GEOTECHNICAL ENGINEERING – HANDOUTS 5

LATERAL EARTH PRESSURE

Retaining structures, such as retaining walls, basement walls, and

bulkheads, are commonly encountered in foundation engineering, and
they may support slopes of earth masses. Proper design and
construction of these structures require a thorough knowledge of the
lateral forces that act between the retaining structures and the soil
masses being retained. These lateral forces are caused by lateral earth
pressure. This chapter is devoted to the study of various earth pressure
theories.

Earth Pressure at Rest

Let us consider the mass of soil shown in Figure 11.1. The mass is
bounded by a frictionless wall AB that extends to an infinite depth. A soil
element located at a depth z is subjected to effective vertical and
horizontal pressures of and respectively. For this case, since the soil is
dry, we have

And

Where σo and σh =total vertical and horizontal pressures, respectively.
Also, note that there are no shear stresses on the vertical and horizontal
planes. If the wall AB is static—that is, if it does not move either to the
right or to the left of its initial position—the soil mass will be in a state
of elastic equilibrium; that is, the horizontal strain is 0. The ratio of the
effective horizontal stress to the vertical stress is called the coefficient
of earth pressure at rest, Ko, or
For coarse-grained soils, the coefficient of earth pressure at rest can be
estimated by the empirical relationship (Jaky, 1944)
Where Ø’ = drained friction angle.
For overconsolidated coarse-grained soil, Eq. (11.3) can be modified as
(Mayne and Kulhawy, 1982)

Since σ’O = γz, we have Where OCR = overconsolidation ratio. The overconsolidation ratio was
defined in previous Chapter as

For fine-grained, normally consolidated soils, Massarsch (1979)

suggested the following equation for Ko:
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For overconsolidated clays, the coefficient of earth pressure at rest can

be approximated as

The magnitude of Ko in most soils ranges between 0.5 and 1.0, with
perhaps higher values for heavily overconsolidated clays.
Figure 11.2 shows the distribution of earth pressure at rest on a wall of
height H. The total force per unit length of the wall, Po, is equal to the
area of the pressure diagram, so

Earth Pressure at Rest for Partially Submerged Soil

Figure 11.3a shows a wall of height H. The groundwater table is located
at a depth H1 below the ground surface, and there is no compensating
water on the other side of the wall. For z≤H 1, the total lateral earth
pressure at rest can be given as σ’h = Koγz. The variation of σ’h with
depth is shown by triangle ACE in Figure 11.3a. However, for z≥H1 (that
is, below the groundwater table), the pressure
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on the wall is found from the effective stress and pore water pressure
components in the following manner:

Where γ’ = γsat – γw =effective unit weight of soil. So, the effective

lateral pressure at rest is

The variation of σ’h with depth is shown by CEGB in Figure 11.3a. Again,
the lateral pressure from pore water is

The variation of u with depth is shown in Figure 11.3b.

Hence, the total lateral pressure from earth and water at any depth
z≥H1 is equal to

The force per unit length of the wall can be found from the sum of the
areas of the pressure diagrams in Figures 11.3a and b and is equal to

Or

Rankine’s Theory of Active and Passive Earth Pressures

The term plastic equilibriumin soil refers to the condition in which every
point in a soil mass is on the verge of failure. Rankine (1857)
investigated the stress conditions in soil at a state of plastic equilibrium.
This section deals with Rankine’s theory of earth pressure.

Rankine’s Active State

Figure 11.4a shows the same soil mass that was illustrated in Figure
11.1. It is bounded by a frictionless wall AB that extends to an infinite
depth. The vertical and horizontal effective principal stresses on a soil
element at a depth z are σ’O and σ’h respectively. As we saw in the
previous section, if the wall AB is not allowed to move at all, then σ’h =
Koσ’o. The stress condition in the soil element can be represented by the
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principal stress will decrease. Ultimately a state will be reached at which

the stress condition in the soil element can be represented by the
Mohr’s circle b, the state of plastic equilibrium, and failure of the soil will
occur. This state is Rankine’s active state, and the pressure σ’o on the
vertical plane (which is a principal plane) is Rankine’s active earth
pressure. Following is the derivation for expressing σ’a in terms of γ, z,
c’, and Φ’. From Figure 11.4b, we have

But

And

So

Or

Or

And

Substituting the above into the fifteenth equation, we get

Mohr’s circle a in Figure 11.4b. However, if the wall AB is allowed to

move away from the soil mass gradually, then the horizontal effective
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The variation of σ’a with depth is shown in Figure 11.4c. For

cohesionless soils, c’=0 and

The ratio of σ’a to σ’o is called the coefficient of Rankine’s active earth
pressure, Ka, or

Again, from Figure 11.4b, we can see that the failure planes in the soil
make ±(45 + Φ’/2)-degree angles with the direction of the major
principal plane—that is, the horizontal. These failure planes are called
slip planes. The slip planes are shown in Figure 11.4d.

Rankine’s Passive State

Rankine’s passive state is illustrated in Figure 11.5.ABis a frictionless
wall (Figure 11.5a) that extends to an infinite depth. The initial stress
condition on a soil element is represented by the Mohr’s circle a in
Figure 11.5b. If the wall is gradually pushed into the soil mass, the
effective principal stress σ’h will increase. Ultimately the wall will reach a
state at which the stress condition in the soil element can be
represented by the Mohr’s circle b. At this time, failure of the soil will
occur. This is referred to as Rankine’s passive state. The effective lateral
earth pressure σ’p, which is the major principal stress, is called
Rankine’s passive earth pressure. From Figure 11.5b, it can be shown
that

The derivation is similar to that for Rankine’s active state.

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Figure 11.5c shows the variation of passive pressure with depth. For
cohesion-less soils (c’ = 0), we have

Or

Kp in the preceding equation is referred to as the coefficient of Rankine’s

passive earth pressure.

The points D and D’ on the failure circle (Figure 11.5b) correspond to

the slip planes in the soil. For Rankine’s passive state, the slip planes
make ±(45 + Φ’/2)- degree angles with the direction of the minor
principal plane—that is, in the horizontal direction. Figure 11.5d shows
the distribution of slip planes in the soil mass.

Effect of Wall Yielding

From the preceding discussion we know that sufficient movement of the
wall is necessary to achieve a state of plastic equilibrium. However, the
distribution of lateral earth pressure against a wall is very much
influenced by the manner in which the wall actually yields. In most
simple retaining walls, movement may occur by simple translation or,
more frequently, by rotation about the bottom.

For preliminary theoretical analysis, let us consider a frictionless

retaining wall represented by a plane AB, as shown in Figure 11.6a. If
the wall AB rotates sufficiently about its bottom to a position A’B, then a
triangular soil mass ABC’ adjacent to the wall will reach Rankine’s active
state. Since the slip planes in Rankine’s active state make angles of
±(45 + Φ’/2) degrees with the major principal plane, the soil mass in
the state of plastic equilibrium is bounded by the plane BC, which
makes an angle of (45 + Φ’/2) degrees with the horizontal. The soil
inside the zone ABC’ undergoes the same unit deformation in the
horizontal direction every-where, which is equal to ΔLa/La. The lateral
earth pressure on the wall at any depth z from the ground surface can
be calculated by 16th eq..
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In a similar manner, if the frictionless wall AB (Figure 11.6b) rotates

sufficiently into the soil mass to a position A”B, then the triangular mass
of soil ABC” will reach Rankine’s passive state. The slip plane BC”
bounding the soil wedge that is at a state of plastic equilibrium makes
an angle of (45 – Φ’/2) degrees with the horizontal. Every point of the
soil in the triangular zone ABC% undergoes the same unit deformation
in the horizontal direction, which is equal to ΔLp/Lp. The passive
pressure on the wall at any depth z can be evaluated by using Eq.
(11.19).

Typical values of the minimum wall tilt (ΔLa and ΔLp) required for
achieving Rankine’s state are given in Table 11.1.

Diagrams for Lateral Earth Pressure Distribution against

Retaining Walls

Backfill— Cohesionless Soil with Horizontal Ground Surface

Active Case
Figure 11.7a shows a retaining wall with cohesionless soil backfill that
has a horizontal ground surface. The unit weight and the angle of
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friction of the soil are γ and Φ’, respectively. For Rankine’s active state,
the earth pressure at any depth against the retaining wall can be given
by 16th eq.:

σ’a increases linearly with depth, and at the bottom of the wall, it will be

The total force, Pa, per unit length of the wall is equal to the area of the
pressure diagram, so

Passive Case
The lateral pressure distribution against a retaining wall of height H for
Rankine’s passive state is shown in Figure 11.7b. The lateral earth
pressure at any depth z [Eq. (11.20), c’ = 0] is

The total force, Pp, per unit length of the wall is

Backfill—Partially Submerged Cohesionless Soil Supporting

Surcharge
Active Case
Figure 11.8a shows a frictionless retaining wall of height H and a backfill
of cohesion-less soil. The groundwater table is located at a depth of H1
below the ground surface, and the backfill is supporting a surcharge
pressure of q per unit area. From 18th equation we know that the
effective active earth pressure at any depth can be given by

where σ’a and σ’o are the effective vertical pressure and lateral pressure,
respectively. At z = 0

and

At depth z = H1,
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and
At depth z=H,

and

where γ’ = γsat - γw. The variation of with depth is shown in Figure

11.8b. The lateral pressure on the wall from the pore water between
z=0 and H1 is 0, and for z>H1, it increases linearly with depth (Figure
11.8c). At z=H,

The total lateral pressure, σa, diagram (Figure 11.8d) is the sum of the
pressure diagrams shown in Figures 11.8b and c. The total active force
per unit length of the wall is the area of the total pressure diagram.
Thus,

Passive Case
Figure 11.9a shows the same retaining wall as in Figure 11.8a.
Rankine’s passive pres-sure (effective) at any depth against the wall
can be given by 2oth eq.:

Using the preceding equation, we can determine the variation of σ’p with
depth, as shown in Figure 11.9b. The variation of the pressure on the
wall from water with depth is shown in Figure 11.9c. Figure 11.9d shows
the distribution of the total pressure, σp, with depth. The total lateral
passive force per unit length of the wall is the area of the diagram given
in Figure 11.9d, or

Backfill— Cohesive Soil with Horizontal Backfill

Active Case
Figure 11.10a shows a frictionless retaining wall with a cohesive soil
backfill. The active pressure against the wall at any depth below the
ground surface can be expressed as 15th eq.
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The variation of Kaγz with depth is shown in Figure 11.10b, and the
variation of 2c’√𝐾𝑎 with depth is shown in Figure 11.10c. Note that
2c’√𝐾𝑎 is not a function of z, and hence Figure 11.10c is a rectangle.
The variation of the net value of with depth is plotted in Figure 11.10d.
Also note that, because of the effect of cohesion σ’a, is negative in the
upper part of the retaining wall. The depth zo at which the active
pressure becomes equal to 0 can be found from 16th eq. as
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For Φ=0 condition,

For calculation of the total active force, it is common practice to take

the tensile cracks into account. Since there is no contact between the
soil and the wall up to a depth of zo after the development of tensile
cracks, the active pressure distribution against the wall between z =
2c’/(γ√𝐾𝑎) and H (Figure 11.10d) only is considered. In that case,\

For the Φ=0 condition,

Note that, in Eq. (11.39), γ is the saturated unit weight of the soil.
or
Passive Case
Figure 11.11a shows the same retaining wall with backfill similar to that
considered in Figure 11.10a. Rankine’s passive pressure against the wall
at depth z can be given by 19th eq.

For the undrained condition—that is, Φ = 0, Ka = tan2 45 = 1, and c =

cu (undrained cohesion)—we have

So, with time, tensile cracks at the soil–wall interface will develop up to
a depth of zo. The total active force per unit length of the wall can be
found from the area of the total pressure diagram (Figure 11.10d), or
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In Section 11.2, we considered retaining walls with vertical backs and

horizontal backfills. In some cases, however, the backfill may be
continuously sloping at an angle α with the horizontal as shown in
Figure 11.16 for active pressure case. In such cases, the directions of
Rankine’s active or passive pressures are no longer horizontal. Rather,
the directions of pressure are inclined at an angle α with the horizontal.
If the backfill is a granular soil with a drained friction angle Φ’, and
c’=0, then

Where

At z=0,

and at z=H,

The variation of σp = σ’p with depth is shown in Figure 11.11b. The

passive force per unit length of the wall can be found from the area of
the pressure diagrams as

For the Φ=0 condition, Kp=1 and

In the equation above γ is the saturated unit weight of the soil.

Rankine Active and Passive Pressure with Sloping

Backfill The active force per unit length of the wall can be given as
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Where Ka= Rankine active earth pressure coefficient and

The line of action of the resultant acts at a distance of H/3 measured
from the bottom of the wall. Table 11.2 gives the values of K a for
various combinations of α and Φ’.
The passive pressure is given by
In a similar manner, the Rankine passive earth pressure for a wall of
height H with a granular sloping backfill can be represented by the
equation
Where Kp=Rankine passive earth pressure coefficient and

Where
Also,

is the passive earth pressure coefficient.

As in the case of the active force, the resultant force Pp is inclined at an

angle α with the horizontal and intersects the wall at a distance of H/3
measured from the bottom of the wall. The values of Kp (passive earth Tables 11.4 and 11.5 give, respectively, the variations of K”a and K”p
pressure coefficient) for various values of α and Φ’ are given in Table with α, c’/γz, and Φ’.
11.3. For the active case, the depth of the tensile crack can be given as
C’-Φ’ Soil
The preceding analysis can be extended to the determination of the
active and passive Rankine earth pressure for an inclined backfill with a
c’-Φ’ soil. The details of the mathematical derivation are given by
Mazindrani and Ganjali (1997). For a c’-Φ’ backfill, the active pressure is
given by
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