1243

Characteristics of wall deflections and ground

surface settlements in Shanghai
Zhong W. Wang, Charles W.W. Ng, and Guo B. Liu

Abstract: The characteristics of wall deflections and surface ground settlements at six deep multi-strutted excavations
in Shanghai soft soils were studied and compared with those of similar case histories reported worldwide, particularly
in Taipei and Singapore. The measured wall deflections at the six metro stations of the Pearl II Circle Line show a
typical bulging profile (or deep-seated shape) at the end of the excavation. The ratio between the measured maximum
wall deflection and the depth of the excavation (hm /H) in Shanghai was <0.007, which was similar to the ratio mea-
sured in Taipei, but it was substantially smaller than the Peck bounding limit of 0.01. At each station, the measured
maximum displacement was <0.45% of the final excavation depth. Because of the large aspect ratios of the under-
ground excavations, no significant three-dimensional effects or corner effects were observed. The measured maximum
settlements of the six metro excavations fell within zone I of the Peck classical normalized settlement-distance chart.
These small measured settlements were consistent with the small measured wall deflections. The observed relatively
small maximum wall deflections can likely be attributed to the use of prestressed struts, the constant adjustment of the
stresses to about 0.7 times the total vertical stress during the excavation, and the short horizontal span of the excava-
tion.
Key words: multi-strutted excavations, soft clay, Shanghai, metro stations, horizontal deflection, settlement.
Rsum : On a tudi les caractristiques de dflexions des murs et de tassements du terrain sur le site de six excava-
tions multitanonnes dans les sols mous de Shanghai et on les a compares avec des histoires de cas travers le
monde, et particulirement celles de Taipei et de Singapour. Les dflexions des murs mesures aux six stations de m-
tro du Pearl II Circle Line montrent un profil protubrant typique (ou un sige profond) la fin de lexcavation. Le
rapport entre la dflexion maximum mesure du mur et la profondeur de lexcavation (hm /H) Shanghai tait infrieur
0,007, qui tait semblable au rapport mesur Taipei, mais il tait substantiellement plus petit que la frontire limite
de 0,01 de Peck. chaque station, le dplacement maximum mesur tait infrieur 0,45 % de la profondeur finale
de lexcavation. cause des grands rapports de forme des excavations souterraines, on na observ aucun effet tridi-
mensionnel significatif ou effet de coin. Les tassements maximum mesurs dans les six excavations de mtro sont tom-
bs sous la zone I de la charte classique normalise tassement-distance de Peck. Ces faibles tassements mesurs taient
consistants avec les faibles dflexions du mur mesures. Les dflexions maximum relativement faibles des murs obser-
ves taient attribuables vraisemblablement lutilisation dtanons prcontraints dans lesquels les contraintes ont t
constamment ajustes environ 0,7 fois la contrainte verticale totale au cours de lexcavation, et la courte porte ho-
rizontale de lexcavation.

Mots cls : excavation multitanonne, argile molle, Shanghai, stations de mtro, dflexion horizontale, tassement.
[Traduit par la Rdaction] Wang et al. 1254

Introduction to reduce environmental impacts due to the construction of

Shanghai is the largest city in China and the countrys ma-
jor financial and commercial center. To meet the increasing
demands of its rapid demographic and economic growth and
Received 5 January 2004. Accepted 13 April 2005. Published
on the NRC Research Press Web site at http://cgj.nrc.ca on
14 September 2005.
Z.W. Wang. Department of Geotechnical Engineering,
Nanjing University of Technology, Nanjing, P.R. China.
C.W.W. Ng.1 Department of Civil Engineering, Hong Kong
University of Science and Technology, Clear Water Bay,
Kowloon, Hong Kong.
G. B. Liu. Department of Geotechnical Engineering, Tongji
University, Shanghai, P.R. China.
1
Corresponding author (e-mail: cecwwng@ust.hk).
transportation networks, Shanghai has developed extensive
underground metro stations in the last 10 years. Many of
these metro stations were constructed very close to existing
buildings and services. To avoid damage to these sensitive
buildings and nearby services, three different protective
grades (Liu and Hou 1997) have been adopted for excava-
tions in Shanghai (Table 1); which grade is required depends
on the distance of the foundation from the excavation, the
potential for damage, and its consequences.
Field monitoring has proved to be cost-effective for veri-
fying design assumptions and providing immediate feedback
to designers. Many invaluable case histories associated with
multi-strutted excavations have been reported (Peck 1969;
Mana and Clough 1981; Clough and ORourke 1990; Finno
et al. 1989; Wallace et al. 1992; Ou et al. 1993; Whittle et al.
1993; Hsieh and Ou 1998; Ng 1998, 1999; Long 2001; Liu

Can. Geotech. J. 42: 12431254 (2005) doi: 10.1139/T05-056 2005 NRC Canada
1244
Table 1. Control criteria for protecting the environment (modified from Liu and Hou 1997).
Protection Maximum allowable settlement and maximum
grade deflection
1 Maximum ground surface settlement 0.1%He;
maximum wall deflection 0.14%He; FOS 2.2
2 Maximum ground surface settlement 0.2%He;
maximum wall deflection 0.30%He; FOS 2.0
3 Maximum ground surface settlement 0.5%He;
maximum wall deflection 0.70%He; FOS 1.5
Note: He, final excavation depth, is usually 10 m for metro excavations in Shanghai; FOS, factor of safety against base heave.
Fig. 1. Soil profile and geotechnical parameters.
et al. 2005). The measured performance reported in these
cases is strongly governed by local geological and
geotechnical conditions, construction methods, retaining sys-
tems, and quality of work. In this paper, the performance of
six multi-strutted deep excavations for underground metro
stations of the Pearl II Circle Line in Shanghai is described.
The characteristics of ground surface settlements and lateral
wall deflections in Shanghai soft soils are identified and
compared with those of the relevant case histories.
Geological and geotechnical conditions at
Shanghai
Shanghai located where the Yangtze River empties into
the East China Sea. The top layers of soil in Shanghai with
any engineering significance were deposited during the Qua-
ternary period. Figure 1 shows a typical soil profile in
Shanghai and the geotechnical properties of the soil. It
should be noted that the compressibility modulus (E0.10.2)
was determined from oedometer tests of the soil at stresses
ranging from 100 to 200 kPa, and the undrained shear
strength (cu) profile was obtained from in situ vane shear
tests. The ground is underlain by relatively soft to medium-
soft sedimentary marine deposits, which generally consist of
uniform bedding planes. The top layer is a thin, artificial fill,
whereas the second soil layer is a brownish yellow, medium-
Can. Geotech. J. Vol. 42, 2005
Environmental conditions
Within 10 m from the excavation, there are metro lines and
important services, such as gas mains and water drains
Within He from the excavation, there are metro lines and
important services, such as gas mains and water drains;
He 10 m
Within He from the excavation, there are no metro lines or
important services, such as gas mains and water drains
soft plastic clay. This uppermost thin clay layer is lightly
overconsolidated, perhaps as a result of desiccation. It has a
lower water content and void ratio but a higher shear
strength than the underlain marine deposits. The third layer
in succession is a 5 m thick soft silty clay, which consists of
mica and on occasion other organic matter. Beneath this is a
10 m layer of thick soft clay, which has the largest void ratio
but the lowest stiffness (i.e., the highest compressibility) and
shear strength among the 40 m of soil deposits in Shanghai.
This soft layer also contains mica and other organic matter,
as a result of marine deposition. The fifth layer is medium-
soft grey clay containing mica, oyster shells, and other or-
ganic material, whereas the sixth layer is medium silty clay
and silt. The groundwater table is generally about 1 m below
the ground surface. The saturated permeability of clay and
that of the silty clay are of the order of 109 and 108 m/s,
respectively.
Construction sequence for the underground
metro stations
All six case histories reported in this paper were obtained
from station excavations of the Pearl II Circle Line in the
city center. Figure 2 shows the Circle Line and the locations
of the six stations. These underground station excavations
were largely rectangular and approximately 1723 m wide
2005 NRC Canada
Wang et al.
Fig. 2. Locations of metro stations of the Pearl II Circle Line.
(W1) and 169335 m long (L1), as illustrated schematically
in Fig. 3. The dimensions W2 and L2 at each station are ap-
proximately 15 and 25 m, respectively. Figure 4 shows a
typical cross section of the excavations, whose depths
ranged from 15 to 23 m. In all cases, the excavations were
multi-strutted and retained by concrete diaphragm walls 0.6
0.8 m thick and 2638 m deep. Station dimensions and strut-
ting arrangements for the excavations are given in Tables 2
and 3, respectively.
After the installation of the diaphragm wall and prior to
excavation, the soil at two stations, the Yishan Road station
and the South Xizan Road station, was improved by com-
paction grouting. The depths of the grouting are summarized
in Table 2. Each station excavation started simultaneously
from each end and proceeded toward the center of the sta-
tion. Each diaphragm wall was supported by prestressed
steel struts 16 mm thick and 609 mm in diameter (external),
spaced at 3 m horizontally along the longitudinal direction
of the stations at each level (Figs. 35), with the exception
of level 1 of the Yishan Road station, at which concrete
beams 1.2 m deep and 0.8 m wide were installed. The hori-
zontal span of the excavation in the longitudinal direction
(i.e., each segment of L1 in Fig. 3) at every level was kept at
<6 m to reduce lateral wall deflections and ground move-
ments. The height between each level of the excavation typi-
cally ranged between 3 and 4 m (see Table 3 for details).
Each prestressed strut was installed 0.3 m above each level
of the excavation, and the magnitude of the prestressing was
actively adjusted to maintain about 0.7 times the total verti-
cal stress (v) throughout each excavation stage. Specific
procedures used at each level for the installation of struts
and for prestressing are illustrated in Fig. 5.
After the final excavation level was reached, a 200 mm
thick concrete binding layer was constructed within 24 h af-
ter the excavation. This binding layer was used to provide
temporary horizontal support for the diaphragm wall and to
provide a convenient working platform for various construc-
tion activities, such as assembling reinforcements for rein-
forced structures at each station. The processes of excavation
1245
and strutting were carried out as fast as possible, to mini-
mize wall deflections and ground settlements. A summary of
the main stages of excavations at each station is given in Ta-
ble 4. To protect the environment against any possible ad-
verse effects caused by the metro excavations, all the
stations were designed according to protection grade 2 crite-
ria (see Table 1), except for the South Xizan Road station,
where protection grade 1 criteria were adopted.
Instrumentation
To measure rotations, and hence deflections, of the dia-
phragm wall at each station, inclinometer tubes were fixed to
the steel reinforcement cages and concreted in the wall. The
inclinometer tubes were installed in two long sides of the di-
aphragm walls at 1824 m intervals along the horizontal lon-
gitudinal axis of each rectangular box station, except at
Yanchang Road (Fig. 6). Casing was installed with a pair of
grooves oriented in the expected direction of movement; to
avoid twisting of the casing, the groove was checked before
installation to ensure that its twist angle was no more than
0.1%. Then the casing was fixed tightly to the steel cage of a
diaphragm wall. The groove direction was checked again af-
ter the steel cage was lowered into the bentonite inside the
diaphragm wall before concreting. The twist angle of the
groove was measured after the concreting, and the twist an-
gle of the groove was kept at less than the allowable value of
0.2%, in most cases. If the casing was found to be twisted
beyond the allowable value after installation, measured data
were corrected according to the results of a spiral survey
through a spiral sensor.
A measuring probe with a resolution of 0.02 mm/500 mm
and temperature rating of 20 C to +50 C was used during
the monitoring. Before the monitoring started, some essen-
tial preparatory works were systematically carried out; this
included checking the probe and allowing 510 min for the
probe to adjust its temperature inside the casing.
The rotation (tilt) of the wall was measured at 1 m inter-
vals along its depth. The estimated overall accuracy of the
inclinometer was about 5 mm/25 m. Readings of each incli-
nometer were taken twice a day during the excavation and
strut installation and once a day during the rest periods. To
determine the absolute displacements of the wall, movement
at the top of each wall was surveyed by using a theodolite,
together with a horizontal reference, which was located at a
distance from the wall equivalent to about five times the ex-
cavation depth.
For monitoring the ground surface settlements, critical
settlement sections, perpendicular to the longitudinal axis of
the diaphragm wall, were identified and were surveyed by
using surface markers. The markers were located about 2
30 m perpendicularly away from one of the two long sides
of the wall at each rectangular box station and were secured
at 0.5 m below the ground surface. All settlement monitor-
ing was carried out with a leveling instrument with a stated
accuracy of 0.5 mm/km. The leveling reference point was lo-
cated at a distance of about five times the final excavation
depth (He) from the excavation site.
2005 NRC Canada
1246 Can. Geotech. J. Vol. 42, 2005

Fig. 3. Plan view showing a typical station and arrangement of strutting system.

Fig. 4. Cross section of a typical excavation.

Table 2. Summary of construction details and geometrical properties of each excavation.

Thickness of Wall Wall Maximum Excavation Excavation Depth of
diaphragm stiffness, depth excavation length on plan, width on Aspect grouting in
Station wall (mm) EI (kN/m2) (m) depth (m) L1+L2 (m) plan, W1 (m) ratio passive zone (m)
Yishan Road 600 540 000 28.0 15.5 335.0 17.3 19.4 8.610.6
16.619.6
South Xizan Road 800 1 280 000 38.0 20.6 169.0 22.8 7.4 15.517.5
23.025.5
South Pudong Road 600 540 000 27.0 17.3 196.0 20.8 9.4 Nil
Pudongdadao Road 600 540 000 27.0 16.0 200.0 18.5 10.8 Nil
Pudian Road 600 540 000 26.5 16.5 194.0 20.4 9.5 Nil
Yanchang Road 600 540 000 27.0 15.2 226.0 18.1 12.5 Nil

Deflections of the diaphragm walls
For ease of describing the geometries of each excavation
and presenting measured results at each station, the symbols
and notations adopted are defined in Fig. 7. The normalized
maximum deflections of the diaphragm wall at each excava-
tion site, based on the inclinometer readings at the middle
section of each station, are shown in Fig. 8. It should be
noted that there were two relatively long sides (called sides
1 and 2) of each rectangular excavation box (see Figs. 3 and
6). The side on which the largest wall deflections were mea-
sured is designated as side 1. Because of the significant dif-
ference in the dimensions L1 and L2 (see Fig. 3), corner
effects on the wall deflections at the middle section of each
station were believed to be negligible (i.e., a plane-strain
condition). For consistency, only the measured deflections at

2005 NRC Canada

Wang et al. 1247

Table 3. Strutting arrangements for the excavations.

H (m)
Station Stage 1 Stage 2 Stage 3 Stage 4 Stage 5
Yishan Road 1.5 4.7 6.9 9.7 12.5
South Xizan Road 1.5 6.5 10.8 14.4 17.5
South Pudong Road 0.6 4.2 7.8 11.4 14.5
Pudongdadao Road 1.0 4.3 7.8 11.3 14.4
Pudian Road 1.0 4.2 7.2 11.1 14.2
Yanchang Road 2.0 6.0 9.8 12.8
Note: Hs = H + 0.3 m.

Fig. 5. Schematic diagram showing strut installation and prestressing process at each level.

the center point of side 1 at each station were selected for
comparison (when possible). Because the inclinometer be-
low the depth of the excavation at one of the two long sides
at Yanchang Road was damaged, only one set of measure-
ments is presented in this paper. In Fig. 8, a positive value
for the wall deflection ( h) means inward movement toward
the excavation. As expected, the measured wall deflections
increased as the excavation proceeded. The magnitudes of
the measured lateral wall deflections were <0.45% of the fi-
nal excavation depth, and they fell at the lower end of the
ranges of 0.33%0.87% reported for similar ground
excavations and retaining conditions (using diaphragm wall)
in Taipei and Singapore (Ou et al. 1993, 1998; Long 2001).
The relatively small wall deflections observed can likely be
attributed to the use of prestressed struts, the constant adjust-
ment of the stresses to about 0.7v during the excavation,
and the short horizontal span of the excavation. After the in-
spection of the measured wall deflections, it might be de-
duced that the quality of the application of the prestresses to
the struts varied from site to site. Evidently, accidental over-

2005 NRC Canada

1248 Can. Geotech. J. Vol. 42, 2005

Table 4. Main stages of excavation.

Day No.
Yishan South Xizan South Pudong Pudongdadao Pudian Yanchang
Stage Construction operation Road Road Road Road Road Road
1(a) Construction of diaphragm wall 1 1 1 1 1 1
1(b) Compaction grouting 5 5 NA NA NA NA
1(c) Excavation to level 1 11 21 21 21 21 21
1(d) Installation of level 1 struts (casting of 13 21 21 21 21 21
level 1 struts at Yishan Road)
2(a) Reduced level dig to level 2 31 26 26 26 26 30
2(b) Installation of level 2 struts 31 26 26 26 26 30
3(a) Reduced level dig to level 3 35 31 30 29 34 39
3(b) Installation of level 3 struts 35 31 30 29 34 39
4(a) Reduced level dig to level 4 50 36 39 39 41 48
4(b) Installation of level 4 struts 50 36 39 39 41 48
5(a) Reduced level dig to level 5 (dig to the 53 52 61 44 45 53
final level at Yanchang Road)
5(b) Installation of level 5 struts 53 52 61 44 45 NA
6 Reduced level dig to the final level 63 61 71 48 48
Note: NA, not available or not applicable.

Fig. 6. Schematic diagram showing the locations of inclinometers at each station.

Fig. 7. Definitions of excavation variables.
stressing of struts resulted in negative wall deflections away
from the wall at three stations, South Pudong Road, Pudong-
dadao Road, and Yanchang Road, as shown in Figs. 8c, 8d,
and 8f, respectively. As the excavation continued, the wall at
each station gradually developed a clearly bulging profile.
When normalized wall displacements at the stations with
and without grouting were compared (see Table 2), the mag-
nitudes of wall deflections in the improved grounds (i.e.,
Figs. 8a and 8b) did not appear to be noticeably smaller than
those in the unimproved ground (i.e., Figs. 8c8f). At the
end of excavation, the depths at which the maximum mea-
sured wall deflections occurred at each station were not con-
sistent. Some of these maximum deflections appeared above
the final excavation level, whereas others occurred below it.
Relatively significant lateral movements were observed at
2005 NRC Canada
Wang et al. 1249

Fig. 8. Normalized wall deflections at various excavation stages: (a) Yishan Road; (b) South Xizan Road; (c) South Pudong Road;
(d) Pudongdadao Road; (e) Pudian Road; ( f ) Yanchang Road.

the toe of each wall at two stations (see Figs. 8e and 8f). At Fig. 9. Relationship between normalized maximum wall deflec-
Yanchang Road (Fig. 8f), large toe displacement took place tion and distance ratio.
at the last stage (stage 5(a)) of the excavation and was about
40% of the total wall deflection. Because Shanghai clays
were formed from marine deposits and were largely uniform
in the Shanghai area, this relatively large toe movement was
unlikely to have been caused by an unexpected weak clay
seam or weak spot at this particular site. According to the
experience gained from excavations for various Shanghai
metro projects in the last 10 years, there was no evidence to
suggest that this large toe movement should be attributed to
basal heave, as no correspondingly large ground settlement
was observed. Possibly, this large wall deflection at the last
stage of excavation was associated with the quality control
(e.g., the last strut may not have been properly installed be-
fore the commencement of the final stage of excavation),
coupled with overstressing of the upper struts, as revealed
by the negative wall deflections at the top.

Three-dimensional distributions of wall

deflections
During excavation, wall deflections were measured at var-
ious locations along the longitudinal axis of the two long
sides of the box stations. This provided an opportunity to
study any spatial variation in the wall deflections. Some re-
searchers have reported significant three-dimensional effects
on wall deformations (Bono et al. 1992; Dysli and Fontana
1982; Ou et al. 1993; Lee et al. 1998). Many of these exca-
vations were carried out at sites where the aspect ratios on
the plan were not as large as those of the metro stations. Fig-
ure 9 shows the normalized relationship between the mea-
sured maximum wall deflection and the distance ratio, which
is defined as the ratio of the distance of the inclinometer
away from one end of each excavation site to the total length
of the excavation in the longitudinal direction. It is clear
from the figure that the variation of normalized maximum
wall deflection with longitudinal distance ratio was limited
at all stations. The limited (or nearly uniform) variations of
normalized maximum wall deflections with distance ratio re-
vealed that the excavations showed essentially plane-strain
behavior. This may be attributable to the long and narrow
rectangular shape of each excavation, as shown in Figs. 3
and 6. Using a short horizontal span for excavation from the
two ends toward the center of each station did not appear to
result in severe three-dimensional effects or corner effects
on the wall deflections.
Maximum wall deflections
Figure 10 shows the relationship between measured maxi-
2005 NRC Canada
1250
Table 5. Average index properties for clay at various sites.
Undrained Water
strength, content,
Site cu(kPa) w (%)
Shanghai soft clay 4060 4060
Taiwan silty clay 2570 4560
Singapore marine clay 2030 5090
Fig. 10. Relationship between maximum lateral wall deflection
and excavation depth on side 1. TNEC, Taipei National Enter-
prise Center.
mum wall deflection on side 1 and excavation depth in
Shanghai; for comparison, some similar case histories from
Taipei (Ou et al. 1993, 1998) and Singapore are also in-
cluded in the figure. The three excavations in Singapore,
that is, United Overseas Bank (UOB), Bugis, and Newton,
were initially reported on by Wallace et al. (1992), Hulme et
al. (1989), and Nicholson (1987), respectively, and were
subsequently summarized by Long (2001). For ease of com-
parison, some soil indices and properties for these cases are
summarized in Table 5. It can be seen in Fig. 10 that the
measured maximum wall deflections in Shanghai lie below
the protection line for the grade 2 rating (see Table 1), hm =
0.0030H, except for several measurements at the Pudian
Road and Yanchang Road stations. The measurements from
the two stations with ground improvements, Yishan Road
(grade 2) and South Xizan Road (grade 1), fall below hm =
0.0030H (grade 2 requirement), but two measurements at
South Xizan Road were above the grade 1 limiting line of
hm = 0.0014H. The effect of the ground improvement (com-
paction grouting) on the maximum wall deflection is not
demonstrated.
From the comparison of the excavations in Singapore, Tai-
pei, and Shanghai, it appears that the measured wall deflec-
tions in Singapore were between hm = 0.0030H and hm =
0.0100H, whereas those in Taipei fell between hm =
0.0030H and hm = 0.0070H. The measured deflections at
Can. Geotech. J. Vol. 42, 2005
Plasticity Order of Undrained
index, PI permeability, Youngs modulus,
(%) k (m/s) Eu (kPa)
20 109 600 cu
17 108 650 cu
60 109 450 cu
Fig. 11. Relationship between location of maximum lateral wall
deflection and excavation depth on side 1.
the metro stations in Shanghai were generally below hm =
0.0070H. The largest average recorded wall deflections were
measured in Singapore and were probably due to the ground
conditions at this location being the weakest among the
three city locations reported (see Table 5). The ground con-
ditions in Shanghai were similar to those of Taipei, but the
average measured deflections in the former were smaller
than in the latter, probably because of the use of prestressed
struts, short excavation spans, and a fast strutting sequence
in Shanghai. It is evident that the use of stiff diaphragm
walls, modern strutting methods (to increase retaining sys-
tem stiffness) (Clough et al. 1989), and rapid excavation in
the three cities substantially reduced wall deflections in soft
soils in comparison with the Peck (1969) limiting line (i.e.,
hm = 0.0100H), which is essentially based on excavations in
soft clays supported by sheet piles and soldier piles.
As expected, the depth of the maximum wall deflection
increases with the depth of the excavation. Ou et al. (1993)
collected eight case histories in Taipei and found that the
maximum lateral wall deflection (Hm) occurred near the ex-
cavation surface, and hence the ratio of the depth of the
maximum wall deflection to the depth of the excavation (H)
was approximately equal to 1. Figure 11 shows the relation-
ship between Hm and H for the six stations in Shanghai.
Apart from a few exceptions, the Hm /H ratios were gener-
ally bounded by two lines, Hm = H and Hm = H + 7 m. This
implies that deep-seated wall deflections were generally ob-
served, probably because of the use of stiffer supports (i.e.,
2005 NRC Canada
Wang et al. 1251

Fig. 12. Relationship between FOS against base heave and nor- Fig. 13. Relationship between normalized settlement and normal-
malized maximum wall deflection on side 1. TNEC, Taipei Na- ized distance from wall. TNEC, Taipei National Enterprise Center.
tional Enterprise Center.

prestressed struts) than in Taipei. However, the ground im- Fig. 14. Relationship between relative settlement and normalized
provements inside the excavation site at South Xizan Road distance from wall.
might have limited the development of deep-seated deflec-
tions of the wall and hence resulted in Hm /H ratios <1.0.
After analyzing the distributions of the maximum wall de-
flection and the factor of safety (FOS) against heave from
field records of excavations in clays in San Francisco, Oslo,
Boston, and Chicago, Mana and Clough (1981), reported
limiting relationships, as shown in Fig. 12. For comparison,
data points from the six metro stations in Shanghai and from
three of the eight case histories in Taipei (Ou et al. 1993,
1998) are also presented in the figure. According to the envi-
ronmental protection criteria established to avoid adverse ef-
fects caused by excavations in Shanghai (see Table 1), the
FOS against base heave used in the design was 2.2, whereas
the FOS against base heave adopted in Taipei ranged from
1.2 to 1.7 (Hsieh and Ou 1998). It is clear from the figure
that the measured values in Shanghai were close to the lower
limiting curve proposed by Mana and Clough (1981), proba-
bly because of the use of prestressed struts and the short
horizontal span of the excavations.

Surface ground settlements

Peck (1969) summarized field observations of surface
ground settlements around excavations and classified these
settlements as belonging to zone I (sand and soft to hard
clay), zone II (very soft to soft clay), or zone III (very soft to
soft clay to a great depth) (Fig. 13). Many of these excava-
tions were retained by sheet piles and soldier piles. For com-
parison, the measured settlements from the six metro
stations are plotted in the same figure. It is clear that the
data from Shanghai all fall within zone I of the chart, and
the measured settlements are substantially smaller than those
observed in similar ground conditions by Peck (1969). The
small measured settlements are consistent with the measured
wall deflections shown in Figs. 10 and 12. It is evident that
the relatively small settlements and deflections measured in
Shanghai could be attributed to a number of factors, includ-
ing the use of stiff diaphragm walls, prestressed struts, a
short horizontal span, and fast excavation and strutting se-
quences.
Figure 14 compares the relationships between the normal-
ized settlement ( v / vm) and the distance ratio (d/He) for the
Shanghai excavations with those of other case histories re-
ported in the literature. Clough and ORourke (1990) sug-
gested that the maximum settlement usually occurs at some
distance away from the wall, and they proposed a nondi-
mensional bilinear limiting settlement profile (ABC in Fig,
14) for their excavations in soft to medium clays. Hsieh and
Ou (1998) described a trilinear relationship (DEFG in
Fig. 14) between v / vm and d/He from average measure-

2005 NRC Canada

1252
ments in soft soils in Taipei, and they divided their observa-
tions into primary and secondary influence zones.
In Fig. 14, it can be seen that the measured settlements at
Shanghai lie on both sides of the line proposed by Hsieh and
Ou (1998), and it appears that the average line for Shanghai
is consistent with the one from Taipei. A triangular limiting
line (ABC), with the same slope as the limiting line pro-
posed by Clough and ORourke (1990), has been drawn in
Fig. 14 for comparison. It appears that the measured settle-
ment distributions in Shanghai are wider and deeper than the
one obtained by Clough and ORourke (1990).
Relationship between maximum ground
settlements and maximum wall deflections
Figure 15 shows the relationship between measured maxi-
mum ground surface settlement ( vm) and maximum lateral
wall deflection ( hm) in the six Shanghai excavations. In
Fig. 15, some reported data from excavations in soft soils in
Singapore (Wallace et al. 1992) and Taipei (Ou et al. 1993,
1998) are also included for comparison. Apart from a single
data point from UOB, Singapore, all measurements fall be-
low the line vm = hm. This suggests that the maximum
ground surface settlement is generally smaller than the maxi-
mum lateral wall deflection in soft soils. With the exception
only of Pudian Road station, data from Shanghai lie between
vm = 0.2 hm and vm = 0.6 hm. However, all three data
points from Taipei fall above the line vm = 0.6, which is
close to the range of 0.51.0 hm reported by Mana and
Clough (1981). The difference in the observed distributions
in Shanghai and Taipei may be attributed to the larger FOS
against base heave adopted in Shanghai.
Discussion of the mechanism of movement
in Shanghai
Despite the relatively weak ground conditions in Shang-
hai, the measured wall deflections and settlements obtained
from these excavations were generally smaller than the lim-
its proposed by Mana and Clough (1981) for maximum wall
deflections (see Fig. 12) or the criteria in the normalized set-
tlement charts proposed by Peck (1969) (refer to Fig. 13).
This may seem rather surprising initially. However, given the
use of a short excavation section (on plan), very rapid exca-
vation and strut installation procedures, stiff diaphragm
walls, and active and continuous prestressing measures in
Shanghai, the observed relatively small wall deflections and
surface settlements seem to be reasonable, compared with
past excavations elsewhere with similar ground conditions.
This is because many of the previous data collected, ana-
lyzed, and reported were obtained from excavations sup-
ported by sheet piles, soldier piles with lagging, and
unsupported spans of sheet piles exceeding 1015 ft, and
most of these excavations had relatively long construction
periods. From the last 10 years of experience gained from
various underground excavation projects in Shanghai, it ap-
pears that the excavation procedures, the wall and strut sup-
port systems (see Fig. 5), and the movement control
measures (refer to Table 1) reported in this paper are effec-
tive and appropriate for the ground conditions in Shanghai.
Can. Geotech. J. Vol. 42, 2005
Fig. 15. Relationship between normalized maximum ground sur-
face settlement and normalized maximum wall deflection on side
2. TNEC, Taipei National Enterprise Center.
Conclusions
On the basis of the field monitoring of wall deflections
and ground surface settlements at six deep multistage exca-
vations on the Pearl II Circle Line in Shanghai, the follow-
ing conclusions may be drawn:
(i) Generally, the measured wall deflections at the six sta-
tions show a typical bulging profile (or a deep-seated
shape) at the end of the excavation. The magnitudes of
the measured maximum lateral wall deflections were
<0.45% of the final excavation depth, and they fell at
the lower bound of the reported range of 0.33%0.87%
observed from similar excavations in fairly soft soils
worldwide. The observed relatively small maximum
wall deflections can likely be attributed to the use of
prestressed struts, the constant adjustment of stresses to
0.7v during the excavation phases, and the short hori-
zontal span of excavation.
(ii) As a result of the geometrical shape (rectangular box)
and large aspect ratio of the underground excavations,
fairly uniform variations in the maximum wall deflec-
tions were observed along the longitudinal axis of each
station excavation. In other words, no significant three-
dimensional effects or corner effects were observed,
even though the excavation procedure involved a short
horizontal span. Hence, the walls showed essentially
plane-strain behavior. The effects of ground improve-
ments from compaction grouting inside the excavation
at two of the six locations were not obvious.
(iii) Given the location of the maximum wall deflection (Hm)
as the depth of excavation (H) increased, apart from a
few exceptions the Hm /H ratios were generally bounded
by two lines, Hm = H and Hm = H + 7 m. Based on the
correlations between the measured maximum wall de-
flection ( hm) and H, the measurements at the metro sta-
tions in Shanghai generally fell below the line hm =
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Wang et al.
0.0070H and were similar to data from reported cases in
Taipei but substantially smaller than the Peck (1969)
bounding limit of hm = 0.0100H.
(iv) After the relationship between the measured maximum
settlements ( vm) and the distance from the diaphragm
wall of the six metro excavations had been studied, it
was clear that the data from Shanghai all fell within
zone I of the Peck (1969) limits. These small measured
settlements were consistent with the small measured
wall deflections observed.
(v) When the relationships of the normalized settlement to
the maximum settlement and to normalized distance
from the wall had been investigated, it was found that
the measured data from Shanghai were consistent with
the average line proposed by Hsieh and Ou (1998). If
the same slope as the limiting line proposed by Clough
and ORourke (1990) is adopted, a triangular limiting
line can also be drawn in the figure for comparison. The
measured settlement distributions in Shanghai are wider
and deeper than those reported by Clough and ORourke
(1990).
(vii) With the exception of UOB Singapore, the surface set-
tlement and deflection measurements in soft soils fell
below the line vm = hm. This suggests that the maxi-
mum ground surface settlement is generally smaller
than the maximum lateral wall deflection in soft soils.
With the exception at the Pudian Road station, settle-
ments from Shanghai fell between vm = 0.2 hm and
vm = 0.6 hm.
Acknowledgments
The authors thank the National Natural Science Founda-
tion of China (grant No. 10102015), the Research Grants
Council of the Hong Kong Special Administrative Region
(grant No. HKUST6025/01E), and Hong Kong University of
Science and Technology (grant No. DAG02/03.EG15) for
providing financial support for this research.
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List of symbols
cu undrained shear strength of soil from field vane
d distance from the wall
D depth from the ground surface
e void ratio
E Youngs modulus
E0.10.2 compressibility modulus determined by oedometer test
at stresses of 100200 kPa
EI wall stiffness
Eu undrained Youngs modulus
FOS factor of safety against base heave
H excavation depth
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1254 Can. Geotech. J. Vol. 42, 2005

He final excavation depth W1, W2 width of excavation on plan as shown in Fig. 3

Hm location of maximum lateral deflection w water content
Hs strut level h magnitude of lateral wall deflection at any depth
I moment of inertia hm magnitude of maximum lateral wall deflection
k permeability coefficient v magnitude of ground surface settlement
L1, L2 length of excavation on plan as shown in Fig. 3 vm magnitude of maximum ground surface settlement
PI plasticity index unit weight of soil
qt measured cone penetration test end resistance v total vertical stress

2005 NRC Canada