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Soil Dynamics and Earthquake Engineering 27 (2007) 957969

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An alternative to the MononobeOkabe equations for

seismic earth pressures
George Mylonakis, Panos Kloukinas, Costas Papantonopoulos
Department of Civil Engineering, University of Patras, Rio 26500, Greece
Received 23 July 2006; received in revised form 23 January 2007; accepted 25 January 2007

Abstract

A closed-form stress plasticity solution is presented for gravitational and earthquake-induced earth pressures on retaining walls. The
proposed solution is essentially an approximate yield-line approach, based on the theory of discontinuous stress elds, and takes into
account the following parameters: (1) weight and friction angle of the soil material, (2) wall inclination, (3) backll inclination, (4) wall
roughness, (5) surcharge at soil surface, and (6) horizontal and vertical seismic acceleration. Both active and passive conditions are
considered by means of different inclinations of the stress characteristics in the backll. Results are presented in the form of
dimensionless graphs and charts that elucidate the salient features of the problem. Comparisons with established numerical solutions,
such as those of Chen and Sokolovskii, show satisfactory agreement (maximum error for active pressures about 10%). It is shown that
the solution does not perfectly satisfy equilibrium at certain points in the medium, and hence cannot be classied in the context of limit
analysis theorems. Nevertheless, extensive comparisons with rigorous numerical results indicate that the solution consistently
overestimates active pressures and under-predicts the passive. Accordingly, it can be viewed as an approximate lower-bound solution,
than a mere predictor of soil thrust. Compared to the Coulomb and MononobeOkabe equations, the proposed solution is simpler, more
accurate (especially for passive pressures) and safe, as it overestimates active pressures and underestimates the passive. Contrary to the
aforementioned solutions, the proposed solution is symmetric, as it can be expressed by a single equationdescribing both active and
passive pressuresusing appropriate signs for friction angle and wall roughness.
r 2007 Elsevier Ltd. All rights reserved.

Keywords: Retaining wall; Seismic earth pressure; Limit analysis; Lower bound; Stress plasticity; MononobeOkabe; Numerical analysis

1. Introduction Refs. [9,14,1618]), solutions of this type are expected to

The classical equations of Coulomb [14,10] and
MononobeOkabe [511] are being widely used for
determining earth pressures due to gravitational and
earthquake loads, respectively. The MononobeOkabe
solution treats earthquake loads as pseudo-dynamic,
generated by uniform acceleration in the backll. The
retained soil is considered a perfectly plastic material,
which fails along a planar surface, thereby exerting a limit
thrust on the wall. The theoretical limitations of such
an approach are well known and need not be repeated
herein [1113,1618]. Given their practical nature and
reasonable predictions of actual dynamic pressures (e.g.
Corresponding author. Tel.: +30 2610 996542; fax: +30 2610 996576.
E-mail address: mylo@upatras.gr (G. Mylonakis).
continue being used by engineers for a long time to come.
This expectation does not seem to diminish by the advent
of displacement-based design approaches, as the limit
thrusts provided by the classical methods can be used to
predict the threshold (yield) acceleration beyond which
permanent dynamic displacements start to accumulate
[11,15,1921,43].
Owing to the translational and statically determined
failure mechanisms employed, the limit-equilibrium Mono-
nobeOkabe solutions can be interpreted as kinematic
solutions of limit analysis [22]. The latter solutions are
based on kinematically admissible failure mechanisms in
conjunction with a yield criterion and a ow rule for the
soil material, both of which are enforced along pre-
specied failure surfaces [10,19,23,24,40,42]. Stresses out-
side the failure surfaces are not examined and, thereby,

0267-7261/$ - see front matter r 2007 Elsevier Ltd. All rights reserved.
doi:10.1016/j.soildyn.2007.01.004
 ARTICLE IN PRESS
958 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969
equilibrium in the medium is generally not satised. In the
realm of associative and convex materials, solutions of this
type are inherently unsafe that is, they underestimate active
pressures and overestimate the passive [10,24,25,40].
A second group of limit-analysis methods, the stress
solutions, make use of pertinent stress elds that satisfy the
equilibrium equations and the stress boundary conditions,
without violating the failure criterion anywhere in the
medium [2527]. On the other hand, the kinematics of the
problem is not examined and, therefore, compatibility
of deformations is generally not satised. For convex
materials, formulations of this type are inherently safe that
is, they overestimate active pressures and underestimate the
passive [10,25,26]. The best known such solution is that of
Rankine, the applicability of which is severely restricted by
the assumptions of horizontal backll, vertical wall and
smooth soilwall interface. In addition, the solution may
be applied only if the surface surcharge is uniform or non-
existing. Owing to difculties in deriving pertinent stress
elds for general geometries, the vast majority of limit-
analysis solutions in geotechnical design are of the
kinematic type [811,26]. To the best of the authors
knowledge, no simple closed-form solution of the stress
type has been derived for seismic earth pressures.
Notwithstanding the theoretical signicance and prac-
tical appeal of the Coulomb and MononobeOkabe
solutions, these formulations can be criticized on the
following important aspects: (1) in the context of limit
analysis, their predictions are unsafe; (2) their accuracy
(and safety) diminishes in the case of passive pressures
on rough walls, (3) the mathematical expressions are
complicated and difcult to verify,1 (4) the distribution
of tractions on the wall are not predicted (typically
assumed linear with depth following Rankines solution),
(5) optimization of the failure mechanism is required in the
presence of multiple loads, to determine a stationary
(optimum) value of soil thrust, and (6) in the context of
limit-equilibrium analysis, stress boundary conditions are
not satised, as the yield surface does not generally emerge
at the soil surface at the required angles of 45  f=2.
In light of the above arguments, it appears that the
development of a closed-form solution of the stress type for
assessing seismically-induced earth pressures would be
desirable. It will be shown that the proposed solution,
although approximate, is mathematically simpler than the
existing kinematic solutions, offers satisfactory accuracy
(maximum deviation for active pressures against rigorous
numerical solutions less than 10%), yields results on the
safe side, satises stress boundary conditions, and predicts
the point of application of soil thrust. Last but least, the
solution will be shown to be symmetric with respect to
active and passive conditions, as it can be expressed by a
1
The story of a typographical error in the MononobeOkabe formula
that appeared in a seminal article of the early 1970s and subsequently
propagated in a large portion of the literature, is indicative of the difculty
in checking the mathematics of these expressions (Davies et al. [41]).
single equation with opposite signs for friction angle and
wall roughness. Apart from its intrinsic theoretical interest,
the proposed analysis can be used for the assessment and
improvement of other related methods.
2. Problem denition and model development
The problem under investigation is depicted in Fig. 1: a
slope of dry cohesionless soil retained by an inclined
gravity wall, is subjected to plane strain conditions under
the combined action of gravity (g and seismic body
forces ah  g and av  g in the horizontal and vertical
direction, respectively. The problem parameters are: height
(H) and inclination o of the wall, inclination (b) of the
backll; roughness (d) of the wallsoil interface; friction
angle (f) and unit weight (g) of the soil material, and
surface surcharge (q). Since backlls typically consist of
granular materials, cohesion in the soil and cohesion at the
soilwall interface are not studied here. In addition, since
the vibrational characteristics of the soil are neglected, the
seismic force is assumed to be uniform in the backll. Also,
the wall can translate away from, or towards to, the
backll, under zero rotation. Both assumptions have
important implications in the distribution of earth pres-
sures on the wall, as explained below.
The resultant body force in the soil is acting under an
angle ce from vertical
ah
tan ce , (1)
1  av
which is independent of the unit weight of the material.
Positive ah (i.e., ce 40) denotes inertial action towards the
wall (ground acceleration towards the backll), which
maximizes active thrust. Conversely, negative ah (i.e.,
ce o0) denotes inertial action towards the backll, which
minimizes passive resistance. In accordance with the rest of
the literature, positive av is upward (downward ground
acceleration). However, its inuence on earth pressures,
although included in the analysis, is not studied numeri-
cally here, as it is usually minor and often neglected in
design [9,21].
inclined q +
backfill
+ e
cohesionless soil +ah
(, )
+av
+
H
z
inclined wall,
roughness ()
Fig. 1. The problem under consideration.
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G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969 959

In the absence of surcharge, the MononobeOkabe To prevent slope failure when inertial action is pointing
solution to the above problem is given by the well-known towards the wall, the seismic angle ce should not exceed
formula [11]: the difference between the friction angle and the slope

2PE cos2 f  ce o
KE " s#2 , (2)
gH 2 sind f sinf  ce b
cos ce cos2 o cosd  ce o 1 
cosd  ce o cosb  o

where PE denotes the limit of seismic thrust on the wall inclination. Therefore, the following constraint applies [9]:
units F=L and K E is the corresponding earth pressure ce of  b. (3)
coefcient. In the above representation (and hereafter),
the upper sign refers to active conditions (PE PAE ; A similar relation can be written for the case where inertial
K E K AE ), and the lower sign to passive (PE PPE ; action is pointing towards the backll, but it is of limited
K K PE ). practical interest and will not be discussed here.
A drawback of the above equation lies in the difculty in To analyze the problem, the backll is divided into two
interpreting the physical meaningespecially signsof the main regions subjected to different stress elds, as shown in
various terms (Ref. [25, footnote in p. 4]). As will be shown Fig. 2: the rst region (zone A) is located close to the soil
below, the proposed solution is free of this problem. surface, whereas the second (zone B) close to the wall. In
both regions the soil is assumed to be in a condition of
impeding yielding under the combined action of gravity
and earthquake body forces. The same assumption is
unit length adopted for the soilwall interface, which, however, is
subjected exclusively to contact stresses. A transition zone
between regions A and B is introduced later on.
Fundamental to the proposed analysis is the assumption
q that stresses close to the soil surface can be well
approximated by those in an infinite slope, as shown in
Fig. 2. In this region (A), the inclined soil element shown is
soil subjected to canceling actions along its vertical sides. Thus
surface
equilibrium is achieved solely under body forces and
contact stress acting at its bottom face.
Based on this physically motivated hypothesis, the
stresses sb and tb at the base of the inclined element are
determined from the following expressions [34]:
 
q
sb gz cos2 b, (4a)
z ZONE A cos b
 
q
tb gz sin b cos b, (4b)
cos b
which are valid for static conditions (ah av 0) and
(w, w) satisfy the stress boundary conditions at the surface.
passive Eqs. (4) suggest that the ratio of shear to normal stresses
is constant tan b at all depths, and that points at the same

H depth are subjected to equal stresses. Note that due to
static determinacy and anti-symmetry, the above relations
are independent of material properties and asymptotically
exact at large distances from the wall.
z
(w, w) Considering the material to be in a condition of
active
impeding yielding, the Mohr circle of stresses in region
A is depicted in Fig. 3. The different locations of the stress
point (sb ; tb ) for active and passive conditions and the
different inclinations of the major principal plane (indi-
wall length
cated by heavy lines) are apparent in the graph.
L = H / cos ZONE B
From the geometry of Fig. 3, the normal stress sb is
Fig. 2. Stress elds close to soil surface (zone A) and the wall (zone B). related to mean stress S A through the proportionality
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960 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969

ZONE A solutions based on equilibrium totally ignore the displace-

ment eld [29].
(,)
passive (,) From the geometry of Fig. 3, normal traction sw is
case active related to mean stress SB through the expression
case
sw S B 1  sin f cosD2  d, (8)
e
soil surfac where D2 is the corresponding Caquot angle given by
1
1 sin d
1+ 1A sin D2 . (9)
SA
sin f
1
active
In light of the foregoing, it becomes evident that the
orientation of stress characteristics in the two regions is
different and varies for active and passive conditions. In
passive addition, the mean stresses SA and S B generally do not
coincide, which suggests that a Rankine-type solution
ZONE B based on a single stress eld is not possible.
(w, w) To determine the separation of mean stresses S A and S B
passive
and ensure a smooth transition in the orientation of
wall
plane
principal planes in the two zones, a logarithmic stress fan2
is adopted in this study, centered at the top of the wall. In
2 passive
the interior of the fan, principal stresses are gradually
rotated by the angle y separating the major principal planes
2+ in the two regions, as shown in Fig. 4. This additional

2 condition is written as [10]
SB 1B
active
SB S A exp2y tan f. (10)
The negative sign in the above equation pertains to the case
(w,w)
active where S B oS A (e.g., active case) and vice versa. The above
wall equation is an exact solution of the governing Kotter
plane equations for a weightless frictional material. For a
material with weight, the solution is only approximate as
Fig. 3. Mohr circles of effective stresses and inclination of the major
principal planes in zones A and B.
Kotters equations are not perfectly satised [2527]. In
other words, the log spiral fan accurately transmits stresses
applied at its boundaries, but handles only approximately
relation body forces imposed within its volume. The error is
expected to be small for active conditions (which are of
sb S A 1  sin f cosD1  b, (5) key importance in design), because of the small opening
where D1 denotes the Caquot angle [23,28] given by angle of the fan, and bigger for passive conditions. As a
result, the above solution cannot be interpreted in the
sin b
sin D1 . (6) context of limit analysis theorems. Nevertheless, it will be
sin f shown that these violations are of minor importance from a
For points in region B, it is assumed that stresses are practical viewpoint.
functions exclusively of the vertical coordinate and obey
the strength criterion of the frictional soilwall interface, as 2.1. Solution without earthquake loading
shown in Fig. 2. Accordingly, at orientations inclined at an
angle o from vertical, The total thrust on the wall due to surcharge and gravity
tw sw tan d, (7) loading is obtained by the well-known expression [10]

where sw and tw are the normal and shear tractions P K q qH 12 K g gH 2 , (11)

on the wall, at depth z. The above equation is asympto-
tically exact for points in the vicinity of the wall. The
corresponding Mohr circle of stresses is depicted in Fig. 3.
The different signs of shear tractions for active and passive
conditions follow the directions shown in Fig. 2 (passive
wall tractions pointing upward, active tractions pointing
downward), which comply with the kinematics of the
problem. This is in contrast with the widespread view that
which is reminiscent (though not equivalent) of the bearing
capacity equation of a strip surface footing on cohesionless
soil. In the above equation, K q and K g denote the earth
pressure coefcients due to surcharge and self-weight,
respectively.
2
This should not be confused with log-spiral shaped failure surfaces
used in kinematic solutions of related problems.
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which coincides with the kinematic solution of Chen and

1 + Liu [31], established using a Coulomb mechanism. Note
2 that for a horizontal backll (b 0), coefcients K q and K g
coincide regardless of wall inclination and material proper-
AB ties. Eq. (14) represents an exact solution for a weightless
zone A
material with surcharge. A simplied version of the above
solutions, restricted to the special case of a vertical wall
with horizontal backll and no surcharge (o b 0;
zone B
q 0), has been derived by Lancelotta [30]. Another
2 simplied solution, which, however, contains some alge-
2 2
braic mistakes (see application example in the Appendix)
and is restricted to active conditions and no surcharge, has
been presented by Powrie [35].

2.2. Solution including earthquake loading

z ACTIVE CONDITIONS
Recognizing that earthquake action imposes a resultant
thrust in the backll inclined by a constant angle ce from

vertical (Fig. 1), it becomes apparent that the pseudo-
dynamic problem does not differ fundamentally from the
corresponding static problem, as the former can be obtained
from the latter through a rotation of the reference axes by
the seismic angle ce , as shown in Fig. 5. In other words,
1 considering ce does not add an extra physical parameter to
2 2 the problem, but simply alters the values of the other
variables. This property of similarity was apparently rst
2 + employed by Briske [32] and later by Arango [8,9] in the
2 analysis of related problems. Application of the concept to
the present analysis yields the following algebraic transfor-
mations, according to the notation of Fig. 5:
AB
b b ce , (15)
z PASSIVE CONDITIONS
o o ce , (16)
zone B zone A

Fig. 4. Rotation of major principal planes between zones A and B for

active and passive conditions.

*
e
Combining Eqs. (5), (8) and (10), and integrating over
the height of the wall, it is straightforward to show that the
earth pressure coefcient K g is given by [39]
 
coso  b cos b 1  sin f cosD2  d
Kg e
cos d cos2 o 1  sin f cosD1  b
 exp2y tan f, 12 e
H*
where H
*
2y D2  D1 d b  2o (13)
is twice the angle separating the major principal planes in
zones A and B (Fig. 4). The convention regarding double
signs in the above equations is as before.
It is also straightforward to show that the surcharge Fig. 5. Similarity transformation for analyzing the pseudo-dynamic
coefcient K q is related to K g through the simple expression seismic problem as a gravitational problem. Note the modied wall
height H  , backll slope b , and wall inclination o in the
cos o
Kq Kg , (14) transformed geometry. Also note that the rotation should be performed
coso  b in the opposite sense (i.e., clockwise) for passive pressures ce o0.
 ARTICLE IN PRESS
962 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969

H  H coso ce = cos o,
g g1  av = cos ce ,
q q1  av = cos ce .
The modication in g and q is due to the change in length of
the corresponding vectors (Fig. 1) as a result of inertial
action. To obtain Eq. (19), it has been tacitly assumed that
the surcharge responds to the earthquake motion in the
same manner as the backll and, thereby, the transformed
surcharge remains vertical. Note that this is not an essential
hypothesisjust a convenient (reasonable) assumption from
an analysis viewpoint. Understandably, the strength para-
meters f and d are invariant to the transformation.
In the light of the above developments, the soil thrust
including earthquake action can be determined from the
modied expression:
(17) which encompasses seismic action and can be used in the
context of Eq. (11). In the above equation,
(18)
2yE D2  D1 d b  2o  ce (22)
(19)
is twice the revolution angle of principal stresses in
the two regions under seismic conditions; D1 equals
Arcsinsinb ce = sin f, following Eqs. (6) and (15).
The seismic earth pressure coefcient K Eq is obtained as
cos o
K Eq K Eg , (23)
coso  b
which coincides with the static solution in Eq. (14).
The horizontal component of soil thrust is determined
from the actual geometry, as in the gravitational
problem

PE K q q H  12 K g g H 2 , (20a) PEH PE coso  d. (24)

in which parameters b, o, H, g, and q have been replaced
by their transformed counterparts. The symbols K q and K g
denote the surcharge and self-weight coefcients in the
modied geometry, respectively.
Substituting Eqs. (15) through (19) in Eq. (20a) yields the
modied earth pressure expressions
PE 1  av K Eq qH 1=2 K Eg gH 2 ,
where
coso  b cosb ce
K Eg
cos ce cos d cos2 o
 
1  sin f cosD2  d
 exp2yE tan f,
1  sin f cosD1  b ce 
2.3. Seismic component of soil thrust
Following Seed and Whitman [8], the seismic component
of soil thrust is dened from the difference:
DPE PE  P, (25)
(20b)
which is mathematically valid, as the associated vectors PE
and P are coaxial. Nevertheless, the physical meaning of
DPE is limited given that the stress elds (and the
corresponding failure mechanisms) in the gravitational
and seismic problems are different. In addition, DPE
cannot be interpreted in the context of limit analysis
theorems, as the difference of PE and P is neither an upper
21 nor a lower bound to the true value.

Table 1
Comparison of results for active and passive earth pressures predicted by various methods

o 0 20 20

f 20 30 40 30 30

d 0 10 0 15 0 20 0 15 0 15

(a) K Ag valuesa
Coulomb 0.490 0.447 0.333 0.301 0.217 0.199 0.498 0.476 0.212 0.180
Kinematic limit analysis [31] 0.490 0.448 0.333 0.303 0.217 0.200 0.498 0.476 0.218 0.189
Zero extension [33] 0.49 0.41 0.33 0.27 0.22 0.17
Slip line [28] 0.490 0.450 0.330 0.300 0.220 0.200 0.521 0.487 0.229 0.206
Proposed stress limit analysis 0.490 0.451 0.333 0.305 0.217 0.201 0.531 0.485 0.237 0.217
(b) K Pg valuesb
Coulomb 2.04 2.64 3.00 4.98 4.60 11.77 2.27 3.162 5.34 12.91
Kinematic limit analysis [31] 2.04 2.58 3.00 4.70 4.60 10.07 2.27 3.160 5.09 8.92
Zero extension [33] 2.04 2.55 3.00 4.65 4.60 9.95
Slip line [28] 2.04 2.55 3.00 4.62 4.60 9.69 2.16 3.16 5.06 8.45
Proposed stress limit analysis 2.04 2.52 3.00 4.44 4.60 8.92 2.13 3.157 4.78 7.07

The results for d o 0 are identical for all methods. Note the decrease in K Pg values as we move from top to bottom in each column, and the
corresponding increase in K Ag ; b 0 (modied from Chen and Liu [31]).
a
K Ag PA =12 gH 2 .
b
K Pg PP =12 gH 2 .
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G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969 963

3. Model verication and results 5

1
KP=PP /(  H2 )
Presented in Table 1 are numerical results for gravita- 2
tional active and passive pressures K Ag ; K Pg from the  = 30,  = 20
PP
present solution and established solutions from the H
4
literature. The predictions are in good agreement (largest

Coefficient of Passive Earth Pressure, KP

discrepancy about 10%), with the exception of Coulombs
method which signicantly overestimates passive pressures.
Moving from the top to the bottom of each column, an
increase in K Ag values and a decrease in K Pg values can be 3
observed. This is easily understood given the non-
conservative nature of the rst two solutions (Coulomb,  = 0
Chen), and the conservative nature of the last two
(Sokolovskii [28], proposed). This observation does not
hold for the zero extension line solution of Habibagahi 2  = 10
and Ghahramani [33], which cannot be classied in the
context of limit analysis theorems.
Results for gravitational active pressures on a rough  = 20
inclined wall obtained according to three different methods
1
as a function of the slope angle b, are shown in Fig. 6. The Lee & Herington (1972)
performance of the proposed solution is good (maximum Chen & Liu (1990)
deviation from Chens solution about 10%despite the Sokolovskii (1965)
high friction angle of 45 ) and elucidates the accuracy of Proposed Stress Limit Analysis
the predictions. The performance of the simplied solution 0
of Caquot and Kerisel [23] versus that of Chen and Liu [31] 0 10 20 30
is as expected. Angle of Wall Friction, 
Corresponding predictions for passive pressures are Fig. 7. Comparison of results for passive earth pressures by predicted by
given in Fig. 7, for a wall with negative backll slope different methods (modied from Chen and Liu [31]).

0.6 inclination, as a function of the wall roughness d. The

1
KA=PA/ ( H2) agreement of the various solutions, given the sensitivity of
2
passive pressure analyses, is very satisfactory. Of particular
 = 45,  = 2/ 3
0.5
interest are the predictions of Sokolovskiis [28] and
H Lee and Heringtons [36] methods, which, surprisingly,
PA exceed those of Chen for rough walls. This trend is
Coefficient of Active Earth Pressure, KA

particularly pronounced for horizontal backll and values

0.4 of d above approximately 10 and has been discussed by
Chen and Liu [31].
= 20 Results for active seismic earth pressures are given in
Fig. 8, referring to cases examined in the seminal study of
0.3 Chen & Liu(1990) Seed and Whitman [8], for a reference friction angle of 35 .
Caquot & Kerisel (1948) Naturally, active pressures increase with increasing levels
Proposed Stress Limit Analysis
of seismic acceleration and slope inclination and decrease
with increasing friction angle and wall roughness. The
0.2
= 0 conservative nature of the proposed analysis versus the
MononobeOkabe (MO) solution is evident in the graphs.
The trend is more pronounced for high levels of horizontal
0.1 seismic coefcient ah 40:25, smooth walls, level backlls,
= 20 and high friction angles. Conversely, the trend becomes
weaker with steep backlls, rough walls, and low friction
angles.
0.0 A similar set of results is shown in Fig. 9, for a reference
0 5 10 15 20 25
friction angle of 40 . The following interesting observations
Slope Angle of Backfill, 
can be made: First: the predictions of the proposed analysis
Fig. 6. Comparison of results for active earth pressures predicted by are in good agreement with the results from the kinematic
different methods (modied from Chen [10]). analysis of Chen and Liu [31], over a wide range of material
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964 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969

Coefficient of Seismic Active Earth Pressure, KE

0.7 0.7
 = = 0  = = 0
 = 35  = 35
0.6 0.6

0.5 0.5
= 0 = 0

KE cos
0.4 =/ 2 0.4
=/ 2
0.3 1
KAE=PAE/ ( H2) 0.3 KAE=PAE/(
1
H2)
2 2

0.2 0.2
H ah H ah
PAE PAE
0.1 0.1
M - O Analysis M - O Analysis
Proposed Stress Limit Analysis Proposed Stress Limit Analysis

0.0 0.0
0.0 0.1 0.2 0.3 0.4 0.5 0.0 0.1 0.2 0.3 0.4 0.5
Horizontal Seismic Coefficient, ah Horizontal Seismic Coefficient, ah

0.7 0.7
=  = 0 =  = 0
=/ 2 = 30 = 35 ; = / 2
0.6 0.6
35  = 20
40
0.5 0.5
 = 0
KE cos

KE cos

0.4 0.4

0.3 0.3
KAE=PAE/( 1 H2)
KAE=PAE/ (1 H2) 2
2
0.2 0.2
ah
H ah H
PAE PAE
0.1 0.1
M- O Analysis M- O Analysis
Proposed Stress Limit Analysis Proposed Stress Limit Analysis
0.0 0.0
0.0 0.1 0.2 0.3 0.4 0.5 0.0 0.1 0.2 0.3 0.4 0.5
Horizontal Seismic Coefficient, ah Horizontal Seismic Coefficient, ah

Fig. 8. Comparison of active seismic earth pressures predicted by the proposed solution and from conventional MO analysis, for different geometries,
material properties and acceleration levels; av 0 (modied from Seed and Whitman [8]).

and geometric parameters. Second, the present analysis is solution with results from the MO and Chens kinematic
conservative in all cases. Third, close to the slope stability methods are provided on the left graph (Fig. 10a). The
limit (Fig. 9d), or for high accelerations and large wall predictions of the stress solutions are, understandably,
inclinations (Fig. 9c), Chens predictions are less accurate lower than those of Chen and Liu, whereas MO
than those of the elementary MO solution. In the same predictions are very high (i.e., unconservative)especially
extreme conditions, the proposed solution becomes ex- for friction angles above 37 . Given the sensitivity of
ceedingly conservative, exceeding MO predictions by passive pressure analyses, the performance of the proposed
about 35%. Note that whereas the MO and the proposed method is deemed satisfactory.
solution break down in the slope stability limit, Chens An interesting comparison is presented in Fig. 10b:
solution allows for spurious mathematical predictions of average predictions from the two closed-form solutions
active thrust beyond the limit, as evident in Fig. 9d. Fourth, (MO solution and proposed stress solution) are plotted
with the exception of the aforementioned extreme cases, against the rigorous numerical results of Chen and
Chens and MO predictions remain close over the whole Liu [31]. Evidently, in the range of most practical interest
range of parameters examined. The improvement in the 30 ofo40 , the discrepancies in the results have been
predictions of the former over the latter is marginal. drastically reduced. This suggests that the limit equilibrium
Results for seismic passive pressures (resistances) are (kinematic) MO solution and the proposed static solution
shown in Fig. 10 for the common case of a rough vertical overestimate and underestimate, respectively, passive
wall with horizontal backll. Comparisons of the proposed resistances by the same amount in the specic range of
 ARTICLE IN PRESS
G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969 965

1 2 1 2
KAE=PAE/ ( H ) KAE=PAE/ ( H )
Coefficient of Seismic Active Earth Pressure, KAE
0.7 2 2
0.6
 = = 0 ; = 2/3  = = 0 ; = 40

0.6
H ah H ah
0.5
PAE PAE

0.5

KAE cos
0.30
0.4

0.4 0.20

0.10 0.3
0.3 =0 /2
ah = 0 = =

0.2
0.2
M - O Analysis M - O Analysis
Kinematic Limit Analysis (Chen & Liu 1990) Kinematic Limit Analysis (Chen & Liu 1990)
Proposed Stress Limit Analysis Proposed Stress Limit Analysis
0.1 0.1
25 30 35 40 45 0.0 0.1 0.2 0.3 0.4
Friction Angle,  Horizontal Seismic Coefficient, ah

1.0 1.6
1 1 2
KAE= PAE/ ( H2) KAE=PAE/ ( H )
Coefficient of Seismic Active Earth Pressure, KAE
Coefficient of Seismic Active Earth Pressure, KAE

2 slope
2
1.4 stability
= 40;ah = 0.20 ;  = / 2 = 40; = 0 ;  = / 2 limit
0.8
1.2

ah
H ah
1.0 H
0.6 PAE PAE

0.8
15

0.4 = / 2
= 0 0.6
/3
15
0.4 0
0.2

M - O Analysis 0.2 M - O Analysis

Kinematic Limit Analysis(Chen & Liu 1990) Kinematic Limit Analysis (Chen & Liu 1990)
Proposed Stress Limit Analysis Proposed Stress Limit Analysis
0.0 0.0
-20 -10 0 10 20 0.0 0.1 0.2 0.3 0.4
Slope Angle of Backfill,  Horizontal Seismic Coefficient, ah

Fig. 9. Comparison of active seismic earth pressures predicted by different methods, for different geometries, material properties, and acceleration levels;
f 40 , av 0 (modied from Chen and Liu [31]).

properties. Accordingly, this averaging might be warranted 3.1. Distribution of earth pressures on the wall: analytical
for design applications involving passive pressures. findings
Results for the earth pressure coefcient due to
surcharge K qE (Eq. (23)) are presented in Fig. 11, for both Mention has already been made that in the realm
active and passive conditions involving seismic action. The of pseudo-dynamic analysis, there is no fundamental
agreement between the stress solution and the numerical physical difference between gravitational and seismic earth
results of Chen and Liu [31] is excellent in the whole range pressures. Eqs. (4) indicate that stresses in the soil vary
of parameters examined (except perhaps for active linearly with depth (stress fan does not alter this
pressures, where ah 0:3). As expected, MO solution dependence), which implies that both gravitational and
performs well for active pressures, but severely over- seismic earth pressures vary linearly along the back of wall.
estimates the passive. In the absence of surcharge, the distribution becomes
 ARTICLE IN PRESS
966 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969

25 25
a b

Coefficient of Seismic Passive Earth Pressure, K PE

20 H PPE ah 20 H PPE ah

ah = 0
-0.1
1 1
KPE=PPE/ ( H2) -0.2 KPE=PPE/ ( H2)
2 2
15 -0.3 15
ah = 0
Mononobe -Okabe
= 0, = 0 -0.1
(ah=0)  = 2 / 3 -0.2
-0.3
10 10

5 5

Kinematic Limit Analysis (Chen & Liu1990) Kinematic Limit Analysis (Chen & Liu1990)
Proposed Stress Limit Analysis Average of M-O & Proposed Stress Limit Analysis
0 0
25 30 35 40 45 25 30 35 40 45
Angle of Internal Friction,  Angle of Internal Friction, 

Fig. 10. Comparison of results for passive seismic resistance on a rough wall predicted by various methods (modied from Chen and Liu [31]).

20
q
0.7
aq aq

P ah = 0
H = = 0o H = = 0o
0.6 0.1
P 15
=2/3 =2/3 0.2
0.3

0.5
K AE = PAE / q H

K PE = PPE / q H

0.3

Mononobe - Okabe
10 (ah = 0)
0.4 0.2
q

0.1

0.3 ah = 0
5

0.2

Kinematic Limit Analysis (Chen & Liu 1990) Kinematic Limit Analysis (Chen & Liu 1990)
Proposed Stress Limit Analysis Proposed Stress Limit Analysis
0.1 0
25 30 35 40 45 25 30 35 40 45

Friction Angle, o Friction Angle, o

Fig. 11. Variation of K AEq and K PEq values with fangle for different acceleration levels.

proportional with depth, as in the Rankine solution. 4. Discussion: simplicity and symmetry
Accordingly, the point of application of seismic thrust is
located at a height of H=3 above the base of the wall. It is It is instructive to show that the proposed solution can
well known from experimental observations and rigorous be derived essentially by inspection, without tedious
numerical solutions, that this is not generally true. The algebraic manipulations as in the classical equations.
source of the difference lies in the distribution of inertial Indeed, basis of Eq. (12) is the familiar Rankine ratio
forces in the soil mass (which is often sinusoidal like 1  sin f=1  sin f. The terms cosD2  d and cosD1 
following the time-varying natural mode shapes of the b in the numerator and denominator of the expression
deposit), as well as the various kinematic boundary reect the fact that stresses sb and sw are not principal.
conditions (wall exibility, foundation compliance, pre- Both terms involve the same double signs as their multi-
sence of supports). Studying the above factors lies beyond pliers ( sin f and  sin f, respectively). Angle b and
the scope of this article, and like will be the subject of a associated angle D1 have to be in the denominator, as an
future publication. Some recent developments are provided increase in their value must lead to an increase in active
in the Master thesis of the second author [39] as well as in thrust. The exponential term is easy to remember and
Refs. [11,1618,37,38]. involves the same double sign as the other terms in the
 ARTICLE IN PRESS
G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969
numerator. With reference to the factors outside the
p average between the predictions of the MO solution
brackets, 1= cos d 1 tan2 d stands for the vectorial
sum of shear and normal tractions at the wallsoil
interface. Factor cos b arises from the equilibrium of the
innite slope in Eq. (4a). Finally, coso  b=cos2 o is a
geometric factor arising from the integration of stresses
along the back of the wall, and is associated with the
inclination of the wall and backll.
In light of the above, the solution for gravitational
pressures can be expressed by the single equation
coso  b cos b
Kg
cos d cos o
2
 holds even when PE and P are rigorous upper or lower
1  sin f cosD2  d
 exp2y tan f, 26
1 sin f cosD1 b
which is valid for both active conditions (using positive
values for f and d and passive conditions (using negative
values for f and d. It is straightforward to show that this
property is not valid for the MononobeOkabe solutions in
Eq. (4). The lack of symmetry in the limit equilibrium
solutions can be attributed to the maximization and
minimization operations involved in deriving the limit
thrusts. An application example elucidating the simplicity
of the solution is provided below.
5. Conclusions
A stress plasticity solution was presented for determining
gravitational and earthquake-induced earth pressures on
gravity walls retaining cohesionless soil. The proposed
solution incorporates idealized, yet realistic wall geometries
and material properties. The following are the main
conclusions of the study:
(1) The proposed solution is simpler than the classical
Coulomb and MononobeOkabe equations. The main
features of the mathematical expressions, including
signs, can be deduced by physical reasoning, which is
hardly the case with the classical equations. Also, the
proposed solution is symmetric with respect to active
and passive conditions, as it can be expressed by a
single equation with opposite signs for soil friction
angle and wall roughness.
(2) Extensive comparisons with established numerical
solutions indicate that the proposed solution is safe,
as it overestimates active pressures and under-predicts
the passive. This makes the method appealing for use in
practical applications.
(3) For active pressures, the accuracy of the solution is
excellent (maximum observed deviation from numerical
data is about 10%). The largest deviations occur for
high seismic accelerations, high friction angles, steep
backlls, and negative wall inclinations.
(4) For passive resistances, the predictions are also
satisfactory. However, the error is largerespecially
at high friction angles. Nevertheless, the improvement
over the MO predictions is dramatic. Taking the
967
and the proposed stress solution (both available in
closed forms) yields results which are comparable to
those obtained from rigorous numerical solutions.
(5) The pseudo-dynamic seismic problem can be deduced
from the corresponding static problem through a
revolution of the reference axes by the seismic angle
ce (Fig. 5). This similarity suggests that the Coulomb
and MO solutions are essentially equivalent.
(6) Contrary to the overall gravitational-seismic thrust PE ,
the purely seismic component DPE PE  P cannot be
put in the context of a lower or an upper bound. This
bounds.
(7) In the realm of the proposed model, the distribution of
earth pressures on the back of the wall is linear with
depth for both gravitational and seismic conditions.
This is not coincidental given the similarity between the
gravitational and pseudo-dynamic problem.
It should be emphasized that the verication of the
proposed solution was restricted to analyticalnot experi-
mental results. Detailed comparisons against experimental
results, including distribution of earth pressures along the
wall, will be the subject of a future publication.
Acknowledgments
The authors are indebted to Professor Dimitrios
Atmatzidis for his constructive criticism of the work.
Thanks are also due to two anonymous reviewers whose
comments signicantly improved the original manuscript.
Appendix A. Application example
Active and passive earth pressures will be computed for a
gravity wall of height H 5 m, inclination o 5 and
roughness d 20 , retaining an inclined cohesionless
material with f 30 , g 18 kN=m3 and b 15 , sub-
jected to earthquake accelerations ah 0:2 and av 0. The
static counterpart of the problem has been discussed by
Powrie [35].
The inclination of the resultant body force in the backll
is obtained from Eq. (1):
ce arctan0:2 11:3 . (A.1)
The two Caquot angles are determined from Eqs. (6), (9)
and (15) as
D1 sin1 sin15 11:3= sin 30 62:4 , (A.2)
D2 sin1 sin20= sin 30 43:2 . (A.3)
The angle separating the major principal planes in regions
A and B is computed from Eq. (21):
2yE 43:2  62:4 20 15  2  5  11:3 45:5 .
(A.4)
 ARTICLE IN PRESS
968 G. Mylonakis et al. / Soil Dynamics and Earthquake Engineering 27 (2007) 957969

Based on the above values, the earth pressure coefcient is References

obtained from Eq. (21):
cos5  15 cos15 11:3
K AEg
cos 11:3 cos 20 cos 5
2 Memoires de mathematique et de physique. Presentes a l academie
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PAE 12 0:82  18  52 185 kN=m.
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For the gravitational problem, the corresponding
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sign in front of product tan b  tan d should be minus
one. (3) Powries equation does not encompass factor
coso  b= cos o cos b arising from the integration of
stresses on the back of the wall.
For the passive case, the corresponding parameters are:
ce Arctan0:2 11:3 ,
D1 sin1 sin15  11:3= sin 30 7:4 ,
2yE 43:2 7:4 20 15  2  5 11:3 86:9 .
The passive earth pressure coefcient and resistance are
obtained from Eqs. (21) and (11):
cos5  15 cos15  11:3
K PEg
cos 11:3 cos 20 cos 5
2
 2001;21(4):33964.
1 sin 30 cos43:2 20

1  sin 30 cos7:41  15  11:3
 p  ing. Balkema; 1995. p. 100110.
 exp 2yE tan 30 6:31,
180
PPE 12  6:31  18  52 1420 kN=m. (A.11)
The MO and ChenLiu solutions predict K PEg 10:25
and 8.01, respectively. Note that the average of the two
closed-form solutions, 10:25 6:31=2 8:28, is very
close to the more rigorous result by Chen and Liu.
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