Figure 19.1. 2D finite elements model for braced excavation
1
2
3
4
5
Soil layer 1
Soil layer 2
Soil layer 3
E
x
c
a
v
a
t
i
o
n

d
e
p
t
h

H
1

H
2

Bracing system
Finite Element Model
1 5 subsequent excavation stages

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187
However, a false result is obtained regarding displacements: a general,
initial, vertical settlement. In order to avoid subsequent influences on
displacement results, this error will be eliminated during postprocessing, as
it will be shown later.

Before performing the first excavation step, the sheet-pile (or moulded wall)
elements should be reactivated. This is equivalent to real moulded walls
pouring (or sheet-pile thrusting). By reactivating, these beam elements are
stress free while their initial length corresponds to the settled condition of
the soil mass. Although no significant stress transfer will be noticed, a
second solution in this new configuration is recommended.

From now on, the excavation process will be modeled by de-activating
(killing) horizontal rows of solid elements, one in each subsequent solution
step. When reaching the propping levels, concomitantly with solid elements
de-activation, the beam elements (initially killed) are reactivated. The
activated strut elements are stress free and their initial length corresponds to
the already deformed shape of the model.

The solution steps continue until the final excavation level is reached. Step
by step, the stresses are partially redistributed in the soil mass and partially
transferred to the retaining structure. Finally, all 2D solid elements
corresponding to the excavation cross section are de-activated, while all
beam elements which are modeling the retaining structure are alive and
stressed (due to iterative stress redistribution).

Note that no external loads are applied except gravity. The stress, stain and
displacement fields in each excavation step are only due to initial stress
redistribution. For this reason, in this particular example the term solution
step was preferred instead of load step, although there is no practical
difference.

3. Postprocessing

In the postprocessing phase of the analysis the results of each solution step
are available. However, to use these results for practical design purpose they
need a careful interpretation, regarding either the specific component of the
model or the parameter of interest. Considering for example stresses and
displacements the interesting parameters out of all available results, they can

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188
be indexed according to the solution step they belong to:
i
,
i
, where i is
the solution step number.

Concerning the soil mass stress field, the values for each solution step
i
are
the correct and absolute ones because they start from the soils natural
state, prescribed in the first solution step. For each subsequent step a
relaxation and redistribution trend is noticed, due to soil layers removal
(excavation process) and the retaining structures flexibility. In some
regions, as those located at propping levels or around the sheet-pile
embedment, the stress values are increasing. By contrary, the displacement
field
i
will be always affected by a constant vertical component,
corresponding to the initial prescribed settlement. In order to review the
real, absolute displacements, the initial vertical component should be
removed.

Usually, the procedure is very simple in postprocessing, by assigning to
each solution step a load case number. Afterwards, algebraic operations
between load cases are possible (addition, subtraction, multiplication with a
load case factor, etc*). For this particular example, in order to withdraw the
real displacements, the solution of the first step (load case LC
1
) will be
subtracted from the subsequent load cases LC
3
, LC
4
, etc (the second load
case is not relevant). In terms of displacements, the results of these load case
operations will represent real displacements, although, from the solution
point of view, they are relative results. It is important to notice that load
case operations are affecting all the available results (displacements,
stresses, strains, etc). Hence, the results in terms of stresses of such load
case subtractions will lead to relative values, referring to the initial solution
step. As physical interpretation, these results are only stress changes relative
to the soils natural state and not absolute values of stress.

Concerning the retaining structure, because the corresponding elements are
inactive in the first solution step, their stress and displacement field will
start from the solution step in which each element is activated (for sheet-pile
elements the second solution step, wile for strut elements, the solution step
for which each propping level is reached). Consequently, the deformed
shape and stress results for beam elements are the correct, absolute ones, to
be used in the design process. Because for each excavation level the
* The reader should not forget the linear-elastic hypothesis.

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189
parameters of interest are known, a loading and structural response history
can be drawn out in order to express the stresses envelope.

The finite element analysis is useful not only for dimensioning the retaining
structure components (cross sections, embedment depth, etc) but also for
improving the bracing system (propping levels, number of struts, etc). Once
the finite element model is built, only simple changes are necessary for any
new alternative solution.

Note: when reviewing the results, for each load step, the current de-
activated elements should be removed (unselected) from postprocessing
operations, like graphical plots or results lists. The reason is that element or
nodal results over deactivated elements have no physical meaning, being
inadequate for representation. They are altering the correct values due to
mediation over their boundaries, especially for nodes which are common for
active and inactive elements.

Another example of using the elements birth and death process is that of
modeling the erection phases of a civil engineering structure. In order to
preserve the models simplicity, suppose that the example refers to a long
earth-fill dam or embankment, represented in figure 19.2. The parameters of
interest are the stress and displacement fields developed inside the common
cross section of the structure and foundation layers, due to subsequent
construction phases. The previous hypotheses regarding the plane strain
state, small deformation and linear-elastic behavior of the materials are
assumed as being available. Thus, the analysis can be performed using a 2D
model, shown in figure 19.2.

The necessary data for building the model are the embankment cross section
geometry and materials distribution (zoning), the satisfactory extents of the
foundation soil mass on both horizontal and vertical directions, elevation of
various foundation layers as well as all material properties involved in the
model. During the preprocessing phase the entire model should be created,
as for a single-step analysis. The boundary conditions, applied far enough
from the structure-foundation interaction region, should have a minimal
influence on the results (i.e. horizontal displacement constrains on lateral
nodes and vertical displacement constrains on bottom nodes). For all 2D
solid elements, the equivalent Young modulus and Poissons ratio should be
assigned. If the interesting state of stress and displacement is only due to the

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190
weight of the embankment subsequent layers, the corresponding density
should be declared only for these elements. Thus, the stress state in the
foundation soil mass will represent relative stresses to the normal, unloaded
state of stress in the ground, while the stress state in the embankment cross
section will represent the real stresses due to materials own weight. The
displacements results (settlements) are in this case real values.

In the solution phase of the analysis, the number of solution steps is chosen
according to the number of prescribed execution stages. The only load is
due to applied gravity (own weight of active embankment elements). In the
first step of the analysis, all elements corresponding to the embankment
cross section are selected and de-activated. The result of this solution step
will assign neither stresses nor displacements in the foundation mass.
Starting with the second solution step, the elements corresponding to
embankment first layer are activated. One by one, each execution stage is
modeled by activating another layer (horizontal row of elements) and
performing a new solution. Finally, after activating the top layer and
performing the last solution, all elements are active and the state of stress
over the model corresponds to end of execution stage.

Two comments are necessary. Firstly, because of the linear-elastic behavior
hypothesis, the final result will be the same with the one achieved by a
single step analysis with all elements in active state (without using the
elements birth and death procedure). Hence, the main advantage is to
achieve intermediate results and to asses the evolution of interesting
parameters during the execution stages. By contrary, if a nonlinear material
behavior is expected (and consequently, such material properties are
assigned), the results will be significantly different when modeling the
execution stages. The developing of plastic regions depends on the load step
magnitude and on stress re-distribution possibility over the current (active)
elements.

Secondly, the final crest level will be less then the design value, due to
foundation and embankment settlements. Because in the real construction
stages each layer is applied up to a prescribed level whatever the previous
settlements are, a correction of the embankments geometry is necessary. The
problem can be solved in two steps: starting with the design geometry, the
total settlement is calculated; afterwards, the embankment cross section is
updated by increasing each layers height with the corresponding settlement.

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Figure 19.2. 2D finite elements model for embankment erection

In the posprocessing phase of the analysis, the results can be withdrawn for
each solution step. As in the previous example, the results should be plotted
or listed only for the active elements of the actual construction stage. All
inactive elements of the current solution step should be ignored
(unselected). For any location, graphs of stress, strain or displacement
evolution over solution steps can be drawn.

More detailed explanations regarding the modeling procedures and the
results withdrawal for both braced excavation and earth-fill dam examples
are given in the exercise tutorials.

Total
elevation
1
2
3
H
2
1 3 - subsequent earth fill layers
Foundation layer 1
Foundation layer 2
Finite Element Model
H
1