Earth Retaining Structures
• Earth retaining structures are common in a man-
Lateral Earth Pressure – Theories of
Rankine and Coulomb
Lecture No. 15
November 12, 2002
Definition of Key Terms
• Active earth pressure coefficient (Ka): It is the
ratio of horizontal and vertical principal effective
stresses when a retaining wall moves away (by a
small amount) from the retained soil.
• Passive earth pressure coefficient (Kp): It is
the ratio of horizontal and vertical principal
effective stresses when a retaining wall is forced
against a soil mass.
• Coefficient of earth pressure at rest (K0): It is
the ratio of horizontal and vertical principal
effective stresses when the retaining wall does not
move at all, i.e. it is “at rest”.
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made environment.
• These structures were amongst the first to be
analyzed using the concepts of mechanics.
• One of the most popular earth retaining structure is
a retaining wall.
• In this lecture, we’ll learn the theory of earth
pressure that is used to analyze the stability of
retaining walls.
• It will help you a great deal if you revised the
following important concepts:
– Static equilibrium, Effective Stress, Mohr’s Stress Circle
and Shear Strength of Soils
Lateral Earth Pressure – Basic Concepts
• We will consider the lateral pressure on a vertical
wall that retains soil on one side.
• First, we will consider a drained case, i.e. the
shear strength of the soil is governed by its angle
of friction φ.
• In addition, we will make the following
assumptions:
– The interface between the wall and the soil is frictionless.
– The soil surface is horizontal and there are no shear
stresses on horizontal and vertical planes, i.e. the
horizontal and vertical stresses are principal stresses.
– The wall is rigid and extends to an infinite depth in a
dry, homogenous, isotropic soil mass.
– The soil is loose and initially in an at-rest state.
 Basic Concepts (Continued..) Active Failure
• Consider the wall shown in the
• If the wall is moved away
figure on the top right. If no
movement of the wall takes from element A and
place, the soil is at rest and the towards element B, the
vertical and horizontal effective effective horizontal stress in
stresses acting on elements A
and B are:
τ element A will reduce but τ
the effective vertical stress
σ ′z = σ 1′ = γ′z will remain constant.
φ φ
σ ′x = σ ′3 = K 0σ 1′ = K 0 γ′z • Therefore, the Mohr’s circle
will expand as shown in the
K0 – Coefficient of Earth
figure at the bottom right.
Pressure at rest σ’x σ’z σ’z
• Mohr’s circle for the at-rest σ’ • When the Mohr’s circle σ’
stress state is shown in the touches the failure surface, σ’xf
figure on the bottom right. element A will undergo
• Since the soil is not at failure, the Mohr’s circle stays within active failure.
the failure surface boundaries. 5 6

Active Earth Pressure Coefficient (Ka) Passive Failure

τ
• Considering triangle OFC in
the figure on the right:
τ •Since the
wall is
Mohr’s circle at Passive Failure
φ
(σ ′zf − σ ′xf ) 2
moved
sinφ = (σ ′zf − σ ′xf ) (σ ′zf + σ ′xf ) φ towards B,
F
• Rearranging the above its effective
equation, we can obtain an horizontal
O C
expression for the active σ’zf stress will
earth pressure coefficient σ’ increase but σ’x σ’xf
σ’xf
(Ka) as: the effective σ’zf σ’
vertical
(σ ′zf + σ ′xf ) 2 stress will
σ ′xf  1 - sinφ 
=  = Ka remain
σ ′zf  1 + sinφ  constant.
•Hence, the Mohr’s circle will first contract and then
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expand as shown in the figure. 8
 Passive Earth Pressure Coefficient (Kp) Slip Planes for Active and Passive Failure
τ τ Element B φ
• Considering triangle OFC in the φ Element A φ θp = 45 −
figure on the right: 2
F
sinφ = (σ ′xf − σ ′zf ) (σ ′zf + σ ′xf ) [w.r.t. horizontal]

• The above
equation
(σ ′xf − σ ′zf ) 2 (90 + φ)
(90 – φ)
can be θp
rearranged O C σ’xf
O
to obtain an
expression
σ’x σ’zf σ’ σ’zf σ’
for the Pole for
passive
θa Pole for
earth
(σ ′zf + σ ′xf ) 2 active passive
failure failure
pressure
coefficient σ ′xf  1 + sinφ  1 φ
(Kp) as:
=   = Kp = θa = 45 + [w.r.t. horizontal]
σ′ zf  1 - sinφ  Ka 9 2 10

Slip Planes (Continued..) Required Horizontal Movement

• Much larger
rotation is
required to
produce slip
planes for
passive
failure as
compared
to the
active
failure as
• There are always two sets of slip planes – one for shown in
positive shear stress and the other for negative • The soil mass at the back of the wall is
the figure
shear stress. assisting in failure while the soil mass
on the left.
in the front of the wall is resisting
11 failure. 12
 Variation of Lateral Earth Pressure with Depth Lateral Stresses due to Groundwater
• If groundwater is present,
the pore water pressure
must be added to the lateral
earth pressure. z
Pw zw
• DO NOT multiply the pore
water pressure with a zw/3
coefficient of earth pressure.
• If the groundwater table is γwzw
located at a height zw from • The lateral force P
w
the bottom of the wall, the due to groundwater
• Since the vertical effective stress varies linearly with depth, the
active, the lateral earth pressure also vary linearly with depth.
hydrostatic pore water is given by:
• Only in case of a surcharge (figure(d)), the lateral earth pressure is given by:
2
pressure is constant with depth. Pw = 12 γwz w
• A vertical wall retaining saturated soil on one side must resist u = γw (z − z w )
both lateral earth pressure and hydrostatic pressure. 13 14

Lateral Stresses due to Surcharge Lateral Earth Pressure – An Example

• Surface stresses, such as a
uniform surcharge qs as
shown in the figure on the
right, also impose lateral
earth pressures on retaining
walls.
• Depending on whether the
retained soil is under active,
at-rest or passive condition,
a uniform surcharge qs will • The lateral force Pq
impose a uniform lateral
earth pressure of Kqs where is given by:
K is the earth pressure
coefficient.
qs • Determine the active lateral qs = 50 kPa
earth pressures on the
frictionless wall shown in the
Pq figure. The retained soil γsat = 20 kN/m3
z
carries a uniform surcharge of φ’ = 30°
50 kPa at the surface. 5m
z/2
Calculate the resultant lateral
force per meter length on the
Kqs wall and its location from the
base of the wall. The
due to the surcharge groundwater within the
retained soil is at hydrostatic
condition. [This example will be solved during the class.]
Pq = K ⋅ qs ⋅ z
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 Lateral Earth Pressure – Key Points
• The lateral earth pressures on retaining walls are
related directly to the vertical effective stress
through the active (Ka) , at-rest (K0) and
passive (Kp) earth pressure coefficients.
• Ka < K0 < Kp and Ka = 1/Kp.
• Only a small movement of the wall away from the
soil is required to mobilize full active earth
pressure in the soil mass.
• Substantial movement of the wall towards the
soil is required to mobilize full passive earth
pressure in the soil mass.
• Rankine’s earth pressure coefficients are only
applicable to a frictionless, vertical, rigid wall
retaining a homogenous soil with a horizontal
ground surface.
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Coulomb’s Theory (Continued..)
• Let us consider a vertical,
frictionless wall of height
H, supporting a dry,
homogenous soil mass
with an angle of internal
friction φ, as shown in the
figure on the top right.
• The forces acting on the
soil wedge above the slip
plane are shown in the
figure on the bottom
right.
• For a dry soil, γ’ = γ.
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Coulomb’s Earth Pressure Theory
• Coulomb (1776) proposed that a condition of limit
equilibrium exists in the soil mass retained behind
a vertical wall and that the retained soil mass will
slip along a plane inclined at an angle θ to the
horizontal.
• The critical slip plane is the one which gives the
maximum lateral pressure on the wall.
• Limit equilibrium describes the state of a soil
mass that is on the verge of failure, i.e. the
applied stresses are equal to the available
strength along the slip plane.
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Coulomb’s Theory (Continued..)
• Consider the force
equilibrium of the soil
wedge in the x- and z-
directions:
∑F x = Pa + Tcosθ − Nsinθ = 0
∑F z = W − Tsinθ − Ncosθ = 0
where T = N.tanφ and W = ½γ
N.tanφ cotθ
½γH02cotθ
• Solving for Pa, we get: Pa = 12 γH20cotθ ⋅ tan(θ − φ )
• Differentiating the above expression w.r.t. θ and
equating the derivative to zero, we can obtain
critical value of θ that gives maximum Pa:
φ  φ
θ = θcr = 45o + Pa = 12 γH20tan2  45o -  = 12 K a γH20
2  2 20
 Coulomb’s Theory (Continued..)
• The expression for lateral force due to active earth
pressure is the same as that obtained earlier using
stress equilibrium considerations (Mohr’s circle).
• The solution obtained using a limit equilibrium
analysis always results in a failure load that is
greater than the true failure load. This solution
is called an upper bound or an unsafe solution.
• The main reason for this is that the soil will always
be able to choose a failure mechanism that is more
efficient than the assumed failure mechanism
(shape and location of slip plane).
• The accuracy of a limit equilibrium analysis
depends on how realistic the chosen mechanism is.
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Rough Wall and Sloping Backfill
• Poncelet (1840) used
Coulomb’s limit equilibrium
approach to obtain the
active and passive earth
pressure coefficients for
cases where
– wall friction δ is present
– wall face inclined at an angle
η to the vertical, and
– the backfill is sloping at an
angle β to the horizontal
• Following Coulomb’s approach, Poncelet also used a
linear slip plane inclined at an angle θ with respect
to the horizontal.
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Coulomb’s Theory (Continued..)
• On the other hand, an analysis from the
consideration of static equilibrium of stresses
usually results in a failure load smaller than the
true failure load. Such a solution is called a
lower bound or safe solution.
• For the fortuitous case when both these analyses
give the same solution, we have a true solution.
• In general, Coulomb’s earth pressure theory gives
an upper bound estimate and Rankine’s theory
gives a lower bound estimate of lateral earth
pressure.
• For a vertical, frictionless, rigid wall retaining a
horizontal homogenous soil mass, both these
theories give the same solution.
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Rough Wall and Sloping Backfill (Continued..)
• Following expressions for active and passive earth
pressure coefficients were obtained by Poncelet:
cos2 (φ − η)
K aC =
2
 sin(φ + δ )sin(φ − β ) 
cos2ηcos(η + δ )1 + 
 cos(η + δ )cos(η − β ) 
cos2 (φ + η)
KpC =
2
 sin(φ + δ )sin(φ + β ) 
cos ηcos(η − δ )1 +
2

 cos(η − δ )cos(η − β ) 
• Unlike the Rankine earth pressure coefficients, KaC
is not equal to 1/KpC.
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 Rough Wall and Sloping Backfill (Continued..) Error due to Curvature of Slip Plane
• The critical inclination of the slip plane w.r.t. the • The curvature of the slip
horizontal is given by: surface for the active state is
small in comparison with that Pa
 1 sinφ ⋅ cosδ 
θ = tan 
−1
± tanφ  for the passive state as shown
 cosφ sin(φ + δ )  δ
in the figure.
• In the above expression, positive sign refers to the • For the active condition, the
active condition (θa) and the negative sign refers to error is negligibly small. Active Condition
the passive condition (θp). • However, the value of the
• Please note that the presence of wall friction passive earth pressure
results in a curved slip plane for both the active coefficient is overestimated.
and the passive condition and therefore, Poncelet’s δ Pp
• For the passive condition, the
coefficients are not 100% accurate. error is small only if δ<φ/3. In
practice, however, δ is
Passive Condition
generally greater than φ/3.
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