CSE30307 Soil Mechanics (Lateral Earth Pressure)

CSE30307 Soil Mechanics

for Civil Engineering
Dr. Andy YF Leung

Room ZS938
Tel: 2766 6064
Email: yfleung@polyu.edu.hk
http://www.cee.polyu.edu.hk/~leung_yf/
 CSE30307 Soil Mechanics (Lateral Earth Pressure)

• By the end of lecture, you will be able to

– estimate lateral earth pressures, for ‘at-rest’, ‘active’
and ‘passive’ conditions
– know the differences and applications of Rankine’s
theory and Coulomb’s theory of lateral earth
pressure
– know the key design considerations of retaining
walls.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Importance of lateral earth pressure

Nicoll Highway Collapse on 20 April, 2004

(Whittle & Davies, 2006)

 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Lateral earth pressure

• Estimation of total and effective vertical stresses are discussed in
Chapter 1:
𝑧
𝜎𝑣 = න 𝛾𝑏𝑢𝑙𝑘 𝑑𝑧
0

𝜎′𝑣 = 𝜎𝑣 − 𝑢 = 𝜎𝑣 − 𝛾𝑤 𝑧𝑤

• The horizontal stresses in the soil can be estimated using the

concept of earth pressure coefficient, K:
𝜎′ℎ
𝐾=
𝜎′𝑣
• When lateral strain in soil is zero (i.e. no horizontal movement), K is
referred to as K0, at-rest earth pressure coefficient.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

At-rest earth pressure coefficient

• The value of K0 is most commonly estimated
using the shear strength parameter, f’.
• For normally consolidated soils, using Jaky’s
formula:
𝐾0 = 1 − sin 𝜙′ 𝐾0 = 1 − sin 𝜙′

• For overconsolidated soils, K0 is also related to

the over-consolidation ratio (OCR):
′
𝐾0 = 1 − sin 𝜙 ′ 𝑂𝐶𝑅sin 𝜙
𝐾0 = 1 − sin 𝜙 ′ 𝑂𝐶𝑅0.5

(Mayne & Kulhawy, 1982)

𝐾0 = 1 − sin 𝜙 ′ 𝑂𝐶𝑅0.5
(Eurocode 7)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Overconsolidation ratio
• The overconsolidation ratio (OCR) describes the stress history of the
soil, which also affects its behaviour, such as in lateral pressure and
consolidation (Chapter 3).
Ground surface in the past
• OCR is defined as the maximum value Ground surface today (e.g.
of effective vertical stress in the past due to erosion)

divided by the present value.

𝜎′𝑣, 𝑚𝑎𝑥
𝑂𝐶𝑅 =
𝜎′𝑣0 s’v, 0
s’v, max

• If the present effective stress is the maximum that the soil has ever
experienced, then the soil is ‘normally consolidated’ (OCR = 1).
• If the effective stress in the soil in the past has been greater than
the present value, then the soil is ‘overconsolidated’ (OCR > 1).
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Active and passive conditions

• At-rest earth pressure is applicable when lateral strain is zero.
• In the case of an excavation with a retaining structure, there may be
lateral soil movement.
• If the retaining wall moves away from the soil, horizontal stress in
the soil reduces (active condition: Ka).
• If the retaining wall moves towards the soil, horizontal stress in the
soil increases (passive condition: Kp).
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Rankine’s theory of earth pressure

• Assumptions of Rankine’s theory:
– Plane strain condition
– Soil is rigid-perfectly plastic
– No friction between wall and soil
– Vertical retaining wall William John
Macquorn Rankine
(1820-1872)
active

passive
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Active and passive conditions

Active condition: Passive condition:

sh’ reduces until Mohr circle touches the sh’ increases until Mohr circle touches
failure criterion: unloading to failure the failure criterion: loading to failure

t t

s' s'

sh0’ sv0’ sh0’ sv0’

 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

State of plastic equilibrium

• Consider the soil with shear strength parameters c’ and f’.
• If the soil is stressed such that principal stress at every point are in
the same directions, there will be a network of failure planes.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Mohr-Coulomb failure criterion

• Based on the Mohr-Coulomb failure criterion, the principal effective
stresses (s’1 and s’3) can be related by the following:
𝜎1′ − 𝜎3′ /2
sin 𝜙′ = ′
𝑐 cot 𝜙 ′ + 𝜎1′ + 𝜎3′ /2
1 + sin 𝜙′ 2𝑐 ′ cos 𝜙′
𝜎1′ = 𝜎3′ +
1 − sin 𝜙′ 1 − sin 𝜙′

cos 𝜙′ 1 + sin 𝜙′ 𝜋 𝜙′
∵ = = tan +
1 − sin 𝜙′ 1 − sin 𝜙′ 4 2

𝜋 𝜙′ 𝜋 𝜙′
𝜎1′ = 𝜎3′ tan2 + ′
+ 2𝑐 tan +
4 2 4 2

• In active conditions, s3’ = sh’, s1’ = sv’

• In passive conditions, s3’ = sv’, s1’ = sh’
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Active and passive earth pressure coefficients

• Active condition:
𝜋 𝜙′ 𝜋 𝜙′ 1 − sin 𝜙′ 1 − sin 𝜙′
𝜎3′ = 𝜎1′ tan2 − ′
− 2𝑐 tan − ′
= 𝜎1 − 2𝑐′
4 2 4 2 1 + sin 𝜙′ 1 + sin 𝜙′

1 − sin 𝜙′
𝜎ℎ′ = 𝐾𝑎 𝜎𝑣′ − 2𝑐 ′ 𝐾𝑎 where 𝐾𝑎 =
1 + sin 𝜙′

• Passive condition:
𝜋 𝜙′ 𝜋 𝜙′ 1 + sin 𝜙′ 1 + sin 𝜙′
𝜎1′ = 𝜎3′ tan2 + + 2𝑐 ′ tan + = 𝜎3′ + 2𝑐′
4 2 4 2 1 − sin 𝜙′ 1 − sin 𝜙′

1 + sin 𝜙′
𝜎ℎ′ = 𝐾𝑝 𝜎𝑣′ + 2𝑐 ′ 𝐾𝑝 where 𝐾𝑝 =
1 − sin 𝜙′
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Effects of surcharge
• Surcharge loading on the ground surface leads to additional vertical
stress (and hence horizontal stress) in the soil.
• Active condition:
𝜎ℎ′ = 𝐾𝑎 (𝑞 + 𝛾𝑧) − 2𝑐 ′ 𝐾𝑎
• Passive condition:
𝜎ℎ′ = 𝐾𝑝 (𝑞 + 𝛾𝑧) + 2𝑐 ′ 𝐾𝑝

q
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Effects of water
• Above water table, u = 0 and sv’ = sv = gz
𝑝𝑎 = 𝐾𝑎 (𝑞 + 𝛾𝑧) − 2𝑐 ′ 𝐾𝑎
𝑝𝑝 = 𝐾𝑝 (𝑞 + 𝛾𝑧) + 2𝑐 ′ 𝐾𝑝

• Soil is saturated below water table. Pressure on a retaining wall

includes soil pressure and water pressure. For water table at the
ground surface,
– For drained condition, using effective stress analysis:
𝑝𝑎 = 𝐾𝑎 𝑞 + 𝛾 ′ 𝑧 − 2𝑐 ′ 𝐾𝑎 𝑢 = 𝛾𝑤 𝑧𝑤 water pressure
𝑝𝑝 = 𝐾𝑝 𝑞 + 𝛾 ′ 𝑧 + 2𝑐 ′ 𝐾𝑝 𝑢 = 𝛾𝑤 𝑧𝑤 considered separately

– For undrained condition, using total stress analysis (e.g.

saturated clay):
𝑝𝑎 = 𝐾𝑎 𝑞 + 𝛾𝑠𝑎𝑡 𝑧 − 2𝑐𝑢 𝐾𝑎 If fu = 0, Ka = 1

𝑝𝑝 = 𝐾𝑝 𝑞 + 𝛾𝑠𝑎𝑡 𝑧 + 2𝑐𝑢 𝐾𝑝 If fu = 0, Kp = 1
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example – active and passive earth pressure

The soil conditions adjacent to a sheet pile wall are given below, a
surcharge pressure of 50 kPa being carried on the surface behind the wall.
For soil 1, a sand above the water table, c’ = 0, f’ = 38o and g =18 kN/m3.
For soil 2, a saturated clay, c’ = 10kPa, f’ = 28o and gsat = 20kN/m3. Plot the
distributions of active pressure behind the wall and passive pressure in
front of the wall.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Tension cracks
• Under the active condition, the active pressure may be below zero
at shallow depths:

𝑝𝑎 = 𝐾𝑎 𝛾𝑧 − 2𝑐 𝐾𝑎 < 0 when 𝑧 < 𝑧0

• Tension cracks will open up when the pressure becomes zero.

• Depth of tension crack, z0, can be evaluated by:
2𝑐
𝑧0 =
𝛾 𝐾𝑎
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Rankine’s theory for sloping ground

pa sin 
pa
𝑝𝑎 𝑂𝐵 𝑂𝐵′ 𝑂𝐷 − 𝐴𝐷 pa cos 
𝐾𝑎 = = = =
𝜎𝑧 𝑂𝐴 𝑂𝐴 𝑂𝐷 + 𝐴𝐷

𝑂𝐷 = 𝑂𝐶 cos 𝛽
𝐴𝐷 = (𝑂𝐶 2 sin2 𝜙 − 𝑂𝐶 2 sin2 𝛽)
𝐴𝐷 = 𝐶𝐹 2 − 𝐶𝐷2 = 𝐴𝐶 2 − 𝐶𝐷2

cos 𝛽 − (cos2 𝛽 − cos 2 𝜙) OB’ = pa OA=sz

𝐾𝑎 =
cos 𝛽 + (cos2 𝛽 − cos 2 𝜙)
AD 2  AC 2  CD2
𝑝𝑎 = 𝐾𝑎 𝛾𝑧 cos 𝛽 pa sin 

pa cos 
cos 𝛽 + (cos 2 𝛽 − cos 2 𝜙) CD = OC sin
𝐾𝑝 =
cos 𝛽 − (cos 2 𝛽 − cos 2 𝜙) CF = OC sinf

𝑝𝑝 = 𝐾𝑝 𝛾𝑧 cos 𝛽 OA’ = pp
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Coulomb’s theory of earth pressure

• In Coulomb’s theory, friction between soil and wall is considered.
Also, the wall may be inclined.
• Consider the soil wedge ABC, which is in equilibrium under its own
weight (W), reaction to the force (P) between soil and the wall, and
the resultant reaction (Rs) on the failure plane.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Coulomb’s theory of earth pressure (active case)

• A large number of assumed curves (failure planes) of different
inclinations is considered to find the largest value of P, as the active
thrust.
2
sin(𝜉 − 𝜙 ′ )
sin 𝜉 𝑐𝑤
𝐾𝑎 = 𝐾𝑎𝑐 = 2 𝐾𝑎 1 +
𝑐′
sin 𝜙 ′ + 𝛿 ′ sin(𝜙 ′ − 𝛽)
sin(𝜉 + 𝛿 ′) +
sin(𝜉 − 𝛽)

𝑝𝑎 = 𝐾𝑎 𝛾𝑧 − 𝐾𝑎𝑐 𝑐

1
𝑃𝑎 = 𝐾𝑎 𝛾ℎ2 − 𝐾𝑎𝑐 𝑐 ′ ℎ
2

d‘: angle of shearing

resistance between
soil and wall.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Coulomb’s theory of earth pressure (passive case)

• In the passive case, similar procedures are adopted to obtain
minimum value of P, and hence Kp.

2
sin(𝜉 + 𝜙 ′ )
sin 𝜉 𝑐𝑤
𝐾𝑝 = 𝐾𝑝𝑐 = 2 𝐾𝑝 1 +
𝑐′
sin 𝜙 ′ + 𝛿 ′ sin(𝜙 ′ + 𝛽)
sin(𝜉 − 𝛿 ′) −
sin(𝜉 − 𝛽)
𝑝𝑝 = 𝐾𝑝 𝛾𝑧 + 𝐾𝑝𝑐 𝑐

• However, Coulomb’s theory Actual failure surface has log spiral shape, which
is different from Coulomb’s assumption:
neglects the curvature of the
actual failure surface, and
may lead to unconservative
estimates in the passive case.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Ka, Kp values commonly adopted in Hong Kong

(Geoguide 1)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Common types of retaining walls

(Geoguide 1)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Common types of retaining walls

Crib wall

(Geoguide 1) Gabion wall

 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Common types of retaining walls

Gabion wall
Crib wall
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Design considerations of retaining walls

(Geoguide 1)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Sliding failure
• Factor of safety against sliding, FS(sliding), is defined by:
σ 𝐹𝑟
𝐹𝑆(𝑠𝑙𝑖𝑑𝑖𝑛𝑔) =
σ 𝐹𝑑

SFr = sum of horizontal resisting forces

SFd = sum of horizontal driving forces

• Resisting forces mainly contributed by frictional resistance between

base of wall and the soil:
– 𝑉 tan 𝛿, where V = weight above wall base; d = angle of
shearing resistance between wall base and foundation soil
• Driving forces mainly due to the active thrust:
– 𝑃𝑎 if the active thrust is horizontal,
– 𝑃𝑎 cos 𝛼 if resultant force is inclined at angle a above horizontal
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Overturning failure
• Factor of safety against overturning, FS(overturning), is defined by:
σ 𝑀𝑟
𝐹𝑆(𝑜𝑣𝑒𝑟𝑡𝑢𝑟𝑛𝑖𝑛𝑔) =
σ 𝑀𝑜

SMr = sum of restoring moments

SMo = sum of overturning moments

• Restoring moment mainly contributed by

weights of the wall and soil (e.g. Pasina ),
multiplied by the moment arm.
• Overturning moment mainly contributed V
by active thrust, multiplied by the Pa cosa
moment arm.
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Bearing pressure
• Consider the foundation of a retaining wall with width B, under
total vertical load V, overturning moment SMo and restoring
moment SMr.

• Eccentricity of the resultant force R can

be represented by:
𝐵 Σ𝑀𝑟 − Σ𝑀𝑜
𝑒= −
2 𝑉
V
• The maximum and minimum bearing Pa cosa
pressures can be shown as:
R
B/2
𝑝𝑚𝑎𝑥 𝑉 6𝑒 pmin
𝑝𝑚𝑖𝑛 = 𝐵 1 ± 𝐵 pmax

e
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example – retaining wall design

Details of a cantilever retaining wall are shown in figure below, the water table
being below the base of the wall. The unit weight of the backfill is 17 kN/m3 and a
surcharge pressure of 10 kN/m2 acts on the surface. Characteristic values of the
shear strength parameters for the backfill are c’ = 0 and f’ = 36o. The angle of
friction between the base and the foundation soil is 27o. Is the design of the wall
satisfactory according to the traditional approach?
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example – retaining wall design

Horizontal Moment due

force to horizontal
force

Vertical Moment due

force to vertical
force
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example – retaining wall design (2)

• Details of a gravity retaining wall are shown in figure below, the unit weight of the
wall material being 23.5 kN/m3. The unit weight of the backfill is 18 kN/m3 and
design values of the shear strength parameters are c’ = 0 and f’ = 33o. The value of
d between wall and backfill and between wall and foundation soil is 26o. The
pressure on the foundation soil should not exceed 250 kN/m2. Is the design of the
wall satisfactory?
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example – retaining wall design (2)

Horizontal Moment due

force to horizontal
force

Moment due
Vertical to vertical
force force

𝜉
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Limit state design approach

• Ultimate limit state: a state at which a failure mechanism can form
in the ground or in the retaining wall.
• Serviceability limit state: a state at which specified serviceability
criteria are no longer met.
• Partial factors for loading and materials:
• Loading is multiplied by partial load factors:
𝐹𝑓 = 𝐹𝛾𝑓
• Material properties/strength are divided by material factors:
𝑋𝑓 = 𝑋/𝛾𝑚
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Limit state design approach

• Ultimate limit state:
– Load factors
𝐹𝑓 = 𝐹𝛾𝑓
– Material factors
𝑋𝑓 = 𝑋/𝛾𝑚
e.g.
𝑐′𝑓 = 𝑐′/𝛾𝑚
tan 𝜙′𝑓 = tan 𝜙′ /𝛾𝑚

(Geoguide 1)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Drainage system

Drainage system can significantly

reduce water pressure acting on
the retaining wall.

(Geoguide 1)
 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example of the influence of drainage system

Solution:
Comparison of thrusts/forces for 3 cases: (1) vertical drain, (2) inclined drain and
(3) no drain

Vertical drain Inclined drain No drain

Horizontal force PaH 105 kN/m 76kN/m 215kN/m

 At-rest, active and
Rankine’s theory Coulomb’s theory Retaining wall design
passive earth pressure

Example of the influence of drainage system