Lancellotta, R. (2002). Géotechnique 52, No.

8, 617–619

TECHNICAL NOTE

Analytical solution of passive earth pressure

R . L A N C E L L OT TA

KEYWORDS: diaphragm and in situ walls; earth pressure; 14

plasticity; retaining walls

σ′xx
12
σxz
INTRODUCTION
It is well recognised that, when wall friction is present, a σ′xx = Kp·γ ′z
non-uniform stress field arises as well as a non-planar failure
surface. This renders the problem of computing exact values
of earth pressures non-trivial, and analytical solutions are 10
not available in this case. In particular, when dealing with
passive earth pressure, current practice relies on solutions
provided by limit equilibrium methods with a curved (typi- Sokolowski's solution
cally log-spiral) surface, but as these procedures are essen- Equation (1)
tially of kinematical nature they are not conservative. In 8
fact, should the assumed mechanism be admissible in kine-
matics terms, these solutions represent an upper bound of
Kp

the exact solution. For this reason it is of interest to search

for a statically admissible stress field, because this approach
provides a conservative answer or the exact one (Calladine, 6
1985). In this respect, the numerical solution obtained by δ/φ′ = 1
Sokolowski (1965), based on the method of characteristics,
is actually of major interest, and the one most commonly
δ/φ′ = 0·5
used by designers is that of Caquot & Kerisel (1948) or
Kerisel & Absi (1990). 4
This paper is intended to contribute to this problem by δ/φ′ = 0
providing an analytical solution for earth pressure coeffi-
cients, based on the lower bound theorem of plasticity.
The expression obtained for the passive earth pressure
coefficient is 2
 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 
cos

Kp ¼ (cos
þ sin2 9  sin2
) e2Ł tan 9 (1)
1  sin 9
where
 
sin
0
2Ł ¼ sin 1 þ
(2) 10 20 30 40
sin 9 φ′: degrees

This is in approximate agreement with Sokolowski’s solution Fig. 1. Passive earth pressure coefficient
(see Fig. 1); it is of value in engineering practice, as it is a
conservative estimate of the exact solution. It can further be
inferred that, when the boundary condition of a smooth wall
applies (
¼ 0), then equation (1) merges into Rankine’s
solution. flow rule, is still an approximate safe solution with respect
A further remark is concerned with the assumption of to that obtained for a material obeying a non-associated flow
normality, when dealing with upper- and lower-bound theo- rule.
rems of plasticity. If a more realistic material behaviour
requires a non-associated flow rule, it can be proved (see
theorems of Radenkovic as quoted by Salençon, 1974) that DISCONTINUITY CONDITIONS IN A LIMITING FIELD
the statically admissible solution, obtained for an associated OF STRESS
Consider a plane of discontinuity between two states of
stress relative to regions A and B in Fig. 2. In order to
Manuscript received 27 May 2002; revised manuscript accepted 25
July 2002. satisfy equilibrium, the Mohr circles of these regions must
Discussion on this paper closes 1 May 2003, for further details see have a common point at X, and a relevant result that can be
p. ii. deduced from Fig. 2 is that there is a jump in the direction

Department of Structural and Geotechnical Engineering, Techni- and magnitude of the major principal stress across the
cal University of Turin, Italy. discontinuity.

617
618 LANCELLOTTA
X
σ′1A
σxz
O
P1 =O
C +C
P1
σ′xx O
P1 = s′1 [cos δ + (sin2φ′ – sin2δ)0·5]

Region B

τ
φ′

Region A dθ
1
A δ

H θ
X B π/2
σ′1B r
2 s′1
s′2 2θ
O σ′zz P2 R σ′xx σ′

τ
θ′
C

P1
X
T
2dθ

2dθ Fig. 3. Passive earth pressure

A B σ′
s′ ds′

Fig. 2. Change of principal directions across a discontinuity, since

and shift of stress circle centres  9zz
s92 ¼
1  sin 9
By inserting equation (4) into equation (6), equation (1) is
obtained, with the additional condition
By assuming small rotation, the shift in centre of the  
Mohr’s circles is related to the rotation of principal direction sin

through the equation 2Ł ¼ sin1 þ

sin 9
d s9 derived from circle 1 in Fig. 3, by observing that
¼ 2dŁ tan 9 (3)
s9 r
HR ¼ r sin(2Ł 
) ¼ OR sin
¼ sin
(7)
where Ł is the rotation of the principal directions, 9 is the sin 9
angle of shear strength, and s9 is the abscissa of the centre
In order to evaluate equation (1), Table 1 provides a com-
of the Mohr circle. Equation (3) can be proved by observing
parison with Sokolowski’s solution, so that the conclusions
that, if ds9 ! 0, sin 2Ł ffi 2Ł, the common point X ! T and
anticipated in the introduction are justified.
BX ffi AX ¼ s9 sin 9. By applying the sine theorem to the
For completeness we derive the corresponding expression
triangle ABX, one gets AX=cos 9 ¼ ds9=sin 2Ł, and equa-
for the active coefficient. Referring to Fig. 4, we obtain
tion (3) follows. If we consider a fan of stress discontinuities
(Fig. 3), across which the rotation of principal direction  z9z
s91 ¼ ; OA ¼ OH  AH
assumes the finite value Ł, then the shift between the two 1 þ sin j9 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
extreme Mohr circles is defined by OH ¼ s92 cos
; AH ¼ s92 sin2 9  sin2

s91 so that
¼ e2Ł tan 9 (4) 
s92
cos
s92 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 
In order to obtain the value of  9xx at the wall interface as a  9xx ¼ (cos
 sin2 9  sin2
) ª9z (8)
1 þ sin 9 s91
function of  9zz ¼ ª9z, the overburden stress in region 2,
referring to Fig. 3 the following relations apply:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
OP1 ¼ OC þ CP1 ; OP1 ¼ s91 [cos
þ sin 2 9  sin2
]
(5) Table 1. Values of passive earth pressure coefficient K p
ó9xx =ó9zz , as given by equation (1) and compared with
where
is the angle of wall friction and, since  9xx ¼ Sokolowski’s (1965) solution
OP1 cos
, it follows that 9: degrees 20 20 30 30 40 40
 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 
10 20 15 30 20 40
cos
s91
 9xx ¼ (cos
þ sin2 9  sin2
)  ª9z Sokolowski’s 2·51 2·86 4·46 5·67 9·10 14·00
1  sin 9 s92 solution
(6) Equation (1) 2·48 2·74 4·29 5·03 8·37 11·03
 ANALYTICAL SOLUTION OF PASSIVE EARTH PRESSURE 619
where
 
O
A =O
H –A
H sin

2Ł ¼ sin 1

(10)
O
H = s′2·cos δ sin 9
H = s′2 (sin2φ′ – sin2δ)0·5
A
Finally we add two remarks. First, equations (1) and (9) can
be expressed as a single equation:
 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 
cos

K p,a ¼ (cos
sin2 9  sin2
) e 2Ł tan 9
τ 1  sin 9
φ′ (11)
with
 
sin

P2 2Ł ¼ sin1

1 sin 9
2θ 2
P1 s′2 where the upper sign applies for the passive coefficient and
the lower sign for the active coefficient.
O R s′1 θ σ′
α Second, the influence of a sloping backfill or sloping wall
A
surface can be taken into account through an appropriate
H
value of the rotation of principal directions: that is, it is
C
D reflected in the angle Ł.

α = δ + 2θ δ

REFERENCES
Calladine, C. R. (1985). Plasticity for engineers. Chichester: Ellis
Horwood.
Fig. 4. Active earth pressure Caquot, A. & Kerisel, J. (1948). Tables for the calculation of
passive pressure, active pressure and bearing capacity of foun-
dations. Gauthier Villars, Paris.
By inserting equation (3) we obtain Kerisel, J. & Absi, E. (1990). Active and passive earth pressure
 tables. Rotterdam: Balkema.
cos
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi  Salençon, J. (1974). Théorie de la plasticité pour les applications à
Ka ¼ (cos
 sin2 9  sin2
) e2Ł tan 9 la mécanique des sols. Eyrolles, Paris.
1 þ sin 9
Sokolowski, V. V. (1965). Statics of granular media. Oxford:
(9) Pergamon.