CE304-

GEOTECHNOLOGY
EARTH PRESSURE
4 March 2019- UZ Dept. of
Civil Engineering
Eng. S. Shumba 1
 EARTH PRESSURE (Craig, 2007;
Smith and Smith,1998)
• An earth retaining wall in equilibrium resists horizontal pressure.
• Pressure at any point in a fluid is the same in all directions. Lateral
pressure on a vertical surface retaining water = 𝜸wh where h is the head
of water above the point considered.
• PRESSURE DIAGRAM on board
• The figure shows the lateral pressure diagram on a wall of height H
retaining water.
• Total force per unit length of the wall will be equal to the area of the
pressure diagram, P=1/2 𝜸wh2 and this force will act at the centroid of
the pressure diagram i.e 2/3 H from the surface.

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 • In the case of soil, which unlike water, possesses resistance
to shearing, the lateral pressure at any point will not be the
same as the vertical pressure at that point.
• The lateral pressure will vary depending on whether the
soil is free to move laterally or is subjected to a lateral
compressive force.
• For designing of soil retaining structures the magnitude of
the lateral pressures to which the structure is subjected is
determined.
• Conditions of plane strain are assumed, i.e. strains in the
longitudinal direction of the structure are assumed to be
zero.
• Earth pressure problems can thus be considered as
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 • The stress–strain behaviour of the soil can be represented by
the rigid–perfectly plastic idealization, shown below, in which
both yielding and shear failure occur at the same state of
stress: unrestricted plastic flow takes place at this stress level.
• A soil mass is said to be in a state of plastic equilibrium if
the shear stress at every point within the mass reaches the
value represented by point Y‫׳‬.

Idealized stress–strain relationship

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 • Plastic collapse occurs after the state of plastic equilibrium has
been reached in part of a soil mass, resulting in the formation
of an unstable mechanism: that part of the soil mass slips
relative to the rest of the mass. The applied load system,
including body forces, for this condition is referred to as the
collapse load.
• The limit theorems of plasticity can be used to calculate lower
and upper bounds to the true collapse load. In certain cases,
the theorems produce the same result which would then be the
exact value of the collapse load.
• Lateral earth pressure represents pressures that are “to the
side” (horizontal) rather than vertical.
• Calculating lateral earth pressure is necessary in order to design
structures such as: retaining walls, bridge abutments,
bulkheads, temporary earth support systems
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 Applications of Retained Soil

• (a) restraint of unstable soil mass, (b) creation of elevated ground, (c)
creation of underground space, (d) temporary excavations
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 Categories of Lateral Earth Pressure
• Three categories of lateral earth pressure depending upon
the movement experienced by the vertical wall on which the
pressure is acting: at rest, active and passive earth pressure.

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 • The at rest pressure develops when the wall experiences no
lateral movement. This typically occurs when the wall is
restrained from movement such as a basement wall that is
supported at the bottom by a slab and at the top by a floor
framing system prior to placing soil backfill against the wall.
• The active pressure develops when the wall is free to move
outward such as a typical retaining wall and the soil mass
stretches sufficiently to mobilize its shear strength.
• On the other hand, if the wall moves into the soil, then the soil
mass is compressed sufficiently to mobilize its shear strength
and the passive pressure develops. This situation might occur
along the section of wall that is below grade and on the
opposite side of the wall from the higher section.
• Some engineers use the passive pressure that develops along 8
this buried face as additional restraint to lateral movement.
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 • In order to develop the full active pressure or the full passive
pressure, the wall has to move.
• If the wall does not move a sufficient amount, then the full
pressure will not develop.
• If the full active pressure does not develop behind a wall, then
the pressure will be higher than the expected active pressure.
• Significant movement is necessary to mobilize the full passive
pressure.
• The at rest condition is shown where the wall rotation is equal
to 0, which is the condition for zero lateral strain.
• As the wall moves away from the soil backfill the active
condition develops and the lateral pressure against the wall
decreases with wall movement until the minimum active earth
pressure force (Pa) is reached. 3/4/2019 9

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 • As the wall moves toward (into) the soil backfill the passive condition
develops and the lateral pressure against the wall increases with wall
movement until the maximum passive earth pressure (Pp) is reached.
• The intensity of the active / passive horizontal pressure, which is a function
of the applicable earth pressure coefficient, depends on wall movement as
the movement controls the degree of shear strength mobilized in the
surrounding soil.
• Lateral earth pressure is related to the vertical earth pressure by a coefficient
termed the:
• At Rest Earth Pressure Coefficient (Ko)
• Active Earth Pressure Coefficient (Ka)
• Passive Earth Pressure Coefficient (Kp)
• The lateral earth pressure is equal to vertical earth pressure times the
appropriate earth pressure coefficient.

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 CLASSICAL THEORIES
OF EARTH PRESSURE
• The Rankine Theory assumes:
1. There is no adhesion or friction between the wall and soil
2. Lateral pressure is limited to vertical walls
3. Failure (in the backfill) occurs as a sliding wedge along an
assumed failure plane defined by φ.
4. Lateral pressure varies linearly with depth and the
resultant pressure is located one-third of the height (H)
above the base of the wall.
5. The resultant force is parallel to the backfill surface.
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 • The Coulomb Theory (1776)is similar to
Rankine (1857)except that:
1. There is friction between the wall and soil and takes
this into account by using a soil-wall friction angle of
δ. Note that δ ranges from φ/2 to 2φ/3 and δ =
2φ/3 is commonly used.
2. Lateral pressure is not limited to vertical walls
3. The resultant force is not necessarily parallel to the
backfill surface because of the soil-wall friction value
δ.

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 • NB: For the Coulomb case shown above with no soil-wall
friction (i.e. δ = 0) and a horizontal backfill surface, both the
Coulomb and Rankine methods yield equal results.
• NB: As the soil becomes stronger the friction value (φ)
increases. The active pressure coefficient decreases, resulting
in a decrease in the active force and the passive
• pressure coefficient increases, resulting in an increase in the
passive force.
• NB: As the soil increases in strength (i.e. friction value
increases) there is less horizontal pressure on the wall in the
active case.

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 Lower Bound Theorem
• If a state of stress can be found, which at no point exceeds
the failure criterion for the soil and is in equilibrium with a
system of external loads (which includes the selfweight of the
soil), then collapse cannot occur; the external load system thus
constitutes a lower bound to the true collapse load (because a
more efficient stress distribution may exist, which would be in
equilibrium with higher external loads).
• In the lower bound approach, the conditions of equilibrium
and yield are satisfied without consideration of the mode of
deformation.
• The Mohr–Coulomb failure criterion is also taken to be the
yield criterion.

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 Upper bound theorem
• If a mechanism of plastic collapse is postulated and if, in an
increment of displacement, the work done by a system of
external loads is equal to the dissipation of energy by the
internal stresses, then collapse must occur; the external load
system thus constitutes an upper bound to the true collapse
load (because a more efficient mechanism may exist
resulting in collapse under lower external loads).
• In the upper bound approach, a mechanism of plastic
collapse is formed by choosing a slip surface and the work
done by the external forces is equated to the loss of energy
by the stresses acting along the slip surface, without
consideration of equilibrium.
• Lateral pressure calculations are normally based on the
classical theories of Rankine or Coulomb and these theories
can be related to the concepts of plasticity.
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 Fig.1

Fig. 2

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 STATE OF PLASTIC EQUILIBRIUM
• Soils are classified as either granular or cohesive.
• Granular soils (cohesionless) are formed from loose particles
without strong interparticle forces e.g sands and gravels.
• Cohesive soils e.g clays and clayey silts are formed from
particles bound together with clay minerals.
• A state of plastic equilibrium exists in a soil mass when every
part of it is just on the point of failing in shear i.e the particles
are on the point of moving relative to one another.

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 RANKINE’S THEORY OF
EARTH PRESSURE (1857)
• Considers the state of stress in a soil mass when the condition
of plastic equilibrium has been reached, i.e. when shear failure
is on the point of occurring throughout the mass.
• Satisfies the conditions of a lower bound plasticity solution.
• The Mohr circle representing the state of stress at failure in a
two-dimensional element is shown in Fig. 3 and 4, the relevant
shear strength parameters being denoted by c and Ф.
• Shear failure occurs along a plane at an angle of (45⁰+Ф/2)
to the major principal plane.

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 STATE OF PLASTIC EQUILIBRIUM

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Fig. 3(a)
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 MOHR DIAGRAM

Fig. 3(b) 20

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 3/4/2019 Fig. 3(c) 21

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STATE OF PLASTIC EQUILIBRIUM
cont.

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Fig. 4
 State of Plastic Equilibrium cont.
• If the soil mass as a whole is stressed such that the principal
stresses at every point are in the same directions then,
theoretically, there will be a network of failure planes
(known as a slip line field) equally inclined to the principal
planes, as shown in Fig. 4.
• NB: The state of plastic equilibrium can be developed only
if sufficient deformation of the soil mass can take place.

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 Active and passive Rankine states
• Consider now a semi-infinite mass of soil with a horizontal surface and
having a vertical boundary formed by a smooth wall surface extending to
semi-infinite depth, as shown in Fig. 5(a).
• Assumption: Soil is homogeneous and isotropic.
• A soil element at any depth z is subjected to a vertical stress 𝝈z and a
horizontal stress 𝝈x .
• No shear stresses exist on horizontal and vertical planes.
• The vertical and horizontal stresses, therefore, are principal stresses 𝝈1 and
𝝈3 .
• If the soil is in a state of active plastic eqm it is just on the point of failing
in shear and the Mohr’s Circle for this state will be tangantial to the line
representing the Coulomb’s shear strength equation for the soil.
• Condition is the Active Rankine State.
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 Active and Passive rankine States

Fig. 5 (a)
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 Active and Passive rankine States cont.

Fig. 5 (b1) Fig. 5 (b2) 26

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 • When the horizontal stress becomes equal to the active pressure the soil is
said to be in the active Rankine state, there being two sets of failure planes
each inclined at to the horizontal (the direction of the major
principal plane) as shown in Figure 5(b1).
• A movement of the wall away from the soil was considered.
• On the other hand, if the wall is moved against the soil mass, there will be
lateral compression of the soil and the value of will increase until a state
of plastic equilibrium is reached.
• For this condition, becomes a maximum value and is the major
principal stress .
• The stress , equal to the overburden pressure, is then the minor
principal stress, i.e.

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• The maximum value is reached when the Mohr circle
through the point representing the fixed value touches
the failure envelope for the soil.
• In this case, the horizontal stress is defined as the passive
pressure (pp) representing the maximum resistance of the
soil to lateral compression.

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• When the horizontal stress becomes equal to the passive
pressure the soil is said to be in the passive Rankine state,
there being two sets of failure planes each inclined at to
the vertical (the direction of the major principal plane) as
shown in Figure 5(b2).
• In the active case the soil is in a state of tension between the
surface and depth zo where pa=0.
• In practice, however, this tension cannot be relied upon to act
on the wall, since cracks are likely to develop within the
tension zone and the part of the pressure distribution
diagram above depth zo should be neglected.

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 ACTIVE PRESSURE
DISTRIBUTION

Fig. 5 (c)
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 PASSIVE PRESSURE
DISTRIBUTION

Fig. 5 (d)
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 ADDITIONAL PRESSURE
DUE TO SURCHARGE

Fig. 6
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 • If a uniformly distributed surcharge pressure of q per unit area acts
over the entire surface of the soil mass, the vertical stress at any
depth is increased to 𝜰Z + q, resulting in an additional pressure of Kaq
in the active case or Kpq in the passive case, both distributions being
constant with depth as shown in Figure 6.
• The corresponding forces on a vertical wall surface of height H are
KaqH and KpqH, respectively, each acting at mid-height.
• The surcharge concept can be used to obtain the pressure distribution in
stratified soil deposits. In the case of two layers of soil having different
shear strengths, the weight of the upper layer can be considered as a
surcharge acting on the lower layer. There will be a discontinuity in the
pressure diagram at the boundary between the two layers due to the
different values of shear strength parameters.

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 EFFECT OF WATER TABLE
POSITION
• If the soil below the water table is in the fully drained condition,
the active and passive pressures must be expressed in terms of
the effective weight of the soil and the effective stress
parameters cʹ and 𝝋ʹ.
• If the water table is at the surface and if no seepage is taking
place, the active pressure at depth z is given by:
where

• The hydrostatic pressure 𝜰w z due to the water in the soil pores must
be considered in addition to the active or passive pressure.
• For the undrained condition in a fully saturated clay, the active and
passive pressures are calculated using the parameter cu (𝝋u) (u being
zero) and the total unit weight 𝜰sat (i.e. the water in the soil pores is
not considered separately).
• The effect of the tension zone must be considered for this condition. 34

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 • In theory, a (dry) crack could open to a depth z0 of 2cu/𝜰sat
(Ka=0 for 𝝋u=0).
• Cracking is most likely to occur at the clay/wall interface where
the resistance to fracture is lower than that within the clay.
• If a crack at the interface were to fill with water (due to heavy
rainfall or another source of inflow), then hydrostatic pressure
would act on the wall.
• Thus the clay would be supported by the water filling the crack
to the depth (z0w) at which the active pressure equals the
hydrostatic pressure.
• Thus, assuming no surface surcharge:

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 • In the Rankine theory it is assumed that the wall
surface is smooth whereas in practice considerable
friction may be developed between the wall and
the adjacent soil, depending on the wall material.
• In principle, the theory results either in an
overestimation of active pressure and an
underestimation of passive pressure (i.e. lower
bounds to the respective ‘collapse loads’) or in
exact values of active and passive pressures.

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 References
1. Craig, R.F., 2004. Soil Mechanics 7th Edition. Spon Press,
Taylor and Francis Group, London and New York. ISBN
0-415-32702-4.
2. Knappett, J.A. and Craig, R.F., 2012. Craig’s Soil
Mechanics Eighth Edition. Spon Press, Tatlor & Francis.
London, United Kingdom. ISBN 978-0-415-56125-9
3. Smith, G.N. and Smith, I.G.N., 1998. Elements of Soil
Mechanics Seventh Edition. Blackwell Science Limited,
London, United Kingdom. ISBN 0-632-04126-9.

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 Thank
you
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